CB Legal Tax p ~*~~cedel PARTICIPANT FILE CHECKLIST OF ... FILE CHECKLIST OF CONTENTS Account-number ... Case 1:10-cv-04518-KBF Document 810-12 Filed 08 ... should he kepi up-l

2008-06-26 20:16 CB Legal & Tax

~*~~cedel eo PARTICIPANT FILE

CHECKLIST OF CONTENTS

Account-number: ~ Bo't2..0 Nan1e: Be,~~:;}~

J~s~/~

Participant Information

0 0 ~ El

()~

Application for membership

Information file

Company profile

Authorised signatures Annual report for the year _!_J _____ _ Articles of Association

Management regulations: signed ~ date:

MAIN ACCOUNT NO

t?o~'l(, Sub-accounts and

unpublished accounts

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Opened

II..{ t z .<ll{ .

Opened

0 0 0 Other documents: --------------------------

\ )

Follow-up Items

D Approval of membership application

D CEDCOM D GE D D Telex

D Mail

D Testkeys I passwords (authorisations)

0 Documentation provided

Cedel Services

0 Financing

0 Securities Lending

0 Securities Borrowing

Other File contents 0 Other ________ _

0 Correspondence

0 Press 8/3261t\)3 91

SWIFf ( D TELERA TE )

0 User Manuals

0 Participant Handbook

0 Others

0 TOF

D Tripartite Agreement

D Others

D Case by case

0 Standing Instruction

0 Case by case

0 Standing Instruction

CBL EXHIBIT E

Case 1:10-cv-04518-KBF Document 810-12 Filed 08/31/17 Page 1 of 14


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Company Profile (rcr. 4029) page 2/2

Main business activities Bank Broker* 0

Other (please specify)

(*please specify, if applicable, of which Stock Exchange you arc a member _

N<lme and address of a hank which may he contacted to provide a reference if requt:sted:

Please return this form together with :

i) The form ''Reque.'>t for Customer Account" duly signed,

ii) The ''Customer Information",

iii) An up-to-date list of authorised signatures,•

iv) A copy of the company's most recent Annual Repon:

v) Company Bye-laws, Statutes or Regulations•

to the following uddress:

_ .. -C1'edit Unit : -'.- -C~dei,_ < . .

· -~- · -_ 67 Bd o~~~de·Ducb~;s~ ·chad~tie _; L-:-1331 Luxerop~Jti~g-, -~ _· ,.: . ·- -..

' ; . . . ' -. .. . . '•'.. ~ .

• For sood order's sake the documcnlaliun under ~mnls iii), iv) dlld v) should he kepi up-l<H.lalc by ~ending new copies to Cedd a' they hccomc avallahlc.

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2008-06-26 20:16

·-6• ~~~~,cedel (

CB Legal & Tax :t '2./,

)

()

(_) .

•o Customer Information

1. CORRESPONDENCE- (statements, reports, information sheets, etc.) All correspondence from Cedd is to be addressed to :

Name of Company: _BA~K- MARKAZJ~-~~?MHOURI !SLAMI IR~!! ________ ------------- _____ _

Department : J.NTERNATIDNAL ~--------- __

Street & Number: ___ ?_lJ~_!'_f;RDQf!ISI AVENUE

PO B . 11365/8531 . . ox ' ---- - -----------·- ·------- ---- ·------ --·-·-- -

. TEHRAN 11354 City: ---- _________ ·---------Post Code:-----··----·-- __ _

Tel: _ ______ _

Fax: _ ___________ S.W.I.F.T. address: __!!!1!II_R'!!!_ _____ ·--··

Telex Numhers and Answcrbacks for mt~ssages to Cedd (including all individual machine I.Ds)

Telex Numbers and Answerhacks for messages from Cede! (including all individual machine I.Ds)

2. TYPE OF ACCOUNT

C Published

Unpublished

We wi.>h our securities account with Cede! to he kept in :

l!l FUNGIBLE FORM (we do not wish to know the bond numkrs)

0 NON-FUNGIBLE FORM (we wish to know the bond numbers)

0 FUNGIBLE & NON-FUNGIBLE FORM (according to our instructions)

3. REPORT OPTIONS We wish to receive Cede! reports using the following securities codification :

0 Common Code

I!J ISIN

.. . I cont. 2/41)\l/UMQ_1

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2008-0~26 20:16 CB Legal & Tax . ""Customer Information (rcr. 4oJJl e 2/3

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(_)

()

-- - -- . ----- ~-------

4. SETTLEMENT SEQUENCE In accordance with the tenus given in Ct del's Governing Documents we wish Cedel to operate the account listed above according to the fcEowing settlement sequence option (please rick one box):

IKl Option One: Customer Transaction Reference Number. <>'1"\\.~ (This is the default option applied by Cede! , {"\ C "'\ \ .~ if none other is indicated) \ ( • ~ \ \, • .\'

0 Option Two:

0 Option Three:

r A~-;~ •\~ \ '.) -~ ~\~

Settlement Date (flexible) ~uv

Settlement Date (strict)

[] Option Four: Nominal Amount (flexible)

5, SECURITIES BORROWING AND SECURITIES LENDING If you do not already participate in Cedel's Securities Borrowing and Securities Lending programme and are interested, please indicate below. (SUBJECT TO NEGOTIATIONS ON THE TERMS AND

CONDITIONS FOR ~CH CASE) We are interested in Securities Borrowing

We are interested in Securities Lending

[J We are not interested in Securities Borrowing or Securities Lending

6. CONT ACf NAMES Please indicate below the relevant contact names so that we may reach you without delay.

a) SECURITY TRANSACfiONS

Currency Name Tel & Ext _ _ALL__ ____ ---·- ... ____ .

Telex

ALL

ALL

b) CASH TRANSACTIONS

Currency ALL .. ..:_

Name

Tel & Ext

Telex

ALL

--~L--

c) SPECIAL OPERATIONS -exercise of warrants, conversions, etc.

Name Tel & Ext Telex

--------_______ .. __

d) SECURITIES BORROWING AND SECURITIES LENDING

Name

Tel & Ext

Telex


p 8/63 2008-06-26 20:16 CB Legal & Tax Customer Information (rcr. 4031)

- ,.----- -- --- ·---- -·--- ·------ p~ge ~Q__ -..

()

(_)

6. COMPANY LANGUAGE What is the company's preferred language?

CRl English 0 French D Gennan

7. ACCEPTANCE OF CEDEL'S GENERAL TERMS AND CONDITIONS We, the undersigned, hereby confinn our acceptance to be bound by Cedel's General Tenns and Conditions as amended from time to time.

Authorised signature(s):

Signature: Signature:

Name: Name:

Title: DIRECTOR Title: CHIEF DEALER

Date: ~ Date: 2, K" -1 , ..... '!4=-

Please return to the Credit Unit, Cede I, 67 Bd Grancle-Duchesse Charlotte, .L·l33l Luxembourg


2008-06-26 20:16 CB Legal & Tax

(_)

~~~~cede I eo CEDEL

Request for Customer Account

We, the undersigned, representing

Institution BAliK MllRKJ!ZT .IQMf(OCTRT TST/lMT TRAN

Address 213 1 FERDOWSI AVENUE, P.O. BOX 11365/8531 1 TEHRAN,

ISLAMIC REPUBLIC OF IRAN

having received a copy of Cedel's General Tenns and Conditions and agreeing to comply with all

provisions and conditions set forth therein, hereby apply to become a Cede! Customer.

If approved, we empower Cede! to open on our behalf the necessary security and cash accounts. We have

attached certified copies of our company's bye-laws, our most recent annual report and/or audited

financial statement and an authorised signature list and agree to supply Cede! immediately with any and

all updates of the same.

Signed in __ TE_H_RA_N~------- on WED"f!ESDAY NOVEMBER 9, 199_4 _

Amhorised Signature

Name (Print)

Authorised Signature

Name (Print) ---------------------------5'"4,~ -~ ~~ A}.JA l1:5'Lr ____ ~-

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r{~ Our Rd. No. -SLJ.-1

BANI{ l\fARrrAZI JOMHOCRI ISLA.)IJ IRA.N ( Tbc Ceolral Hanl1 of the l•l•mk Republic of Iran)

" IN THE NAME OF GOD"

Clearstream Banking

City Tower 2, Flat# 902

Sheikb Zayed Road Dubai- United Arab Emirates Fax#

Subject: Anti- Money Laundering and Anti-Terrorist Financing Questionnaire

Dear Sir,

Please find attached, the completed questionnaire regarding the above, which was sent to us by Mr. on June 8, 2004.

r Assistant Director

I ntemational Department

P • 0 ·BOX' 11365/8531, FeJdo.->1 Avenue, Tebron ,ISLAMIC REPUBUC OF IRAN

Cable : lei: - Telex:


a.


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Questionnaire Page. Z/6 ;l').,. (_,, ;Y,.?

'....J·/;·~/1~-

Anti· Money Laundering and Anti· Terrorist Financing Ref Group Compliance lr.;"'•r!

~ i/ ) "- -<},

Dale Tl January 200~

If any of the above owners is a legal entity, indicate below the names of the shareholders of the legal entity. and their ownership interest in the legal entity. If these shareholders are also legal entities. please indicate their respective shareholders' names. ownership and nature of ownership. Please follow this process through until the true beneficial owners are identified. Note: if any legal entity is publicly held, please indicate only that it is publicly held and the exchange on which shares are traded.

Entity Shareholders Ownership interest(%)

~ave there been any significant changes in ownership over the last five years? Yes: 0 No: ISif If yes. please provide details:

Nature of ownership (direct/indirect)

Executive management of Institution: please provide the names of senior executives and complete the table below (add further rows if necessary).

Name of senior executive Pos~ion Years of serviJ:e GOVERNOR 15

DEPTJTY GOVERNOR 21 SECHETAHY GENt:.J:<IiL '2 3 .!

VICE GUVLIH>vn 1 F'OREIGN EXCl ANGE) .:2-5 VICE GOVERNOR(ECONOMICS) 6

VICE GOVERNOR (ADM1N1~1'HA 'J. v ,t;} 1

Are there any Politically Exposed Persons3 amMg your Institution's ownership structure and executive management? Yes: r/ No. 0. If yes. please provide details (name and role):

I '_ CENTRAL BANK GOVERNOR

llloeJd.C.,t.,criMI.Ilo~"""'"(C..O t.n...,l~a,I1111H

__________________________________ _j


2008·06-26 20:16 CB Legal & Tax

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Uuestionna1re Page 3/B '<JGl~j:; I c 'fLJ

Anti-Money laundering and Anti-Terrorist Financing Ret Group Colllj)l~am:e ·v4:

Date. 17 January 201M

• f'oliticaHy [xposed Persons (PEPs) are individuals who are or have been entmted wilh prominent public functions, for mmple Heads of Stale or ol government senior politicians. senior gmrnment JUdicial or mil~ary officials. senior executives ol state owned corporations. important political party officials. or their fam1ly members or close associates.lhe definition 1S not intended to cover middle ranking or more junior individuals in the foregoing categories (d. FAlf Forty Recommendations).

4. Business Activity

Principle types of financial products and services offered to Institution's cUent base and geographical markets covered:

(a) Banker :for the aovern11ent

(b) Central Bank Participation Papers distributed to public

through Commercial Bank§as a means to mop up excess liquidity

5. Anti-Money laundering Controls

Please outline the laws and regulations to which your Institution is subject regarding anti-money laundering (AMU. combating the financing of terrorism (GFT) and 'know your customer' (KYC), includ1ng regulatory reporting requirements for suspicious ac~:ount activity, the extent to which they are FATF compliant. and state your degree of compliance.

The rranian Banking System is subject to Money and Credit council

regulations approved on November 9 2002 on prevention of money , laundering th~ough financial institutions

Z, Please describe your Institution's KYC policies and provide information on account opening procedures. documentation requirements and retention, the identification of beneficial owners and the acceptance of higher rlsk customers (such as non-FATF based customers, Politically Exposed Persons).

The Central Bank does not hold accounts :for private entities.

lS Dcti1L.!itnerAHl.Ouulu1'11'1{fil\ll) l .. l .. ,.j 211foll004

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""' nuestionnawe Page. 4/6

l(r();? '',. ;•!--· f/1'-.l·,

Anti-Money Laundering and Anti-Terrorist Financing Rsf. Group Campharrce "'~':

Oate 27 Janua'Y 200~

3. If applicable, is your Institution subject to the AML CfT and KYC polides and procedures of your ultimate parent company? Yes: D No: D.

4. Does your lnsmution open/maintain accounts for customers which are not identified (anonymous accounts)? Yes: D No:~

S. Does your Institution ensure that its credit/financial institution customers have adequate AML CFT and KYC procedures in place? Yes: D No: D.

B. Please describe procedures for updating and reviewing customer information.

WE ONL~ HOLD ACCOUNTS FOR GOVERNMENT.

7. Please provide an overview of your Institution's procedures for monitoring customer account activity/transactions.

NO PRIVATE CUSTOMER

B If applicable. please indicate the AML CFT and KYC policies of foreign branches and subsidiaries (if different from head office) and the oversight efforts of head office concerning the AML CFT and KYC procedures of foreign branches and subsidiaries.

CENTRAL BANK DOES NOT HAVE ANY BRANCHES AND SUBSIDIARIES.

9. Please describe your Institution's AML CFT and KYG employee training programme.

E Chc~ C..tamrFIMIII"d""'"rrl&"l) Lah ... l!llcrll1101

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.t l' .. 'r ",~· ,.t. ""'I,,

J ~ ~j) Duestionnaire Page. 5/6 ~ ,..'" Jl

' . . ~ .. , "'"-' /

Anti-Money laundering and Anti· Terrorist financing Rel Group Cnmplia"ce

O•le: 71 January ?004

Our T~ajri~ng Departsent,using the expertise from our Banks

Supervision Department periodically conducts courses/ seminars

on AML/eFT for participants from the Iranian banking system.

10. Please indicate whether the AML CFT and KYC measures implemented and described above are subject to independent and periodic internal and external audit reviews. If yes. can Clearstream Ban~ng obtain. upon request. a copy m comsponding internal and external audit reports?

II. Please provide a contact name for the AMLICFT/KYC programme.

, Director , Banks Supervision Department

12. Does your Institution allow third pa?tes to d1rectly or indirectly use your account(s) with Clearstream Banking, i.e in the form of 'payable through' accounts? Yes: 0 No· Bt. If yes, please indicate: • the names and addresses m third parties, • whether vour Institution has formally identified these third parties: • how your Institution performs tne ongoing monitorin~ of the activities m these third parties.

811ocld.!..1~"''1U!IIu-,.r.lfio.t) t .. , .... dllijri2!104

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2008,-06-26 20:16 CB Legal & Tax

Ouestionnaire

Anti-Money Laundering and Anti-Terrorist Financing

6. Certification

Questionnaire completed by (duly authorised officer of Institution):

Name:

Position: Director

II! 11oc 1o1. C.,.,.- II( llocttioH•n <wD h•lu,.dlllfrt~

Signature verifiee et certlfiee exacte

OG.q;i.OS drq

Pii!i• 6/6

Ruf. Group C0111pliance

Oale 'l1 Januar( 2004

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