FATCA Indicia items

Items with ** are subject for review

Has address in FATCA countries **

Procedure: FATCA_CheckHasAddressesInFATCACountries

• Returns OK if entity does not have any addresses in FATCA regulated countries

Has only a postal address

Procedure: FATCA_CheckIfOnlyAddressIsPOBox

• Returns OK if all of the entity's addresses have a street name

All related parties are compliant

Procedure: FATCA_CheckRelatedPartyCompliancy

•  Returns OK if all of entity’s related parties have passed FATCA review

Related parties:

Account Holder

Authorized Signatory

Beneficial Owner

Beneficiary

Director

Partner

Power of Attorney

Secretary

Settlor

Shareholder

All shareholders are compliant

Procedure: FATCA_CheckShareholderCompliancy

• Returns OK if entity shareholders have passed FATCA review

Has declined emails

Procedure: FATCA_DoNotEmail

•  Returns OK if entity's Do not email property is set to No

Has declined mail

Procedure: FATCA_DoNotMail

•  Returns OK if entity's Do not mail property is set to No

Is registered in a FATCA sensitive country

Procedure: FATCA_GetCountryOfIncorporation

For Individuals

• Returns OK if jurisdiction of entity is not FATCA regulated

For Companies, Funds, Partnerships

• Returns OK if jurisdiction or country of incorporation of the entity is not FATCA regulated

For Trusts and Foundations

• Returns OK if jurisdiction or Proper law country is not FATCA regulated

Has an authorised signatory in-scope for FATCA

Procedure: FATCA_GetHasFATCAAuthorisedSignatories

• Returns OK if authorized signatories of the entity have passed FATCA review

Has an power of attorney in-scope for FATCA

Procedure: FATCA_GetHasFATCAPowerOfAttorneys

•  Returns OK if attorney of the entity has passed FATCA review

Has FATCA sensitive country **

Procedure: FATCA_GetHasFATCARegisteredOfficeAddresses

For Foundations, Individuals, Organizations and Trusts

• Returns OK if jurisdiction of the entity is not FATCA regulated

For all others

• Returns OK if entity's registered office address is not in a FATCA regulated country

Total assets under management

Procedure: FATCA_GetTotalAssetsUnderManagement

For Companies, Funds, Foundations, Individuals, Partnerships and Trusts

• Returns OK/Pass if networth of entity is less than 1000000