9.1.3 Entity Certification

This topic provides the systematic instructions for users to capture the necessary information for FATCA & CRS entity classification.

Figure 9-4 Entity Certification - Financial

Description of "Figure 9-4 Entity Certification - Financial"

Figure 9-5 Entity Certification - Non Financial

Description of "Figure 9-5 Entity Certification - Non Financial"

Note:

The fields which are marked as Required are mandatory.

For more information on fields, refer to the field description table.

Table 9-3 Entity Certification - Non Financial - Field Description

Field Name	Description
Please select a category to which the entity belongs	Specify whether the entity is a financial or non-financial institution by selecting the applicable option. The options are: Financial Institution - Select this option if the entity is a financial organization Non- Financial Institution - Select this option if the entity is a non-financial organization
The following fields appear if you have selected the option Financial Institution under the Please select a category to which the entity belongs field.	The categories to which the entity could belong to are listed under this field. Select an option that is applicable to the entity. The options are: An Investment Entity Depository Institution, Custodial Institution or Specified Insurance Company
Financial Institution	The categories to which the entity could belong to are listed under this field. Select an option that is applicable to the entity. The options are: An Investment Entity Depository Institution, Custodial Institution or Specified Insurance Company
An Investment Entity	The categories of investment entities are listed under this field only if you have selected the option An Investment Entity under the Financial Institution category. Select an option that is applicable to the entity. The options are: An Investment Entity located in a Non-Participating Jurisdiction and managed by another Financial Institution Other Investment Entity
GIIN Available	Specify whether the entity's Global Intermediary Identification Number is available or not. The options are: Yes – Select this option if the entity’s GIIN is available No – Select this option if the entity does not have a GIIN
Enter GIIN	Enter the entity's Global Intermediary Identification Number. This field appears if you have selected the option Yes against the GIIN Available field.
Reason for Non Availability	Specify the reason of non-availability of taxpayer identification number. This field appears if you have selected the option No against the GIIN Available field.
The following fields appear if you have selected the option Non-Financial Institution under the Please select a category to which the entity belongs field.
Non-Financial Institution	The general categories to which a non-financial entity can belong, are listed under this field. The options are: Active Non-Financial Entity (NFE) Passive Non-Financial Entity (NFE)
Active Non-Financial Entity (NFE)	The categories under Active Non-Financial Entity are listed if you have selected the option Active Non-Financial Entity under the field Non-Financial Institution. Select the option that is applicable to the entity. The options are: A corporation, the stock of which is regularly traded on an established securities market Entity is related to a corporation whose stock is regularly traded on an established securities market A Governmental Entity or Central Bank An International Organization Other e.g. a start-up NFE or a non-profit NFE
Name of the established securities market on which the corporation is regularly traded	Enter the name of securities market on which the entity trades regularly. This field appears if you have selected the option A corporation, the stock of which is regularly traded on an established securities market under the Active Non-Financial Entity (NFE) field.
Name of the related corporation whose stock is traded	Specify the name of corporation whose stock is traded by the entity. This field appears if you have selected the option Entity is related to a corporation whose stock is regularly traded on an established securities market under the Active Non-Financial Entity (NFE) field.
Nature of relation	Specify the relation that the entity has with the company whose stock is traded. The options are: Subsidiary of the listed company Controlled by a listed company Common control as a listed company This field appears if you have selected the option Entity is related to a corporation whose stock is regularly traded on an established securities market under the Active Non-Financial Entity (NFE) field.
Name of the established securities market on which the stock of the related corporation is regularly traded	Enter the name of securities market on which the stock of the related corporation is traded on a regular basis. This field appears if you have selected the option Entity is related to a corporation whose stock is regularly traded on an established securities market under the Active Non-Financial Entity (NFE) field.
Sub-Category of Active NFE	Enter the sub-category of the active non-financial entity. This field appears if you have selected either of the following three options under the Active Non-Financial Entity (NFE) field: A Government Entity or Central Bank An International Organization Other e.g. a start-up NFE or non-profit NFE
Passive Non-Financial Entity (NFE)	Select this option if the entity is a passive non-financial entity.

1. Perform one of the following actions:
   • In the Please select a category to which the entity belongs field, select the applicable option.
     1. If you have selected the Financial Institution option, select whether the entity is an Investment Entity or Depository Institution, Custodial Institution or Specified Insurance Company.
        1. If you have selected An Investment Entity option from the Financial Institution field, select whether the entity is an Investment Entity located in a Non-Participating Jurisdiction and managed by another Financial Institution or Other Investment Entity.
     2. Specify whether the GIIN is available or not against the GIIN Available field.
        • If you have selected option Yes, enter the entity's GIIN in the Enter GIIN field.
        • If you have selected option No, enter the reason as to why the GIIN is not available in the Reason for Non Availability field.
   • If you have selected the Non-Financial Institution option, select the applicable option.
   • If you have selected the category Active Non-Financial Entity (NFE), select the applicable sub-category options and enter the relevant information displayed against the selected options.
2. Click Continue.
   The Declaration section appears.