Self Certification of Entity Tax Form
Self Certification of Entity Tax Form
This form may be used to certify your Entity’s tax resident status and classification under international tax regulations including
the Foreign Account Tax Compliance Act (FATCA) and the Common Reporting Standard (CRS) and, in some cases, to identify
the Entity’s Controlling Persons and establish their tax residence. The form can also be used to update us with any change of
circumstances. If you need help to complete this form, please call us on 0800 289 936 (Freephone UK only) or +44 (0)1624
645000. Please complete this form in full and when you have completed it please submit it electronically via DocuSign. We
may be obliged to share this information with relevant tax authorities. A brief glossary of terminology is attached, however, as
we are unable to provide tax advice, if you have any questions about how to complete this form, please refer to the OECD CRS
Commentaries, the OECD AEOI Portal, the FATCA and/or CRS guidance in your jurisdiction or contact your tax adviser.
1. Accountholder information
Account number(s)
Jurisdiction of incorporation/
organisation/establishment
Registered address
Postcode
Postcode
2. U.S. FATCA
Please complete this section, where applicable, to cover the requirements of U.S. FATCA regulations.
2.1 Entity that is a U.S. person
Please tick and complete as appropriate (if the Entity is not a U.S. Person, please complete section 2.2).
The Entity is a Specified U.S. Person (U.S. incorporated domestic corporation, domestic partnership, or a U.S. trust or estate
subject to U.S. Court direction) and the Entity’s U.S. federal taxpayer identifying number (U.S. TIN or EIN) is as follows:
The Entity is a U.S. Person that is not a Specified U.S. Person (eg, U.S. government entities or corporates listed on an
established securities market). Indicate exemption type:
2.2.2 If the entity is a Financial Institution but unable to provide a GIIN, please tick one of the the reasons below:
The Entity is a sponsored Financial Institution (including a Sponsored Investment Entity and Sponsored Closely Held
Investment Vehicle) and has not obtained a GIIN but is sponsored by another entity that has registered as a Sponsoring Entity.
Please provide the Sponsoring Entity’s name and GIIN below:
Sponsoring Entity’s Name
The Entity is a Trustee Document Trust. Please provide your Trustee’s name and GIIN below:
Trustee’s Name
Trustee’s GIIN
2.2.3 If the Entity is not a Financial Institution or Exempt Beneficial Owner please confirm the Entity’s FATCA status below:
The Entity is an Active Non-Financial Foreign Entity (including an Excepted NFFE)
The Entity is a Passive Non-Financial Foreign Entity (Passive NFFE)
2.2.4 If the Entity is a passive NFFE, please advise if either of the following apply:
The Entity is a Direct Reporting NFFE, please provide your Entity’s GIIN below:
Entity’s GIIN
The Entity is a Sponsored Direct Reporting NFFE, please provide the sponsoring Entity’s Name and GIIN below:
Sponsoring Entity’s Name
If you have confirmed that the Entity is a Passive Non-Financial Foreign Entity please provide details of the Controlling Persons
by completing section 5 of this form.
If a TIN is not available please provide a functional equivalent (such as a business or company registration number or other similar
form of identification). If no TIN or functional equivalent is available for any of the jurisdictions listed please advise the reason
why (such as the jurisdiction does not issue such numbers)
Further information on the issuance rules for TINs and their format can be found on the OECD’s AEOI Portal:
www.oecd.org/tax/automatic-exchange (select CRS Implementation and Assistance, and then click on Tax Identification Numbers).
3.2 The common reporting standard (CRS) classification
Please provide your CRS classification by ticking the corresponding box(es) below. Please note, an Entity’s CRS classification may
not necessarily be the same as its classification for US FATCA purposes.
Depository Institution
Custodial Institution
If the entity is a financial institution please
tick the box and specify the type of financial Specified Insurance Company
institution below:
Investment Entity - within the meaning of Section VIII, A.6(a) of the CRS*
‘Managed’ Investment Entity - within the meaning of Section VIII, A.6(b) of the CRS*
If you have ticked ‘Managed’ Investment Entity - within the meaning of Section VIII, A.6(b) of the CRS’ box above and the Entity
is resident in a Non-Participating Jurisdiction, the Entity will be treated as a Passive Non- Financial Institution. Therefore please
provide details of the Controlling Persons by completing section 5 of this form. Please tick here if this applies
*It is important to review the glossary at the end of this form to clearly identify if the entity is an investment entity, or a “managed”
investment entity.
If the entity is not a financial institution please The Entity is an Active Non-Financial Entity
confirm the entity CRS status * The Entity is a Passive Non-Financial Entity
* Note – please review the glossary at the end of the form for guidance on the terms Active and Passive non-financial entities
If you have confirmed that the Entity is a Passive Non-Financial Entity please provide details of the Controlling Persons by
completing section 5 of this form.
Name
Position/title
Signature
Date (dd/mm/yyyy)
This document may be signed in any number of counterparts. Each counterpart is deemed to be an original, and together, all
counterparts form one single document. By completing and signing this form electronically, you agree that the signature(s) will be
the electronic representation of your signature(s) for all purposes, in the same way as a pen-and-paper signature. There is no need
to print and return the original form if you have signed it electronically.
First controlling person (if applicable) Second controlling person (if applicable)
Forename(s)
Surname
Postcode
Postcode
Place of birth
Country of birth
Nationality
Please confirm the jurisdiction(s) where you are tax resident and indicate the applicable Tax Identification Number (TIN)
To be completed below only if you are resident for tax purposes in multiple tax jurisdictions.
First controlling person (if applicable) Second controlling person (if applicable)
I confirm that I am a U.S. citizen / or resident I confirm that I am a U.S. citizen / or resident
in the U.S. for tax purposes (Green Card in the U.S. for tax purposes (Green Card
holder or resident under the substantial holder or resident under the substantial
presence test) and I have disclosed my U.S. presence test) and I have disclosed my U.S.
Federal TIN (Social Security Number) above. Federal TIN (Social Security Number) above.
I confirm that I am not a U.S. citizen or I confirm that I am not a U.S. citizen or
Declaration of U.S. / Non-U.S. Citizenship
resident in the U.S. for tax purposes. resident in the U.S. for tax purposes.
or residence for tax purposes
Nedbank Private Wealth Limited will require all Nedbank Private Wealth Limited will require all
U.S. citizens and U.S. tax residents to complete a U.S. citizens and U.S. tax residents to complete a
Form W-9 (unless already completed), which we Form W-9 (unless already completed), which we
can send to you or you can download from the IRS can send to you or you can download from the IRS
website (www.irs.gov) under the Forms and website (www.irs.gov) under the Forms and
Publications section Publications section
I confirm that I was born in the U.S. (or a U.S. I confirm that I was born in the U.S. (or a U.S.
territory) but I am no longer a U.S. citizen as I territory) but I am no longer a U.S. citizen as I
renounced my citizenship and obtained a renounced my citizenship and obtained a
Certificate of Loss of Nationality of the Certificate of Loss of Nationality of the
United States. A certified copy is attached. United States. A certified copy is attached.
Declaration of a loss of U.S. Citizenship or I confirm that I have previously been a U.S. tax I confirm that I have previously been a U.S. tax
a loss of a U.S. tax residence resident by virtue of obtaining a U.S. Green resident by virtue of obtaining a U.S. Green
Card, however, I have now established a Card, however, I have now established a
permanent residence outside of the U.S. and permanent residence outside of the U.S. and
my Green Card has now been revoked as my Green Card has now been revoked as
evidenced by certified copy of the attached evidenced by certified copy of the attached
U.S. Abandonment of Lawful Permanent U.S. Abandonment of Lawful Permanent
Resident Status authority document. Resident Status authority document.
Third controlling person (if applicable) Fourth controlling person (if applicable)
Forename(s)
Surname
Postcode
Postcode
Place of birth
Country of birth
Third controlling person (if applicable) Fourth controlling person (if applicable)
Nationality
Please confirm the jurisdiction(s) where you are tax resident and indicate the applicable Tax Identification Number (TIN)
To be completed below only if you are resident for tax purposes in multiple tax jurisdictions
I confirm that I am a U.S. citizen / or resident I confirm that I am a U.S. citizen / or resident
in the U.S. for tax purposes (Green Card in the U.S. for tax purposes (Green Card
holder or resident under the substantial holder or resident under the substantial
presence test) and I have disclosed my U.S. presence test) and I have disclosed my U.S.
Federal TIN (Social Security Number) above. Federal TIN (Social Security Number) above.
I confirm that I am not a U.S. citizen or I confirm that I am not a U.S. citizen or
Declaration of U.S. / Non-U.S. Citizenship
resident in the U.S. for tax purposes. resident in the U.S. for tax purposes.
or residence for tax purposes
Nedbank Private Wealth Limited will require all Nedbank Private Wealth Limited will require all
U.S. citizens and U.S. tax residents to complete a U.S. citizens and U.S. tax residents to complete a
Form W-9 (unless already completed), which we Form W-9 (unless already completed), which we
can send to you or you can download from the IRS can send to you or you can download from the IRS
website (www.irs.gov) under the Forms and website (www.irs.gov) under the Forms and
Publications section Publications section
I confirm that I was born in the U.S. (or a U.S. I confirm that I was born in the U.S. (or a U.S.
territory) but I am no longer a U.S. citizen as I territory) but I am no longer a U.S. citizen as I
renounced my citizenship and obtained a renounced my citizenship and obtained a
Certificate of Loss of Nationality of the Certificate of Loss of Nationality of the
United States. A certified copy is attached. United States. A certified copy is attached.
Declaration of a loss of U.S. Citizenship or I confirm that I have previously been a U.S. tax I confirm that I have previously been a U.S. tax
a loss of a U.S. Tax residence resident by virtue of obtaining a U.S. Green resident by virtue of obtaining a U.S. Green
Card, however, I have now established a Card, however, I have now established a
permanent residence outside of the U.S. and permanent residence outside of the U.S. and
my Green Card has now been revoked as my Green Card has now been revoked as
evidenced by certified copy of the attached evidenced by certified copy of the attached
U.S. Abandonment of Lawful Permanent U.S. Abandonment of Lawful Permanent
Resident Status authority document. Resident Status authority document.
Name
Capacity
Signature
Date (dd/mm/yyyy)
Name
Capacity
Signature
Date (dd/mm/yyyy)
Date (dd/mm/yyyy)
This document may be signed in any number of counterparts. Each counterpart is deemed to be an original, and together, all
counterparts form one single document. By completing and signing this form electronically, you agree that the signature(s) will be the
electronic representation of your signature(s) for all purposes, in the same way as a pen-and-paper signature. There is no need to print
and return the original form if you have signed it electronically.
Participating Foreign Financial Institution: This is an FFI resident in a non-IGA jurisdiction which has registered directly
with the IRS and undertakes all due diligence and reporting obligations under FATCA.
Reporting CRS Jurisdiction: Over 100 countries including all EU countries, the Crown Dependencies and many others
are in various stages of adopting the CRS. For more information, search OECD AEOI Portal and CRS Jurisdictions.
U.S. Specified Person: Means a U.S. citizen or U.S. permanent resident individuals, including Green Card holders. A U.S.
partnership or a company incorporated in the U.S. and a U.S. trust, if a court in the U.S. has authority to pass judgement
relating to the administration of the trust, and a U.S. person has the authority to control all substantial decisions relating
to the trust. We will require a U.S. Specified Person to completed a U.S. Form W-9, if one has not already been completed.
Nedbank Private Wealth is a registered trade name of Nedbank Private Wealth Limited.
Nedbank Private Wealth Limited is licensed and regulated by the Isle of Man Financial Services Authority. Registered office: St Mary’s Court 20 Hill Street Douglas Isle of Man.
The Jersey branch is regulated by the Jersey Financial Services Commission. The London branch is authorised by the Prudential Regulation Authority and regulated by the
Financial Conduct Authority and the Prudential Regulation Authority. Registration No: 313189. The UAE representative office in Dubai is licensed by the Central Bank of UAE.
Representation in South Africa is through Nedbank Limited. Registered in South Africa with Registration No 1951/000009/06, an authorised financial services and registered
credit provider (NCRCP16). C201 08/24
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