lloyds tsb group global certification regarding correspondent

LLOYDS TSB BANK PLC GLOBAL CERTIFICATION REGARDING
CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS
The information contained in this Certification is sought pursuant to Sections 5318(j) and
5318(k) of Title 31 of the United States Code, as added by sections 313 and 319(b) of the USA
PATRIOT Act of 2001 (Public Law 107-56).
This Certification should be completed by any foreign bank that maintains a correspondent
account with any U.S. bank or U.S. broker-dealer in securities (a covered financial institution as
defined in 31 CFR 1010.605(e)). An entity that is not a foreign bank is not required to complete
this Certification.
A foreign bank is a bank organised under foreign law and located outside of the United States
(see definition at 31 CFR 1010.100(u)). A bank includes offices, branches, and agencies of
commercial banks or trust companies, private banks, national banks, thrift institutions, credit
unions, and other organisations chartered under banking laws and supervised by banking
supervisors of any state (see definition at 31 CFR 1010.100(d)).1
A correspondent account for a foreign bank is any account to receive deposits from, make
payments or other disbursements on behalf of a foreign bank, or handle other financial
transactions related to the foreign bank.
Special instruction for foreign branches of U.S. banks: A branch or office of a U.S. bank outside
the United States is a foreign bank. Such a branch or office is not required to complete this
Certification with respect to Correspondent Accounts with U.S. branches and offices of the same
U.S. bank.
Special instruction for covering multiple branches on a single Certification: A foreign bank may
complete one Certification for its branches and offices outside the United States. The
Certification must list all of the branches and offices that are covered and must include the
information required in Part C for each branch or office that maintains a Correspondent Account
with a Covered Financial Institution. Use attachment sheets as necessary.
A.
The undersigned financial institutions, Lloyds TSB Bank plc hereby certify as follows:
B.
Correspondent Accounts Covered by this Certification:
This Certification applies to all accounts established for the Lloyds TSB Bank plc entities by
Covered Financial Institutions.
1
A “foreign bank” does not include any foreign central bank or monetary authority that functions as a central bank, or any
international financial institution or regional development bank formed by treaty or international agreement.
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
C.
Physical Presence/Regulated Affiliate Status:
The Lloyds TSB Bank plc entities (listed in Schedule A) maintain a physical presence. That
means each Lloyds TSB Bank plc entity:
• Has a place of business at the street address listed in Schedule A, where it employs one
or more individuals on a full-time basis and maintains operating records related to its
banking activities.
• Is authorised to conduct banking activities in the country where its place of business is
located.
• Is subject to inspection by the banking authorities listed in Schedule A, that licensed the
particular Lloyds TSB Bank plc entity to conduct banking activities.
The Lloyds TSB Bank plc entities are all subsidiaries or affiliates of Lloyds Banking Group
plc.
• Lloyds TSB Bank plc maintains a physical presence at 25 Gresham Street, London,
EC2V 7HN where it employs one or more individuals on a full-time basis and maintains
operating records relating to its banking activities.
• The above address is in England, where Lloyds TSB Bank plc are authorised to
conduct banking activities.
• Lloyds TSB Bank plc is subject to inspection by the Financial Services Authority, the
banking authority that licensed Lloyds TSB Bank plc to conduct banking activities.
D. Indirect Use of Correspondent Accounts:
No Correspondent Account maintained by a Covered Financial Institution may be used to
indirectly provide banking services to certain foreign banks. The Lloyds TSB Bank plc entities
hereby certify that they do not use any Correspondent Account with a Covered Financial
Institution to indirectly provide banking services to any foreign bank that does not maintain a
physical presence in any country and that is not a regulated affiliate.
E. Ownership Information:
Lloyds TSB Bank plc has no owner(s) except as set forth below. For purposes of this
Certification, owner means any person who, directly or indirectly, (a) owns, controls, or has
power to vote 25 percent or more of any class of voting securities or other voting interests of
Foreign Bank; or (b) controls in any manner the election of a majority of the directors (or
individuals exercising similar functions) of Foreign Bank. For purposes of this Certification, (i)
person means any individual, bank, corporation, partnership, limited liability company or any
other legal entity; (ii) voting securities or other voting interests means securities or other
interests that entitle the holder to vote for or select directors (or individuals exercising similar
functions); and (iii) members of the same family2 shall be considered one person.
Name
Lloyds Banking Group
Address
The Mound, Edinburgh, EH1 1 YZ
2
The same family means parents, spouses, children, siblings, uncles, aunts, grandparents, grandchildren, first cousins, stepchildren,
stepsiblings, parents-in-law and spouses of any of the foregoing. In determining the ownership interests of the same family, any voting
interest of any family member shall be taken into account.
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Schedule A
Name of Foreign
Bank
Certification Regarding Correspondent Accounts For
Lloyds TSB Bank plc
Foreign Bank has a place of business at the following:
Street Address
Lloyds TSB Bank
plc
2 Avenue de Tervueren, B-1040
Brussels, Belgium
Lloyds TSB Bank
plc
Avenida Amazonas y Atahualpa, Quito,
Ecuador
Lloyds TSB Bank
plc
Av. Francisco de Orellana y alberto
Birges Cdla Kennedy Norte Edifico
"Centrum" Ecuador
Lloyds TSB Bank
plc
21 rue Balzac
75008 Paris
France]
Lloyds TSB Bank
plc
Lloyds TSB Bank
plc
The Foreign
Bank is Subject
to Inspection by:
UK
Financial Services
Authority
Belgium
Financial Services
& Markets
Authority
(FSMA), and
Banque Nationale
de Belgique,
Cellule de
Traitement des
Informations
Financières
Superintendent of
Banks
Postal Address
25 Gresham Street, London, EC2V 7HN
Lloyds TSB Bank
plc
The Fore
Mentioned
Address is in:
Casilla 17-03556 Quito,
Ecuador
Casilla 09-011335,
Guayaquil,
Ecuador
75008 Paris,
France
First Floor
PO Box 482,
Royal Ocean Plaza
Gibraltar
Ocean Village
P.O. Box 482
Gibraltar]
Suites 3901-3904, Two Exchange Square, Central, Hong
Kong
Ecuador
Ecuador
Superintendent of
Banks
Paris, France
Autorite de
Controle
Prudentiel
(Banque de
France), Tracfin
(AML), Banque
de France Direction des
Enterprises (Tax
authorities)
Gibraltar Financial
Services
Commission
Gibraltar
Hong Kong
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Hong Kong
Monetary
Authority
Securities and
Future
Commission and
Office of the
Commissioner of
Insurance
Lloyds TSB Bank
plc
Akasaka Twin Tower, New Tower 5th
Floor, 11-7, Akasaka 2-chome,
Minatoku, Tokyo 107-0052
C.P.O Box 464,
Tokyo 1008691
Japan
Lloyds TSB Bank
plc
25 New Street, St Helier, Jersey, JE4
8RG
PO Box 160, St
Helier, Jersey
Jersey
Lloyds TSB Bank
plc
40 Avenue Monterey, L-2163
Luxembourg
B.P. 1643,
L1016
Luxembourg
Luxembourg
Commission de
Surveillance du
Secteur Financier
Lloyds TSB Bank
plc
11 Boulevard des Moulins, Monte
Carlo, Monaco
B.P. 239-MC
98007 Monaco
Cedex
Monaco
Lloyds TSB Bank
plc
Staten Bolwerk 1, 2011 MK Haarlem,
Netherlands
PO Box 2092,
2002 CB,
Haarlem,
Netherlands
Netherlands
Autorite de
Controle
Prudentiel
(Banque de
France),
Commission de
Controle des
Informations
Nominatives
(CCIN),
Commission de
Controle des
Activites
Financiers
(CCAF), Service
d’Information et
de Contrôle des
Circuits Financiers
(SICCFIN)
De Nederlandsche
Bank
Autoriteit
Financiele
Markten (AFM Financial Markets
Authority)
Monetary
Authority of
Singapore
Bank of Spain
Comisión
Nacional del
Mercado de
Valores (CNMV),
Ministerio de
Trabajo y
Seguridad Social,
Lloyds TSB Bank
plc
Lloyds TSB Bank
plc
1 Temasek Avenue, #18-01 Millania Tower, Singapore
039192
Calle Serrano 90, 28006 Madrid, Spain
Apartado Postal
64, 28080
Madrid, Spain
Singapore
Spain
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Financial Services
Agency, Bank of
Japan, Japanese
Ministry of
Finance (MoF)
Jersey Financial
Services
Commission
Lloyds TSB Bank
plc
1 place Bel-Air, 1204 Geneva,
Switzerland
Lloyds TSB Bank
plc
Al Wasl Road, Opp Safa Park, Jumeira,
Dubai, UAE
Lloyds TSB Bank
plc
Level 27, 45 Clarence Street
Lloyds TSB Bank
plc
Calle Zabala 1500, Montevideo,
Uruguay
Lloyds TSB Bank
plc
Lloyds TSB Bank
plc
Ministerio de
Economia y
Hacienda
FINMA Swiss
Financial Market
Supervisory
Authority
Central Bank of
the United Arab
Emirates
Case postale
5145, CH-1211
Geneva 11,
Switzerland
PO Box 3766,
Dubai, UAE
Switzerland
Sydney, NSW,
2000, Australia
Australia
Cassilla de
Correo 204,
Montevideo,
Uruguay
One Biscayne Tower, Suite 3200, Miami, Florida, 33131
Uruguay
USA
Federal Reserve
Bank of Atlanta,
Florida State
Banking
Department
1095 Avenue of the Americas, 34th Floor, New York, NY
10036
USA
New York State
Banking
Dept/Federal
Reserve Bank of
New York
UAE
Australian
Prudential
Regulatory
Authority (APRA)
Bank of Uruguay
Certification Re: Subsidiary/Affiliate Correspondent Accounts for Lloyds
TSB Bank plc
Name of Foreign
Bank
LTSB Commercial
Finance Ltd
LTSB
Representaciones
(Uruguay) SA
Create Services
Limited
Foreign Bank has a place of business
at the following:
Street Address
Postal Address
Boston House, The Little Green, Richmond Surrey, TW9
1QE
World Trade Center, Torre 2, Piso 22, Luis A de Herrera
1248, 11300 Montevideo, Uruguay
PO Box 3000, 25 Gresham Street, London,
EC2V 7HN
The Fore
Mentioned
Address is in:
The Foreign
Bank is Subject
to Inspection by:
England
Financial Services
Authority
Central Bank of
Uruguay
Uruguay
England
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Financial Services
Authority
Lloyds TSB
Offshore Limited
Lloyds TSB Bank
(Gibraltar) Limited
Lloyds TSB Bank
Trust Corporation
(Gibraltar) Ltd
Lloyds TSB
Offshore Trust
Company Limited -
Al Wasi Road
Jumeirah
Dubai
United Arab Emirates
323 Main Street
PO Box 3766
Dubai - DIFC
Dubai
International
Financial Centre
PO Box 1252
Gibraltar
Gibraltar Financial
Services
Commission
Gibraltar
Gibraltar Financial
Services
Commission
Guernsey
Financial Services
Commission
First Floor, Royal Ocean Plaza, Ocean Village
PO Box 136
St Peter Port
Guernsey GY1
4EN
New Street, St Helier, Jersey
Guernsey
LBI Finanz Anstalt
Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1
4EN
Guernsey
Lloyds TSB
(Guernsey)
Management
Limited
Lloyds TSB
(Jersey)
Management
Limited
Cheltenham &
Gloucester plc
Lloyds TSB
(Guernsey)
Services Limited
Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1
4EN
Guernsey
Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1
4EN
Guernsey
Guernsey
Financial Services
Commission
Chief Office, C&G Barnwood, 1 Barnet Way, Gloucester.
GL4 3RL
Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1
4EN
England
Financial Services
Authority
Guernsey
Financial Services
Commission
Lloyds TSB
Offshore Trust
Company (BVI)
Limited
Lloyds TSB
Offshore
Limited
Lloyds TSB
Offshore
Limited
Lloyds TSB Pacific
Limited
Sarnia House, Le Truchot, St Peter
Port, Guernsey, GY1 4EN
Sarnia House, Le Truchot, St Peter
Port, Guernsey, GY1 4EN
PO Box 136, St
Peter Port,
Guernsey, GY1
4EN
Suites 3901-3904, Two Exchange Square, Central, Hong
Kong
Suites 3901-3904,
Two Exchange Square
Central,
Hong Kong
Guernsey
Guernsey
Guernsey
Financial Services
Commission
Jersey Financial
Services
Commission
BVI Financial
Services
Commission
Guernsey
Financial Services
Commission
Guernsey
Financial Services
Commission
Guernsey
Guernsey
Financial Services
Commission
Hong Kong
Hong Kong
Monetary
Authority
Hong Kong
Securities and
Futures
Commission
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Lloyds TSB
Offshore Limited
Suites 805-806, 8th Floor
Man Yee Building
68 Des Voeux Road Central
Hong Kong
Lloyds TSB
Offshore
Limited
Peveril Buildings, Peveril Square,
Douglas, Isle of Man. IM99 1JJ
Lloyds TSB
Offshore
Limited
25 New Street, St Helier, Jersey, JE4
8RG
Lloyds TSB
Offshore Trust
Company Ltd
11-12 Esplanade, St Helier
Jersey, JE4 8RG
Lloyds TSB
Offshore Fund
Managers Limited
11-12 Esplanade, St Helier
Jersey, JE4 8ZU
Lloyds TSB
Offshore Private
Clients Limited
11-12 Esplanade, St Helier
Jersey JE4 8RS
Lloyds TSB
(Jersey)
Management
Limited
Lloyds TSB
Offshore Trust
Company Limited
Lloyds TSB
Offshore Trust
Company (BVI)
Limited
P O Box 111,
Peveril
Buildings,
Peveril Square,
Douglas, Isle of
Man IM99 1JJ
Hong Kong
Hong Kong
Monetary
Authority
Isle of Man
Isle of Man
Financial
Supervision
Commission
Isle of Man
Insurance and
Pensions
Authority
PO Box 160, St Helier, Jersey
PO Box 63, 1112 Esplanade
St Helier, Jersey
JE4 8RG
PO Box 311,
11-12
Esplanade, St
Helier, Jersey
JE4 8ZU
PO Box 195,
11-12
Esplanade
St Helier, Jersey
JE4 8RS
Jersey Financial
Services
Commission
Jersey
Jersey Financial
Services
Commission
Jersey
Jersey Financial
Services
Commission
Jersey
Jersey Financial
Services
Commission and
Securities
Exchange
Commission
(USA)
Sarnia House, Le Truchot, St Peter
Port, Guernsey, GY1 4EN
Guernsey
Guernsey
Financial Services
Commission
Sarnia House, Le Truchot, St Peter
Port, Guernsey, GY1 4EN
Guernsey
Guernsey
Financial Services
Commission
New Street, St Helier, Jersey
Jersey
Jersey / Guernsey
and BVI Financial
Services
Commission
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Quion 6BV
Postbus 2936, 3000CX, Rotterdam, The
Netherlands
Netherlands
De Nederlandsche
Bank NV (DNB Dutch Central
Bank), Autoriteit
Financiele
Markten (AFM Financial Markets
Authority)
Lloyds TSB
Merchant Bank
Limited
Lloydesa, Operador
de Banca Seguros
Vinculado (Grupo
Lloyds TSB)
S.A.U.
Lloyds Investment
Espana, SGIIC,
S.A.U.
1 Temasek Avenue, #18-01 Millania
Tower, Singapore 039192
Singapore
Calle Serrano 90, 28006 Madrid, Spain
Spain
Monetary
Authority of
Singapore
Direccion General
de Seguros y
Fondos de
Pensiones
Calle Serrano 90, 28006 Madrid, Spain
Spain
Lloyds Bank
International
S.A.U.
Serrano, 90, 5a Planta, 28006 Madrid, Spain.
Spain
Lloyds Banking Group plc is registered in Scotland no. 95000. Registered office: The Mound, Edinburgh, Scotland. EH1 1YZ
Comision
Nacional del
Mercado de
Valores
Bank of Spain
(Banco de
Espana),
Dirección General
de Seguros y
Fondos de
Pensiones
(DGSFP),
Comision
Nacional del
Mercado de
Valores (CNMV)