# FalconX

**The list below contains the specific requirements for the lenders in a credit vault being developed with FalconX.** These documents align with industry-standard KYC requirements and are necessary to ensure compliance and risk management:

### **Company Information**

* **Legal Entity Name**: The full, registered name of the business (required).
* **Trade Names or Previous Names**: Any trade names or former names used by the company, if applicable (optional).
* **Company Registration Code**: A Tax Identification Number (TIN) or equivalent registration code, depending on the jurisdiction (required).
* **Incorporation Date**: The date the company was legally established (required).
* **Country of Registration**: The country where the company is registered (required; selected from a predefined list).
* **Registered Business Address**: The official address of the company (required).
* **Principal Place of Business**:
  * Indicate if the principal place of business differs from the registered address (Yes/No, required).
  * If "Yes":
    * **Country of Principal Place of Business**: The country where the primary business activities occur (required; selected from a predefined list).
    * **Principal Place of Business Address**: The specific address of the principal location (required).
* **Corporate Governing Document**: A recent copy of the Memorandum & Articles of Association, Corporate Bylaws, or equivalent, depending on jurisdiction and entity type (required; file upload).
* **Proof of Address**: Documentation verifying the principal place of business address (required; file upload).
* **Certificate of Incumbency**: A Certificate of Good Standing, dated within the last 6 months, for companies registered over one year ago (optional; file upload).

### Authorized Signitories

* **Signatory Information**: Details of individuals authorized to act on behalf of the business.
* **Supporting Document**: A document confirming the authorized signatories, such as a Board Resolution, Power of Attorney, or other legal documentation specifying who can act on behalf of the business (required; file upload).

### Activity

* **Description of Business Activities**: A detailed explanation of the company’s operations (required; text input).
* **Source of Wealth**: The origin of the company’s overall wealth or asset base (e.g., revenue, investments) (required; text input).
* **Source of Funds**: How and where the business obtained the funds to be used in its engagement with FalconX (required; text input).
* **Compliance Policy**: If available, a copy of the company’s own Compliance Policy (optional; file upload).
* **DDQ or Wolfsberg Questionnaire**: If available, a template Due Diligence Questionnaire (DDQ) or Wolfsberg Questionnaire (optional; file upload).

### Financial Information

* **Bank Account Information**
* **Financial Statements**:
  * **Last Balance Sheet**: The most recent balance sheet (optional; file upload).
  * **Last Income Statement**: The most recent income statement (optional; file upload).

### Stakeholder Information

* **Ultimate Beneficial Owners (UBOs) with 20% or More Ownership**:
  * Provide details for each UBO with 20% or more equity exposure (required; up to 10 entries):
    * First Name.
    * Last Name.
    * Ownership Percentage.
* **Individuals with Significant Managerial Control**:
  * Provide details for each individual with significant managerial roles (e.g., CEO, CFO) (required; minimum 1, up to 10 entries):
    * First Name.
    * Last Name.
    * Job Title.
* **AML-Relevant Information**: Any additional details relevant for Anti-Money Laundering (AML) purposes, such as Politically Exposed Person (PEP) affiliations for directors, UBOs, shareholders, etc. (optional; text input).
* **Ownership Structure**: A signed and dated chart listing all legal entities owning the company, including ownership percentages and all natural persons with 20% or more direct/indirect ownership (required; file upload).
* **Supporting Document for Ownership Structure**: Documents such as a Share Registry, Minute Book, Current Securities Register, Articles of Incorporation (AOI), Shareholders Agreement, or Partnership Agreement (required; file upload).
* **Register of Shareholders**: A current register of shareholders or partners, dated within the last 12 months (required; file upload).
* **Register of Directors**: A current register of directors or administrators, dated within the last 12 months (required; file upload).


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