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).