Securities Account Opening Documents

Whenever Raiffeisen Capital&Investment SA enters a business relationship with a new customer, it is necessary for the customer to sign and to provide our company with the documents below. In order to obtain the forms (if necessary) as well as for any other information, please contact the Sales&Trading Department

A. Natural persons (resident or non-resident)

1. Documents to be signed by the customers:

i)  Brokerage agreement; ii)  Opening account form; iii)  Appendix 1 - regarding fees and commissions; iv)  Appendix 2 - regarding authorized representatives, if necessary.

2. Documents to be provided to Raiffeisen Capital&Investment:

i)  Copy of the identification document (passport/temporarily residency certificate/residency certificate, on a case by case basis); ii)  The mandate (power of attorney) and a copy of the identification document for the empowered, if necessary.

B. Legal persons (resident or non resident):

1. Documents to be signed by the customers:

i)  Brokerage agreement; ii)  Opening account form; iii)  Appendix 1 - regarding fees and commissions; iv)  Appendix 2 - regarding authorized representatives.

2. Documents to be provided to Raiffeisen Capital&Investment:

i)  Copy of the registration code/number of the company or another similar registration document, for other legal persons; ii)  The Constitutive Act and/or the Statute (bylaws), the corresponding Additional Acts, as well as an excerpt from the Trade Registry regarding the company, excerpt issued at most 15 (fifteen) days in advance. For other categories of legal persons, similar specific documents shall be asked for; iii)  Mandate (power of attorney) for the natural persons that sign the Agreement and that have the right to modify the Appendix 2 to the present Agreement in case that this/these are not the legal representatives of the entity; iv)  Copy of the identification document of the representative(s) of the Client - legal person (legal representative or empowered).

Necessary documents to apply the more favorable provisions of the Double Taxation Treaties:

i)  Fiscal residency certificates issued by the competent authorities of the origin country of the Client valid for the current year, submitted no later than 15 (fifteen) days from the execution of the first transferable securities or other financial instruments sale transaction in the respective year, certificate which has to refer to the income category for which the invocation of the Treaty is being solicited. (i.e. investment capital gain). In case the Client shall not submit in time the fiscal residency certificate, Raiffeisen Capital&Investment shall retain and shall pay to the state budget the tax for the capital gain applicable at the date of the execution of the sale.