Annex 4

to the Client Agreement

KYC Client Questionnaire form

(Legal entities)

General information about the legal entity	Full name
Trading or short name (if any)
Organisational legal form
Business identification number (for residents of Kazakhstan)
Legal address (country, postal code, town, street /district, building number)
Address of the actual location (country, postal code, town, street / district, building number)
Country of incorporation/registration
Type of document confirming registration, date of issue, registration number
Name of registering authority
Contact phone number
Email address (if any)
Website (if any)
Number, date of issue, license validity period (if the type of activity being carried out is licensed)
The name of the authority that issued the license
LEI (if any)
Type (s) of activities carried out and the code of the general classifier of types of economic activities (OKED) (if any)
Information about tax payer	Country of tax residence
Taxpayer registration number
Global Intermediary Identification Number (GIIN)
Are you the U.S. tax resident?	☐Yes ☐ No
The structure and name of bodies (supreme body, executive body, other bodies) in accordance with the constituent documents	The name of the supreme governing body
Name of the management body (Board of Directors, etc.)
Name of the executive body
Name of other bodies (if any)
Information about the personal composition of the supreme governing body
Individuals	№	Full Name	Position	Taxpayer registration number (INN/TIN)	Identity document (name, number, series, date, validity period, issuing authority)	Date and place of birth	Citizenship	Address of the place of residence (registration) and (or) place of stay	Contact phone number	Number and date of the document on the basis of which the person performs the functions
1
2
3
4
5
Legal entities	№	Full name	Organizational legal form	Taxpayer registration number (BIN/TIN)	Registration number in the country of registration	Date of registration	Country of registration	Registration address/Actual Address	Authorisation document	Country of tax residence
1
2
3
4
5
Information about the personal composition of the management body	№	Full Name	Position	Taxpayer registration number (INN/TIN)	Identity document (name, number, series, date, validity period, issuing authority)	Date and place of birth	Citizenship	Address of the place of residence (registration) and (or) place of stay	Contact phone number	Number and date of the document on the basis of which the person performs the functions
1
2
3
4
5
Information about the composition of the executive body	1
2
3
4
5
Information about the composition of other management bodies (if any)	1
2
3
4
5
Information about the beneficial owner	№	Full Name	Citizenship	Taxpayer registration number (INN/TIN)	Identity document (name, number, series, date, validity period, issuing authority)	Date and place of birth	Tax residency country	Contact phone number	Address of the place of residence (registration) and (or) place of stay	Share of participation %	Affiliation of the beneficial owner to politically exposed persons or relate persons (family members)
1	☐ Yes ☐ No
2	☐ Yes ☐ No
3	☐ Yes ☐ No
4	☐ Yes ☐ No
5	☐ Yes ☐ No
Information about the representative of the legal entity	Surname, name, patronymic (if any)
Date and place of birth
Citizenship
Taxpayer registration number
Type of identity document, number, series
The name of the authority that issued the identity document, the date of its issue and the validity period
Address of the place of residence
Contact phone number
Email address
Number, date of issue, validity of the visa (if a foreign passport is presented as an identity document) (except for citizens of states entering the Republic of Kazakhstan without a visa)
Number, date of issue, validity period of the migration card (in case of presentation of a foreign passport as an identity document)
Activity	☐ a national or regional government ☐ a public body that manages public debt ☐ an international or supranational institution (such as the World Bank, the International Monetary Fund, or the European Investment Bank) or other similar international organisation ☐ an Authorised Firm (in the AIFC), or any other authorised or regulated financial institution, including a bank, securities firm or insurance company ☐ an Authorised Market Institution (in AIFC), or any other authorised or regulated exchange, trading facility, central securities depository, or clearing house ☐ a Collective Investment Scheme or its management company, or any other authorised or regulated collective investment undertaking or the management company of such an undertaking ☐ a pension fund or the management company of a pension fund ☐ a commodity dealer or a commodity derivatives dealer ☐ a Body Corporate whose shares are listed or admitted to trading on any exchange of an IOSCO member country ☐ a trustee of a trust which has, or had during the previous 12 months, assets of at least USD 10 million ☐ any other institutional investor whose main activity is to invest in financial instruments, including an entity dedicated to the securitisation of assets or other financial transactions ☐ other, please specify_____________________________________________________________________________________
Is the Client a Large Undertaking as specified in COB 2.4.2*? ☐ Yes ☐ No In accordance with COB 2.4.2: * A Person is a Large Undertaking for the purposes of COB 2.4.1(j) if it met, as at the date of its most recent financial statements, at least two of the following requirements: (a) it has total assets of at least USD 20 million on its balance sheet; (b) it has a net annual turnover of at least USD 40 million; or (c) it has own funds of at least USD 2 million.
Knowledge and experience with investments	Legal entity’s experience with financial instrument	Length ☐ more than 5 years ☐ from 2 to 5 years ☐ less than 2 years ☐ No experience
Type of investment	Investment amount (for the last 3 years) in USD	Number of transactions (over the last 3 years)	Date of first transaction
1)
2)
3)
4)
5)
Does the client have officers authorised to make investment decisions on behalf of the client who have experience with investments?	☐ Yes ☐ No If “Yes”, please, specify: Full name of the person _____________________________________________ Position of the person_______________________________________________ Type of investment Investment amount (for the last 3 years) in USD Number of transactions (over the last 3 years) Date of first transaction ☐ Security ☐ Unit ☐ Derivative ☐ Structured products ☐ Digital Asset Did the client rely on professional advisor in investments? ☐ Yes ☐ No Please provide information about your experience in working with investments______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Please provide some information on his educational level and professional experience: ☐ University education (Master’s degree or PhD) – Economics or Finance field ☐ University education (Bachelor’s degree) – Economics or Finance field ☐ University education – Other than Economics or Finance field ☐ Secondary education – Economics or Finance field ☐ Primary education ☐ Professional certificate in Finance field Have this person held any position related to financial instruments or requiring financial expertise over the past 5 years? ☐ Yes ☐ No
The purpose and nature of the business relationship	Target financial instruments	please specify ______________________________________________
Services	☐ Services in the securities market ☐ Other: please specify_______________________________________________
Target investment duration	☐ more than 3 years ☐ from 1 to 3 years ☐ less than 1 year ☐ Daily trading
Investment goals/	☐ Capital protection ☐ Capital growth ☐ Speculation ☐ Income generation ☐ Income generation + Capital growth ☐ Other (please specify)_______________________________________________________________________
Financial performance according to the latest financial statements	Total assets, in USD
Net annual turnover in USD
Equity capital in USD
Reporting date
Source of funds	☐ own funds ☐ borrowed funds ☐ other (please specify)________________________________________________________
Source of income	☐ From core business activity ☐ Dividends ☐ Other (please specify)_______________________________________________________
Personal declaration	Have any of the directors / shareholders / beneficial owners / authorized signatories / representatives held any significant public function in the past 3 years that falls under the definition of politically exposed persons (PEP)? ☐ Yes ☐ No	If “Yes”, please specify that person
Is any of family members or close associates of the above persons such a person? ☐ Yes ☐ No	If “Yes”, please specify that person
Information for Financial monitoring (for financial organisations)	Does the country of registration of your financial institution have binding regulatory legal acts on countering the legalization (laundering) of proceeds from crime and the financing of terrorism (AML / CFT)? ☐ Yes ☐ No	If “Yes”, please, indicate the name, date, number of the relevant regulatory legal acts, as well as the name of the authorized state body in the field of AML / CFT (if any)
Please indicate the name and location of the supervisory authority of the state of registration of your financial institution
Please indicate the date and results of the most recent AML / CFT audit (if any)
Were there any facts of investigations in relation to your financial institution, as well as penalties (sanctions, measures of influence) of a criminal or administrative nature, applied to your foreign financial institution and (or) its executives over the past five years, for violation of AML / CFT legislation? / ☐ Yes ☐ No	If “Yes”, please, indicate the date of the decision and the name of the authority that made the decision (if any)
Does your financial institution have internal AML/CFT documents?	If “Yes”, please indicate the date of their adoption and the date of the last changes
Do internal AML / CFT documents apply to foreign subsidiaries and affiliates, branches (representative offices) of a foreign financial institution (if any)? ☐ Yes ☐ No
Does your financial institution have procedures for assessing the effectiveness of internal AML/CFT documents by the internal audit unit and external audit organization? ☐ Yes ☐ No	If “Yes” please, indicate the date and results of the last audit
Does your financial institution have subdivisions that perform AML/CFT functions? ☐ Yes ☐ No	If “Yes”, please, indicate the name of such subdivision (if any)
Does your financial institution have an AML/CFT officer at the level of an executive officer or member of a governing body? ☐ Yes ☐ No	If “Yes”, please, then indicate his last name, first name, patronymic (if any), position, contact phone number and email address
Does your financial institution have procedures for managing the risks of money laundering and terrorist financing, taking into account risk factors (risk by customer type, country (geographic) risk, service (product) risk)? ☐ Yes ☐ No
Does your financial institution have procedures for identifying, assessing risks and determining the source of origin of clients' funds? ☐ Yes ☐ No
Does your financial institution have procedures for establishing business relationships with politically exposed persons? ☐ Yes ☐ No
Does your financial institution have anonymous accounts? ☐ Yes ☐ No
Does your financial institution have procedures to prevent the opening of anonymous accounts? ☐ Yes ☐ No
Does your financial institution have procedures for monitoring transactions and detecting suspicious activity (transactions) of clients, including special software (automated information systems)? ☐ Yes ☐ No
Does your financial institution have procedures aimed at preventing terrorists and persons involved with terrorist financing from accessing financial and other resources (freezing transactions with money and (or) other property)? ☐ Yes ☐ No
Does your financial institution have procedures for training and educating employees on AML / CFT issues? ☐ Yes ☐ No	If “Yes”, please, indicate the frequency of the training and the date of the last training
Does your financial institution have branches (representative offices) located in states (territories) that do not comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF)? ☐ Yes ☐ No	If “Yes”, please, indicate the names of such branches(representative offices) and their locations
Does your financial institution have existing correspondent relations (provision of services) with banks or other financial institutions registered in states(territories) that do not comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF)? ☐ Yes ☐ No	If “Yes”, please provide the names of such banks and financial institutions (if any)
Does your financial institution have existing correspondent relations (provision of services) with banks or other financial institutions registered in countries with preferential taxation and (or) that do not provide for disclosure and provision of information when conducting financial transactions? ☐ Yes ☐ No	If “Yes”, please, provide the names ofsuch banks and financial institutions (if any)
Does your financial institution have active correspondent relations (provision of services) with shell banks or other financial institutions that do not have a physical presence in the state of their registration? ☐ Yes ☐ No	If “Yes”, please, indicate the names of such shell banks, financial institutions(if any)
Does your financial institution have procedures that prevent the establishment of correspondent relations with shell banks and other financial institutions that do not have a physical presence in the state of their registration? ☐ Yes ☐ No
Does your financial institution have the relevant requirements of the legislation of the state of registration of procedures, allowing you to provide, at the request of a professional participant, information on due diligence of clients of a foreign financial institution? ☐ Yes ☐ No
Specify the name of the external audit organization that audits the reliability of the financial statements, indicating the date of the last audit
Indicate the rating assigned by the international rating agency (Moody’s Investors Service, Standard & Poor’s or Fitch Ratings) (if any)
Indicate the names and locations of subsidiaries and affiliates
Indicate the names of the main partners
Indicate the names and locations of branches (representative offices) in other states (if any)
Indicate the name and location of the financial group / holding to which the foreign financial institution belongs (if any)
Bank account details	Beneficiary
IBAN of Beneficiary
Beneficiary’s bank
BIC
Beneficiary code
Accounts in other banks/financial institutions (indicate banks, if any)
Client classification	In accordance with chapter 2 of AIFC Conduct of Business Rules, I hereby consent to being treated as: ☐ a Retail Client; ☐ a Professional Client; ☐ Market Counterparty.
Declaration	I, _________________________________________________________________________________________________, Full name being duly authorised by and acting on behalf of _____________________________________________________________________________________________________, Client’s name hereby certify that the above information is complete, true and accurate, and give consent to the processing and storage of this information and on disclosure of this information to the authorised state bodies, affiliates, organizer of the trades, depositories, custodians in compliance with the laws of the Republic of Kazakhstan and Act of the AIFC. ___________________ Signature day month year

Note 1

a) Capital Protection: Preserve capital while seeking growth at rate linked to a stockmarket Index. Recommended investment period is 3-5 years.

b) Capital Growth: Maximize capital appreciation or the increase in value of a portfolio over the long term. Investments targeted for capital growth tend to have more risk than assets chosen for capital protection and income generation. Recommended investment period is over 5 years.

c) Income Generation: Investment income earned from interest, dividends etc as opposed to that derived from increases in asset value. Risk is usually less than investments targeted for capital growth.

d) Income Generation + Capital Growth: Combination of (b) and (c).

e) Speculation: This type of investments does not promise safety of the initial investment along with the return on the principal amount. Speculators usually select investments with higher risk in order to profit from an anticipated price movement. Speculation involves a significant risk of the loss of the principal investment.

List of supporting documents:

#	Type of documents	Provided
1	Incorporation set for the company: Certificate of incorporation Registers of directors/shareholders Memorandum and/or Articles of association Documents disclosing the beneficial owners, an ownership structure (chart) Public register of the Company	☐ Yes ☐ No
2	Proof of address of the Company (Lease/Rent agreement or electric/gas bill, etc.)	☐ Yes ☐ No
3	Identification (foreign passport, national ID) of UBO, shareholders and directors	☐ Yes ☐ No
4	Confirmation of the address (not older than 6 months) UBO, shareholders and directors	☐ Yes ☐ No
5	Audited financial statements for the last 2 years (if any) or documents confirming the source of funds and source of income of the Company	☐ Yes ☐ No
6	License (if the type of activity being carried out is licensed)	☐ Yes ☐ No
7	Identification (passport, ID) for the representative of the Company, proof of authorisation for Authorised Person (Power of Attorney or other evidencing document)	☐ Yes ☐ No
8	A document confirming Knowledge and experience with investments	☐ Yes ☐ No
9	Documents confirming the source of funds and source of income of UBO, shareholders and directors	☐ Yes ☐ No
10	SumSub identification and verification report	☐ Yes ☐ No

Please, read Note 1 at the end of this document / Пожалуйста, прочитайте Примечание 1 в конце настоящего Документа

Please, read Note 2 at the end of this document / Пожалуйста, прочитайте Примечание 2 в конце настоящего документа