Form for Opening Accounts/Custody Accounts

Account/custody account holder

(for minors)
Account/custody account no.
Further information pursuant to the
GwG1, KWG2 and AO3
The Bank is obligated by law to collect and record in writing the following information.
Nature and purpose of business relationship
Payments (e.g. current account) Other:
Investment
Lending

Clarification of the beneficial owner4

I am acting in my own economic interest and not at the behest of any third party (particularly not as a trustee)
I am acting at the behest of the following natural person. (If the contracting party is acting at the behest of a company, its name/registered
seat should be entered here and attention paid to footnote 4.)

Name (where applicable, name of company) First name(s) (if necessary, further identifying features (e.g. address/registered seat)

Duty of the account/custody account holder to cooperate under the GwG5

The account/custody account holder is obligated to immediately report to the Bank any changes in the mandatory information provided to it that
may arise in the course of the business relationship.

_________________________________________________________________________________________________________________________________
Ausfertigung für die Bank (Copy for the Bank)

Place, date, signature of account/custody account holder

Other processing information

Form of account/custody account holder identification

of account-holding minor of father/guardian of mother

Identity
document
(Type of document,
number, issued
by, on)
see copy of identity documents see copy of identity documents see copy of identity documents

Proof of right of
custody6
Identification Identification by eligible third parties Identification by eligible third parties Identification by eligible third parties
by other (e.g. PostIdent procedure) (e.g. PostIdent procedure) (e.g. PostIdent procedure)
means
Remote identification pursuant to Section Remote identification pursuant to Section Remote identification pursuant to Section
6 (2) No. 2 GwG (electronic signature) 6 (2) No. 2 GwG (electronic signature) 6 (2) No. 2 GwG (electronic signature)

As the contracting party had already
been identified on a previous occasion
and the information collected at the time
was recorded, reidentification could be
waived.
Account no.:
As the contracting party had already
been identified on a previous occasion
and the information collected at the time
was recorded, reidentification could be
waived.
Account no.:
As the contracting party had already
been identified on a previous occasion
and the information collected at the time
was recorded, reidentification could be
waived.
Account no.:

________________________________________ ________________________________________ ________________________________________

TIN7 Tax Identification Number of account/custody Tax Identification Number of account/custody Tax Identification Number of account/custody
account holder account holder account holder

PEP status8 has been does not need has been does not need has been does not need
determined to be determined determined to be determined determined to be determined

Newly opened Withdrawal notice for savings deposits:

Alteration
© 2009 Bank-Verlag Medien GmbH 41.525 (04/09)

Additional
processing Place, date,
information signature of bank employee

Space for remarks where the information collected is updated

1
Geldwäschegesetz (GwG) = German Anti-Money Laundering Act 2Kreditwesengesetz (KWG) = German Banking Act 3Abgabenordnung (AO) = German Tax Code 4The beneficial owner(s) is
(are) always the natural person(s) at whose behest the account/custody account is ultimately opened. If such beneficial ownership status arises indirectly – via a company, for example – the
information should be recorded on one of the forms provided for this purpose, i.e. Form 41.521 (corporations/companies), Form 41.522 (partnerships), Form 41.523 (foundations or comparable
legal entities), or separately. 5Sections 4 (6) and 6 (2) No. 1 GwG. 6For example, family register, custody declaration pursuant to Section 1626 BGB (German Civil Code), confirmation pursuant
to Section 58a SGB (German Social Code) VIII. 7The Tax Identification Number (TIN) only needs to be entered if the account/custody account holder/beneficial owner is a natural person resident
in another EU member state or in an associated or dependent territory of an EU member state to which Germany reports interest payments under the Interest Information Regulation (Zinsinfor-
mationsverordnung – ZIV). 8PEP = Politically Exposed Person – Determination of PEP status is only necessary for natural persons resident abroad. 
 Form for Opening Accounts/Custody Accounts
Account/custody account holder
(for minors)
Account/custody account no.
Further information pursuant to the
GwG1, KWG2 and AO3
The Bank is obligated by law to collect and record in writing the following information.
Nature and purpose of business relationship
Payments (e.g. current account) Other:
Investment
Lending

Clarification of the beneficial owner4

I am acting in my own economic interest and not at the behest of any third party (particularly not as a trustee)
I am acting at the behest of the following natural person. (If the contracting party is acting at the behest of a company, its name/registered
seat should be entered here and attention paid to footnote 4.)

Name (where applicable, name of company) First name(s) (if necessary, further identifying features (e.g. address/registered seat)

Duty of the account/custody account holder to cooperate under the GwG5

The account/custody account holder is obligated to immediately report to the Bank any changes in the mandatory information provided to it that
may arise in the course of the business relationship.

_________________________________________________________________________________________________________________________________
Kopie für den Kunden (Copy for account holder)

Place, date, signature of account/custody account holder

Sonstige Bearbeitungshinweise zum Konto/Depot

Form der Legitimation des/der Konto-/Depotinhaber(s)
des minderj. Konto-/Depotinhabers des Vaters/Vormunds der Mutter
Ausweis
(Art des Dokuments,
Nr., ausgestellt von,
am, Geburtsurkunde,
Familienstammbuch)
siehe Kopie der Legitimationspapiere siehe Kopie der Legitimationspapiere siehe Kopie der Legitimationspapiere

Nachweis Sorge-
berechtigung6
Anderweitig Ausführung durch geeignete Dritte Ausführung durch geeignete Dritte Ausführung durch geeignete Dritte
(z.B. PostIdent-Verfahren) (z.B. PostIdent-Verfahren) (z.B. PostIdent-Verfahren)
Fernidentifizierung nach § 6 Abs. 2 Fernidentifizierung nach § 6 Abs. 2 Fernidentifizierung nach § 6 Abs. 2
Nr. 2 GwG (elektronische Signatur) Nr. 2 GwG (elektronische Signatur) Nr. 2 GwG (elektronische Signatur)

Von einer erneuten Identifizierung
konnte abgesehen werden, da der
Vertragspartner bereits bei früherer
Gelegenheit identifiziert und die dabei
erhobenen Daten aufgezeichnet wurden.
Konto-Nr.:
Von einer erneuten Identifizierung
konnte abgesehen werden, da der
Vertragspartner bereits bei früherer
Gelegenheit identifiziert und die dabei
erhobenen Daten aufgezeichnet wurden.
Konto-Nr.:
Von einer erneuten Identifizierung
konnte abgesehen werden, da der
Vertragspartner bereits bei früherer
Gelegenheit identifiziert und die dabei
erhobenen Daten aufgezeichnet wurden.
Konto-Nr.:

________________________________________ ________________________________________ ________________________________________

TIN7 Steuer-Identifikationsnr. des Konto-/Depotinhabers
Steuer-Identifikationsnr. des Konto-/Depotinhabers Steuer-Identifikationsnr. des Konto-/Depotinhabers

Klärung des
PEP-Status8 ist erfolgt nicht erforderlich erfolgt nicht erforderlich erfolgt nicht erforderlich

Neueröffnung Kündigungsfrist bei Spareinlagen

Änderung

Zusätzliche Datum
Bearbeitungshinweise Unterschrift des Bankmitarbeiters

Raum für Vermerke bei etwaiger Aktualisierung der erhobenen Daten

41.525 (04/09)

1
Geldwäschegesetz (GwG) = German Anti-Money Laundering Act 2Kreditwesengesetz (KWG) = German Banking Act 3Abgabenordnung (AO) = German Tax Code 4The beneficial owner(s) is
(are) always the natural person(s) at whose behest the account/custody account is ultimately opened. If such beneficial ownership status arises indirectly – via a company, for example – the
information should be recorded on one of the forms provided for this purpose, i.e. Form 41.521 (corporations/companies), Form 41.522 (partnerships), Form 41.523 (foundations or comparable
legal entities), or separately. 5Sections 4 (6) and 6 (2) No. 1 GwG.