CMI Fund Managers (Isle of Man) Limited
Anti-money laundering requirements

Individual investors

We can accept original documents or certified copies of documents from any of the following:

• An authorised representative of an embassy or consulate of the country that issued the identification document.
• A notary public, lawyer or advocate.
• A Regulated Introducer (or authorised employee thereof).

Certified copies must include:

• The name, signature and occupation of the person providing the certification.
• A statement to the effect that it is a true copy of an original.
• The date on which the document was certified.

Any original documents will be returned.

Please note that CMIFM is unable to accept UK Regulated Introducers Certificates.

Proof of identity for individual investors

• Current valid full passport; or
• Armed forces id card; or
• Known employer ID card bearing the photograph and signature of the applicant; or
• Provisional or full driving licence bearing the photograph and signature of the applicant/s.

Proof of address for individual investors (one of the following)

• A recent utility, rates or council tax bill (please note we cannot accept a mobile phone bill).
• An entry in a local telephone directory.
• An extract from the official register of electors.
• A current driving licence.
• A state pension or benefit book.
• A tax assessment document.
• A recent bank or credit card account statement with the investors residential address.
• Proof of ownership or rental of the residential address.
• A recent mortgage statement.

Please note that confirmation of home visits by your financial adviser is not an acceptable proof of address.

and

• Completion of our financial questionnaire for investments exceeding £10,000.

Trustee investors

We can accept original documents or certified copies of documents from any of the following:

• An authorised representative of an embassy or consulate of the country that issued the identification document
• A notary public, lawyer or advocate
• A Regulated Introducer (or authorised employee thereof)

Certified copies must include:

• The name, signature and occupation of the person providing the certification.
• A statement to the effect that it is a true copy of an original.
• The date on which the document was certified.

Any original documents will be returned.

Proof of identity for Trustee investors

Identity verification in accordance with verification requirements for personal or corporate clients; plus:

• Satisfactory evidence of proper appointment of the Trustees; and
• The nature and purpose of the trust; an
• The source or origin of the assets under the trust; and
• Satisfactory evidence of identity of the settlor (and the person providing the funds where not the settlor), protector, and any controller or similar person who has power to appoint or remove the trustees; and
• Identity verification and specimen signatures of persons from whom CMI is to take instructions; and
• Identity verification of beneficiaries.

and

• Completion of our financial questionnaire for investments exceeding £10,000.

Corporate investors

We can accept original documents or certified copies of documents from any of the following:

• An authorised representative of an embassy or consulate of the country that issued the identification document.
• A notary public, lawyer or advocate.
• A Regulated Introducer (or authorised employee thereof).

Certified copies must include:

• The name, signature and occupation of the person providing the certification.
• A statement to the effect that it is a true copy of an original.
• The date on which the document was certified.

Any original documents will be returned.

Proof of identity for Private Limited Companies

• A certified copy of the Certificate of Incorporation or equivalent; and
• Details of the registered office and place of business; and
• Details of the nature of the applicant’s business; and
• The source of funds; and
• A copy of the last available accounts where appropriate; and
• Satisfactory evidence of the identity of each of the beneficial owners, and any person (or persons) on whose instructions the signatories on the account are to act or may act; and
• Where there is more than one, satisfactory evidence of the identity of at least two account signatories and, where different, two directors, one of whom must be an executive director; and
• A copy of the Board Resolution authorising the account signatories; and
• Copies of any Powers of Attorney, or any other authority, affecting the operation of the account given by the directors in relation to the company;

and

• Completion of our financial questionnaire for investments exceeding £10,000.