Chaperoning Background Check

Thank you for your interest in partnering with Finalis for U.S. chaperoning under Rule 15a-6. We kindly request the following information for our compliance team to conduct their corporate level review.

Company Information:

Company Legal Name: *

Company Mailing Address: *

Company Phone Number: *

Country of Corporate Headquarters: *

Company Website:

Local Regulator ID Number (If Applicable):

Please Provide Detail on the Company’s Following Corporate Officers:

Chief Executive Officer:

First Name (Given Name): *

Last Name (Family Name): *

Officer’s Business Email Address: *

Business Address: *

Business Phone Number: *

Chief Compliance Officer:

First Name (Given Name): *

Last Name (Family Name): *

Officer’s Business Email Address: *

Business Address: *

Business Phone Number: *

Please Upload the Following Corporate Documentation Which is Required for Finalis’ Review:

Articles of Incorporation:

Current Corporate Organizational Chart:

Latest Financial Statements:

Current AML Policies:

Are there any outstanding liabilities, debts, pending litigation, or past or present regulatory complaints, proceedings, investigations, or notices that could affect the transfer of you/your RRs from your current BD to Finalis?

I accept the terms & conditions

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