KYC HomeKYC BECOME A PARTNER WITH VIGOUR PART 1 – GENERAL INFORMATION Is your company publicly traded? Yes No Is your company regulated? Yes No If you will be trading with Vigour Commodities Pty Ltd , are you intending to conduct proprietary activity or to facilitate transactions conducted on an Agency basis on behalf of your company’s underlying customers? Proprietary/principal activity Agency basis activity Relevant products to be traded Precious metals Thermal Coal Met Coal Iron Ore Base and specialty metal Other Financial information – please confirm the following details and attach a copy of your latest audited accounts, if available. Upload Latest Audited Accounts Audited accounts provided: Yes No PART 2 – OWNERSHIP AND CONTROL Is your company wholly or partly state-owned? If yes, please confirm: • The % of ownership; • the entity/agency/ministry that owns the company and its country; and • What role (if any) the entity/agency/ministry has in the management of the counterparty. Yes No PART 3 – QUESTIONNAIRE Is your company required by law to have an anti-money laundering/counter-terrorist financing (AML/CTF) compliance program? Yes No Does your company have an AML/CTF compliance program? Yes No Does your company have an anti-corruption compliance program? Yes No Does your company have policies regarding relationships with Politically Exposed Persons? Yes No Does your company have policies and procedures which seek to ensure compliance with laws prohibiting market abuse? Yes No Does your company have in place policy and procedures to prevent the use of funds and/or material originating from illegal activities? Yes No Does your company have in place policy and procedures to comply with applicable laws and regulations regarding environmental protection and sustainable development? Yes No Does your company have in place policy and procedures to comply with applicable safety and health laws and regulations? Yes No Does your company comply with the Modern Slavery Act, Human Rights Act or equivalent laws which involve: the prohibition of child labour; forced, bonded or involuntary prison labour; inhumane treatment of the workforce (including physical, sexual, or verbal abuse, bullying or any other forms of intimidation); human trafficking? Yes No Does your company provide compliance training to relevant employees, covering AML/CTF, anti-corruption, sanctions, ESG and market abuse? Yes No Does your company have a Compliance Officer responsible for coordinating and overseeing its compliance programmes? Yes No In the last 5 years, has your company concluded any transactions with any counterparty which was on the Designated Parties List 2, or with any Governmental Agency, authority, or body or state-owned enterprise (or owned or controlled by any of the foregoing) of any country which was the subject of sanctions by any Sanction Authority ; or has your company conducted any business in a country or region which was the subject of sanctions by any Sanction Authority; or has your company conducted any transactions of which the underlying goods were originated from or destinated to any country or region which was the subject of sanctions by any Sanction Authority ， at the time of transaction? Yes No In the last 5 years, has your company been, or have any directors, senior managers, affiliates, subsidiaries or shareholders of your company been, under investigation by any regulator or law enforcement agency, or charged or convicted, in connection with allegations of money laundering, terrorist financing, bribery, corruption, fraud, theft, tax evasion, market abuse, or similar conduct ("Misconduct")? Yes No Has your company, or its affiliates or shareholders been suspended / debarred from doing business in any country for Misconduct? Yes No Are you aware of any conflict of interest to which a relationship with Vigour Commodities would give rise? Yes No Has your company or any affiliates, shareholders, directors or employees paid or received any incentive, finder’s fee, commission or gratuity in connection with your proposed relationship with Vigour Commodities, or will it do so? Yes No PART 4 - DOCUMENTATION LIST Please select one (out of options A to C) that best describes your Company type, and provide all KYC documentation and information. A document in a language other than English or Chinese must be translated into English and all copies need to be certified with the name and position of the person certifying the documents. Declaration I/We confirm that the information provided in this Form is true and accurate, and all the documents provided are upto-date. Send
