Company ownership information
If there has been any material changes to beneficial ownership information since your last certification please submit the below form and include any relevant changes:
We are requesting updated beneficial ownership information because this is a regulatory requirement in order to allow you to utilize the products and services we provide on Kraken. Any sensitive information you provide to Kraken will be kept securely.
Exemption criteria
You may be exempt from providing the information if your company meets any of the following criteria (however, you still need to fill out the first 5 sections of the form, through the section asking about the exemption criteria):
- •Sole proprietorship
- •Unincorporated association or non-profit (e.g. youth sports league, girl/boy scout troops, etc)
- •Registered with the SEC
- •Registered with the FTC
- •Public accounting firm under section 102 of the Sarbanes-Oxley Act
- •A trust that has not been formed by a U.S. State filing
- •Registered public accounting firm
- •Publicly traded company on the New York, American or Nasdaq Stock Exchanges. This includes any company majority owned (51% or greater) by the publicly traded entity
- •U.S. Federal or State regulated financial institution
- •Non-US financial institutions established in jurisdictions where the regulators maintain beneficial ownership information on such institutions
- •U.S. State registered insurance company
- •U.S. State government entity
- •U.S. Federal or State government department or agency including any political subdivision
- •Financial market utility designated by the Financial stability Oversight Council under Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
- •Non-U.S. government department, agency and political subdivision engaged in governmental rather than commercial activities
- •Pooled investment vehicle operated or advised by a regulated financial institution
- •A U.S. estate which exists without a Secretary of State or equivalent filing
- •U.S. State regulated insurance company
- •A Singapore entity listed as a public company on the Singapore Exchange
- •An EU company listed on an EEA regulated market
Required information
If your company is not exempt please see beneficial ownership criteria below to update business account information:
a) If your company is registered in the United States, Canada, Australia, United Kingdom, Italy or Ireland please provide the following information when completing the form:
- 1.For any individuals that own 25% or more equity interest or shares of the corporate entity: Full name, date of birth, ID number (e.g. SSN or tax ID number), residential address, nationality, photo (US only) or certified copy of government ID, ownership percentage and role in the company.
- 2.For any individuals that maintain significant managerial control over the corporate entity (CEO, CFO, Owner, or equivalent position): Full name, date of birth, ID number (e.g. SSN or tax ID number), residential address, nationality, photo or certified copy of government ID, role in company.
- 3.If your corporate entity is owned by another corporate entity please detail the entity and ownership percentage: Corporate entity name, ownership percentage, identify owners of the corporate entity (as in 1 above).
- 4.Supporting documentation of the entity’s ownership structure such as a:- Share Registry- Minute Book- Current Securities Register- Article of Incorporation (AOI)- Shareholders agreement- Partnership Agreement
b) If your company is registered in any other jurisdiction please provide the following information when completing the form:
- 1.For any individuals that own 10% or more equity interest or shares of the corporate entity: Full name, date of birth, ID number (e.g. SSN or tax ID number), residential address, nationality, photo (SA only) or certified copy of government ID, ownership percentage and role in company.
- 2.For any individuals that maintain significant managerial control over the corporate entity (CEO, CFO, Owner, or equivalent position): Full name, date of birth, ID number (e.g. SSN or tax ID number), residential address, nationality, photo or certified copy of government ID, role in company.
- 3.If your corporate entity is owned by another corporate entity please detail the entity and ownership percentage: Corporate entity name, ownership percentage, identify owners of the corporate entity (as in 1 above).
- 4.Supporting documentation of the entity’s ownership structure such as a:- Share Registry- Minute Book- Current Securities Register- Article of Incorporation (AOI)- Shareholders agreement- Partnership Agreement
Further questions?
If you have any questions, please contact our Support team.