Barclays USA PATRIOT ACT Certificate
Pursuant to the USA Patriot Act and final rules issued by the U.S. Department of the Treasury, a
U.S. bank or a U.S. broker-dealer in securities (a “Covered Financial Institution”) is required to
obtain certain information from any “Foreign Bank” that maintains a correspondent account with
it.
As permitted by the final rules, the Barclays Group has prepared a Global Certificate for use by
any financial institution that believes it requires a USA PATRIOT ACT Certificate from a Barclays
entity, for example, an overseas branch of Barclays bank PLC.
Please use this certificate in preference to requesting individual Barclays businesses to
complete a separate certificate. If the particular Barclays business that maintains a
correspondent account with your institution is not listed in out certificate, or if you have any
questions with regard to this Certificate, please advise us by e-mailing Barclays.
Please click here for the Barclays Global Certificate regarding Correspondent Accounts for the
Barclays Group, in particular Barclays Bank PLC and a number of other subsidiaries maintaining
correspondent bank accounts with Covered Financial Institutions.
1
CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS
[OMB CONTROL NUMBER 1506-0043]
The information contained in this Certification is sought pursuant to Sections 5318(j) and
5318(k) of Title 31 of the United State Code, as added by sections 313 and 319(b) of the
USA PATRIOT Act of 2001 (Public Law 107-56).
This Certification should be completed by any foreign bank that maintains a correspondent
account with any U.S. bank or broker-dealer in securities (a covered financial institution as
defined in 31 CFR 1010.605(e)). An entity that is not a foreign bank is not required to complete
this Certification.
A foreign bank is a bank organized under foreign law and located outside of the United States
(see definition at 31 CFR 1010.100(u)). A bank includes offices, branches, and agencies of
commercial banks or trust companies, private banks, national banks, thrift institutions, credit
unions, and other organizations chartered under banking laws and supervised by banking
supervisors of any state (see definition at 31 CFR 1010.100(d)).1
1 A “foreign bank” does not include any foreign central bank or monetary authority that functions
as a central bank, or any international financial institution or regional development bank formed
by treaty or international agreement.
A correspondent account for a foreign bank is any account to receive deposits from, make
payments or other disbursements on behalf of a foreign bank, or handle other financial
transactions related to the foreign bank.
Special instructions for foreign branches of U.S. banks: A branch or office of a U.S. bank outside
the United State is a foreign bank. Such a branch or office is not required to complete this
Certification with respect to Correspondent Accounts with U.S. branches and offices of the same
U.S. bank.
Special instructions for covering multiple branches on a single Certification: A foreign bank may
complete one Certification for its branches and offices outside the United States. The
Certification must list all of the branches and offices that are covered and must include the
information required in Part C for each branch or office that maintains a Correspondent Account
with a Covered Financial Institution. Use attachment sheets as necessary.
A. The undersigned financial institution, Barclays Bank PLC and its foreign branches and entities
listed in the attachment (collectively, the “Foreign Bank”) hereby certifies as follows:
2
B. Correspondent Accounts Covered by this Certification: Check one box.
This Certification applies to all accounts established for Foreign Bank by Covered Financial
Institutions.
This
Certification
applies
to
Correspondent
Accounts
established
by
_____________________________________________________________
(name of
Covered Financial Institution(s)) for Foreign Bank.
x
C. Physical Presence/Regulated Affiliate Status: Check one box and complete the blanks.
Foreign Banks maintains a physical presence in any country. That means:
x



Each of the Foreign Banks has a place of business at the following street address set out
in the attachment hereto, where it employs one or more individuals on a full-time basis
and maintains operating records related to its banking activities.
The address is in the country where the particular Foreign Bank is authorised to conduct
conduct banking activities.
The particular Foreign Bank is subject to inspection by the banking authority that licenses
the particular Foreign bank to conduct banking activities as set out in the attachment
hereto.
Foreign Bank does not have a physical presence in any country, but Foreign Bank is a
regulated affiliate. That means:



Foreign Bank is an affiliate of a depository institution, credit union, or a foreign bank that
maintains
a
physical
presence
at
the
following
street
address:
_____________________________________________________, where it employs one
or more persons on a full-time basis and maintains operating records related to its
banking activities.
The above address is in _______________________ (insert country), where the
depository institution, credit union, or foreign bank is authorized to conduct banking
activities.
Foreign Bank is subject to supervision by _____________________, (insert Banking
Authority), the same banking authority that regulates the depository institution, credit
union, or foreign bank.
Foreign Bank does not have a physical presence in a country and is not a regulated
affiliate.
D. Indirect Use of Correspondent Accounts: Check box to certify.
x
No Correspondent Account maintained by a Covered Financial Institution may be used to
indirectly provide banking services to certain foreign banks. Each of the Foreign Banks
3
hereby certifies that it does not use any Correspondent Account with a Covered Financial
Institution to indirectly provide banking services to any foreign bank that does not maintain a
physical presence in any country and that is not a regulated affiliate.
E. Ownership Information: Check box 1 or 2 below, if applicable.
1. Form FR Y-7 is on file. Foreign Bank has filed with the Federal Reserve Board a
current Form FR Y-7 and has disclosed its ownership information on Item 4 of Form FR Y7.
2. Foreign Bank’s shares are publicly traded. Publicly traded means that the shares are
traded on an exchange or an organized over-the-counter market that is regulated by a
foreign securities authority as defined in section 3(a)(50) of the Securities Exchange Act of
1934 (15 U.S.C. 78c(a)(50)).
If neither box 1 or 2 of Part E is checked, complete Item 3 below, if applicable.
x
3. Each of the Foreign Banks has no owner(s) except as set forth below. For purposes of
this Certification, owner means any person who, directly or indirectly, (a) owns, controls, or
has power to vote 25 percent or more of any class of voting securities or other voting
interests of Foreign Bank; or (b) controls in any manner the election of a majority of the
directors (or individuals exercising similar functions) of Foreign Bank. For purposes of this
Certification, (i) person means any individual, bank, corporation, partnership, limited liability
company or any other legal entity; (ii) voting securities or other voting interests means
securities or other interests that entitle the holder to vote for or select directors (or
individuals exercising similar functions); and (iii) members of the same family2 shall be
considered one person.
In the case of Barclays Bank PLC and all branches thereof, Barclays PLC (Whose
registered address is 1 Churchill place, London, E14 5HP, United Kingdom) is the sole
shareholder.
In the case of the entities listed in the section headed “wholly owned subsidiaries” in the
attachment hereto, Barclays Bank PLC (whose address is 1 Churchill Place, London, E14
5HP, United Kingdom) is the sole shareholder.
In the case of the entities listed in the section headed “Majority owned subsidiaries” in the
attachment hereto, Barclays Bank PLC (whose address is 1 Churchill Place, London, E14
5HP, United Kingdom) is the majority shareholder with a shareholding of the percentage
shown alongside the particular entity. Other owners of the relevant foreign bank for the
purposes of this certification are listed alongside the relevant Foreign Bank in the
attachment hereto, with a shareholding of the percentage shown alongside the entity.
4
F. Process Agent: complete the following.
The following individual or entity: Barclays Bank PLC, New York Branch is a resident of the
United States at the following street address:
200 Park Avenue, New York, 10166 USA, Chief Counsels Office, and is authorized to accept
service of legal process on behalf of Foreign Bank from the Secretary of the Treasury or the
Attorney General of the United States pursuant to Section 5318(k) of title 31, United States
Code.
G. General
Each of the Foreign Banks hereby agrees to notify in writing each Covered Financial Institution
at which it maintains any Correspondent Account of any change in facts or circumstances
reported in this Certification. Notification shall be given within 30 calendar days of such change.
Each of the Foreign Banks understands that each Covered Financial Institution at which it
maintains a Correspondent Account may provide a copy of this Certification to the Secretary of
the Treasury and the Attorney General of the United States. Each of the Foreign Banks further
understands that the statements contained in this Certification may be transmitted to one or
more departments or agencies of the United States of America for the purpose of fulfilling such
departments’ and agencies’ governmental functions.
I, Geraldine Lawlor, certify that I have read and understand this Certification, that the statements
made in this Certification are complete and correct, and that I am authorized to execute this
Certification on behalf of Foreign Bank.
5
Received and reviewed by:
Name: ________________________________
Title: ________________________________
For:
________________________________
[Name of Covered Financial Institution]
Date:
________________
6
Type
Barclays Bank PLC
Country
UNITED KINGDOM
Address
1 Churchill Place, London, E14 5HP, United Kingdom(Registered
Address)
Key Regulator(s)
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
Branches of Barclays Bank PLC with a Physical Presence
Barclays Bank PLC
Type
Branch
Country
AUSTRALIA
Address
Floor 42, 225 George Street, Sydney, NSW 2000, Australia
Barclays Bank PLC
Branch
CANADA
Barclays Bank PLC
Branch
CAYMAN ISLANDS
Barclays Bank PLC
Branch
CHINA, HONG KONG
Bay Adelaide Centre, 333 Bay Street, Suite 4910, Box 9, Toronto,
Ontario M5H 2R2, Canada
Fourth Floor, Barclays House, 25 Main Street, George Town, Grand
Cayman, Cayman Islands, KY1-1106
41/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong,
P.R.C.
Barclays Bank PLC
Branch
CHINA, SHANGHAI
Barclays Bank PLC
Branch
CYPRUS
Barclays Bank PLC
Branch
United Arab Emirates – Dubai
International Financial Centre
Barclays Bank PLC
Branch
FRANCE
Suite 3101, 3102B, Azia Centre, 1233 Lujiazui Ring Road, Pudong,
Shanghai, 200120, P.R.C

Globe House, 23 Kennedy Avenue, 1075 Nicosia, Cyprus

1 Agias Fylaxeos Str., Ground Floor, 3025 Limassol, Cyprus


Office 4, Gate Village Building 4,
Level 4, Dubai International Financial Centre,
PO Box 506504, Dubai
32 Avenue George V, 75008 Paris, France
Barclays Bank PLC
Branch
GERMANY
Bockenheimer Landstrasse 38-40, 60323 Frankfurt, Germany
Barclays Bank PLC
Branch
GIBRALTAR
Barclays Bank PLC
Branch
GUERNSEY
Barclays Bank PLC
Branch
INDIA

Regal House, 3 Queensway, Gibraltar

PO Box 196, 84/90 Main Street, Gibraltar
PO Box 41, Le Marchant House, Le Truchot, St Peter Port,
Guernsey, GY1 3BE
801-808, Ceejay House, Shivsagar Estate,
Dr Annie Besant Road, Worli, Mumbai 400018, India
7
Key Regulator(s)
Australian Prudential Regulatory
Authority
Australian Securities and Investment
Commission
The Office of the Superintendent of
Financial Institutions Canada (OSFI)
Cayman Islands Monetary Authority
(CIMA)
Hong Kong Monetary Authority
(HKMA)
China Banking Regulatory Commission
People’s Bank of China (PBOC)
Central Bank of Cyprus
Dubai Financial Services Authority
Financial Conduct Authority (UK)
Prudential Regulation Authority
(UK)Banque de France
Autorité des Marchés Financiers
(AMF)
Autorité de Contrôle Prudentielle
(ACP)
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
Bundesanstalt Für
Finanzdienstleistungsaufsicht (Bafin)
Gibraltar Financial Services
Commission
Guernsey Financial Services
Commission
Reserve Bank of India
Barclays Bank PLC
Branch
ISLE OF MAN
Barclays House, Victoria Street, Douglas, IM1 2LE, Isle of Man
8
Isle of Man Financial Supervision
Commission
Branches of Barclays Bank PLC with a Physical Presence (Continued)
Barclays Bank PLC
Type
Branch
Country
ITALY
Address

Via della Moscova 18, 20121 Milan, Italy

‘Barclays GRCB Italy’, Via Arconati, 1
20100 Milano, Italy
Barclays Bank PLC
Branch
JAPAN
10-1, Roppongi 6-chome, Minato-ku, Tokyo, JAPAN
Barclays Bank PLC
Branch
JERSEY
PO Box 8, 13 Library Place, St Helier, Jersey JE4 8NE
Barclays Bank PLC
Branch
KOREA (SOUTH)
Barclays Bank PLC
Branch
LABUAN (Malaysia)
Barclays Bank PLC
Branch
MONACO
23rd Floor, Ferrum Tower Building, 19 Eulji-ro 5-Gil, Jung-gu, Seoul
100-210, Korea
Level 5(A), Main Office Tower, Financial Park Labuan, Jalan
Merdeka 87000 Federal Territory Of Labuan, Malaysia
31, Avenue De La Costa, Monte Carlo, Monaco
Barclays Bank PLC
Barclays Bank PLC
Branch
Branch
PAKISTAN
PORTUGAL
Dawood Centre, M.T.Khan Road, Karachi 75530, Pakistan
Av. Colégio Militar, Torre Oriente nº 37 F, 13rd Floor, 1500-180
Lisboa, Portugal
Barclays Bank PLC
Branch
SINGAPORE
Level 28 South Tower, One Raffles Quay, Singapore 048583
Barclays Bank PLC
Branch
SOUTH AFRICA
Barclays Bank PLC
Branch
SPAIN
8 Rivonia Road, Cnr Central And Rivonia, Ilovo 2196, Johannesburg,
South Africa
Plaza De Colon, 1, 28046 Madrid, Spain
9
Key Regulator(s)
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
The Commissione Nazionale per le
Società e la Borsa (CONSOB)
Bank Of Italy
Unità di Informazione Finanziaria (UIF)
Autorità Garante della Concorrenza e
del Mercato (AGCM)
Istituto per la Vigilanza sulle
Assicurazioni (IVASS)
Garante per la protezione dei dati
personali
Bank of Japan
Japan Financial Services Agency (JFSA)
Jersey Financial Services Commission
Financial Supervisory Service
Labuan Offshore Financial Services
Authority (LOFSA)
Financial Conduct Authority (UK)
Autorité de contrôle prudentiel et de
résolution (ACPR)
Commission de contrôle des activités
financières (CCAF)
State Bank of Pakistan
Financial Conduct Authority (UK)
Prudential Regulation Authority
(UK)The Portuguese Securities Market
Commission (CMVM)
The Bank of Portugal (BdP – Banco de
Portugal)
The Portuguese Insurance Institute
(ISP – Instituto de Seguros de Portugal)
Monetary Authority of Singapore
South African Reserve Bank
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
Barclays Bank PLC
Branch
QATAR
Qatar Financial Centre, QFC Tower, Level 10, Office 1002, West
Bay, PO Box 15891, Doha, Qatar
Bank of Spain (Spain)
National Commission for the Secutiries
Market (CNMV) –(Spain)
Dirección General Seguros y Fondos de
Pensiones (DGSFP)- (Spain)
Servicio Ejecutivo Comisión de
Prevención de Blanqueo de Capitales e
Infracciones Monetarias (SEPBLAC) –
(Spain)
Qaatar Financial Centre Regulatory
Authority
Address
Key Regulator(s)
Beethovenstrasse 19, 8027 Zurich, Switzerland
Swiss Financial Market Supervisory
Authority (FINMA)
Branches of Barclays Bank PLC with a Physical Presence (Continued)
Type
Country
Barclays Bank PLC
Branch
SWITZERLAND
Barclays Bank PLC
Branch
TAIWAN
5F Cathay Xin-Yi Trading Building, #108, Xin-Yi Road Sec. 5, Taipei
City, Taiwan 110
Taiwan Financial Supervisory
Commission
Barclays Bank PLC
Branch
UNITED ARAB EMIRATES
Emaar Square, Burj Dubai, Business Bay, Bur Dubai, Sheikh Zayed
Road, PO Box 1891, U.A.E
UAE Central Bank
Barclays Bank PLC
Branch
UNITED KINGDOM


2 Churchill Place, London. E14 5RB, United Kingdom
5 The North Colonnade, Canary Wharf, London. E14 4BB ,
United Kingdom(Primarily Barclays Capital related business)
10
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
Wholly-owned (100%) Subsidiaries
Name
Barclays Bank Ireland
PLC
Country
IRELAND
Address

2 Park Place, Hatch Street, Dublin 2, Ireland.
Barclays Capital
Securities Limited
UNITED KINGDOM


5 The North Colonnade, Canary Wharf, London, E14 4BB, United Kingdom
1 Churchill Place, London. E14 5HP, United Kingdom (Registered Office)
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
AUSTRALIA


GPO Box 1592, Sydney NSW 2001, Australia
Level 24, 400 George Street, Sydney, NSW 2000, Australia
Australian Prudential Regulatory
Authority
Australian Securities and Investment
Commission
SOUTH KOREA
CAYMAN ISLANDS

23rd Floor, Ferrum Tower Building, 19 Eulji-ro 5-Gil, Jung-gu, Seoul 100-210, Korea
P.O. Box 487GT, 4th Floor, First Caribbean Building, 25 Main Street, Georgetown, Grand Cayman, Cayman
Islands
Securities Commission (SC)
Cayman Islands Monetary Authority
(CIMA)
CHINA, HONG KONG
41/F, Cheung Kong Center, 2 Queen’s Road Central, Central, Hong Kong SAR, PRC
Securities and Futures Commission
(SFC)
GUERNSEY
PO Box 41, Le Marchant House, Le Truchot, St Peter Port, Guernsey, GY1 3BE
Guernsey Financial Services
Commission
Barclays Private Clients
International Limited
ISLE OF MAN
PO Box 9, Douglas, Isle of Man, UK, IM99 1AJ (Registered Office)
Isle of Man Financial Supervision
Commission
Barclays Private Clients
International Limited
JERSEY
PO Box 8, 13 Library Place, St Helier, Jersey JE4 8NE
Jersey Financial Services Commission
Barclays Private Bank &
Trust (Cayman) Limited
Barclays Capital Asia
Limited
Key Regulator(s)
The Financial Regulator (Ireland)
Barclays Private Clients
International Limited
(Guernsey Branch)
Barclays Wealth Fund
Managers (Guernsey) Ltd
Barclays Wealth Trustees
(Guernsey) Ltd
11
Barclays Trust Company
(Jersey) Limited
Barclays Wealth
Management Jersey
Limited
JERSEY
39/41 Broad Street, St Helier, Jersey, JE4 8PU, Channel Islands
Jersey Financial Services Commission
INDIA
208 Ceejay House, Shivsagar Estate, Dr A Beasant Road, Worli, Mumbai, 400 018, India
INDONESIA
Wisma GKBI 39th Floor, Suite 3906, Jl. Jend. Sudirman No.28, Jakarta, 10210, Indonesia
ISLE OF MAN
Barclays House, Victoria Street, Douglas, Isle of Man, IM99 1AJ
Securities and Exchange Board of India
(SEBI)
Badan Pengawas Pasar Modal &
Lembaga Keuangan (Bapepam-LK)
Isle of Man Financial Supervision
Commission
Barclays Capital Markets
Malaysia Sdn Bhd
Barclays Bank (Suisse) SA
MALAYSIA
Level 45, Menara Maxis, Kuala Lumpur City Centre, 50088 Kuala Lumpur, Wilayah Persekutuan, Malaysia
SWITZERLAND
18-20 Chemin de Grange-Canal, P.O. Box 3941, 1211 Geneva, Switzerland
Barclays Merchant Bank
(Singapore) Ltd
SINGAPORE
Level 28 South Tower, One Raffles Quay, 048583, Singapore
TAIWAN
11/F, 106 Xin-Yi Road, Sec. 5, Taipei 110, Taiwan, ROC, Taiwan, Province of China
Barclays International
Fund Managers Limited
Barclays Investment
Funds (Chanel Islands)
Limited
Barclaytrust Chanel
Islands Limited
Barclaytrust International
(Jersey) Limited
Barclays Securities
(India) Private Limited
Barclays Capital
Securities Indonesia PT
Barclays Private Bank &
Trust (Isle of Man) Ltd
Barclays Wealth Trustees
(Isle of Man) Limited
Barclays Capital Futures
(Singapore) Private
Limited
Barclays Capital
Securities Taiwan
12
Swiss Financial Market Supervisory
Authority (FINMA)
Monetary Authority of Singapore
(MAS)
Securities and Futures Bureau (SFB) of
Financial Supervisory Commission
Limited
Barclays Capital
Securities (Thailand)
Limited
Barclays Bank Egypt SAE
THAILAND
21st Floor, CRC Tower, All Seasons Place, 87/2 Wireless Road, Kwaeng Lumpini, Khet Phatumwan Bangkok
10330
(FSC)
Securities and Exchange Commission
(SEC) Thailand
EGYPT
12 Midan el Sheikh Youssef, Garden City, Po Box 110 Maglis el Shaab, Cairo, Egypt
Central Bank of Egypt
Wholly-owned (100%) Subsidiaries (Continued)
Name
Barclays Bank Mexico SA
Institución de Banca
Múltiple Grupo
Financiero Barclays
México
Country
MEXICO
Address
Paseo de la Reforma 505 Piso 41 Col. Cuauhtemoc C.P. 06500 Mexico City, Mexico
Key Regulator(s)
CNBV Comisión Nacional Bancaria y de
Valores
Barclays Bank, S.A.U.
SPAIN
Plaza de Colon, 1 28046 Madrid, Spain
Barclays Securities Japan
Limited
Barclays Private Clients
International Limited
JAPAN
10-1, Roppongi 6-chome, Minato-ku, Tokyo, JAPAN
UNITED KINGDOM
1 Churchill Place, London, E14 5HP, United Kingdom
Bank of Spain (Spain)
National Commission for the Secutiries
Market (CNMV) - Spain
Dirección General Seguros y Fondos de
Pensiones (DGSFP)- Spain
Servicio Ejecutivo Comisión de
Prevención de Blanqueo de Capitales e
Infracciones Monetarias (SEPBLAC) Spain
Dirección General Tesoro Público Spain
Bank of Japan
Japan Financial Services Agency (JFSA)
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
Barclays Stockbrokers
Limited
Barclays Sharedealing
Barclays Bank Trust
Company Limited
Gerrard Financial
Planning Limited
13
Gerrard Investment
Management Limited
Barclays Asset
Management Limited
Barclays Insurance
Services Company
Limited (BISCO)
Barclays Assurance
(Dublin) Limited (BAD)
Barclays Insurance
(Dublin) Limited (BID)
UNITED KINGDOM
1 Churchill Place, London, E14 5HP, United Kingdom
Financial Conduct Authority (UK)
Prudential Regulation Authority (UK)
IRELAND
47 St. Stephen's Green, Dublin 2, Co Dublin
The Financial Regulator (Ireland)
IRELAND
2 Park Place, Hatch Street, Dublin 2
The Financial Regulator (Ireland)
14
Majority-owned (50 %+) Subsidiaries
Bank
Country
Address
Barclays Africa Group
Limited
SOUTH AFRICA
7th Floor, Barclays Towers West, 15
Troye Street, Johannesburg
2001, South Africa
Barclays Bank of
Zimbabwe Limited
ZIMBABWE
Banco Barclays SA
BRAZIL
Ground Floor Travel Centre, Cnr.
Third Street/Jason Moyo, PO Box
CY 820, Causeway, Harare,
Zimbabwe
Avenida Brig. Faria Lima, 4440, 12o
andar
04538-132
São Paulo - SP - Brazil
Barclays Bank PLC
Shareholding %
62.3%
67.89
99.998
15
Other Owner(s)
Public Ownership
(Quoted on
Zimbabwe Stock
Exchange)
Other Owner(s)
shareholding (%)
37.7%
Key Regulator(s)
South African Reserve Bank
34.15
Reserve Bank of Zimbabwe
0.002
Central Bank of Brazil