How do I comply with the AML/CFT laws?

First Light Capital is the manager of the Funds and Syndicates and is an AML/CFT reporting entity. We are therefore required to comply with New Zealand's Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and similar AML laws of other countries.

We cannot accept your Application Form until we have received certain documents from you.

Individual Applicants

For most individuals we can verify your identity and address electronically. Otherwise, we require:

  1. Certified copy of your passport, driver’s licence, or similar ID
  2. Certified copy of your Proof of Address (no older than 3 months)
  3. For certain non-residents, we may require source of funds or wealth information

Company Applicants

  1. Copy of Certificate of Incorporation
  2. Copy of Companies Office Company Extract (or the equivalent for non-resident companies)
  3. Copies of the company’s register of shareholders and register of directors (if not included in 2.)
  4. Copy of the company’s group corporate structure (if applicable)
  5. A list of Authorised Persons who may deal with the Manager of the Fund or Syndicate
  6. Certified true list of all the Ultimate Beneficial Owner(s) (UBOs) directly or indirectly having 25% or more of the beneficial ownership of the company
  7. Certified true copies of National ID Card or Passport of all directors, Authorised Persons and 25% or greater UBOs
  8. Certified true copy of the Proof of Address of all directors, Authorised Persons and 25% or greater UBOs, no older than 3 months
  9. For certain companies, source of funds or wealth information

Trust Applicants

  1. Copy of signed Trust Deed and all amendments
  2. For a corporate Trustee, copy of Companies Office Company Extract (or equivalent for non-resident companies)
  3. Copies of the Trustee company’s register of shareholders and register of directors (if not included in 2.)
  4. A list of Authorised Persons who may deal with the Manager of the Fund or Syndicate
  5. Certified true copies of National ID Card or Passport of the settlor(s) (if alive), protector (if applicable) and trustees (for a corporate Trustee, all directors and 25% or greater Ultimate Beneficial Owners (UBOs))
  6. Certified true copy of the Proof of Address (no older than 3 months) of settlor(s) (if alive), protector (if applicable) and trustees (for a corporate Trustee, all directors and 25% or greater UBOs)
  7. For Trusts other than discretionary trusts, charitable trusts, trusts with more than 10 beneficiaries, the name and date of birth of each beneficiary
  8. Source of funds or wealth information

Who can certify documents?

Identity verification

If you are over 18 years, we will need certified photocopies of acceptable forms of identification to verify your identity that will include:

  • current international travel passport; or
  • Current driver’s licence; or
  • national identity card (e.g. Hong Kong Identity card)

Address verification

To verify your address, certified photocopies of acceptable original (not printed) documents that set out your name and current address and are dated within the previous three months include:

  • power or home phone bill;
  • rates bill;
  • bank account statements;
  • IRD statements; or
  • car registration documents.

Certification of documents

Please send certified photocopies of documents, not the originals. Your photocopies must be certified to verify your identity and your address by law. We will accept photocopied documents certified by someone who is over 16 years of age and is one of the following:

  • Commonwealth representative;
  • A Police Officer;
  • Justice of the peace;
  • Registered medical doctor;
  • Registered teacher;
  • Minister of religion;
  • Lawyer;
  • Notary public;
  • New Zealand Honorary consul;
  • Member of Parliament; or
  • Chartered Accountant.

The person certifying your document must not be: related to you; for example, your parent, child, brother, sister, aunt, uncle or cousin; or your spouse or partner; or a person who lives at the same address as you. If sufficient identification and address verification is not provided your Application Form will be rejected and your payment returned. Payments returned to investors will not be eligible to accrue any interest.

Certification of documents Overseas

When certification occurs overseas, copies of international identification provided by you must be certified by a person authorised by law in that country to take statutory declarations or equivalent in the customers country. Documents that are not in English must be supported by an independent and certified English translation.

Toby Hunn
August 25, 2021

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