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Tax Residency Self-Certification Form: Corporate

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Tax Residency Self-certification Form: Corporate

Instructions

Due to various legislative requirements, the South African Revenue Service (“SARS”) requires FNB Securities to attain your certified Foreign Account Tax Compliance Act (“FATCA”) / Common Reporting Standard (“CRS”) classification and to collect and report certain information about an account holder’s tax residency status.

1. This form must be completed on behalf of an entity account holder.

2. If the institution operates in the United States of America (U.S.) or was incorporated/registered in the U.S. please also complete an IRS W-9 form.

3. Please ensure that all fields are completed and that the annexure at the end of this form is also completed by all controlling persons of the account holder.

4. A branch of an entity is treated in its own right for the purposes of FATCA and CRS and the form should be completed with details for the branch to which the account relates and not that of its parent.

5. As a financial institution, FNB Securities is not allowed to give tax advice, if you have any questions about this form or defining your tax residency status, please speak to your tax advisor or local tax authority.

In terms of FATCA and CRS, it is law for us to ask for the information requested. You may decline the request to provide the information, however, should the requested information not be provided we advise that we will be required to report the undocumented status of the account to SARS and the account may be subject to penalties for non-compliance.

1. Basic Investor details

Entity details

Physical address

Tax registrations / obligations

Please list all of your tax registration details below, including any jurisdiction in which you may be liable for tax.

No Tax registration number Tax identification number country of issue
1
2
3
4
5

2. Financial Institutions

If this entity is a Financial Institution, please complete this section and provide the relevant IRS W-8 form.

Please provide the account holder’s status by ticking one of the following boxes:

A. An investment entity that has appointed another Financial Institution in a fiduciary capacity to manage its investment activities or operations on a discretionary basis

B. Other investment entity

C. Other Financial Institutions (i.e. depository institution, custodial institution, or specified insurance company)

Classification

1. Participating Financial Institution

2. Exempt Beneficial Owner

3. Certified Deemed Compliant FI

4. Owner Documented FI

5. Non-reporting FI

6. Non-Participating FI

7. Limited FI

8. Other

3. Non-Financial Entities

If you are not a FI, please complete this section to assist us in determining your status for FATCA and CRS purposes.

FATCA Classification

Active NFE

Passive NFE

Exempt Beneficial Owner

Direct/Sponsored Direct Reporting NFE

Trusts

If you are a trust and have not provided your FATCA classification above, please complete all the questions that follow in this section.

Yes No

All Entities (including trusts)

Please answer the following questions if you are not a trust and have not provided your FATCA classification above.

5. Are you a:

Retirement Fund Government or wholly government owned Central Bank

International Organisation None of the above

6. Are you a listed company on an established securities market?

Listed company Entity related to a listed entity Unlisted entity

7. Are you a Non-profit organisation with a tax clearance certificate? Yes No

8. Are you a treasury centre or holding company of a non-financial group? Yes No

9. Did less than 50% of the entity’s gross income come from a passive source? Yes No

10. Less than 50% of the assets held produced passive income? Yes No

4. Your declarations

1. You confirm that the information provided is true and correct, and that the entity holds no other residences for tax purposes other than those disclosed.

2. You confirm that all information provided is voluntary and on your own accord.

3. You confirm that should the information provided be incorrect or untrue, you may be held personally or jointly liable for any penalties or criminal charges.

4. You confirm and consent that FirstRand Limited and its affiliates may process your information for the purposes of providing services and products according to the law.

5. You hereby indemnify FNB Securities against any liability for any loss or damage suffered as a result of inaccurate or incomplete information.

Signed at

Signed at

Signed at

Annexure A. Controlling person details

If you are a Passive Non-financial Entity or you are an investment entity, managed by a financial institution, please ensure that this annexure is completed for all controlling persons of the account holder.

Full name Name of entity controlled Relationship Identity/Registration number Shareholding (%)

In respect of “A” the following must be completed:

Related party nature of person:

Individual Sole proprietor Trust Non-profit organization

Listed company Unlisted company Retirement Fund International organisation Stokvel

Government or wholly government owned entity

Tax registrations / obligations

No Tax registration number Tax identification number country of issue Are you currently a tax resident of this country?
1Yes No
2Yes No
3Yes No
4Yes No
5Yes No
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What the Tax Residency Self-Certification Form: Corporate Is

The Tax Residency Self-Certification Form: Corporate is a standardized corporate declaration used to confirm a business entity's tax residency status for withholding, reporting, and treaty eligibility. Financial institutions, brokers, and payers collect this form to establish the correct tax jurisdiction and determine whether withholding at source or treaty benefits apply. The corporate form typically asks for entity legal name, jurisdiction of incorporation or organization, taxpayer identification number, FATCA and CRS status, and an authorized signature. Accurate completion prevents erroneous withholding, supports regulatory reporting, and documents the entity's tax profile for the payer's records.

Why Accurate Certification Matters

Completing the Tax Residency Self-Certification Form: Corporate accurately helps payers apply correct withholding, claim treaty benefits where applicable, and meet IRS and CRS information-reporting obligations. Proper certification reduces audit risk, avoids backup withholding triggers, and documents the entity's tax status for compliance reviews.

Why Accurate Certification Matters

Typical Requestors and Parties Involved

Financial institutions, broker-dealers, multinational payers, and corporate finance teams commonly request or complete this corporate tax residency self-certification.

  • Banks and custodians verifying FATCA/CRS status for withholding and reporting obligations.
  • Broker-dealers confirming entity residency before issuing reportable payments or complying with backup withholding rules.
  • Corporate treasuries and payers collecting certifications for vendor onboarding and treaty eligibility decisions.

Use the completed form to support withholding decisions, reporting filings, and internal compliance records and to retain evidence for audits.

Key Components of a Professional Corporate Self-Certification

A well-constructed Tax Residency Self-Certification Form: Corporate contains clear entity identification, explicit residency claims, tax classifications, authorized signer details, supporting attachments, and a durable signature block.

Entity Details

Provide full legal name, trade name (if any), legal form (corporation, LLC), state or country of incorporation, and the principal place of business to establish tax jurisdiction.

TIN

Include the corporate Taxpayer Identification Number (EIN) exactly as issued. Incorrect TINs can trigger backup withholding and delays in payout processing.

Residency Claim

State the country or U.S. state of tax residency, cite treaty article if claiming benefits, and specify whether the entity is resident for tax purposes.

FATCA/CRS Status

Declare FATCA classification (for example, GIIN or nonfinancial foreign entity) and CRS classification where applicable to enable correct reporting to tax authorities.

Authorized Signer

Provide name, title, contact details, and capacity of the person signing; include a corporate resolution or power of attorney when required to verify signing authority.

Signature Block

Include signature, printed name, date, and a declaratory statement attesting to the information's accuracy; include notary or witness details if the payer requests them.

Essential Fields and Data to Collect

Legal Name: Full legal entity name as registered.
TIN/EIN: Valid EIN as issued by IRS.
Formation Jurisdiction: State or country of incorporation.
Tax Residence: Declared country/state of tax residence.
FATCA Status: Classification and GIIN if applicable.
Authorized Signer: Name, title, signature, and date.

Step-by-Step: Completing and Returning the Form

Follow these steps to complete and return the Tax Residency Self-Certification Form: Corporate accurately and securely to the requesting payer.

  • 01
    Gather Documents: Collect formation documents, EIN confirmation, and any FATCA/CRS supporting records.
  • 02
    Complete Fields: Enter entity data, residency claim, and FATCA/CRS selections.
  • 03
    Attach Evidence: Upload GIIN, corporate resolution, or tax residency certificates.
  • 04
    Sign & Submit: Sign with authorized representative and return via secure channel.

Configuring an Online Workflow for Corporate Certifications

Configure an online workflow for e-signature, identity verification, and secure storage to streamline corporate tax residency certifications and reduce processing time.

Field Configuration
Authentication Method Email + SMS OTP recommended
Conditional Fields Show FATCA fields when foreign entity selected
Attachment Types PDF, DOCX, image; require signed resolution
Retention Setting Retain signed record for minimum 6 years

Where Completed Forms Typically Go

Routing and submission paths vary by payer; this overview explains typical destinations, required confirmations, and common delivery methods for completed certifications.

  • To Payer: Return completed form to paying agent or finance team.
  • To Custodian: Send to account custodian for account-level withholding setup.
  • Tax Authority: Payers report information to IRS or foreign tax authorities per FATCA/CRS rules.
  • Internal Records: Store signed copy in compliance repository with audit trail.

Technical Requirements for Secure eSubmission

For eSubmission, ensure the platform supports secure upload, identity verification, and long-term storage compliant with regulatory needs.

  • Integrations: Salesforce, NetSuite, Microsoft 365 integrations supported
  • Formats: PDF, DOCX, XLSX accepted
  • Auth Options: Email, SMS OTP, KBA, SSO

Timing, Deadlines, and Response Expectations

Key filing dates and typical response expectations when a payer requests a corporate tax residency self-certification to avoid withholding or reporting delays.

Form Request Timing:

Provide on payer request; no fixed IRS deadline

Backup Withholding Trigger:

Incorrect or missing TIN can trigger 24% backup withholding

Payer Reporting Cycle:

Payers report annually on Form 1099 and similar schedules

Document Retention Start:

Retention begins on signing date

Respond Promptly:

Respond within payer-specified window to avoid withholding

Penalties and Risks of Incorrect Certification

Backup Withholding: 24% withholding may apply
IRC Filing Penalties: Penalties per IRC §6721 apply
Intentional Disregard: $660+ per form, no cap
Delayed Payments: Payer may delay disbursements
Audit Exposure: Increased IRS and foreign scrutiny
Contractual Risk: Breach claims from missing disclosures

Common Mistakes to Avoid

  • Submitting an incomplete form that omits EIN or uses a trade name instead of the legal entity name leads to payer rejection and potential backup withholding.
  • Incorrect FATCA/CRS classification or missing GIIN can trigger additional document requests, delay payments, and result in erroneous reporting to tax authorities.
  • Signer lacks authority or missing corporate resolution; payers often require proof of signatory authority before accepting certification.
  • Providing inconsistent residency information across accounts or forms causes conflicting records and increases audit risk during compliance reviews.

eSignature Vendor Pricing and Feature Comparison

Pricing and feature comparison for common eSignature providers relevant to signing and processing corporate tax residency self-certification forms.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day trial Varies by plan Varies by plan Varies by plan Varies by plan
Bulk Send Yes Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No envelope cap 100 envelopes/user/year limit Varies by plan Varies by plan Varies by plan

Frequently Asked Questions and Answers

Answers to common questions about completing, signing, and submitting the Tax Residency Self-Certification Form: Corporate, including eSignature and verification concerns.


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