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Enclosure 21(E21) – Identification of foreign persons holding securities with a trustee  

1. This procedure shall determine the terms and procedure for identification of the clients of foreign persons that are entitled according to their national legislation to perform services and activities under Art. 74b of POSA/LPOS.

2. The identification of the persons under Item 1 shall be performed by an investment intermediary that is also a member of the CD and this act shall be done on the grounds of a print-out of S.W.I.F.T. or other type of message submitted by the foreign custodian to the investment intermediary, member of the CD, who maintains the client account of the custodian. The message shall bear identification data for the clients and it is mandatory to include the name of the physical/legal person that is a client of the foreign custodian. On the grounds of these orders the investment intermediary, also a member of the CD shall send messages for transfer of the respective portfolio. The documents that contain instructions with regard to the transfer shall be retained by the investment intermediary - a member of the CD