Search DR Directory
Symbol Lookup  

Certification Papers

Certain Rule 144A and Regulation "S" Global Depositary Receipt (GDR) programs require the investor to provide the depositary with a certification form. These forms, unique to each program, are used whenever there is a cross-border sale resulting in an issuance or cancellation via the depositary based on the terms and conditions of the respective deposit agreement. The forms also include the terms and conditions, which highlight and govern the rights and responsibilities of the investor and/or their broker. In many cases, you are required to identify your firm as being either a "Related Person" or "Not a Related Person". These requirements can vary from market to market and for different securities.

As delays could potentially impact the settlement of your transaction, please ensure all Certification Papers are completed correctly, and in their entirety. We will initiate completion of the transaction once we receive your instructions, share positions and certifications.

Please consult your Broker Services Representative if you have questions regarding the process. You may also wish to consult your own compliance manager if you have questions regarding proper use of these certification papers.

Search by clicking on the alphabet list to find the relevant certification paper for each program. The relevant certification is identified by program name, CUSIP and description.

- Certification forms can be completed, certified and submitted electronically.
- Download the PDF file, complete and submit via e-mail to and
- Download the PDF file, complete and submit via fax to +1-646-291-1776.

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z 0-9

There is no data to display as of Wednesday, June 19, 2024