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.
INSTRUCTION:
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.
SUBMISSION OPTIONS:
- Certification forms can be completed, certified and submitted electronically.
- Download the PDF file, complete and submit via e-mail to drbrokerservices@citi.com and drcerts@citi.com.
- Download the PDF file, complete and submit via fax to +1-646-291-1776.
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Cathay Financial Holding Co., Ltd. (14915V106, CFHRP) - 144A GDS Deposit Cert (CFHRP, cusip 14915V106) Ex D-1
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Cathay Financial Holding Co., Ltd. (14915V205, CFHGP) - Cancellation Cert (CFHGP, cusip 14915V205) Ex D-2-B - Rest Period (SF)
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Cathay Financial Holding Co., Ltd. (14915V106, CFHRP) - 144A GDS (CFHRP, cusip 14915V106) Cancellation Cert Ex D-2-A LF
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Cathay Financial Holding Co., Ltd. (14915V106, CFHRP) - 144A GDS (CFHRP, cusip 14915V106) Cancellation Cert Ex D-2-B SF
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Cathay Financial Holding Co., Ltd. (14915V205, CFHGP) - Reg S GDS Deposit Cert (CFHGP, 14915V205) Ex D-1
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Cathay Financial Holding Co., Ltd. (14915V205, CFHGP) - GDS Cancellation Cert (CFHGP, cusip 14915V205) Ex D-2-B -Rest Period (SF)
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Central Costanera S.A. (15324M108, COSPP) - Rule 144A Deposit Certification (Exhibit D-1)
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Central Costanera S.A. (15324M108, COSPP) - Rule 144A W/D Certification (Exhibit D-2)
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China Pacific Insurance (Group) Co., Ltd. (16951T119, CPIGP) - Reg S GDR Deposit Certification (Sch 3 Pt A)
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China Petrochemical Development Corporation (16940D100, CPDGP) - Reg S GDR Deposit Certification (Exhibit C-1)
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China Petrochemical Development Corporation (16940D100, CPDGP) - Reg S Withdrawal Long Form (C-2-A)
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China Petrochemical Development Corporation (16940D100, CPDGP) - Reg S Withdrawal Short Form (C-2-B)
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China Steel Corporation (169417102, CSRPP) - 144A GDR Deposit Certification (Exhibit C-1)
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China Steel Corporation (Y15041125, CSGPP) - Reg S GDS Deposit Certification (Exhibit C-1)
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China Steel Corporation (169417102, CSRPP) - Rule 144A Withdrawal Cert (Ex A-1 LF)
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China Steel Corporation (169417102, CSRPP) - Rule 144A Withdrawal Cert (Ex A-1 SF)
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China Steel Corporation (Y15041125, CSGPP) - Reg S Withdrawal Cert (Ex A-3 LF)
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China Steel Corporation (Y15041125, CSGPP) - Reg S Withdrawal Cert (Ex A-3 SF)
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China Yangtze Power Co., Ltd. (16955G113, CYPGP) - Reg S Deposit Form (Schedule 3)
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China Yangtze Power Co., Ltd. (16955G105, CYPRP) - 144a Deposit Form (Schedule 3 Part A)
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China Yangtze Power Co., Ltd. (16955G105, CYPRP) - 144a Withdrawal Form (Schedule 3 Part B)
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ChipMOS TECHNOLOGIES INC. (16965P202, IMOSN) - Form of Certification Upon Withdrawal (Exhibit C-1 Long)
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ChipMOS TECHNOLOGIES INC. (16965P202, IMOSN) - Form of Certification Upon Withdrawal (Exhibit C-2 Short)
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Commercial Bank of Qatar (202609202, CBQGP) - Regulation S Deposit cert (Annex D-1)
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Commercial Bank of Qatar (202609103, CBQRP) - Rule 144A Deposit Cert (Annex D-1)
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Commercial Bank of Qatar (202609103, CBQRP) - Rule 144A Withdrawal Cert (Annex D-2)