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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E Ink Holdings Ltd. (26854W101, EIHRP) - Rule 144A Withdrawal Cert (Ex D-2A Long)
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E Ink Holdings Ltd. (26854W101, EIHRP) - Rule 144A Withdrawal Cert (Ex D-2B Short)
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E Ink Holdings Ltd. (26854W101, EIHRP) - Rule 144A Deposit Cert (Ex D-1)
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E Ink Holdings Ltd. (26854W200, EIHGP) - Reg S Deposit Cert (Ex D-1)
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E Ink Holdings Ltd. (26854W200, EIHGP) - Reg S Withdrawal Cert (Ex D-3A Long)
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E Ink Holdings Ltd. (26854W200, EIHGP) - Reg S WD Cert (Ex D-3B Short)
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E.Sun Financial Holding Company Ltd (26915N108, ESRPP) - 144A GDR Deposit Certification (Exhibit D-1)
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E.Sun Financial Holding Company Ltd (26915N108, ESRPP) - 144A GDR W/D Certification (Exhibit D-2)
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E.Sun Financial Holding Company Ltd (26915N207, ESGPP) - Reg S GDR Deposit Certification (Exhibit D-1)
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E.Sun Financial Holding Company Ltd (26915N207, ESGPP) - Reg S GDR W/D Certification (Exhibit D-3)
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En+ Group IPJSC (29355E208, ENPGP) - En+ Group IPJSC - DR Cancellation Instruction and Certification Form
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En+ Group IPJSC (29355E109, ENPRP) - 144A Deposit (Schedule 3 Part A)
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En+ Group IPJSC (29355E109, ENPRP) - 144A Withdrawal (Schedule 3 Part B), Russia W/D Cert Also Required
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Enka Insaat ve Sanayi AS (293356101, EKIVY) - Turkey Original Tax Certification with Original Signatures Required for All Withdrawals of Unsponsored DRs
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Eregli Demir ve Celik Fabrikalari TAS (29482K101, ERELY) - Turkey Original Tax Certification with Original Signatures Required for All Withdrawals of Unsponsored DRs