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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Samsung Electronics Co., Ltd. (796050888, SEEPP) - Voting - Unitary GDR Deposit Certification (Exhibit C-2)
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Samsung Electronics Co., Ltd. (796050888, SEEPP) - Voting - Unitary GDR W/D Certification (Exhibit C-3)
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Samsung Electronics Co., Ltd. (796050201, SAEPP) - Non-Voting - Unitary GDR Deposit Certification (Exhibit C-2)
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Samsung Electronics Co., Ltd. (796050201, SAEPP) - Non-Voting - Unitary GDR W/D Certification (Exhibit C-3)
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Samsung SDI Co., Ltd. (796054203, SASDI) - Unitary GDR Deposit Certification (Exhibit C-1)
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Samsung SDI Co., Ltd. (796054203, SASDI) - Unitary GDR W/D Certification (Exhibit C-2)
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SDIC Power Holdings CO., LTD. (78397C209, SDIGP) - Reg S Deposit Form
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Shin Kong Financial Holding Co. Ltd (82455T104, SKFRP) - Rule 144A Deposit Certification (Exhibit A-1)
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Shin Kong Financial Holding Co. Ltd (82455T104, SKFRP) - Rule 144A W/D Certification (Exhibit D-2-A Long)
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Shin Kong Financial Holding Co. Ltd (82455T104, SKFRP) - Rule 144A W/D Certification (Exhibit D-2-B Short)
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Shin Kong Financial Holding Co. Ltd (82455T203, SKFGP) - International Deposit Certification (Exhibit A-1)
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Shin Kong Financial Holding Co. Ltd (82455T203, SKFGP) - Reg S W/D Exhibit C (Long Form)
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Shin Kong Financial Holding Co. Ltd (82455T203, SKFGP) - Reg S W/D Exhibit D (Short Form)
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Sify Technologies Limited (82655M107, SIFYL) - Special Form of Issuance Certification for Restricted Ordinary Shares (Exhibit A)
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Sino-American Silicon Products Inc (82936X104, SASGP) - Reg S GDR Deposit Certification (Exhibit D-1)
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Sino-American Silicon Products Inc (82936X104, SASGP) - Reg S GDR Withdrawal Cert (Exhibit D-3-A Long)
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Sino-American Silicon Products Inc (82936X104, SASGP) - Reg S GDR Withdrawal Certification (Exhibit D-3-B Short Form)
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Sistema PJSFC (48122U105, SSARP) - Sistema PJSFC - DR Cancellation Instruction and Certification Form
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Sistema PJSFC (48122U204, SSAGP) - Sistema PJSFC - DR Cancellation Instruction and Certification Form
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SK Hynix Inc. (78392B107, SKHRP) - Unitary Dep Cert (Exhibit B-1)
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SK Hynix Inc. (78392B107, SKHRP) - Unitary W/D Cert (Exhibit B-2)
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Steel Authority of India Limited (SAIL) (858055205, STGPP) - Reg S GDR Deposit Certification (Annex D-2)
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Sunwoda Electronic Co., Ltd. (86804J105, SUNRP) - 144A GDR Withdrawal Cert (Sched 3)
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Sunwoda Electronic Co., Ltd. (86804J105, SUNRP) - 144A GDR Deposit Cert (Sched 3)
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Sunwoda Electronic Co., Ltd. (86804J204, SUNGP) - REG S GDR Deposit Cert (Sched 3)
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Supcon Technology Co., Ltd. (98956C101, SUPGP) - RegS Deposit Cert (SCH 3)
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Synnex Technology International Corporation (87161A109, SYNRP) - 144A GDR Deposit Certification (Schedule 3, Part II)
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Synnex Technology International Corporation (87161A109, SYNRP) - 144A GDR W/D Certification (Schedule 3, Part III & Part III Supplement)
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Synnex Technology International Corporation (87161A208, SYNGP) - Reg S GDR Deposit Certification (Schedule 3, Part I)
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Synnex Technology International Corporation (87161A208, SYNGP) - Reg S GDR W/D Certification (Schedule 3, Part IV)