Investor Questionnaire
Introduction
This Investor Questionnaire (the "Questionnaire") is provided in connection with the proposed offering of securities and/or digital assets by [Issuer Name] (the "Issuer").
The information provided in this Questionnaire will be used by the Issuer to evaluate the prospective investor's eligibility to participate in the offering, comply with applicable securities laws, and satisfy applicable know-your-customer ("KYC"), anti-money laundering ("AML"), sanctions screening, and other regulatory requirements.
The Issuer may request additional information or supporting documentation where necessary to verify the information provided in this Questionnaire.
1Investor Information
| Information | Details |
|---|---|
| Full Legal Name | |
| Entity Name (if applicable) | |
| Investor Type | |
| Jurisdiction of Residence / Incorporation | |
| Registered Address | |
| Mailing Address (if different) | |
| Contact Person (if applicable) | |
| Email Address | |
| Telephone Number | |
| Tax Identification Number (TIN) | |
| Authorized Signatory (if applicable) |
2Investor Classification
A. Investor Type
Please select the category that best describes the Investor.
B. Entity Information (if applicable)
| Information | Details |
|---|---|
| Jurisdiction of Formation | |
| Date of Formation | |
| Registration Number | |
| Publicly Traded | Yes No |
| Principal Business Activity |
C. Beneficial Ownership
Is the Investor acting for its own account?
If No, provide the name of the beneficial owner(s):
3Accredited Investor Status
The Investor represents that it qualifies as an Accredited Investor under applicable securities laws by virtue of one or more of the following categories.
Please check all applicable boxes and provide supporting information where requested.
A. Individual Investors
B. Entity Investors
C. Supporting Documentation
The Issuer may request documentary evidence supporting the Investor's Accredited Investor status, including, where applicable:
- Government-issued identification
- Organizational documents
- Financial statements
- Professional certifications
- Regulatory registrations
- Other supporting documentation reasonably requested by the Issuer
D. Additional Information (Optional)
Please provide any additional information relevant to the Investor's Accredited Investor status.
4Investment Suitability & Compliance
Please answer the following questions by checking the appropriate box.
| Question | Yes | No |
|---|---|---|
| 1. Is the Investor acquiring the securities and/or digital assets for its own account and not on behalf of any undisclosed person? | ||
| 2. Does the Investor have sufficient knowledge and experience to evaluate the merits and risks of the proposed investment? | ||
| 3. Is the Investor capable of bearing the economic risk of this investment, including the possible loss of the entire investment? | ||
| 4. Has the Investor made an independent investment decision without relying solely on the Issuer or its representatives? | ||
| 5. Has the Investor had an opportunity to ask questions and obtain additional information regarding the proposed investment? | ||
| 6. Is the Investor acting as principal and not as nominee or agent for another person, except as disclosed in this Questionnaire? | ||
| 7. Is the Investor subject to any legal or contractual restriction that would prohibit participation in this offering? |
Anti-Money Laundering (AML) & Sanctions
| Question | Yes | No |
|---|---|---|
| 8. Are the funds used for this investment derived from lawful sources? | ||
| 9. Is the Investor, or any beneficial owner, subject to applicable economic or trade sanctions? | ||
| 10. Is the Investor, or any beneficial owner, listed on any applicable sanctions or restricted persons list? | ||
| 11. Is the Investor a Politically Exposed Person (PEP), or an immediate family member or close associate of a PEP? | ||
| 12. Has the Investor been convicted of, or is the Investor currently subject to, any investigation involving fraud, money laundering, terrorist financing or similar financial crimes? |
If Yes to any of Questions 9–12, please provide details.
Source of Funds
Please indicate the primary source of funds for the proposed investment.
Additional Information
Please provide any additional information that may assist the Issuer in completing its suitability, compliance or regulatory review.
5Tax & AML Information
A. Tax Residency
Please provide the following information.
| Information | Details |
|---|---|
| Country of Tax Residence | |
| Tax Identification Number (TIN) | |
| Additional Country(ies) of Tax Residence (if any) |
B. FATCA / CRS Status (if applicable)
Please indicate the Investor's status, where applicable.
C. Beneficial Ownership
Where required by applicable law, please provide the following information regarding the ultimate beneficial owner(s).
| Information | Details |
|---|---|
| Name | |
| Nationality | |
| Ownership Percentage |
If there are multiple beneficial owners, please attach additional pages as necessary.
D. Supporting Documentation
The Issuer may request one or more of the following documents to verify the information provided in this Questionnaire:
- Government-issued identification.
- Certificate of incorporation or organizational documents.
- Proof of address.
- Tax documentation.
- Beneficial ownership documentation.
- Corporate authorization documents.
- Any additional documentation reasonably requested to satisfy applicable KYC, AML or regulatory requirements.
6Certifications
By signing below, the Investor certifies that:
- The information contained in this Questionnaire is true, accurate and complete to the best of the Investor's knowledge.
- The Investor has provided this information for the purpose of enabling the Issuer to determine the Investor's eligibility to participate in the proposed offering and to satisfy applicable legal and regulatory requirements.
- The Investor agrees to promptly notify the Issuer of any material change to the information provided in this Questionnaire before the completion of the proposed transaction.
- The Investor understands that the Issuer may rely upon the information contained in this Questionnaire in determining the Investor's eligibility for the proposed offering.
- The Investor acknowledges that the Issuer may request additional information or documentation to verify the information contained in this Questionnaire or to comply with applicable legal, regulatory, KYC or AML requirements.
Signature
Individual Investor
| Information | Details |
|---|---|
| Investor Name | |
| Signature | |
| Date |
Entity Investor
| Information | Details |
|---|---|
| Entity Name | |
| Authorized Signatory | |
| Title | |
| Signature | |
| Date |