exchange

vqf_902_11.typ (6665B)

---

 // VQF 902.11 Establishing of the controlling person (K)
 // Pass JSON data as content dictionary
 // NOTE: This is the original form. We don't use
 // it as this form was split in customer + officer parts.
 // Preserved here in case some auditor insists on us
 // combining the two!
 
 #let form(data) = {
   set page(
     paper: "a4",
     margin: (left: 2cm, right: 2cm, top: 2cm, bottom: 2.5cm),
     footer: context [
       #grid(
         columns: (1fr, 1fr),
         align: (left, right),
         text(size: 8pt)[
           VQF doc. Nr. 902.11#linebreak()
           Version of 1 December 2015
         ],
         text(size: 8pt)[
           Page #here().page() of #counter(page).final().first()
         ]
       )
     ]
   )
 
   set text(font: "Liberation Sans", size: 10pt)
   set par(justify: false, leading: 0.65em)
 
   // Helper function to get value or empty string
   let get(key, default: "") = {
     data.at(key, default: default)
   }
 
   // Helper function for checkbox
   let checkbox(checked) = {
     box(
       width: 3mm,
       height: 3mm,
       stroke: 0.5pt + black,
       inset: 0.3mm,
       if checked == true or checked == "true" {
         place(center + horizon, text(size: 8pt, sym.checkmark))
       }
     )
   }
 
   // Header
   align(center, text(size: 11pt, weight: "bold")[CONFIDENTIAL])
 
   v(0.5em)
 
   grid(
     columns: (50%, 50%),
     gutter: 1em,
     image("vss_vqf_verein.png", width: 80%),
     align(right)[
       #table(
         columns: (1fr, 1fr),
         stroke: 0.5pt + black,
         inset: 5pt,
         align: (left, left),
         [VQF member no.], [AMLA File No.],
         [#get("VQF_MEMBER_NUMBER")], [#get("FILE_NUMBER")]
       )
     ]
   )
 
   v(1em)
 
   align(left, text(size: 14pt, weight: "bold")[Establishing of the controlling person of operating legal entities and partnerships both not quoted on the stock exchange (K)])
 
   v(0.3em)
 
   text(size: 9pt, style: "italic")[
     (for operating legal entities and partnership that are contracting partner as well as analogously for operating legal entities and partnership that are beneficial owners)
   ]
 
   v(-1em)
   line(length:100%)
 
   v(1em)
 
   // Section 1: Contracting Partner
   text(size: 11pt, weight: "bold")[Contracting partner:]
 
   v(0.5em)
 
   table(
     columns: (1fr),
     stroke: 0.5pt + black,
     inset: 5pt,
     [#get("IDENTITY_CONTRACTING_PARTNER")]
   )
 
   v(1em)
 
   // Section 2: Declaration
   let control_reason = get("CONTROL_REASON")
 
   text()[The contracting partner hereby declares that (tick the appropriate box):]
 
   block(breakable: false)[
     #grid(
       columns: (auto, 1fr),
       gutter: 0.5em,
       row-gutter: 0.8em,
       checkbox(control_reason == "HAS_25_MORE_RIGHTS"),
       [the person(s) listed below is/are *holding 25% or more of the contracting partner's shares (capital shares or voting rights)*; or],
 
       checkbox(control_reason == "OTHER_WAY"),
       [if the capital shares or voting rights cannot be determined or in case there are no capital shares or voting rights 25% or more, the contracting partner hereby declares that the person(s) listed below *is/are controlling the contracting partner in other ways*; or],
 
       checkbox(control_reason == "DIRECTOR"),
       [in case this/these person(s) cannot be determined or this/these person(s) does/do not exist, the contracting partner hereby declares that the person(s) listed below is/are the *managing director(s)*]
     )
   ]
 
   v(1em)
 
   // Section 3: Controlling Persons
   let persons = get("IDENTITY_LIST", default: ())
   let has_persons = type(persons) == array and persons.len() > 0
 
   if has_persons {
     for person in persons {
       let get_person(key) = {
         person.at(key, default: "")
       }
 
       block(breakable: false)[
         #v(0.5em)
         #table(
           columns: (35%, 65%),
           stroke: 0.5pt + black,
           inset: 5pt,
           [Full name:], [#get_person("FULL_NAME")],
           [Actual address of domicile:], [#get_person("DOMICILE_ADDRESS")]
         )
         #v(0.5em)
       ]
     }
   } else {
     block(breakable: false)[
       #v(0.5em)
       #table(
         columns: (35%, 65%),
         stroke: 0.5pt + black,
         inset: 5pt,
         [Last name(s):], [],
         [First name(s):], [],
         [Actual address of domicile:], []
       )
       #v(0.5em)
     ]
   }
 
   v(1.5em)
 
   // Section 4: Fiduciary Holding
   text(size: 11pt, weight: "bold")[Fiduciary holding assets]
 
   v(0.5em)
 
   let third_party = get("THIRD_PARTY_OWNERSHIP")
 
   block(breakable: false)[
     #text()[Is a third person the beneficial owner of the assets held in the account/securities account?]
 
     #grid(
       columns: (auto, 1fr),
       gutter: 0.5em,
       row-gutter: 0.5em,
       checkbox(not third_party), [No.],
       checkbox(third_party), [Yes. $=>$ The relevant information regarding the beneficial owner has to be obtained by filling in a separate VQF doc. No. 902.9.]
     )
   ]
 
   v(0.5em)
 
   text()[The contracting partner hereby undertakes to automatically inform of any changes to the information contained herein.]
 
   v(0.5em)
 
   // Signature Section
   let submitted_by_officer = get("BY_AML_OFFICER")
 
   if submitted_by_officer == false {
     table(
       columns: (40%, 10%, 50%),
       stroke: 0.5pt + black,
       inset: 5pt,
       [Date:],
       [],
       [Signature(s):],
       [#get("SIGN_DATE")],
       [],
       [#get("SIGNATURE")]
     )
 
     v(1em)
 
     text(size: 9pt, style: "italic")[
       It is a criminal offence to deliberately provide false information on this form (article 251 of the Swiss Criminal Code, documents forgery).
     ]
   } else if submitted_by_officer == true {
     text(weight: "bold")[Signed declaration by the customer]
 
     v(0.5em)
 
     text(size: 9pt)[This form was submitted by #get("AML_STAFF_NAME").]
 
     v(0.5em)
 
     text(size: 9pt)[The attachment contains the customer's signature on the beneficial owner declaration.]
 
     v(0.5em)
 
     table(
       columns: (1fr),
       stroke: 0.5pt + black,
       inset: 5pt,
       [Signed Document:],
       [#if get("ATTACHMENT_SIGNED_DOCUMENT") != "" [Document attached] else [No document]]
     )
   } else {
     text(weight: "bold")[Invalid submitter (#submitted_by_officer)]
   }
 }
 
 // Example usage:
 #form((
   "VQF_MEMBER_NUMBER": "12345",
   "FILE_NUMBER": "42",
   "IDENTITY_CONTRACTING_PARTNER": "Example Company AG\nBahnhofstrasse 1\n8001 Zurich\nSwitzerland",
   "CONTROL_REASON": "HAS_25_MORE_RIGHTS",
   "IDENTITY_LIST": (
     (
       "FULL_NAME": "Jane Smith",
       "DOMICILE_ADDRESS": "Teststrasse 456\n8001 Zurich"
     ),
   ),
   "THIRD_PARTY_OWNERSHIP": false,
   "BY_AML_OFFICER": false,
   "SIGNATURE": "Jane Smith",
   "SIGN_DATE": "10.11.2025",
 ))