Approval of Rules for Reporting Illicit Income Legalization and Terrorist Financing Risks by Securities Registrars

The order №47/04 of the President of the National Bank of Georgia May 5, 2016 Tbilisi On the approval of the rule for completing reports and presenting information for the legalization of illicit income of the Securities registrar and terrorist financing risk supervision Pursuant to the requirements of the paragraph 3rd of the article 48th, subparagraph “e” of the
article 52nd of the Organic Law of Georgia “On the National Bank of Georgia” and subparagraph “a”
of the article 4th of the Law of Georgia “Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization” and paragraph 1st of the article 11 of same law, I hereby order:
Article 1. (27.06.2018 N 119/04)
The rule for completing reports and presenting information for the legalization of illicit income of the securities registrar and terrorist financing risk supervision shall be approved.
Article 2
This order shall take effect immediately upon publication.
The President of the National Bank of Georgia Koba Gvenetadze The rule for completing reports and presenting information for the legalization of illicit income of the securities registrar and terrorist financing risk supervision
Article 1. Purpose and scope of the rule

1. The rule for completing reports and presenting information for the legalization of illicit
   income of the securities registrar and terrorist financing risk supervision (hereinafter referred to as the “Rule”) includes the principles of filling in the separate columns of the "Report of legalization of illicit income of the securities registrar and terrorist financing risk supervision" (hereinafter referred to as – “the report”) provided for in Annex No. 1 of this order, which require explanation as well as the manner of presentation of additional information to be provided by securities registrar.
2. The purpose of remote supervision of the risk of legalization of illicit income and terrorist
   financing (hereinafter referred to as – “Remote Supervision”) is to assess the risks of legalization of illicit income and terrorism financing in a particular securities registrar in accordance with the rules established by the National Bank of Georgia (hereinafter referred to as “National Bank of Georgia”), as well as, the adequacy of the internal control system of the registrar and, and taking into account the abovementioned appropriate supervisory measures should be taken.
3. In order to carry out remote supervision, the securities registrars operating in Georgia
   provide the National Bank with the information required by this rule in the prescribed form and within the time limits.

Article 2. Definition of terms
For the purposes of this rule, the terms have the following meanings:
a) Entity– Both a resident and a non-resident natural or legal person, as well as an organizational formation provided for by the legislation of Georgia, which is not a legal entity; b) Resident natural person – a natural person who is a citizen of Georgia, as well as an individual entrepreneur; c) Non-resident natural person – a natural person who is a citizen of a foreign country, as well as a natural person without citizenship and a citizen of a foreign country who is registered as an individual entrepreneur in Georgia; d) Resident legal entity – legal entity, as well as any kind of organizational formation, created in accordance with the legislation of Georgia; e) Non-resident legal entity – legal entity, as well as any type of organizational formation, created in accordance with the legislation of a foreign country; f) Registered -created – in case of legal entity, having citizenship – in case of natural person; g) Issuer – person, which issues securities in accordance with the legislation; h) Registered person – a natural or legal person registered in the share register, who owns securities issued by the issuer; I) Client – any person (issuer and registered person) who applies to the registrar, depending on the main activity of the latter, for the services stipulated by the legislation of Georgia and/or uses the aforementioned services. J) Offshore zone - countries and territories defined by Annex No. 2; (27.06.2018 N 119/04) K) An operation (transaction) carried out without identification – an operation (transaction) during the implementation of which the person's name, surname, residency and unique identification number (personal number, and in the absence of it - document number) are not established. (27.06.2018 N 119/04)

Article 3. General provisions
1. The main columns of the reporting forms are filled by the registrar, and some of them are
protected and filled automatically based on the information filled by the registrar.
2. The reporting form shall accurately and completely include the requested information
according to the reporting period defined by the first paragraph of Article 17 of this rule.
3. The report shall include information on the volume of transactions (operations) carried out
by clients during the reporting period, which is recorded in the national currency at the official exchange rate established by the National Bank on the date of the transaction.
4. The volume of the transaction (operation) includes the value provided by the contract of
securities, declared in case of non-submission to the registrar of the contract, and in other cases the nominal value.
5. Information about blocking of transactions (operations) on personal accounts is not
reflected in the reporting forms.
6. It is not allowed to repeat the data in the sub-factors in the reporting forms, except for the
cases provided by paragraphs 23 and 24 of Article 10 of this rule.

7. When carrying out operations between the registrar's clients, the information is reflected
in terms of both of them.
8. In the event that the client has the citizenship of another country along with the
citizenship of Georgia, he/she is recorded in the report as a citizen of another country, and if in both cases, he/she is a citizen of a foreign country - as a citizen of the country that carries more risk in terms of legalization of illicit income and terrorism financing.
9. If the client has changed the risk level several times during the reporting period, it is
recorded in the report according to the risk category assigned at the end of the reporting period. (27.06.2018 N 119/04)
Article 4. Forms of report
The report includes the following forms:
a) Information about the securities registrar (form No. 1); b) Information about the structure of the client base (form No. 2); c) Information about the residency of clients and transactions carried out by them (form No. 3) d) Information about the residency of clients (form No. 4); e) Information about clients identified based on a third party (form No. 5); f) Information about clients with high-risk activities and risk-bearing clients with various signs (form No. 6); g) Statistical information about the reports sent to the financial monitoring service (form No. 7); h) Information on reports sent with suspicious status (form N8); I) Information on sanctioned clients and suspended transactions (form No. 9); j) Information on the state of implementation of the recommendations of the National Bank of Georgia (form No. 10); k) Information about suspicious zones (form No. 11);
Article 5. Information on securities registrar (form №1)
1. The reporting form includes the name of registrar and the information about owner(s) of
a significant share (10% and more), beneficial owner(s), director(s), person responsible for monitoring.
2. When reflecting information about members of the owners of a significant share, beneficial
owners, directors, the person responsible for monitoring, identification data is indicated (in the case of a natural person, name, surname, personal number and citizenship, and in the case of a legal entity -Firm name, identification code and registration country).
3. The form also reflects the date of the last inspection (on-site inspection) carried out by the
National Bank and information about the assessment. (27.06.2018 N 119/04)
4. The form also reflects information according to the data available at the end of the
reporting period.
Article 6. Information on the structure of the client base (form No. 2)
1. The reporting form consists of factors and sub-factors. According to risk levels and other
characteristics, the form should reflect information about the number of clients and the volume of transactions (operations) carried out in the reporting period.

2. In order to fill out the reporting form, registrar shall provide a classification of clients
according to risk levels.
3. The reporting form includes the quantitative indicators of clients who are registered with
the registrar during the reporting period, regardless of whether the transaction was carried out by them during the reporting period, as well as information about those clients who terminated business relations with the registrar during the reporting period.
Article 7. Information about clients' residency and transactions carried out by them (form No.
3)
1. Reporting form shall reflect information only about those clients who made transactions
during the reporting period according to the residency.
2. The reporting form includes a quantitative indicator of issuers and registered natural and
legal persons and information on the number and volume of transactions (operations) carried out by/for their benefit. The form also includes information on clients with whom business relations were terminated during the reporting period.
3. Column “other” shall reflect detailed information about persons registered in those
countries/territories the list of which is not given in the form (indicating the name and code of the country/territory).
4. Regardless of the threshold amount established by the legislation regarding identification,
if the registrar has the client's identification data, the information shall be reflected in the same form according to the residency.
5. Reporting form shall reflect differently information about transactions carried out without
identification of the client during the reporting period.
Article 8. Information about client’s residency (Form №4)
1. The reporting form reflects the information about the clients who are in a business
relationship with the registrar during the reporting period according to residency, regardless of whether the transaction was carried out by them/for their benefit during the reporting period. The form also reflects information about those clients who have terminated business relations with the registrar during the reporting period.
2. Column “other” shall reflect detailed information about persons registered in those
countries/territories the list of which is not given in the form (indicating the name and code of the country/territory).
3. Regardless of the threshold amount established by the legislation regarding identification,
if the registrar has the client's identification data, the information shall be reflected in the same form according to the residency.
4. Information about clients who are not identified is reflected in the form in a differentiated
manner.
Article 9. Information about clients identified based on a third party (form No. 5)
1. The form shall include the information about those clients, whose identification was
carried out in accordance with the paragraph 11, of the Article 6 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization" (including clients identified through resident third parties/intermediaries (for example of brokerage companies).
2. The form shall include the data of that organization (the name of the country of registration
shall be identical to the name given in the list of countries established by the relevant reporting

forms), which the registrar relied on when identifying the person, as well as the number of clients identified in this form and data on the performed transactions.
3. The quantitative indicator of customers is reflected in full, regardless of whether the customer made
a transaction during the reporting period. The form also includes information about clients who have terminated relations with the registrar during the reporting period.
Article 10. Information about clients with high-risk activities and risk-bearing clients with
various signs (form No. 6)
1. The reporting form includes information on the number and volume of transactions of
clients with high-risk activities, as well as risk-bearing clients with various signs.
2. The quantitative indicator of individuals is reflected in full, regardless of whether the client
made a transaction during the reporting period. The form also includes information about clients who have terminated relations with the registrar during the reporting period.
3. Professional service providers include persons engaged in consulting, marketing and other
similar professional activities, in addition to persons engaged in legal, accounting and auditing activities. (27.06.2018 N122/04)
4. Persons engaged in gambling activities include companies the activities of which are
related to the sale of lottery tickets, the operation of gambling machines, the operation of virtual gambling websites, bookmaking and betting activities, and the operation of casinos (including "Floating casinos"). (27.06.2018 N122/04)
5. Activities related to precious metals, precious stones and their products, antiques and
works of art, it also includes auctioneers, pawnbroker, jewelry, antiques and art stores.
6. The reporting form does not reflect information about artists and auction organizers
defined by the Law of Georgia "On Enforcement Proceedings".
7. The form does not include information about companies created with the state's shared
participation, the activities of which are the production and/or trade of weapons, ammunition, military equipment and transport (of parts), nuclear reactor materials, except for companies created with the shared participation of states determined as non-cooperative, cautionary or offshore zones. (27.06.2018 N119/04)
8. The information about the customers, whose activity is trade and/or production of
chemical substances, does not include companies producing and/or selling household chemical products.
9. Organizations the activities of which are not focused on making a profit include grant
issuers, charitable and humanitarian aid providers, religious and non-governmental organizations, foundations, federations, associations, etc.
10. Organizations the activities of which are not focused on making a profit do not include
administrative bodies and organizations founded by them, as well as authoritative international financial institutions (EBRD, WB, IMF, etc.).
11. The sports clubs specified in the form include football, basketball and other similar types
of clubs, except for sports and health complexes.
12. The form includes information about non-resident investment funds and companies.
(27.06.2018 N119/04)
13. Removed (27.06.2018 N119/04)
14. The form includes information about holding companies the main activities of which is
managing or controlling the activities of other enterprises.

15. The form includes information about non-resident asset management companies that
manage and invest clients’ funds (including pension savings). (27.06.2018 N119/04
16. The form includes information about the trust service provider companies that act as a
fiduciary, agent or trustee for the interests of a natural or legal person in order to administer, manage and further transfer assets to the beneficiary. (27.06.2018 N119/04);
161. Companies with a trust legal relationship include persons, in the ownership or
management structure of which we have such a legal arrangement (for example., trust, fideicomiso, treuhand, fiducie)), where the settlor, trustee, beneficiary, and/or other persons (protector, etc.) are stated.
17. The form includes information about companies the main activity of which is related to
trading with binary options on foreign currency or other trading instruments (Forex and binary options companies, etc.). (27.06.2018 N119/04)
18. Removed (27.06.2018 N119/04)
19. In the form, the quantitative indicator of persons shall include information about all
clients participating in the transaction sent to the Financial Monitoring Service of Georgia with a suspicious status is reflected and in the transaction column, both the transaction sent with a suspicious status and the information about the total volume of the amount of the transactions carried out by the transaction parties with the registrar during the reporting period.
20. In the case of sending a report to the Financial Monitoring Service of Georgia with a
suspicious status of a transaction attempt, the transaction volume will reflect both the amount of this particular transaction and the total volume of transactions carried out by the client(s) participating in the transaction during the reporting period.
201. Customers whose beneficial owner is a person registered in the
Noteworthy/Offshore/Non-Cooperative Zones do not include customers registered in such zones. (27.06.2018 N119/04)
21. Companies are considered to have a complex ownership structure in the form, the
determination of beneficial owners of which requires vertical studies of two or more legal entities. A branch and/or representative office of an enterprise is not considered a legal entity. (27.06.2018 N 119/04)
22. Registrar shall include information in the form on clients determined by it to be high risk
according to the activities, if the criteria differ from the list given in the form.
23. If the client is at the same time a risk-bearer with several signs provided for in the form,
the information is reflected in only one of the factors. Exceptions are the factors "persons about whom report was sent to the Financial Monitoring Service of Georgia with a suspicious status", "companies with a complex ownership structure" and "persons whose beneficial owners are registered in noteworthy/offshore/non-cooperative zones", in which the data repetition provided by the factors are allowed. (27.06.2018 N122/04) For example, if a professional service provider is at the same time with a complex ownership structure, information is reflected in both factors. (27.06.2018 N119/04)
24. If the client's characteristics simultaneously correspond to the factors "Persons about
whom report was sent to the Financial Monitoring Service of Georgia with a suspicious status", "Persons whose beneficial owners are registered in the noteworthy/off-shore/non-cooperative zones" and "Companies with a complex ownership structure", the information is recorded in all three factors. (27.06.2018 N119/04)

Article 11. Statistical information on reports sent to the Financial Monitoring Service (form
No. 7)
1. The reporting form includes statistical information on reports sent to the Financial
Monitoring Service of Georgia in accordance with Article 9 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization”.
2. Information about reports sent with a suspicious status is reflected differently, indicating
the reason for sending the report with a suspicious status.
Article 12. Information on reports sent with suspicious status (form N8)
1. The reporting form includes additional information on reports sent to the Financial
Monitoring Service of Georgia with suspicious status in accordance with Article 9 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization”.
2. In order to fill out the form, the registrar shall ensure sorting of information given in
reports sent with suspicious status according to the residency of the clients participating in the transaction and the status of the transaction ("Terrorism Financing," "Other"). (27.06.2018 N 119/04)
3. The form reflects information about all parties (clients) of the transaction (according to
residency). (27.06.2018 N 119/04)
4. If "other" is marked in the status column, the basis for assigning this status shall be recorded
in the additional information, and the data shall be recorded in separate columns in accordance with the basis. (27.06.2018 N 119/04)
Article 13. Information on sanctioned clients and suspended transactions (form No. 9)

1. The form includes the information about the number and residency of those clients whose
property was confiscated in accordance with the court decision based on the petition of the government commission working on the issues of implementation of the resolutions of the UN Security Council during the reporting period.
2. The form also includes information on the number and residency of those clients, the
execution of whose transactions was suspended based on the written instruction of the Financial Monitoring Service of Georgia during the reporting period.
3. The column "Other", shall include information about persons registered in those
countries/territories, the list of which is not given in the form (indicating the name and code of the country/territory).
Article 14. Information on the state of implementation of the recommendations of the National
Bank of Georgia (form No. 10)
1. The reporting form includes the recommendations determined as a result of both on-site
inspection and remote supervision of the National Bank of Georgia and the status of their implementation.
2. The reporting form shall include each recommendation, the established implementation
period, the implementation status, the measures taken and the implementation date.
3. In order to fulfill each recommendation, the information on the implemented measures
described in the form should clearly reflect the measures taken by the registrar.

Article 15. Information on suspicious zones (Form №11)
1. The reporting form reflects the country or part of the country's territory, which was
considered by the registrar to have a weak control mechanism for the legalization of illicit income (by indicating the country code).
2. The reporting form shall contain information on the date of classification of the country
or a part of the country's territory as a suspicious zone about the basis and source, considering which it was considered as a suspicious area.
3. If a country/part of the country's territory, which is included in the list of countries specified in the
relevant reporting forms, is considered a suspicious area, the name in the form should be indicated identically to the name in the list.
Article 16. Additional information to be presented by the securities registrar.
1. In addition to the reporting provided for in Annex No. 1 of this order, for the purpose of
remote evaluation of the control system, the registrar shall submit to the National Bank all the policy-procedures and software descriptions developed in order to facilitate the legalization of illicit income and the prevention of terrorism financing.
2. The information provided by the first paragraph of this article is presented according to
the reporting period defined by Article 17 of this rule, except for the cases defined by paragraph 3 of the same article.
3. Policy-procedures and software descriptions do not need to be presented repeatedly
according to reporting periods, unless there are any changes in it, and in case of changes, only updated information is sent.
4. Other additional information can be requested from the registrar based on the relevant
request of the National Bank.
5. The information specified in the first and fourth paragraphs of this article can be requested
in the form of a questionnaire, the form of which is determined by the National Bank.
Article 17. Deadlines for submission of reports and additional information
1. The registrar submits the report to the National Bank for the following dates:
a) Reporting of the first half of the year (January - June) - no later than July 31 of the current year; b) Reporting of the second half-year (July - December) - no later than January 31 of the year following the reporting period.
2. The policy-procedures and the description of the software provided by Article 16 of this
rule shall be submitted by the registrar together with the report.
3. In order to schedule an on-site inspection of a specific registrar, taking into account changes
in the management and/or ownership structure of the registrar, as well as other circumstances, it is possible to request reports and/or additional information ahead of time. However, the different frequency and intensity of reporting/information requests may be determined by the level of risk of legalization of illicit income of the registrar and terrorist financing.
4. In order to establish the authenticity of the reports submitted to the National Bank, the
registrar is obliged to have an accounting system that ensures the reconstruction of the data reflected in the reports (27.06.2018 N119/04)
Article 18. Rules for submitting reports and additional information (27.06.2018 N119/04)

1. In accordance with the rule approved by the relevant order of the President of the National
Bank, the registrar, within the terms specified in the first paragraph of Article 17 of this rule, uploads the report certified by electronic/digital signature to the "AML/CFT remote supervision portal" (hereinafter referred to as - the portal).
2. The reporting form is posted on portal.
3. The report is prepared in MSExcel format. Violation of the reporting format and formulas
posted on the portal is not allowed.
4. The registrar shall also submit to the National Bank, through the "correspondence"
functionality of the portal, the information provided for in Article 16 of this rule within the terms specified in the first paragraph of Article 17 of this rule.
5. In order to facilitate the legalization of illicit income and the prevention of terrorism
financing provided for in Article 16 of this rule, the policy-procedures existing in the registrar, as well as the changes made in the policy-procedures, are presented to the National Bank in the Georgian language, in the form of an officially signed and scanned document. If the original document is drawn up in a foreign language, the document translated into Georgian shall be submitted together with the signed and scanned document.
6. In the case of submitting the information provided for in paragraph 5 of the Article 16 of
this rule by means of a questionnaire, the questionnaire shall be verified with an electronic/digital signature.
7. In case of interruption of the functioning of the portal, for reasons independent of registrar,
in accordance with the requirements of this article, the reporting and/or the information provided for in Article 16 of this rule is delivered to the National Bank by complying with the requirements of this article in electronic form at the following address: aml.offsite@nbg.gov.ge.
Annex N1. (27.06.2018 N 119/04)
Reporting on legalization of illicit income and terrorism financing risk supervision of securities registrar Form N1. Information about securities registrar Name of the securities registrar The owner(s) of a significant share Beneficial Owner Person(s) Director(s) Person responsible for monitoring implementation/contact information The date of the last inspection carried out by the National Bank of Georgia The assessment given as a result of the last inspection carried out by the National Bank of Georgia Form N2. Information about the structure of the client base Client base Number of persons Volume of transactions Total - - High-risk customers - - A natural person - resident A resident legal entity Non-resident natural person Non-resident legal entity

Medium-risk customers -
-
A natural person - resident
A resident legal entity
Non-resident natural person
Non-resident legal entity
Low-risk customers -
-
A natural person - resident
A resident legal entity
Non-resident natural person
Non-resident legal entity
Form N3. Information about the residency of clients and transactions carried out by them

Transaction carried out without identification Number of the transactions The volume of transactions Registration countries County code Issuers

Registered persons
Legal entities Natural persons
Number of transactions
Volume of transactions
Number of issuers
Number of transactions
Volume of transactions
Number of legal entities
Number of transactions
Volume of transactions
Number of natural persons

Total
Australia AU
Austria AT
Afghanistan AF
Azerbaijan AZ
Åland Islands AX
Albania AL
Algeria DZ
American Samoa AS
Anguilla AI
Angola AO
Andorra AD
Antarctica AQ
Antigua and Barbuda AG
United Arab Emirates AE
Argentina AR
Aruba AW
United States US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
The Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory
IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom GB
Guyana GY
The Gambia GM
Ghana GH
Germany DE
Guernsey GG
Guadeloupe GP
Guatemala GT
Guinea GN
Guinea-Bissau GW
Gibraltar GI
Grenada GD
Greenland GL
Guam GU
Denmark DK
Western Sahara EH
Dominica DM
Dominican Republic DO

Egypt EG
Ethiopia ET
Ecuador EC
Equatorial Guinea GQ
Iraq IQ
Eritrea ER
Spain ES
Estonia EE
Vanuatu VU
Vatican City VA
Venezuela VE
Vietnam VN
U.S. Virgin Islands VI
British Virgin Islands VG
Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Caribbean Netherlands BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Democratic Republic of the Congo CD
South Korea KR
North Korea
KP
Costa Rica CR
Côte d'Ivoire CI
Cuba CU
Cook Islands CK
Curaçao CW
Lao People's Democratic Republic
LA
Latvia LV
Lesotho LS
Lebanon LB
Liberia LR
Libya LY
Lithuania LT
Liechtenstein LI
Luxembourg LU
Madagascar MG

Mauritius MU
Mauritania MR
Macao MO
North Macedonia MK
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Morocco MA
Martinique MQ
Marshall Islands MH
Mayotte YT
Isle of Man IM
Mexico MX
Myanmar MM
Federated States of Micronesia FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Naples NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF
Oman OM
Pakistan PK
Palau PW
Palestine PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn Islands PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russia RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich
Islands GS
San Marino SM
Saudi Arabia SA
Sao Tome and Principe ST
France FR
French Guiana GF

French Polynesia PF
French Southern and Antarctic Lands TF
Seychelles SC
Saint Barthélemy BL
Senegal SN
Collectivity of Saint Martin MF
Saint Helena SH
Saint Vincent and the Grenadines VC
Federation of Saint Kitts and Nevis KN
Saint Lucia LC
Saint Pierre and Miquelon PM
Serbia RS
Eswatini SZ
Svalbard and Jan Mayen SJ
Sierra Leone SL
Singapore SG
Sint Maarten
SX
Syria SY
Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan, Province of China TW
Thailand TH
Tanzania TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas)
FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying
Islands UM
Sweden SE
Switzerland CH
Christmas Island CX

Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP
Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands
HM
Honduras HN
Hong Kong HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out

• -
  -
  -
  List:
  Form N4. Information about the residency of the client Without identification Number of persons Registrations countries Country code Registered persons Natural persons Legal entities Issuers Total - - Australia AU Austria AT Afghanistan AF Azerbaijan AZ Åland Islands AX Albania AL Algeria DZ American Samoa AS Anguilla AI Angola AO Andorra AD Antarctica AQ Antigua and Barbuda AG United Arab Emirates AE Argentina AR

Aruba AW
United States of America US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom of Great Britain and Northern Ireland GB Guyana GY Gambia GM Ghana GH Germany DE Guernsey GG Guadeloupe GP Guatemala GT Guinea GN Guinea-Bissau GW Gibraltar GI Grenada GD Greenland GL Guam GU Denmark DK Western Sahara EH Dominica DM Dominican Republic DO Egypt EG Ethiopia ET

Ecuador EC
Equatorial Guinea GQ
Iraq IQ
Eritrea ER
Spain ES
Estonia EE
Vanuatu VU
Holy See VA
Venezuela VE
Viet Nam VN
Virgin Islands (U.S.) VI
Virgin Islands (British) VG
Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran (Islamic Republic of) IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Bonaire, Sint Eustatius and Saba BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Congo (the Democratic Republic of the) CD
Korea (the Republic of) KR
Korea (the Democratic People's Republic of) KP Costa Rica CR Côte d'Ivoire CI Cuba CU

Cook Islands CK
Curaçao CW
Lao People's Democratic Republic LA
Latvia LV
Lesotho LS
Lebanon LB
Liberia LR
Libya LY
Lithuania LT
Liechtenstein LI
Luxembourg LU
Madagascar MG
Mauritius MU
Mauritania MR
Macao MO
Republic of North Macedonia MK
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Morocco MA
Martinique MQ
Marshall Islands MH
Mayotte YT
Isle of Man IM
Mexico MX
Myanmar MM
Micronesia (Federated States of) FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Nepal NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF

Oman OM
Pakistan PK
Palau PW
Palestine, State of PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russian Federation RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich Islands GS San Marino SM Saudi Arabia SA Sao Tome and Principe ST France FR French Guiana GF French Polynesia PF French Southern Territories TF Seychelles SC Saint Barthélemy BL Senegal SN Saint Martin (French part) MF Saint Helena, Ascension and Tristan da Cunha SH Saint Vincent and the Grenadines VC Saint Kitts and Nevis KN Saint Lucia LC Saint Pierre and Miquelon PM Serbia RS Eswatini SZ Svalbard and Jan Mayen SJ Sierra Leone SL Singapore SG Sint Maarten (Dutch part) SX Syrian Arab Republic SY

Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan (Province of China) TW
Thailand TH
Tanzania, United Republic of TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas) FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying Islands UM
Sweden SE
Switzerland CH
Christmas Island CX
Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP

Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands HM
Honduras HN
Hong Kong HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out - - List:
Form N5. Information about customers identified on the basis of a third party Name of the organization country Country code Number of persons Number of transactions Volume of transactions Total Sum total - - -

Form N6. Information about clients with high-risk activities and risk-bearing clients with various signs Clients Number of persons Volume of transactions Total data - - Total - - Professional service providers Persons carrying out gambling activities Persons carrying out activities related to precious metals, precious stones and their products, antiques and works of art Persons related to the production and/or trade of weapons and ammunition, military equipment and transport (parts). Persons related to the production and/or trade of chemical substances Persons related to the production and/or trade of nuclear reactor materials Organizations the activities of which are not focused on making a profit Sports clubs Investment funds/companies Holding companies Asset management companies Companies providing trust services Companies with a trust-legal relationship Real estate agents Binary options trading companies Politically active persons Total - - Persons about whom reports have been sent to the Financial Monitoring Service with a suspicious status Companies with complex ownership structures Persons whose beneficiary owners are registered in worthy of attention/offshore/non-cooperative zones Other high-risk customers - -

Form N7. Statistical information about reports sent to the Financial Monitoring Service Reports sent to Financial Monitoring Service Number of reports Total - Suspicious - Financing of terrorism Others Above the limit - A transaction executed with securities on the representative Form N8. Information about reports sent with a suspicious status Status Residency Country code Number of persons Additional information

Form N9. Information about sanctioned customers and suspended transactions Registration countries Country codes Number of persons whose property was seized The number of persons whose transactions have been suspended Total

-
-
Australia AU
Austria AT
Afghanistan AF
Azerbaijan AZ
Åland Islands AX
Albania AL
Algeria DZ
American Samoa AS
Anguilla AI
Angola AO
Andorra AD

Antarctica AQ
Antigua and Barbuda AG
United Arab Emirates AE
Argentina AR
Aruba AW
United States of America US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom of Great Britain and Northern Ireland GB Guyana GY Gambia GM Ghana GH Germany DE Guernsey GG Guadeloupe GP Guatemala GT Guinea GN Guinea-Bissau GW Gibraltar GI Grenada GD Greenland GL Guam GU Denmark DK Western Sahara EH Dominica DM Dominican Republic DO Egypt EG Ethiopia ET Ecuador EC Equatorial Guinea GQ Iraq IQ Eritrea ER Spain ES Estonia EE Vanuatu VU Holy See VA Venezuela VE Vietnam VN Virgin Islands (U.S.) VI Virgin Islands (British) VG

Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran (Islamic Republic of) IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Bonaire, Sint Eustatius and Saba BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Congo (the Democratic Republic of the) CD
Korea (the Republic of) KR
Korea (the Democratic People's Republic of) KP Costa Rica CR Côte d'Ivoire CI Cuba CU Cook Islands CK Curaçao CW Lao People's Democratic Republic LA Latvia LV Lesotho LS Lebanon LB Liberia LR Libya LY Lithuania LT Liechtenstein LI Luxembourg LU Madagascar MG Mauritius MU Mauritania MR Macao MO Macedonia MK Malawi MW Malaysia MY Maldives MV Mali ML Malta MT Morocco MA Martinique MQ Marshall Islands MH Mayotte YT Isle of Man IM Mexico MX Myanmar MM

Micronesia (Federated States of) FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Nepal NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF
Oman OM
Pakistan PK
Palau PW
Palestine PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russian Federation RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich Islands
GS
San Marino SM
Saudi Arabia SA
Sao Tome and Principe ST
France FR
French Guiana GF
French Polynesia PF
French Southern Territories TF
Seychelles SC
Saint Barthélemy BL
Senegal SN
Saint Martin (French part) MF
Saint Helena SH
Saint Vincent and the Grenadines VC
Saint Kitts and Nevis KN
Saint Lucia LC
Saint Pierre and Miquelon PM
Serbia RS
Eswatini SZ
Svalbard and Jan Mayen SJ
Sierra Leone SL
Singapore SG

Sint Maarten (Dutch part) SX
Syrian Arab Republic SY
Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan (Province of China) TW
Thailand TH
United Republic of Tanzania TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas) FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying Islands
UM
Sweden SE
Switzerland CH
Christmas Island CX
Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP
Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands HM
Honduras HN
Hong Kong HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out - -

List:
Form N10. Information about the state of implementation of the recommendations of the National Bank of Georgia Recommendation The term of performance established by the National Bank of Georgia Performance condition (Status) Conducted measures Performance date

Form N11. Information on suspicious zones
Zone lists Country codes
Date of entry into the zone list
Grounds for considering the zone suspicious

Annex N2. (27.06.2018 N 119/04)
Offshore zones
Cyprus CY
United Arab Emirates AE
Ireland IE
Kuwait KW
Philippines PH

Lebanon LB
Switzerland CH
Oman OM
Malta MT
Malaysia MY
Luxembourg LU
Bahrain BH
Aruba AW
Maldives MV
Macao MO
Uruguay UY
Morocco MA
Jamaica JM
Curaçao CW
Tuvalu TV
Chile CL
Fiji FJ
Hing Kong HK
Nicaragua NI
Costa Rica CR
Nauru NR
Botswana BW
Angola AO
Andora AD
Barbados BB
Bahamas BS
Belize BZ
Bermuda BM
Brunei Darussalam BN
Guernsey GG
Guatemala GT
Gibraltar GI
Grenada GD
Virgin Islands (U.S.) VI
Virgin Islands (British) VG
Cook Islands CK
Liechtenstein LI
Mauritius MU
Marshall Islands MH
Isle of Man IM
Micronesia (Federated States of) FM
Monaco MC
Montserrat MS
Niue NU
Palau PW
Panama PA
Puerto Rico PR
Samoa WS
French Polynesia PF
Saint Lucia LC
Sint Maarten (Dutch part) SX
Jersey JE
Djibouti DJ