SOCAR Trading Group — KYC Onboarding Questionnaire
V20260630
SOCAR TRADING
For New Counterparties
SOCAR Trading Group
Tel: +41 22 562 00 00
www.socartrading.com
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SOCAR TRADING
KYC Onboarding Questionnaire
V20260630

As part of due diligence process, SOCAR Trading Group requires all new counterparties to complete this mandatory Onboarding Questionnaire (“Questionnaire”). Please ensure that all relevant sections are duly completed, and the documents requested in Section 9 are submitted. Should you have any questions regarding this Questionnaire, please contact the KYC Department at kyc@socartrading.com.

1. Company’s Details:
I. Full Legal Name of the Company.
II. Address of registered office.
III. Mailing Address
(If different from the registered office).
IV. Nature of Business
(brief description of core business activities).
V. Purpose of Clearance
(please provide brief description of planned cooperation).
VI. Website address.
VII. Date of Incorporation: Company Registration Number:
VIII. Country of Incorporation: V.A.T. No:
IX. Telephone No. (incl. international code): LEI Number:
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SOCAR TRADING
KYC Onboarding Questionnaire
V20260630
2. Legal Status of the Company and Ownership Details:

Please check all applicable boxes and identify, using full legal names, all natural persons who ultimately own or control, directly or indirectly, 10% or more of the shares or voting rights of the Company.

State Owned
Publicly TradedSpecify the Stock Exchange and indicate the symbol of the company
Privately Owned
Have any of your Company’s directors, senior management, shareholders (up to ultimate beneficial owners) were or are currently considered to be a Politically Exposed Person (PEP)?
(PEP: an individual who is currently or in the past five years was entrusted with a prominent public function; or an immediate family member of such individual; or a known close associate of such individual)
If yes, please provide details of such individual.
2.1 Physical shareholders of the company: In case no physical persons directly or indirectly holds 10% of the Company’s shares or voting rights, please indicate any person that otherwise exercises control over the Company, including by means of exercising control over the management of the Company. If no such person exists, please indicate the senior management of the company, overseeing and responsible for day-to-day decisions of the Company. Include full names, country of domicile and citizenships of each person.
#1
First name
Last name
Country of domicile
Citizenship
Date of birth
% share

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SOCAR TRADING
KYC Onboarding Questionnaire
V20260630
3.1 Name & contact details of the principal point of contact for administrative and KYC issues:
#1
First name
Last name
Title
Telephone
Email
!

3.2 Name & contact details of the principal point of contact for finance issues:

Note: This is the contact that is authorised to verify payment instructions.

#1
First name
Last name
Title
Telephone
Email
!

3.3 Trader authorised to transact business on your behalf with us:
#1
First name
Last name
Title
Telephone
Email
!

3.4 Authorised signatory:
#1
First name
Last name
Title

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4. ESG performance:

SOCAR Trading values just, responsible, and ethical ways of doing business and therefore expects this from its stakeholders. Please note that, at this stage, an absence of the document mentioned in this section or “No” answers to the questions below do not prevent us from doing business with the party completing the Questionnaire.

I. Does the Company have an ESG/Sustainability report?
II. Does the Company integrate ESG practices in its supply chain? (e.g., grievance mechanism, anti-bribery & corruption and anti-money laundering practices, etc.)
III. Does the company monitor, calculate & report GHG emissions associated with its activities?
IV. Does the Company have policies in place to ensure adherence to Health, Safety, Environment, Human rights and Communities’. Does laws (“HSEC Laws”)
V. Does your organisation have policies and procedures in place to prevent child labour and modern slavery within your operations and supply chain in compliance with internationally recognized standards (including those established by the ILO Conventions, ILO-IOE Child Labor Guidance Tool for Business, OECD Due Diligence Guidance for Responsible Business Conduct)?
VI. Have any risks related to child labour or modern slavery been identified within your operations or supply chain during the application of these policies and procedures? If so, please provide details on the identified risks and the measures taken to address them.
VII. Please provide a detailed account of the identified risks and concerns
5. Sanctions:
I. Does the Company operate in, or has business exposure to the countries or regions that are subject to comprehensive sanctions programs administered by the United States of America, the European Union, the United Nations, or the United Kingdom?
[ I.Yes ] - Please specify the nature of your exposure. Indicate the region or regions you are exposed to and indicate % of Revenue / COGS this exposure represents by region
II. Does your Company have formally documented Sanctions policy?
III. Does your Company screen counterparts for Sanctions?
[ III.NO ] Please Confirm if the company complies with US, EU, UK and Swiss sanctions in force YES/NO
[III.NO- YES ] Please provide an explanation as to how compliance with US, EU, UK and Swiss sanctions is achieved in absence of screening of counterparties
IV. Has the Company, any entity within its corporate group, or any of its directors, owners or members of senior management, ever faced fines, charges, convictions, or prosecutions, or are currently subject to any ongoing investigations or enquiries by a public authority, in relation to sanctions laws and regulations in any jurisdiction?
6. Related Party Affiliations Disclosure:
I. To the best of your knowledge, are any owners, beneficial shareholders, directors, or senior employees of the Counterparty: (a) currently or formerly employed by, or serving in any capacity within, SOCAR Trading SA or any entity within the SOCAR Group of Companies ("SOCAR Group"); or (b) an immediate relative (spouse, parent, sibling, or child) of a current or former employee, officer, or director of the SOCAR Group?
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SOCAR TRADING
KYC Onboarding Questionnaire
V20260630
7. Company’s Banking Details:
8. Declaration

We hereby certify that we have all the necessary powers and are duly authorised to undertake trading with SOCAR Trading Group and that all required procedures for authorising and nominating the personnel empowered to trade have been completed.

We confirm that we will provide you with such financial and other relevant information required for the purpose of your due diligence, as you may reasonably require from time to time, including a copy of our annual audited report. We acknowledge that if we are granted any credit facility by you, as a continuing condition of such a facility being provided, we will provide, on request, such additional information as you may reasonably require. We acknowledge that any credit facility granted by you is extended on a wholly uncommitted basis and that it may be withdrawn by you without prior notice.

We understand that you are relying on this information (including the documentation enclosed). We confirm that such information is complete, accurate and up to date. We agree to notify you promptly in writing should there be any change.

Signed for and on behalf of the Company:

Authorised Signatory
Name:
Title:
Date:
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SOCAR TRADING
KYC Onboarding Questionnaire
V20260630
9. Documents to be Enclosed

All documents listed below are mandatory and must be submitted together with the completed Questionnaire to kyc@socartrading.com. Incomplete submissions may result in significant delays to the onboarding process. Where any document is unavailable, a written explanation of its absence must be provided in its place.

Document Enclosed
I. Legal Entity Verification An official document issued by a competent authority within the last 12 months confirming all of the following information: the Company's full legal name, registered legal address, date of incorporation, and the names of current authorised legal representatives. All of the above information must be collectively evidenced across the documents provided. By way of example, an extract from the Commercial Register or a Certificate of Incumbency may satisfy this requirement where they contain all required information.
II. Memorandum and articles of incorporation A copy of the memorandum and articles of incorporation or your local equivalent showing the Company's purpose and/or authorised activities.
III. Beneficial Ownership Structure Documentation dated within the last 12 months evidencing the full ownership chain from the Company up to every natural person holding, directly or indirectly, 10% or more of the shares or voting rights. Where no such person exists, identify whoever otherwise exercises ultimate control. By way of example, a share certificate or certified shareholder register may serve this purpose.
IV. Identity Documents of Beneficial Owners and/or Controlling Persons A copy of a valid government-issued identity document (passport or national identity card) for each natural person identified in Section 2.1.
V. Latest financial statements A copy of the most recent audited financial statements. Where the Company is newly incorporated, has limited standalone financials, or where additional context would assist in demonstrating financial substance or track record, any supporting documentation such as consolidated group or parent company financials is also welcome.
VI. Recommendation letter from the bank Stating years of collaboration and turnover on the account for the last year.
VII. ESG / Sustainability report The most recent version of the Company's ESG/Sustainability report or equivalent document, if available.
VIII. Group chart If the Company is part of a group, provide a group chart reflecting the full corporate structure. The chart must be dated and bear the authorised signature of a legal representative of the Company.
IX. Code of Conduct The Company's Code of Conduct.
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