All documents should be submitted through e-FCL.
A. General Documents:
B. Governance Documents:
The following documents must be submitted by the company in-process for a FCL and its highest tiered U.S. parent*:
Limited Liability Company:
NOTE: For other type of business, please submit the formation and governance documents indicating their authorization to conduct business in the United States and their ownership. For missing documentation, please provide reasoning.
*These document associated with a company's highest tiered U.S. parent should be submitted through the "Miscellaneous" tab in e-FCL
C. Excluded Parents:
Depending on a company's corporate structure and its FOCI mitigation requirements, a company may also need to submit additional documentation for its intermediary U.S. parents. Companies negotiating a Special Security Agreement (SSA), Proxy Agreement (PA), or Voting Trust Agreement (VTA) are not required to process Excluded Parents. The U.S. parents of cleared companies without FOCI and companies operating under a Board Resolution or Security Control Agreement to mitigate their FOCI are required to be processed as Excluded Parents (XPs). DSS will require all the governance documents identified above for XPs. All these documents can be submitted through the "Miscellaneous" tab of e-FCL.