Responsible Officer (RO)

Provide the name, title, address and contact information of the Responsible Officer (RO) of the FI. The RO must have sufficient authority to fulfill the duties of a responsible officer including the requirement to periodically certify to the IRS regarding the FFI's compliance with its FFI agreement. With respect to a registered deemed-compliant FFI, the term RO means an officer of any deemed-compliant FFI or participating FFI in the deemed-compliant FFI's expanded affiliated group with sufficient authority to ensure that the FFI meets its requirements. In the case of a sponsoring entity, the RO means an officer of the sponsoring entity or an officer of an entity that establishes and maintains policies and procedures for, and has general oversight over, the sponsoring entity, provided such officer has sufficient authority to fulfill the duties of a RO. If a participating FFI elects to be part of a consolidated compliance program (CCG), the term RO means an officer of the compliance FI with sufficient authority to fulfill the duties of a RO and on behalf of each FFI in the CCG. See Treas. Regs. §1.1471-1(b)(116).

A direct reporting NFFE should enter the information of the individual who will be responsible for ensuring that the direct reporting NFFE meets its FATCA reporting obligations. A sponsoring entity of a sponsored direct reporting NFFE should enter the information of the individual who will be responsible for ensuring that the direct reporting NFFE meets its FATCA reporting obligations and who will act as a point of contact with the IRS in connection with its obligations as a sponsoring entity.

The address provided should be the business address of the RO. The business address is defined as the address where the RO maintains his or her principal office.