INTRODUCING BROKER APPLICATION

Size: px

Start display at page:

Download "INTRODUCING BROKER APPLICATION"

Randell Palmer
6 years ago
Views:

1 Instructions: You are initially required to fill out this application and send it back to ICM Brokers for evaluation. Upon receipt of this application, a business development officer in your region will contact you for additional due diligence formalities. Upon preapproval of this application, the assigned business development officer will contact you to follow up on your file and guide you on the additional documents required. Please note that ICM Brokers will not be able to fully approve your application without receipt of your certified legal documents by courier. Once all documents completed, please send to us at the following address: ADDRESS: International Capital Markets Brokers LLC Level 11, 48 Wall Street, New York, NY Tel: Fax: info@icmbrokers.com

2 1/IB Type of the Company Private Corporation Financial Institution Individual Referral Others 2/PERSONAL DETAILS OF THE AUTHORISED SIGNATORY TITLE: Mr Miss Mrs Ms Other First Name: Second Name: Family Name: Date of Birth: Nationality: Passport/ID Nr. Marital Status: Country of Residence: Expiration Date: Nr of Dependants: Will there be more than one authorized signatory for the IB? Yes No Are you related to, or living with, or an employee of ICM Brokers or any of its subsidiary companies? Yes No If Yes, please provide details: 3/ADDRESS DETAILS Office Address Flat / Apartment Nr and Street: Years at Address: Mailing (Correspondence) Address: Flat / Apartment Nr and Street: P.O. Box Nr: Will there be more than one authorized signatory for the IB? Yes No Are you related to, or living with, or an employee of ICM Brokers or any of its subsidiary companies? Yes No If Yes, please provide details

3 4/CONTACT DETAILS Home Telephone: Office Telephone: Fax: Mobile Telephone: Address: Website (If Any) Emergency Contact Name and Telephone: 5/COMPANY DETAILS Company Name: Company Address: Web Address (URL): Nature of Business: 6/LEGAL STATUS Date and Place of Incorporation: Registered Address: Which regulatory bodies is the IB regulated by? Has the IB ever been denied registration or registration suspended, revoked or conditioned by any governmental or regulator authority? If yes, please provide details Has the company ever declared bankruptcy? Yes No If yes, please provide the date of bankruptcy and details: Has the IB itself, or any of its principals ever had an unpaid deficit balance, either for themselves or their customers, at any financial institutions? Yes No Has the IB itself, or any of its principals, ever been under investigation or litigation from a customer or a government authority? Yes No

4 7/COMPANY OPERATIONS How does the company currently or planning to service clients? 24 hours customer service desk Ticketing System: Dedicated account managers Live chat support Dealing support multilingual staff What is the current volume traded round turn lots of the company s clients per month? 0-2,000 2,000-4,000 4,000-8,000 10,000 and above What products do your clients mostly traded in? Please number 1 to 7 (1 to be the highest) OTC Foreign Exchange and Metals Off-exchange Commodity Futures Off-exchange Financial Futures Off-exchange Index Futures OTC Equity CFDs Other OTC Derivatives Which trading systems do your clients mostly use? Online trading platform Telephone Fax Does the IB provide market news, market fundaments and news to its clients? Yes No What marking tools does the IB use to solicit new clients? International newspapers Internet ads Business Development Team National newspapers Financial magazines Outdoor Media such as billboards etc

5 8/BANK DETAILS ACCOUNT 1 Bank Name: Account Nr. Account Type Checking Savings Investments Other ACCOUNT 2 Bank Name: Account Nr. Account Type Checking Savings Investments Other 9/REFERRAL DETAILS HOW DID YOU HEAR OF ICM BROKERS LLC? Introducing Broker Search Engine Seminar Media Aid Friend Other IB Name IB Nr Promotional Code (if any) 10/ACKNOWLEDGMENT IB recognizes that this Application is not a legal agreement but is simply designed by ICM Brokers to evaluate the company. ICM Brokers hereby confirms that all the information contained herein will be kept confidential and will not be shared by any third party. ICM Brokers will not be able to fully approve your application without receipt of your certified legal documents by courier. Process the completed Application may take up to 10 working days. 11/REQUIRED LEGAL DOCUMENTS REQUIRED LEGAL DOCUMENTS: Articles of Association and Memorandum of Association Trade License of the company which permits the IB to do business as an Introducing Broker ID/Passport copies of all shareholders and/or the authorized signatories of the company Bank statement of the company and authorized signatory(s) A bank reference letter stating that the company bank account is in good standing Proof of Address of the company

6 12/DISCLAIMER NAME OF THE AUTHORIZED SIGNATORY SIGNATURE DATE NAME OF SECOND AUTHORIZED SIGNATORY (if any) SIGNATURE DATE

Accessing New York Life Annuity Product Training on RegEd

Please follow these procedures: Accessing New York Life Annuity Product Training on RegEd 1. Click on this URL link https://secure.reged.com/trainingplatform which will bring you to the RegEd Annuity Training