Application to Open an Account (Corporation)
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1 Application to Open an Account (Corporation) Corporate Information 01 Basic Details Name of Corporation: Jurisdiction (State) of Incorporation: Tax ID: Address (po Box addresses are not acceptable): City: 03 Financial Information Total annual revenue: Net worth (assets minus liabilities): How much money does the Corporation intend to fund its account with?: 04 Bank Information Bank name: State/Province: Nature of Business: Zip/Postal Code: Bank address: 02 Contact Numbers Telephone (office hours): Telephone (after office hours): address (mandatory): State/Province: Country: Account Number: ABA Number: City: Zip/Postal code: Your Knowledge and Experience Please complete the following section so we can assess the appropriateness of our services for the Corporation. Please note that we are required to make this assessment by law. 1. To what extent over the past 3 years has the Corporation traded the following? Shares and/or bonds Frequently Sometimes Rarely/never Exchange-traded derivatives (e.g. futures or options) Frequently Sometimes Rarely/never Forex and other OTC derivatives (e.g. spreads, forex, binaries) Frequently Sometimes Rarely/never 2. How has the Corporation mostly traded these products? Execution-only and/or advisory Managed 3. Do the officer(s) of the Corporation who will be making the Corporation s trading decisions have particular experience or Yes No qualifications which would assist the Corporation s understanding of our services? If yes: Occupational experience: the officer(s) have a good knowledge of OTC, leveraged derivatives through working in the financial sector Qualifications: the officer(s) have a good knowledge of OTC, leveraged derivatives because of a relevant professional qualification and/or education 4. Please tick here if the Corporation s investment portfolio, including cash deposits and other financial instruments, is EUR 500,000 or more (or usd equivalent)
2 Your Knowledge and Experience (continued) 5. Does the Corporation have a relationship with a registered broker/dealer, Futures Commission Merchant, Introducing Broker, Yes No Futures or Securities Exchange, NFA or FINRA? (other than a normal trading agreement for the provisions of trading services) If yes (please provide name and details): 6. Does the Corporation have a relationship with anyone else that would restrict its ability to legally trade Forex with us? Yes No If yes (please provide name and details): Your Account Currency What currency would you like your account denominated in? USD CAD GBP Euro Secretary s Certificate I, Secretary of, (Name) (Name of Corporation) a corporation organized under the laws of the State of (the Corporation ) DO HEREBY CERTIFY that at a meeting of the Board of Directors of the Corporation (the Board ), held in accordance with its governing instruments on the day of, 20, at which a quorum was at all times present and acting, the following resolutions were duly adopted and that such resolutions have not been amended, rescinded or revoked and do not conflict with any of the provisions of the governing instruments of the Corporation. It was resolved as follows: 1. That the corporation has considered the risks and benefits of trading Forex and NADEX futures via IG Markets Inc (together called trading Contracts with IG ) and has determined that it is in the best interests of the Partnership to trade these Contracts with IG with the following terms and conditions. 2. That each of the following persons: (i) Name Position SSN Drivers License (ii) Name Position SSN Drivers License
3 It was resolved as follows (continued): or each other person as the Corporation may designate and notify to IG in writing from time to time (collectively, the Authorized Traders ) be and hereby are authorized to trade in, purchase and sell the Contracts for the account and risk of this Corporation through and with IG and its successors. The authority hereby granted includes the power to do any and all of the following: to apply for, open and maintain one or more customer accounts at IG; to agree to buy and sell and to buy, sell (including sell short) the Contracts on margin; to deposit with and withdraw from the account or accounts maintained at IG cash, securities and any other property; to grant to IG a security interest in Corporation s Collateral (as defined in the IG Customer Agreement); to receive requests and demands for additional margin or Collateral, statements of account and other notices, demands and communications of all kinds; and to take such other actions in connection with the subject matter of these Resolutions as IG may require or request or such Authorized Traders may deem necessary or desirable. 3. That notices, statements and demands upon the Corporation by or from IG in connection with the Corporation s account(s) may be delivered by the means set out in the IG Customer Agreement to any of the Authorized Traders or to any other apparently authorized persons on behalf of the Corporation. 4. That the Authorized Traders, Secretary, or any member of the Board of the Corporation are authorized to execute and deliver to IG the IG Application Form (Corporation) (including all applicable addenda thereto), and all ancillary and other documents that may from time to time be required or requested by IG. 5. That IG is authorized to act upon the authority of these resolutions until receipt by it of a certificate showing rescission or modification thereof signed by the Secretary of this Corporation and under its seal, and that IG is also authorized to recognize and deal with the Authorized Traders, until receipt by IG of a further certificate, setting forth the name(s) of another person or other persons. 6. That any transactions of any description whatsoever previously entered into by the Corporation with or through IG be and are hereby ratified and approved. 7. That it is the intention of the Corporation to give the Authorized Traders the broadest possible power with respect to the account(s) of the Corporation, and the Corporation agrees to hold IG harmless against any and all liabilities, claims, losses, damages and expenses, including attorneys fees, that may arise directly or indirectly by reason of following any instruction, order, or direction given by any of the Authorized Traders. I further certify that there is no legal or other reason why the Corporation should not conduct this business. of Secretary Print Name Note on Forex Trading THE FOREIGN CURRENCY TRADING YOU ARE ENTERING INTO IS NOT CONDUCTED ON AN EXCHANGE. IG MARKETS INC. IS ACTING AS A COUNTERPARTY IN THESE TRANSACTIONS AND AS A RESULT, OUR INTERESTS MAY BE IN CONFLICT WITH YOURS. By signing below, I acknowledge that I have received, read and understand the disclosure statements listed below and that I accept the risks of trading forex with IG Markets Inc.: Forex Risk Disclosure Statement Secondary Risk Disclosure: High Risk Investment Note on the Risks of Forex Trading
4 Note on Futures Trading Trading in commodity interests is speculative, involves a high degree of risk and is appropriate only for persons who can assume risk of loss in excess of their margin deposit. By signing below I acknowledge that I have received, read and understand the disclosure statements listed below and that I accept the risks of using your trading system: Risk Disclosure Statement (Futures and Options Trades) Electronic Trading and Order Routing Systems Disclosure Statement Supplemental Disclosure for Nadex Fully Collateralized Contracts General Declarations I hereby represent that the information provided by me on this application form is true and correct. I further represent that I will notify you of any material changes in writing. I acknowledge that the Customer Agreement is a legally binding contractual agreement. I acknowledge that I have received and carefully read the following documents and agree to be bound by every term and condition: General Disclosures (including NFA Basic System Disclosure, referral Disclosure) Supplemental Disclosure for Funding by Credit Card Privacy Notice Conflicts Policy Customer Agreement (comprising Master Agreement, Forex Agreement, Nadex Futures Agreement and Contract Details) Receiving Information About your Account Electronically (by Authorized Trader, Secretary, or Board Member) Agreement to Arbitration By signing below, I acknowledge on behalf of the Corporation that the Corporation has received, carefully read, understood and agrees to be bound by the Arbitration Agreement. I further acknowledge on behalf of the Corporation that any action arising out of or related to the Customer Agreement must be commenced within one year of occurrence giving rise to the cause of action. (by Authorized Trader, Secretary, or Board Member) Note: ALL of the above sections must be signed in order to open an account with us.
5 Supporting Documentation The following supporting documentation must accompany the Corporation s completed account Application Form: Copy of the Certificate of Incorporation from Secretary of State Copy of the Articles of Incorporation from Secretary of State Copy of the Bylaws/Organizing Resolutions Copy of the Corporate Stock Ledger Proof of address (recent bank statement or utility bill showing company s name and address) valid photo ID and proof of address for anyone holding 25% or more shares/all authorized traders For any company stockholders, a complete list of supporting documentation for each company as listed above. WE ARE NOT ABLE TO OPEN AN ACCOUNT WITHOUT THIS SUPPORTING DOCUMENTATION IG Markets, Inc. 311 South Wacker Drive Suite 2650 Chicago, IL Reception: Customer Services: Fax: clientservices@igmarkets.com
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