INGOT BROKERS (AUSTRALIA) PTY LTD

Transcription

1 INGOT BROKERS (AUSTRALIA) PTY LTD Account Application Form Corporate Account

2 Company Details (To be completed by corporate applicants acting in their own capacity) Company Name: Company Type: ABN/ACN/Company No. Country of Registration: Main Contact: Position: Registered Address: Country/State/Postcode: Contact Details: Business Phone: Please note: different must be used if you are an existing client. DIRECTORS Please provide details for ALL company directors Full Name: Gender: Male Female Date of Birth: Citizenship Passport, ID card or Licence: Mobile Phone Other Phone:

3 Full Name: Gender: Male Female Date of Birth: Citizenship: Passport, ID card or Licence: Mobile Phone: Other Phone: Full Name: Male Gender: Female Date of Birth: Citizenship: Passport, ID card or Licence: Mobile Phone: Other Phone: Full Name: Gender: Male Female Date of Birth: Citizenship: Passport, ID card or Licence : Mobile Phone: Other Phone:

4 BENEFICIAL OWNER DETAILS Beneficial Owner Details Under part 1 of the Australian Anti-Money Laundering Counter Terrorism Financing Act we are required in the case of a private company only, to obtain the following details of the beneficial owners: Shareholder Full Name: Percentage Shareholding: Shareholder Full Name: Percentage Shareholding: Shareholder Full Name: Percentage Shareholding: Shareholder Full Name: Percentage Shareholding:

5 FINANCIAL DECLARATION Bank Name: Bank Address: Swift / BSB Code: Account Name: Account Number: IBAN: Total Estimated Income: Under 25,000 Risk Tolerance: Conservative 25,000 49,000 Average 50,000 99,000 Aggressive REFERAL How did you hear about INGOT Brokers? Web Search Online Ad Introducing Broker Name: Friend referral Print Ad Other Number: Select the Spread Features you prefer Spread Features VIP PRO MENA EXPRESS

6 Select the markets you want to trade STOCK MARKETS Australia Abu Dhabi Austria Belgium Canada Dubai Egypt France Germany Great Britain Hong Kong Italy Japan Kuwait Qatar Saudi Arabia South Africa South Korea Spain Switzerland The Netherlands Turkey United states of America COMMODITIES Agricultural Commodities * Energies:- Futures Spot * Metals:- Futures Spot *Note: only one option can be filled, either futures or spot. OTHER MARKETS ETFs Currencies

7 CLIENT ELIGIBILITY Before opening live CFDs, FX and Commodities account with Ingot Brokers (Australia) Pty Ltd, we are required to ensure prospective clients understand the complex nature of derivative trading and the trading platforms used to trade them. Clients should read the PDS carefully and be aware that trading derivatives may not be suitable for all investors; please ensure that you fully understand the risks involved. INGOT Brokers (Australia) Pty Ltd adheres to strict guidelines set out by ASIC in Regulatory Guide 227 (RG227), with best practice guidance we need to ascertain that new clients meet a certain level of experience and knowledge in trading Over- the-counter (OTC) derivatives such as CFDs, FX and Commodities. SECTION 1: About you Please provide us with an idea of your trading frequency over the past 2-3 years Frequently (daily) Regularly (weekly) Occasionally (monthly) Rarely or Never (yearly) Your educational experience has involved which of the following (Tick all that apply) Attended any educational seminars on Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities Researched information about the foreign exchange and/or commodity markets Hold any professional or academic qualifications that provides you a clear understanding of leveraged financial products Had relevant work experience that provides you with an understanding of the fundamental risks involved in trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities Please confirm that you are fully aware of the following (Tick all that apply): I am aware that trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities may not be suitable for all investors I understand that I do not have any rights to ownership of the underlying insturment referenced in Over-theCounter (OTC) derivatives. I understand the risks involved in trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities and also understand that they are not suitable to all investors. Derivatives are geared investments and that it is possible to loose more that my initial deposit

8 SECTION 2: General knowledge Which of the following statements is NOT true about derivatives? The price of a derivative is set and controlled by ASIC The price of a derivative is derived from an underlying reference instrument The price of a derivative fluctuates as the price of the underlying reference instrument changes When trading a derivative you are not buying or selling the underlying asset Which of these products is NOT a derivative? CFDs Margin Foreign Exchange Art work Exchange traded options What is NOT an appropriate research tool for Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities traders? Wall Street Journal Business Day (Sydney Morning Herald) Cosmopolitan Your Trading Edge Platforms and Technology What knowledge of the INGOT Brokers (Australia) Pty Ltd trading platform should you have prior to opening and trading on a live account? INGOT Brokers (Australia) Pty Ltd provides access to a demonstration account that all potential clients can practice trading strategies and platform functionality before committing to a live account I don t need any prior knowledge all Over-the-Counter (OTC) derivatives platforms are the same It s just like riding a bike isn t it? Just jump on. Platform? What s that?

9 What products are NOT available to trade on my INGOT Brokers (Australia) Pty Ltd platform? Margin foreign exchange CFDs Property Commodities Are my trades going live to the real FX market? Yes, INGOT Brokers (Australia ) Pty Ltd offers STP execution through to the interbank FX market INGOT Brokers (Australia ) Pty Ltd runs a B book and takes the other side of my trades There is no such thing as a real FX Market All of the above Risk Management Which of the following is true about trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities? They are complex products They carry a higher degree of risk than traditional investments such as buying shares You should not be trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities without understanding the risk involved All of the above What is risk management? Identify, assess and prioritise what is at stake (the amount of money I can lose) Minimising, monitor and controlling the probability and/or impact of unforeseen events Managing the exposure in a volatile periods of the market All of the above Complete this sentence: When trading Over-the-Counter (OTC) derivatives such as CFDs, FX and Commodities I can.. only lose my initial investment. only lose the value of my account. lose the balance in my account plus additional funds that I would have to cover lose twice the balance of my account. CFDs When you buy a share CFD you can vote at the annual general meeting Yes No Maybe Depends on the particular share When purchasing CFDs, what is the typical waiting period for the delivery of underlying asset? One month One week CFDs do not entitle the buyer or seller any right to the underlying asset None of the above What does CFD stand for? Commission for Difference Contract for Difference Contract from Deed Computer Fluid Dynamics

10 Leverage, Margins & Volatility What is true in regards to leverage? Used with various financial instruments, to increase the potential return of an investment Leverage can be created through options, futures, margin lending and CFDs leverage magnifies both gains and losses All of the above Which of the following statements best describes volatility? The price of a product fluctuates in a very wide range within a short period of time The price of a product fluctuates frequently in a very narrow range within a long period of time Both of the above Neither of the above On my INGOT Brokers (Australia) Pty Ltd account when am I in margin call? When I have %200 of the funds required in my account to hold my open positions When I have %150 of the funds required in my account to hold my open positions When I have %120 of the funds required in my account to hold my open positions When I have %80 of the funds required in my account to hold my open positions

11 Declaration By ALL directors signing this application you declare to INGOT Brokers Pty Ltd that: You confirm that you have read and understood the PDS including the terms and conditions of Contracts that form part of the PDS. You understand the risks associated with investing in the Contracts described in the PDS. You understand that Contracts are leveraged products. This means a small movement in the market can lead to a much larger movement in the value of your investment. This can work against you as well as for you. You acknowledge that you could sustain a loss greater than and not limited to the margin that you have deposited with us. You believe that, based on your review of the PDS, you are capable of assessing the merits of and understanding the terms, conditions and risks of Contracts. Therefore, the Contracts are an appropriate product for you to invest in. That the information that you have provided in this application form is true and correct and you will notify Ingot Brokers Pty Ltd in writing if any information provided changes or ceases to be correct. This application form requires you to disclose personal information. The Privacy section of the PDS explains how we collect personal information and then how we maintain, use and disclose this information. By signing and returning this application form, you acknowledge having reviewed the Privacy section of the PDS and you consent to us colelecting, using and disclosing information about any person named in this application form for the purposes described in the Privacy section of the PDS as permitted by the Privacy Act Have ALL Directors read and understood the PDS? Have ALL Directors read and understood the FSG? Do ALL Directors understand the nature and risks of margined products? Full Printed Name: Date: Signature: Full Printed Name: Signature: Date: Full Printed Name: Signature: Date: Full Printed Name: Signature: Date:

12 Identity Requirements INGOT Brokers Pty Ltd is required by the Australian Anti-Money Laundering and Counter Terrorism Financing Act 2006 to verify the identity of your company and that of EACH director. The identity requirements are as follows: ID for Company Certificate of Incorporation AND Current Company Statement (Showing names of ALL Directors) OR Company Extract (Showing names of ALL Directors) ID For EACH Director Proof of ID*: Governmental Issued Photo ID such as: Passport or Drivers License AND Proof of Address**: Utility Bill, Bank Statement or a Notice from a Gov. Tax Office * must not have expired ** less than 3 months old