APPLICATION FORM INDIVIDUALS

Transcription

1 APPLICATION FORM INDIVIDUALS READ ATTENTIVELY AND COMPLETE Document 1 Document 2 Subscription form General Terms + General risk warning concerning financial instruments SEND All the forms, completed, signed and requested documents to: Keytrade Bank Luxembourg S.A. 62 rue Charles Martel L Luxembourg Documents to be provided for all application: A certified copy (both sides) of the identity card (or passport) of each account holder. The certification must be done by any authorized authority (for example: Police office, Town-Hall, Lawyer ). If the copy of the identity card or passport is not certified by any authorized authority please complete and sign the attached bank transfer order form (page 6). According to the Regulation, we have to ensure that the first wire transfer account originates from another account opened on your name in a bank in a country subject to equivalent professional obligations in the fight against money laundering and financing of terrorism in order to credit your Keytrade Bank S.A. account. A residence justification < 3 months (Certificate of address done by a public and competent authority, document from your Tax and Customs administration ). An original bank account identification ( relevé d identité bancaire ) to register your account on the secured site (wire transfer purpose). Proof of origin of funds as well as the corresponding justifying documents (e.g. copy of the sales contract, financial situation from your usual bank, copy of the contract of employment, salary slip ). Attention, all fields must be completed. If you open the account in our office, the certification will be done by one employee. After approval of your account opening request, you will receive your access codes to Keytrade Bank Luxembourg S.A. s ( the Bank ) secured web site. MAKE A DEPOSIT ON YOUR ACCOUNT By cash: deposit (EUR) in our office. Please note that evidence of the origin of the fund is mandatory for any cash deposit superior or equal to EUR. By securities transfer: please contact us. By bank transfer: on one of these accounts (for other currencies, please contact us). 1 - Account in EUR Banque de Luxembourg, swift BLUXLULLXXX On the account n LU Keytrade Bank Luxembourg S.A. Communication: account number + name 2 - Account in USD Banque de Luxembourg, swift BLUXLULLXXX On the account n LU Keytrade Bank Luxembourg S.A. Communication: account number + name The Bank reserves the right to accept only payments coming from an account opened in your name with another bank in a country subject to equivalent professional obligations in the fight against money laundering and against the financing of terrorism. It also reserves the right to refuse deposits of materialized shares. More info: (+352) or info@keytradebank.lu 1

2 FOR BANK USE ONLY o Office o Office Approved by Date Account Nr Saving Account Nr Signature SUBSCRIPTION FORM - ACCOUNT HOLDER 1 The undersigned request(s) to open an account with: Keytrade Bank Luxembourg S.A. 62 rue Charles Martel, L-2134 Luxembourg o Individual account o Joint account (all holders will have access to the account) If there are more than two holders please copy or download extra copies of this form. Where did you hear about Keytrade Bank Luxembourg? o Press/Advertising o Radio o TV o Internet o Word of mouth o Oyher (specify) ACCOUNT HOLDER 1 complete in capital letters o Mrs. o Miss o Mr. First name Last name Postcode City Country Private telephone Mobile Private fax Office telephone Date of birth Place of birth Nationality Civil status o Single o Married o Cohabiting o Separated / Divorced o Widowed Profession/Activity o Employee o Self-employed o Liberal profession o Life annuitant o Retired o Unemployed Please specify: Name and location of your employer (current or previous) Sector of activity Function Seniority o Student (Please indicate your choice of study and the name of your school in the field below) Do you hold, or have you held (apply also to any of your relative or close associate), any political mandate? 1 o Yes o No If yes: Exact title of position Date on which office was taken up Date on which office will be relinquished Name of person, and relationship to you (in case of position held by someone else) 1 Politically exposed persons («PEP») refers to all natural persons who are or have been entrusted with prominent public functions, or who was still in there less than a year, or a relative or known associate of that person (eg. spouse, partner legally recognized, children and their spouses, parents). These functions include among others Head of state or government, senior politicians, senior officials (judicial or military), senior executives of state owned corporations, important political party officials. Are you likely to obtain inside information on financial markets? o Yes o No If yes, wich securities Date and signature of the account holder 1 2

3 ACCOUNT HOLDER 2 (if applicable) complete in capital letters o Mrs. o Miss o Mr. First name Last name Postcode City Country Private telephone Mobile Private fax Office telephone Date of birth Place of birth Nationality Civil status o Single o Married o Cohabiting o Separated / Divorced o Widowed Profession/Activity o Employee o Self-employed o Liberal profession o Life annuitant o Retired o Unemployed Please specify: Name and location of your employer (current or previous) Sector of activity Function Seniority o Student (Please indicate your choice of study and the name of your school in the field below) Do you hold, or have you held (apply also to any of your relative or close associate), any political mandate? 1 o Yes o No If yes: Exact title of position Date on which office was taken up Date on which office will be relinquished Name of person, and relationship to you (in case of position held by someone else) 1 Politically exposed persons («PEP») refers to all natural persons who are or have been entrusted with prominent public functions, or who was still in there less than a year, or a relative or known associate of that person (eg. spouse, partner legally recognized, children and their spouses, parents). These functions include among others Head of state or government, senior politicians, senior officials (judicial or military), senior executives of state owned corporations, important political party officials. Are you likely to obtain inside information on financial markets? o Yes o No If yes, wich securities Date and signature of the account holder 2 3

4 BANK ACCOUNT NUMBER On the secured site, you can give cash transfer instructions online from your account with Keytrade Bank Luxembourg S.A. to another bank account held by one of the account holders or jointly by both account holders, as specified hereunder. If you do not give us a bank account number, you can only request a cash transfer by original signed document along with copy of an identity card. o Please register my Bank account mentioned on the statement enclosed. INVESTOR PROFILE/FINANCIAL SITUATION What is your objective while investing via Keytrade Bank Luxembourg S.A. o To preserve and manage savings o To generate incomes o Capital increase o Aggressive capital increase Your available annual income (to be invested) amounts to o < EUR o EUR o > EUR Which percentage of your financial assets do you intend to invest via Keytrade Bank Luxembourg S.A. o 0-25% o 25-50% o 50-75% o % What is the source of the funds, which you intend to invest o Heritage o Professional incomes o Realization of assets o Other, specify Amount to be invested: A form about your knowledge and experience with financial product (MIFID profile) needs to be filled in directly on the secured platform. CORRESPONDENCE (for a joint account, this answer will apply to all account holders) How do you wish to receive the passwords, which give you access to the secured site (1 answer) o I withdraw them in your offices o By Postal mail, to the address mentioned previously (page 2 or 3) FINANCIAL INFORMATION (compulsory) u You sign, on your behalf and for your account, and not on behalf or for the benefit of a company, an association, a partnership or a trust. u You exclusively use the financial information for your personal investment activities, and not in relation to any professional or commercial activities. u You are neither recorded nor approved at the Securities and Exchange Commission, at the Commodities Futures Commission, a Stock Exchange or an association of quotation of transferable securities, a regulated market or any equivalent organization abroad, nor owner of or partner in any of the preceding ones. u You receive the information only to the address mentioned on the account opening form and you do not provide this information to other people. Moreover you acknowledge u to have read and accepted to be bound by Nasdaq Consolidated Subscriber Agreement, a copy of which can be found on the site u that you are not an agent of Nasdaq and that you are not authorized to add, remove or modify clauses of Nasdaq Consolidated Subscriber Agreement, u to have read and accepted to be bound by the NYSE and AMEX Agreements, a copy of which can be found on the site You may activate or deactivate realtime quotes yourself via the secured site in the main menu under Preferences. 4

5 DECLARATIONS The customer(s) declare(s) u to have the legal capacity to conclude this contract and to manage his/her (their) portfolio, u to have received and read the general terms and the overview of the characteristics and essential risks of the financial instruments, that he/ she (they) will respect and accept all the clauses contained therein, u to act for his/her (their) own account, and in the opposite, he/she (they) will state to the Bank the identity of the third party for which he/she (they) act(s), u to guarantee by his/her (their) signature that the assets held, or to be held at any time, on his/her (their) account have no criminal origin, are the product of a legal activity and will not be used for money laundering, u to be a Non-Us Person (cf. declaration below), u that the information contained in this document is complete and accurate, and that he/she (they) will inform the Bank about any changes including the status of a Non-Us Person and the declaration of non-professional user, u to have appropriate knowledge and experience with regards to his/her investment decisions and to be aware that no advice will be provided by the Bank, u to assume the responsibility and all the risks relating to the orders which will be transmitted to the Bank, u the Bank will not assume any liability for the customer s investment decisions and the financial consequences of these trades, u to accept that any orders are carried out in the way they were encoded, u to have a sufficient IT and Internet knowledge to use the services, u that he/they will not resell or repeat, in any way whatsoever, the financial information delivered on the site. u to recognize that the Bank has the right, without being required to justify its decision, to refuse to open an account, for whatever reason, including if the information is incomplete, the Bank may request any additional documents deemed necessary. ACCEPTANCE OF THE SPECIAL TERMS The customer(s) declare(s) to accept expressly the clauses of the General Terms containing limitations of responsibilities, rights of unilateral termination or differed execution and one jurisdiction clause in favor of Keytrade Bank Luxembourg S.A. This concerns the articles 1, 2, 3, 4, 20, 21, 22, 23, 24, 25, 26, 27, 28, 30, 32, 35, 37 et 44 of the General Terms of Keytrade Bank Luxembourg S.A. DECLARATION OF NON-US PERSON The following declaration allows Keytrade Bank Luxembourg S.A. to confirm to the American authorities that its clients are neither American citizens nor American residents, in order to benefit from the favorable treatment in relation to withholding tax on dividends originating from American securities. Each signatory additionally declares that he/she allows this form to be submitted to any competent authority. The undersigned declares and confirms to Keytrade Bank Luxembourg S.A. the following information Account holder 1 Account holder 2 u Are you a US citizen (single or double nationality)? o Yes o No o Yes o No u Have you got a residence in the USA or a permanent US residence permit? (you are qualified as permanent resident if, you are in possession o Yes o No o Yes o No of a green card, have made a prolonged stay in the US during the current year and during the last two years) u Which is your tax address - country? u The subscriber declares that he is the beneficial owner of the assets and income confided or to be confided to Keytrade Bank Luxembourg S.A. u The subscriber declares that he will inform Keytrade Bank Luxembourg S.A. immediately of all changes in the above-mentioned information, especially relating to his nationality, residence and tax address. If he does not notify the Bank in time, he will be responsible for any prejudice caused by this. As a result of American regulation and legislation, the Bank does not provide any services to US persons and therefore will accordingly be authorised to bring an end to its customer relationship. u Under penalties or perjury, the signatory confirms that the information given in this document is complete, accurate and genuine. 5

6 BANK TRANSFER ORDER Sir, Madam, Please execute the following request of fund transfer Amount APPLIER o Mrs. o Miss o Mr. First Name Last Name Postcode City Country DEBIT ACCOUNT (complete or join a Bank statement mentioning the Bank address) Bank name Postcode City Country Bank bic or swift code IBAN account n CREDIT ACCOUNT please select o EUR account Banque de Luxembourg, swift BLUXLULLXXX For account n LU of Keytrade Bank Luxembourg S.A. Communication (account number + name): o Compte USD Banque de Luxembourg, swift BLUXLULLXXX For account n LU of Keytrade Bank Luxembourg S.A. Communication (account number + name): SIGNATURE Done in (location) on (date) For approval, Signature of the applier 62, rue Charles Martel L-2134 Luxembourg Tel. (+352) info@keytradebank.lu Fax (+352) For a transfer of shares, please contact us. 6