INTERACTIVE INVESTOR FUTURES & OPTIONS ACCOUNT OPENING FORM For COMPANIES

Transcription

1 INTERACTIVE INVESTOR FUTURES & OPTIONS ACCOUNT OPENING FORM For COMPANIES Under the rules of the Financial Conduct Authority, we are required to obtain certain information before we can open an account for you. It is important, therefore that you complete all sections of this form. If you have any queries please call one of our account executives who will be pleased to help you +44 (0) Interactive Investor Futures & Options Plantation Place South 60 Great Tower Street London EC3R 5AZ Telephone: +44 (0) Interactive Investor Futures & Options is a trading name of Sucden Financial Limited. Sucden Financial Limited s registered office is Plantation Place South, 60 Great Tower Street, London, EC3R 5AZ. Registered in England Number: Sucden Financial Limited is authorised and regulated by the Financial Conduct Authority ( FCA ) IIFO CAOF v1

2 Please write clearly in block capitals and black ink, and answer all questions. If you have any queries, please contact one of our account executives on telephone number + 44 (0) Registered details of the Company Full Company name ( the Company ) Registered Office Street / No. Registered number: Town/City Date of incorporation: Country of incorporation / / (dd/mm/yyyy) Trading name: _ Date Trading Commenced: / / (dd/mm/yyyy) Postcode Country Telephone address Fax number 2. Communication with the Company Trading Address / Correspondence Address (if different from above) (Please note we may need to see evidence of the trading address) Company Contacts Street / No. Management Contact Town/City Position Postcode Telephone Country address Telephone Fax number address Fax number Company web-site: Trading Contact Position Telephone _ address address(es) for the receipt of daily trading Fax number statements: Back office Contact Position Telephone address Fax number Any additional Contact _ Position Telephone address Fax number

3 3. Status of the Company The following information is required to enable us to fulfil our obligations under the UK Money Laundering Regulations. Is the Company regulated by the Financial Conduct Authority or country equivalent, or listed/quoted on a major Stock Exchange? YES NO If YES please give name of Financial Regulator / Stock Exchange: Authorisation number (if applicable): Country of Regulator / Stock Exchange: If you have answered yes to the above then please proceed straight to section 6 (Proof of ID for Directors and Shareholders will not be required) Is the Company s ultimate beneficial owner regulated or listed/quoted on a major YES NO Stock Exchange? If YES please give the name of Regulator / Stock Exchange: Authorisation number (if applicable): Country of Regulator / Stock Exchange: If you have answered yes to the above then Proof of ID for Shareholders will not be required 4. Directors of the Company Details of all directors of the Company: Name of Director Residential Address of Director Date of Birth Details of Company Secretary (if applicable): Name (Individual or Company) Company Address (Please continue on a separate sheet if necessary) 5. Ownership of the Company Shareholder details of the company: Name of Shareholder Ownership Percentage (If any shareholder is a corporate entity please provide a breakdown of the individual shareholdings of that company below, along with a corporate group structure)

4 Name of Shareholder / Corporate Entity Ownership Percentage 6. Company Financials Please provide a copy of the latest audited Report and Accounts of the Company, if unavailable then please provide unaudited management accounts. Please note if you cannot provide audited or unaudited financials then you will need to provide verification of the financial position of the company. 7. The Company s principal bank details (alternatively please attach your standard settlement instructions) Full Name of Bank: Name of Bank Account: Full Address: A/C No.: Country: SWIFT / IBAN No.: Sort Code: 8. Principal Activities of the Company Please give details of the Company s principal activities: 9. Authorised Traders Name Position

5 10. The Company s experience and knowledge of investments or the Trader s Experience and knowledge of investments if the company is a start-up. If the company is regulated by the Financial Conduct Authority or country equivalent then this section does not need to be completed. Please proceed to section 11. Please indicate which of the following types of investments the Company has previously traded, even if the Company does not intend to trade any of the products with Interactive Investor Futures & Options. We are requesting this information to enable us to fulfil our obligations under the rules of the Financial Conduct Authority. If there is more than one trader, trading on behalf of the company, then each trader needs to complete and sign the Individual Traders Experience Form. Type of investment Number of years traded Average frequency of trades per quarter during the last year Approximate size/value of average deal Shares Bonds Financial Futures (lots) Financial Options (lots) Commodity Futures (lots) Commodity Options (lots) Contracts for Difference (CFDs) Spot & Forward Foreign Exchange Funds Over the Counter & Other Off Exchange Contracts (including Bullion)

6 11. Declarations and Signature of the Company The following officers, being duly authorised to do so, declare and confirm on behalf of the Company the following: The Company confirms that all the details given in this form are correct. The Company will inform INTERACTIVE INVESTOR FUTURES & OPTIONS immediately in writing of any changes to the details in this form. The Company agrees to be bound by any provisions included in this form. Executed by the Company acting by its duly authorised representatives Full name of Company: Signature _ Name (Print) _ Position / Title _ Date Signature _ Name (Print) _ Position / Title _ Date Signature _ Name (Print) _ Position / Title _ Date Company Seal / Stamp Should INTERACTIVE INVESTOR FUTURES & OPTIONS and the Company enter into an agreement this form and the information set out in it will constitute part of the contract. Marketing We would like to inform you about new products and services which we offer our clients. Please tell us if you wish to receive such information from us. I/we agree to receive information by mail [ ] I/we agree to receive information by [ ] I/we agree to receive information by telephone [ ] I/we do not wish to receive information [ ]

7 To assist us in the opening of your account in accordance with the requirements of the Financial Conduct Authority, and to enable us to fulfil our legal obligations to positively identify each customer under the UK Money Laundering Regulations, please ensure that the following documents are provided with the completed form: A certified * copy of the Company s Memorandum and Articles of Association (or local equivalent). A certified * copy of the Company s Certificate of Incorporation (or local equivalent). We are required to identify the Directors, Shareholders and Ultimate Beneficial Owner(s) of the Company Please provide: Certified * copies of documents confirming the Company s ownership structure (e.g. share registers, share certificates and list of current directors). Proof of identity of each of the major beneficial owner(s)/ shareholders and Directors of the Company. This should include a certified * copy of their current passport or identity card, and a certified * copy of a current (dated within the last 3 months) utility bill, or equivalent to confirm proof of address. An original Board Resolution of the Company to open an account with Interactive Investor Futures & Options (see attached). *Certified copies of documents must be dated and signed "original seen", preferably by a government department or a regulated or professional person subject to money laundering regulations. Examples of regulated or professional persons subject to money laundering regulations include bankers, accountants or other persons employed by firms authorised by the Financial Conduct Authority. If a good reproduction of the photograph on personal identification cannot be achieved, then the copy should also be certified as providing a good likeness of the applicant. The full name, address and occupation of the person certifying the copy will also be required. Certifier s details: Name of Certifier: Occupation: Name of Company: Telephone /

8 CORPORATE RESOLUTIONS OF BOARD OF DIRECTORS I,, hereby certify that I am the duly elected and qualified secretary of (the Company ), organised and existing under the laws of _that I have custody of the record of the Company, that the following resolutions were duly adopted by the Company at a meeting of the Board of Directors of the Company duly called and held on the day of 20, and that such resolutions have not been rescinded, modified, or amended and are now in full force and effect: WHEREAS the Company has full power and authority under its charter and by-laws and all applicable laws to enter into contracts for futures, options, contracts for differences, spot or forward contracts of any kind in relation to any commodity, metal, financial instrument (including any security), currency, interest rate, index or any combination thereof (collectively referred to as the Contracts ): RESOLVED that the Company open and maintain an account or accounts with Interactive Investor Futures & Options ( IIFO ) for the execution of orders for the purchase and sale of the Contracts, on margin or otherwise. FURTHER RESOLVED that the individual(s) listed below (the Authorised Persons ) are authorised either individually or jointly to execute IIFO s account opening documentation ( the Terms ) and any and all other documents required by, or entered into with IIFO from time to time. LIST OF AUTHORISED PERSONS (Please note that the following individuals will be authorised to sign on behalf of the company) NAME TITLE SIGNATURE FURTHER RESOLVED that notices or demands upon the Company made by IIFO in connection with the Company s account or accounts may be delivered by IIFO verbally or in writing to any of the Authorised Persons as though dealing with the Company directly. FURTHER RESOLVED that it is the intention of the Company to give the Authorised Persons the broadest possible power with respect to the account or accounts of the Company and the Company

9 agrees that IIFO has no duty or responsibility to investigate further the authority of Authorised Persons to exercise such power. The Company further agrees to hold IIFO harmless against any and all claims that may arise by reason of following any instructions, orders and directions given by an Authorised Person. IIFO shall be entitled to rely upon the continued authority of an Authorised Person unless the Company notifies IIFO to the contrary. FURTHER RESOLVED that, in order to induce IIFO to act as broker on behalf of the Company, the execution and delivery of the Terms and any and all other documents required by, or entered into with IIFO from time to time, is hereby authorised. FURTHER RESOLVED that in the event the foregoing resolutions are rescinded or amended at any time, or any of the representations and warranties in the Terms cease to be true and correct at any time, the Company will promptly notify IIFO in writing at the address for notices set forth in the Terms. FURTHER RESOLVED that the Company agrees to indemnify and hold harmless IIFO, its successors and assigns against and from any and all claims or liabilities for any direct or indirect losses, damages, costs or expenses whatsoever arising directly or indirectly from the lack of authority of the Authorised Persons or from any of the above representations or warranties not at any time being true and correct or from the Terms not having been fully performed by the Company. Signature: (Company Secretary) Name: Date: (Affix corporate seal; if applicable) Approved by: (President, or other executive officer other than the Company Secretary) Name: Title: Date: