Individuals: Application Form (IE)

Opening a Trading Account with Investors Europe.

Documentation to be Sent:

(Please fill out, Print and Initial all pages then sign and send documents A,B plus C & D -if relevant- by Courier to: Investors Europe, Compliance Department, 745 Europort Gibraltar)

* 1. Account Opening Documents 2. General Terms & Conditions 3. Client awareness declaration
Check list of items required for HNWI clients * A.) Certified Copy of Passport or Identity Card B.) Utility bill addressed to Client’s home address (Max 3 months old) C.) Persons authorized to give orders for execution D.) KYC documents on third parties authorized to execute E.) Employee Declaration (for company use only) F.) Confirmation you want an offshore company* formed
NEW CLIENTS: ACCOUNT OPENING FORM – HNWI
1.) GENERAL CONTACT ADDRESS
Account Name *
Full Name of Investor:
Address *
Street Address

Address Line 2

City

State / Province / Region

Postal / Zip Code

Country
Telephone Number: *
Mobile Number: *
Facsimile:
Email *
IMPORTANT: PLEASE SPECIFY BELOW EXACTLY TO WHERE TRADE CONFIRMATIONS/ CLIENT ACCOUNT INFORMATION SHOULD BE SENT TO AND AT WHICH TIME INTERVALS:

FAX NUMBER:
EMAIL:
ADDRESS:
Trade Confirmations EVERY DAY (RECOMMENDED) EVERY WEEK OTHER TIME INTERVAL
Account/ Portfolio Information * EVERY DAY EVERY WEEK EVERY 3 WEEKS OTHER TIME INTERVAL
2.) PRIMARY CONTACT ADDRESS FOR TRADING PURPOSES
(If different from above)
Where did you first hear about our services? * Internet Newspapers Adverts Other (Specify)
If Other (Please Specify)
3.) SETTLEMENT & CLEARING DETAILS
Standard Settlement Instructions
(Do Not Fill in - For Company Use)
4. GENERAL INFORMATION (attach additional sheets, as necessary)
A.) Description of Client’s Business:
B.) State (or Country) of Incorporation or Formation:
C.) Does any other person, broker or other entity have an interest in this account? * YES NO
If yes, Please fill below:

Name
Address
Street Address

Address Line 2

City

State / Province / Region

Postal / Zip Code

Country
Telephone No:
Email Address
If this is a Joint Account then we require a copy of Passports and Utility bills from both parties
D.) Has Client ever been the subject of, or initiated litigation, arbitration or any other type of dispute or settlement or procedure with another broker or dealer? * YES NO
If yes, please provide details:
E.) Has the Client ever been the subject of an investigation or proceeding by any commodities, securities or other self-regulatory authority? * YES NO
If yes, please provide details, including any conclusions reached:
F:) Has Client changed his name over the last 5 years? * YES NO
If yes, please provide details:
5. BANKING RELATIONSHIPS (attach additional sheets if necessary)
A.) Name of Bank: *
Address *
Account Type: *
Account No.: *
IBAN : *
SWIFT/ BIC : *
Length of Time with Bank: *
6. INVESTMENT OBJECTIVES:
Safety of Principal Income Speculation Growth Other
Client’s Net Worth: € *
Client’s Annual Net Income: € *
7. Source of funds - Occupation
Your Occupation: *
Employer: *
Describe where the source of the funds you will be trading has come from:- *
8. TRADING INFORMATION

Investorseurope is committed to complying with the provisions of the Data Protection Directive. In signing these account opening documents, you consent to investorseurope holding and processing the information provided by you for the purposes of providing its services.
A. Investment Knowledge

Objective- To determine the level of knowledge of the customer with regards to Complex instruments (10 = highest level of knowledge)'
Derivatives
Structured Products/Bonds
(that embed a derivative)
Equities (emerging markets)
Equities (main world markets)
FOREX
CFDs
Commodities
A.2 Trading Experience

Objective- To determine the years of Trading Experience of the customer with regards to Complex instruments (10+ = highest level of knowledge)
Derivatives
Structured Products/Bonds
(that embed a derivative)
Equities (emerging markets)
Equities (main world markets)
FOREX
CFDs
Commodities
A.3 Willingness to Invest

Objective- To determine the Willingness to Invest of the customer with regards to Complex instruments (10 = highest level of knowledge)
Derivatives
Structured Products/Bonds
(that embed a derivative)
Equities (emerging markets)
Equities (main world markets)
FOREX
CFDs
Commodities
B. Professional Experience
Objective – Determine the background of the client in order to ascertain his/her understanding of the investment commitment/risks being made.
Please provide a brief summary of your professional background. *
Disclaimer: If you elect not to provide IEL with the information requested in this questionnaire, or you provide IEL with insufficient information in this regard, you hereby acknowledge that IEL will be unable to determine whether a given service or product is appropriate for you, and will only be able to offer you such products or services after it has issued you with a risk warning in this regard.
C.) Has client previously traded? *
If Yes, Number of years:
If Yes, please indicate:
i.) the brokerage firm where account was, or is maintained:
Location:
Active
ii.) the average number of trades (executions) every 3 months:
CLIENT ACKNOWLEDGEMENT

Client represents that the information provided herein is true and correct, that he is authorised to sign this document and that he/ she will notify Investors Europe, in writing, of any material changes to said information provided herein. Investors Europe reserves the right to certify the accuracy of the information provided herein and to contact such other persons and agents, including bankers, brokers, Regulators and self-regulatory personnel, as it deems necessary.
CLIENTS NAME: *
AUTHORISED SIGNATURE:
PRINT NAME AND TITLE: *
Date * / MM / DD YYYY
Investors Europe Limited: APPROVAL (for internal use only)
Has the Client filled out EVERY page?
Are there any GAPS or missing information:
APPROVED, Head of Back Office:
Date / MM / DD YYYY
APPROVED, Compliance Officer:
Date / MM / DD YYYY
General Terms & Conditions of Business

The following general business terms and conditions shall apply to all transactions between Investors Europe and its Clients, unless otherwise explicitly stipulated in distinct and separate agreement(s).
(Click to view the full Terms & Conditions. )
* I Agree with the Terms & Conditions
I/we confirm that I/we are fully satisfied with the contract documents and their terms and conditions.
For receipt, understanding and acceptance of any and all information I/we hereby sign:
FULL NAME *
SIGNATURE
Date * / MM / DD YYYY
ANNEX I

OPENING OF TRADING ACCOUNT
To:
Investors Europe Ltd.,
745 EUROPORT,
Gibraltar

Dear Sirs:
The following are fully authorized to give orders for execution through Investors Europe Ltd on my behalf.

***Please do not insert the names of company brokers below – the spaces are reserved for individual(s) or institutions that will place orders on your behalf
1
2
3
4
5
Date / MM / DD YYYY
I/We agree unconditionally to accept and abide by the terms of this contract and by Investor Europe’s
General Conditions.
Very truly yours,
Name * First Last
Signature:
ANNEXE II

Investors Europe employee Declaration

Name of employee(s) who has/ have opened this account:
1
2
Declaration
I/We declare that no conflicts of interest exist between this client and myself/ ourselves and no personal, financial or business links/ interests exist which are or could eventually become conflicts of interest.
1. Signature:_______________________________________
2. Signature________________________________________

If any such potential conflicts exist, please detail on a separate page.
Annexe III

Professional/ Bankers Reference

Dear Sirs
This is to confirm that I have known Mr./s_________________________________for a period of _____ years in my capacity as his/her ______________________. I can confirm that passport Number _____________ is a true likeness of Mr./s______________________________and during the time I have known him/her, he/she has conducted his/her professional affairs with integrity and I have no hesitation in recommending him/her to you as a client.
I confirm that Mr./s ______________________________’s residential address is as follows:
Date / MM / DD YYYY
FULL NAME
Signature:__________________________________________

STAMP
Annexe IV

Best Execution Policy

General principle
Best Execution refers to our obligation as a firm to execute orders on behalf of customers to ensure that the prices those orders receive reflect the optimal mix of price improvement, speed and likelihood of execution. This policy describes Investors Europe
Limited’s (IEL’s) approach to best execution and describes the main factors that IEL evaluates to determine the best way to execute an order on behalf of the client. It applies both to retail and professional clients as defined in IEL’s general terms and conditions.

Best Execution In Practice
We will take all care to obtain the best possible result for our customer with reference to price, costs born by the customer, size, nature of the transactions, time of reception of order, speed and likelihood of execution and trading venue taking into account the state of the relevant market(s).

The relevant market(s) shall be deemed to be the market(s) offering the most favourable trading conditions also in terms of transparency, liquidity and clearing and settlement arrangements in connection with the envisaged transaction. If IEL executes in
another trading venue, we will demonstrate that this has been done in accordance with the customer’s best interest.

IEL will act with due skill, care and diligence and will pay due regard to its customer’s interests – selecting the most opportune time to execute the customer order. We will endeavour to take reasonable care to ascertain the price which is the best available for the customer order in the relevant market at the time for transactions of the kind and size concerned

We shall pass on to the customer the details of the price at which the trade was executed to meet the customer order.

Where a customer order is subject to a special condition we will disclose any additional cost involved in satisfying the special condition or in respect of the non-standard element.

An example of when IEL will take particular care to assess the timing of execution of all or part of a current customer order includes when:

o We receive a customer order outside the normal trading hours of the relevant market or trading platform with a view to executing that customer order on that market or other trading platform;
o A foreseeable improvement in the level of liquidity in the relevant designated investment is likely to enhance the terms on which the firm executes the customer order.
o Executing the customer order as a series of partial executions over a period of time is likely to improve the terms on which the customer order as a whole is executed.

We may have reasonable grounds for postponing execution of a current customer order in the best interests of the customer. An example would be if the deal is part of an aggregated transaction.
IEL will occasionally execute orders in emerging markets (i.e. markets in countries with one or more of the following characteristics: political instability, uncertainty regarding financial markets and economic growth, developing financial markets and weak economies). It will only do so on behalf of clients who have a thorough understanding of such investments and the risks involved, and who have sufficient funds to assume these risks.

Execution Venues
We have included the list below of the Execution Venues which we believe best meet customer interests for the Best Execution of their orders on a consistent basis.
When selecting a venue we have not only taken into account the fees and commissions when under taking a transaction but in addition we have also focused on the quality of execution available on the venue.

The list of venues is not exhaustive and execution may occur in alternative venues from time to time provided those venues are consistent with this policy.

Annexe V

Conflicts of Interest Policy

General principle
Where a conflict of interest arises we will disclose this openly to our customers.
We will endeavour to act professionally and independently with the customer’s best interests always in mind. We will manage any conflict of interest situation fairly.

IEL will take all reasonable steps to identify conflicts of interest between:

o Ourselves, including our managers, employees, appointed representatives (or where applicable tied agents),
or any other person directly or indirectly linked to IEL and its clients;
o One client and another.

IEL will maintain and operate effective organisational and administrative arrangements with a view to taking reasonable steps designed to prevent conflicts of interest from adversely affecting the interests of our clients. These arrangements will take into account any circumstances which may give rise to a conflict of interest arising as a result of the structure and business activities of each and every member of the IEL group.

We will endeavour to disclose the general nature and/or specific sources of conflict with the interest of our clients.

We will keep records of the services and activities performed by IEL in which a conflict of interest has arisen or may arise.
These records will be updated regularly. Such obligation may, in some circumstances, be discharged through our Compliance Department with the requirement to prepare, maintain, and implement effective policies to minimise the potential for Conflicts of Interest to arise.

IEL continually monitors the above policy statements to ensure that they remain accurate and correct and offer the customer the best level of service expected from our firm.
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Individuals: Application Form (IE)

Individuals: Application Form (IE)

NEW CLIENTS: ACCOUNT OPENING FORM – HNWI

2.) PRIMARY CONTACT ADDRESS FOR TRADING PURPOSES (If different from above)

3.) SETTLEMENT & CLEARING DETAILS

4. GENERAL INFORMATION (attach additional sheets, as necessary)

If this is a Joint Account then we require a copy of Passports and Utility bills from both parties

5. BANKING RELATIONSHIPS (attach additional sheets if necessary)

6. INVESTMENT OBJECTIVES:

7. Source of funds - Occupation

8. TRADING INFORMATION Investorseurope is committed to complying with the provisions of the Data Protection Directive. In signing these account opening documents, you consent to investorseurope holding and processing the information provided by you for the purposes of providing its services.

A. Investment Knowledge Objective- To determine the level of knowledge of the customer with regards to Complex instruments (10 = highest level of knowledge)'

A.2 Trading Experience Objective- To determine the years of Trading Experience of the customer with regards to Complex instruments (10+ = highest level of knowledge)

A.3 Willingness to Invest Objective- To determine the Willingness to Invest of the customer with regards to Complex instruments (10 = highest level of knowledge)

B. Professional Experience Objective – Determine the background of the client in order to ascertain his/her understanding of the investment commitment/risks being made.

Investors Europe Limited: APPROVAL (for internal use only)

General Terms & Conditions of Business The following general business terms and conditions shall apply to all transactions between Investors Europe and its Clients, unless otherwise explicitly stipulated in distinct and separate agreement(s).

I/we confirm that I/we are fully satisfied with the contract documents and their terms and conditions. For receipt, understanding and acceptance of any and all information I/we hereby sign:

ANNEX I OPENING OF TRADING ACCOUNT

I/We agree unconditionally to accept and abide by the terms of this contract and by Investor Europe’s General Conditions. Very truly yours,

ANNEXE II Investors Europe employee Declaration Name of employee(s) who has/ have opened this account:

Declaration I/We declare that no conflicts of interest exist between this client and myself/ ourselves and no personal, financial or business links/ interests exist which are or could eventually become conflicts of interest.

1. Signature:_______________________________________

2. Signature________________________________________ If any such potential conflicts exist, please detail on a separate page.

Signature:__________________________________________ STAMP

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2.) PRIMARY CONTACT ADDRESS FOR TRADING PURPOSES
(If different from above)

8. TRADING INFORMATION

Investorseurope is committed to complying with the provisions of the Data Protection Directive. In signing these account opening documents, you consent to investorseurope holding and processing the information provided by you for the purposes of providing its services.

A. Investment Knowledge

Objective- To determine the level of knowledge of the customer with regards to Complex instruments (10 = highest level of knowledge)'

A.2 Trading Experience

Objective- To determine the years of Trading Experience of the customer with regards to Complex instruments (10+ = highest level of knowledge)

A.3 Willingness to Invest

Objective- To determine the Willingness to Invest of the customer with regards to Complex instruments (10 = highest level of knowledge)

B. Professional Experience
Objective – Determine the background of the client in order to ascertain his/her understanding of the investment commitment/risks being made.

General Terms & Conditions of Business

The following general business terms and conditions shall apply to all transactions between Investors Europe and its Clients, unless otherwise explicitly stipulated in distinct and separate agreement(s).

I/we confirm that I/we are fully satisfied with the contract documents and their terms and conditions.
For receipt, understanding and acceptance of any and all information I/we hereby sign:

ANNEX I

OPENING OF TRADING ACCOUNT

I/We agree unconditionally to accept and abide by the terms of this contract and by Investor Europe’s
General Conditions.
Very truly yours,

ANNEXE II

Investors Europe employee Declaration

Name of employee(s) who has/ have opened this account:

Declaration
I/We declare that no conflicts of interest exist between this client and myself/ ourselves and no personal, financial or business links/ interests exist which are or could eventually become conflicts of interest.

2. Signature________________________________________

If any such potential conflicts exist, please detail on a separate page.

Signature:__________________________________________

STAMP

When you have finished filling and printing your form, please press "SUBMIT" so we can start processing your application straightaway

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