Companies, Trust & Fund Account (IE)

Companies & Trusts etc: Opening an Trading Account with Investors Europe

DOCUMENTATION TO BE SENT:

(Please fill out 1,2,3 below. Print. Initial all pages, sign and send documents A - G, plus H if relevant, by Courier to: Investors Europe Ltd., Compliance Department, 745 Europort, Gibraltar)
* 1. Account Opening Documents 2. General Terms & Conditions 3. Client awareness declaration
Check list of items required for Companies & Trusts * A.) Certified copy of Passport or ID of beneficial owners and Director(s) B.) Utility bill for each beneficial owner/ Director C.) Certificate of Incorporation D.) Copies of Articles and Memorandum of Association E.) Corporate resolutions to open account at Investors Europe F.) List of persons authorized to give orders for execution G.) KYC documents on third parties authorized to execute H.) Confirmation that you want an offshore company* formed
* For trading purposes only – we will call you to discuss details
NEW CLIENTS: ACCOUNT OPENING FORM – Companies, Trusts & Similar
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 FX500 club Other (Specify)
If Other (Please Specify)
3. 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 or entity have an interest in this account * YES NO
If Yes, Please Fill In:

Name
Address
Street Address

Address Line 2

City

State / Province / Region

Postal / Zip Code

Country
Telephone No.
Email
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:
4. BANKING RELATIONSHIPS (attach additional sheets if necessary)
A.) Name of Bank: *
Address *
Account Type: *
Account No.: *
IBAN : *
SWIFT/ BIC : *
Length of Time with Bank: *
5. INVESTMENT OBJECTIVES:
Safety of Principal Income Speculation Growth Other
Client’s Net Worth: € *
Client’s Annual Net Income: € *
7. 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 Investof 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 Terms & Conditions
I/we declare, bindingly and finally, that I/we are fully satisfied with:
the contract documents, its terms and conditions.

For receipt, understanding and acceptance of any and all information I/we hereby sign:
FULL NAME
SIGNATURE
Date / MM / DD YYYY
Annexe I

CERTIFIED COPY OF CORPORATE RESOLUTIONS

ADOPTED BY THE BOARD OF DIRECTORS OF
(NAME OF COMPANY)
RESOLVED

FIRST: That the Managing Director or any Director of this Company, or
OR
be and they hereby are, and each of them hereby is, authorized and empowered, for and on behalf of this Company ("herein called the "Company"), to enter into a Trade Execution Agreement with Investors Europe Ltd., (herein called "Broker") for the purpose of transmitting to Broker for execution, the Company' s orders for the purchase or sale of securities.
The fullest authority at all times- with respect to the foregoing or with respect to any transaction deemed by any of the said officers and/or agents (see list of persons authorized to give orders to the Broker for execution) to be proper in connection therewith is conferred, including authority (without limiting the generality of the foregoing) to give electronic, written or oral instructions to Broker with respect to said transactions; to bind and obligate the Company to and for the carrying out of any contract, arrangement, or transaction, which shall be entered into by any such officer and/or agent for and on behalf of the Company with or through Broker; to sign for the Company all releases, powers of attorney and/or other documents in connection with any such account, and to agree to any terms or conditions to control any such account; to appoint any other person or persons to do any and all things which any of the said officers and/or agents is hereby empowered to do, and generally to do and take all action necessary in connection with the account, or considered desirable by such officer and/or agent with respect thereto.
SECOND:
That Broker may deal with any and all of the persons directly or indirectly by the foregoing resolution empowered, as though- they were dealing with the Company directly.
THIRD:
That the Secretary of the Company is and hereby is authorized, empowered and directed to certify, under seal of the Company, to Broker:

(a) a true copy of these resolutions;

(b) specimen signatures of each and every person by these resolutions empowered;
(c) a certificate (which, if required by the Broker, shall be supported by an opinion of the general counsel of the Company, or other counsel satisfactory to the Broker) that the Company is duly organized and existing, that its charter empowers it to transact the business by these resolutions defined, and that no limitation has been imposed upon such powers by the By-Laws or otherwise.

FOURTH:
That the Broker may rely upon any certification given in accordance with these resolutions, as continuing fully effective unless and until Broker shall receive due written notice of a change in or to rescission of the authority so evidenced and the dispatch or receipt of any other form of notice shall not constitute a waiver of this provision, nor shall the fact that any person hereby empowered ceases to be an officer of the Company or becomes an officer under some other title in any way affect the powers hereby conferred. The failure to supply any specimen signature shall not invalidate any transaction if the transaction is in accordance with authority actually granted.

FIFTH:
That in the event of any change in the office or power of persons hereby empowered, the Secretary shall certify such changes to the Broker in writing in the manner herein above provided, which notification, when received, shall be adequate both to terminate the powers of the persons theretofore authorized, and to empower the persons thereby substituted.

SIXTH:
That the foregoing resolutions and certificates actually furnished to the Brokers by the Secretary of the Company pursuant thereto, be and hereby are made irrevocable until written notice of the revocation thereof shall have been received by Broker.
IN WITNESS WHEREOF, the Company has hereunto subscribed the Company’s name and affixed the seal of the Company this / MM / DD YYYY
Affix Corporate Seal Here: Secretary's Signature:
Secretary’s Name:
Other Officer’s Signature:
Other Officer's Name:
Other Officer's Title:
Annexe II

OPENING OF COMPANY ACCOUNT

To: Investors Europe Ltd.,
745 EUROPORT,
Gibraltar

Dear Sirs:
The undersigned Company, by,
its authorized officer, pursuant to the resolutions, a copy of which, certified by the Secretary, is annexed hereto, is authorized to enter into a Trade Execution Agreement with Investors Europe Ltd., which Trade Execution Agreement has been duly executed on behalf of the Company. The list of persons authorized to give orders to the Broker for Execution is set out below.
1
2
3
4
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,
1. Signature
(Name of Company)
By: *
(Officer)
I, *
Secretary of
hereby certify that the annexed resolutions were duly adopted at a meeting of the Board of Directors of said Company, duly held on the * / MM / DD YYYY
at which a quorum of said Board of Directors was present and acting throughout and that no action has been taken to rescind or amend said resolutions and that the same are now in full force and effect.

I further certify that each of the following has been duly elected and is now legally holding the office set opposite his/her name:
(Print Name)
(Office)
(Print Name)
(Office)
I further certify that the said Company is duly organized and existing and has the power to take the action called for by the resolutions annexed hereto.
IN WITNESS WHEREOF, I have hereunto affixed my hand and the seal of the said Company this / MM / DD YYYY
Affix Corporate Seal Here:
Annexe III

Investors Europe employee Declaration
Name(s) of employee(s) who have opened this account:
1.
2
3
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
3. Signature
If any such potential conflicts exist, please detail on a separate page.
Annexe IV

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
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
residential address is as follows: *
Street Address

Address Line 2

City

State / Province / Region

Postal / Zip Code

Country
Date * / MM / DD YYYY
FULL NAME *
Signature:
Stamp:
Annexe V

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 VI
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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Companies, Trust & Fund Account (IE)

Companies, Trust & Fund Account (IE)

* For trading purposes only – we will call you to discuss details

NEW CLIENTS: ACCOUNT OPENING FORM – Companies, Trusts & Similar

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

3. 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

4. BANKING RELATIONSHIPS (attach additional sheets if necessary)

5. INVESTMENT OBJECTIVES:

7. 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 Investof 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 declare, bindingly and finally, that I/we are fully satisfied with: the contract documents, its terms and conditions. For receipt, understanding and acceptance of any and all information I/we hereby sign:

Annexe I CERTIFIED COPY OF CORPORATE RESOLUTIONS ADOPTED BY THE BOARD OF DIRECTORS OF (NAME OF COMPANY)

Annexe II OPENING OF COMPANY ACCOUNT To: Investors Europe Ltd., 745 EUROPORT, Gibraltar Dear Sirs:

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

Secretary of

I further certify that the said Company is duly organized and existing and has the power to take the action called for by the resolutions annexed hereto.

Annexe III Investors Europe employee Declaration Name(s) of employee(s) who 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.

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

Annexe IV Professional/ Bankers Reference

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.

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

7. 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 Investof 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 declare, bindingly and finally, that I/we are fully satisfied with:
the contract documents, its terms and conditions.

For receipt, understanding and acceptance of any and all information I/we hereby sign:

Annexe I

CERTIFIED COPY OF CORPORATE RESOLUTIONS

ADOPTED BY THE BOARD OF DIRECTORS OF
(NAME OF COMPANY)

Annexe II

OPENING OF COMPANY ACCOUNT

To: Investors Europe Ltd.,
745 EUROPORT,
Gibraltar

Dear Sirs:

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 III

Investors Europe employee Declaration
Name(s) of employee(s) who 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.

Annexe IV

Professional/ Bankers Reference

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

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