Forex - Alpari UK

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Authorised person’s trading experience For regulation purposes, we would like to find out more about the authorised person’s trading experience, investment knowledge and financial standing. Over the past three years, how frequently have you traded the following products: Forex Shares/bonds CFDs/spread bets Frequently Sometimes Rarely Never Frequently Sometimes Rarely Never Frequently Sometimes Rarely Never Occupational experience I have a good understanding of trading derivatives, including trading on margin, due to employment in the financial services sector. Qualifications I have a good understanding of trading derivatives, including trading on margin, due to a relevant professional qualification or by education. Yes No Yes No Declaration We confirm we have read and understood the Client Agreement, Risk Warning Notice, Order of Execution Policy, Conflicts of Interest Policy set out by Alpari (UK) Limited which are available at www.alpari.com/legal-documents. By submitting this application and the required documentation, we agree to be bound by the terms of these documents. We confirm we understand the full nature and risks of trading forex, CFDs and other derivatives. We confirm that the funds to be traded are those of the company and not of any underlying clients. We have access to the internet and consent to Alpari (UK) Limited providing us with information about changes to their Client Agreement by posting such information on their company website www.alpari.co.uk. We confirm that we are aged 18 years or over and that the information provided by us in this account opening process is true and accurate and that we will notify Alpari (UK) Limited in writing of any material changes. Finally, we guarantee that we do not breach any regulations of our country of residence in trading with Alpari (UK) Limited. Signature of the authorised person: Date: D D M M Y Y Y Y 4
Appendix A – European Market Infrastructure Regulation (EMIR) 1 Reporting This Appendix in general is applicable to you if you are an EEA domiciled corporate entity or a non-EEA alternative fund with EEA managers who are authorised under the Alternative Investment Fund Managers Directive (AIFMD). EMIR lays down clearing and bilateral risk- management requirements for over-the-counter (‘OTC’) derivative contracts, reporting requirements for derivative contracts and uniform requirements for the performance of activities of central counterparties (‘CCPs’) and trade repositories. Under EMIR, Alpari (UK) Limited (‘Alpari’) must report all OTC derivatives contracts concluded, modified or terminated with financial and non-financial counterparties to a trade repository. Reporting requirements also apply to certain retrospectively concluded OTC derivatives contracts. Alpari is willing to report on your behalf, at no additional cost to you. Please note that in order to do so, we will require your permission and the items of information set out in the table below. By completing and returning this Appendix, it will be taken as an indication of your instruction for Alpari to report on your behalf. In order to assist you in meeting your own responsibilities for checking and supervision of this arrangement, we will also supply you (upon request) with detailed reports of what has been submitted in your name. Counterparty ID* (This is your LEI/IEI (pre-LEI) number) Nature of the counterparty Financial Counterparty (FC) Non-Financial Counterparty (NFC) Financial Counterparty Corporate Sector of the Financial Counterparty (please select one option only) A: Authorised assurance undertaker C: Authorised credit institution F: Investment firm I: Authorised insurance undertaker L: Authorised alternative investment fund manager R: Reinsurance undertaking U: UCITS and its management company O: Institution for occupational retirement provision Is the Financial Counterparty directly linked to commercial activity or treasury financing? Yes No Non Financial Counterparty Will you be above the Clearing threshold**? Yes No * Legal Entity Identifier (‘LEI’) or Interim Entity Identifier (‘IEI’, also known as pre-LEI) can be obtained from a number of organisations 2 . **The clearing threshold is a “Sum” set by the European Securities and Markets Authority (ESMA) per financial instrument, and which will serve as the threshold against which NFC’s will have to calculate the rolling average of their outstanding notional positions in derivatives over 30 days. (€3 billion in gross notional value for OTC foreign exchange derivatives). Please note that when calculating the rolling average, transactions entered into for hedging purposes can be discarded. It is important that before completing and returning this Appendix to Alpari, you refer to EMIR and Alpari Client Agreement for more details 3 . 1 Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:201:0001:0059:EN:PDF) 2 Including but not limited to GMEI Utility and London Stock Exchange. 3 In particular, Article 6 of Alpari Client Agreement (http://www.alpari.co.uk/media/2809745/alpari-uk-client-agreement.pdf) Please send the signed application form and documents to Alpari (UK) Limited via Email: newaccount@alpari.co.uk Fax: +44 (0)20 7426 2949 Post: 201 Bishopsgate, London EC2M 3AB, United Kingdom For details on the required documentation, please refer to www.alpari.com/required-docs If you have any questions, please contact our Account Opening team on +44 20 7426 2940 5
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Forex - Alpari UK

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