introducing broker application form (v1.05 ... - … - introducing broker... · introducing broker...

IKON Finance Limited is incorporated in England and Wales No. 07251305 Registered Office: IKON Finance Limited, The Gherkin, 28th Floor, 30 St Mary Axe, London EC3A 8BF, Telephone: +44 (0) 203 384 0750 Fax: +44 (0) 203 384 0752

IKON Finance Limited is authorised and regulated by the Financial Conduct Authority (FCA) FRN: 525113

INTRODUCING BROKER APPLICATION FORM (V1.05)

1. ABOUT THE INTRODUCER

Proposed relationship: Introducing customers to IKON Finance Limited (“IKON”)

Name: ………..………………………………………………………….

Address: ………..………………………………………………………….

………..………………………………………………………….

Telephone: ………..………………………………………………………….

Fax: ………..………………………………………………………….

E-mail: ………..………………………………………………………….

Website: ………..………………………………………………………….

Principle bankers: ………..………………………………………………………….

Address: ………..………………………………………………………….

………..………………………………………………………….

Account No.: ………..………………………………………………………….

Accountants: ………..………………………………………………………….

Address: ………..………………………………………………………….

………..………………………………………………………….

Legal Advisors: ………..………………………………………………………….

Address: ………..………………………………………………………….

………..………………………………………………………….

Do you have an existing Introducing Agreement with other banks or brokerages?

[YES/NO] If yes name(s) of bank(s) or brokerage(s)………………………………………….

Have you in the past had an Introducing Agreement with other banks or brokerages?

[YES/NO] If yes name(s) of bank(s) or brokerage(s) ………………………………………….



2. BUSINESS PLAN

In what jurisdiction(s): (a) do you carry out business; and

(b) are the customers whom you will Introduce to IKON located?

………..………………………………………………………….

Are you registered, authorised, licensed or similar to carry out Introducing business in those jurisdictions?

[YES/NO] If yes the name of regulator and your registration no.

………..………………………………………………………….

How many clients do you envisage Introducing to IKON within 12 months?

………..………………………………………………………….

What is the average size of account Introduced?

………..………………………………………………………….

Which markets will the customers you introduce be trading?

FX [ ]

Bullion [ ]

Options [ ]

Futures [ ]

Others .………………………………………………………………………………………..

Please indicate the proposed commission rates payable by the customer.

FX .………………………………………………………………………………………..

Bullion .………………………………………………………………………………………..

Options .………………………………………………………………………………………..

Futures .………………………………………………………………………………………..

Others .………………………………………………………………………………………..

Please indicate the rebate from commissions which you wish to receive

FX .………………………………………………………………………………………..

Bullion .………………………………………………………………………………………..

Options .………………………………………………………………………………………..

Futures .………………………………………………………………………………………..

Others .………………………………………………………………………………………..



Will you provide any advice to the customers you introduce in the handling of their accounts?

[YES/NO] Will you provide discretionary management services to the customers you introduce to IKON?

[YES/NO]

3. DOCUMENTS

The following documents are required to support introducer applications. Please tick those which you are enclosing

with this questionnaire.

Individual applications

[ ] Certified copy of your passport including a certification that the photo is a true likeness of you

[ ] Certified document showing your address (e.g. a recent utility bill, drivers license)

Corporate applications

[ ] Certified copy of certificate of incorporation (or equivalent)

[ ] Certified copy of Memorandum and Articles of Association (or equivalent)

[ ] Certified copy of certificate of Good Standing or Incumbency (if applicable)

[ ] Certified copy of the up-to-date registers of directors and shareholders

[ ] Certified copy of the latest annual return and filed accounts (if applicable or available)

[ ] Certified copies of passport and proof of address (e.g. a recent utility bill, drivers license) for

at least one director and the shareholders holding more than 25% of the shares in the company

[ ] If the company or corporate entity is beneficially owned or controlled by a person or persons

other than the directors and/or registered shareholders, certified copies of photo ID and

proof of address documents for that person as well as certified copies of documentary evidence that the shares are held for the benefit of that person

[ ] Evidence of the company’s registered address

4. ACKNOWLEDGEMENT AND SIGNATURE

By signing this Application Form, you acknowledge and agree that:

The information that you have given on this form is true, accurate and complete.

That you have read and understood and agree to be bound by the Introducer Agreement and (insofar as

relevant to you) the terms and conditions of all agreements with the customers Introduced by youincluding those set out in IKON’s Terms of Business, the Account Opening Form and associated

documentation (collectively, the “Agreement”).



That you have appropriate systems & controls in place to ensure full compliance with current Money

Laundering / Terrorist financing legislation in England and Wales as well as your own jurisdiction.

That you consent to any personal data submitted in this document to be processed in accordance with

our Data Protection Policy as detailed on our website and that IKON may transfer this data to a country or

territory outside of the EEA.

Signature: ………………………………………………………………...

Full name of signatory: ………………………………………………………………...

Date: ……………………….………………

introducing broker application form (v1.05 ... - … - introducing broker... · introducing broker...

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