Application to Open a Trading Account

To comply with the prevailing Anti-Money Laundering Act, we kindly request specific information from you. If you are an individual, please provide your occupation, while businesses and other entities should indicate their business activity. Please accurately fill in the designated fields with the requested details. If you choose to print the forms, ensure they are completed, signed, dated, scanned, and sent along with the necessary compliance requirements to the provided email address. For online submissions, retain a copy for your personal records. Our dedicated team is available to assist you with any queries.

ONLINE ACCOUNT OPENING & AGREEMENT FORM

First Name

Middle Name

Last Name

PRIMARY ACCOUNT HOLDER ADDRESSHOMEPlease check if this is the preferred address used to be used for all legal documents for Archway Investment Limited.

Street Address

Apartment, suite, etc

City

State/Province

ZIP / Postal Code

Country

COMPANYCOMPANYPlease check if this is the preferred address to be used for all legal documents for Archway Investment Limited.

Street Address

Apartment, suite, etc

City

State/Province

ZIP / Postal Code

Country

Office Phone Number

PRIMARY ACCOUNT HOLDER CONTACT INFORMATION

Mobile Phone *

Emergency Contact *

Email Address *

PRIMARY ACCOUNT HOLDER PERSONAL INFORMATION(This information is required under our Anti-money laundering (AML) policy).

Place of Birth

Date of Birth

Nationality

Country of Residence

Primary Occupation

Are you affiliated with or employed by a stock exchange or member Firm of an exchange, FINRA or a municipal securities broker dealer?YesNo

Are you a director, 10% shareholder or policy making officer of any publicly held company?YesNo

Text

Are you a Current or former senior official of a foreign government or any political party or senior executive of a foreign government-owned commercial enterprise or a family member or close associate of such person?YesNo

Currency preferred for the succeeding items:USDEURAUD

Liquid Net worth (Exclude the value of your residence and other non-liquid assets).$24,999 & below$25,000-$99,999$100,000-$199,999$200,000-$349,999$350,000-$499,999$500,000 & above

OTHER BROKERAGE ACCOUNTSNONEONEMULTIPLE

Name of Broker/Dealer (s) where you have had a Securities Account in the last 5 years:

Name of FCM (s) where you have had a Futures Account in the last 5 years.

DISCLOSURE POLICY

The non-public personal information we collect about you comes primarily from this Account Application or other forms you have submitted to us. We do not disclose your information to anyone, except as permitted by law. All client information will be treated in the strictest confidence. It may only include disclosing your information pursuant to your express consent, to fulfill your instructions or to comply with applicable laws and regulations. We limit access to your information to those of our employees and service providers who are involved in offering or administering the products or services that we offer. We maintain physical, electronic and procedural safeguards that are designed to comply with international standards to safeguard your information. If your relationship is terminated, we will continue to treat the information as stated herein.

This brief statement does not disclose all of the risks and other significant aspects of trading in the markets. In light of the risks, you should undertake such transactions only if you understand the nature of the contracts (and contractual relationships) into which you are entering and the extent of your exposure to risk. Trading in the markets is not suitable for many members of the public. You should carefully consider whether trading is appropriate for you in light of your experience, objectives, financial resources and other relevant circumstances.

AGREEMENT

ACCOUNT TYPES. You understand that you are responsible for selecting the Account type (e.g., Individual Joint Corporate), that is appropriate for your investment criteria.

ACCOUNT STATUS. Archway Investment Limited (AIL). Agrees to accept and maintain for the undersigned Account Holder(s) one or more Accounts and to act as broker dealer for Account Holder(s) in the execution and clearance of orders for transactions involving the purchase and sale of financial securities. The Account Holder(s) hereby confirms that all responses made in connection with the Account Agreement are complete and correct, and that AIL will be informed of any material change in such data, including financial information. Account Holder(s) warrants to AIL that if Account Holder is an individual or if this is a Joint Account, Account Holder is of legal age and of sound mind. Unless otherwise indicated in the Account Holder’s Application no one except the Account Holder(s) identified in the Account Application has an interest in the Account(s). Account Holder(s) agrees to permit verification of relevant information by AIL through third parties (including credit reporting entities). In any event, this Account Holder’s Agreement and the Account(s) permitted hereunder become effective only upon acceptance by an authorized representative of AIL at its principal office.

ACCURACY OF NEW ACCOUNT APPLICATION AND CREDIT INFORMATION. The information that you have provided AIL is current, accurate, truthful and complete. No one except the person(s) listed on the Account Application (Form) has any interest in the Account being applied for.

IDENTITY VERIFICATION FOR ANTI-MONEY LAUNDERING PURPOSES. We are required by law to verify the identity of each Account owner. AIL requires you to provide 1 valid form of government issued identification upon submission of your Account Application form.

APPROVAL OF TRANSACTIONS. All transactions as agreed to with your Account representative are deemed to be final. All transactions receive the approval of a Compliance Officer and consent of the Account Holder prior to being processed.

RISKS. You are aware that all investments involve risk. In particular, investments in speculative securities and initial public offerings may entail an increased risk of loss and may not be suitable for all investors. Investments can result in the loss of all capital invested. Additionally, the past performance of a security does not guarantee future results or returns. You understand that all orders entered by you are based upon your investment decisions and are your sole responsibility and you will not hold nor seek to hold any of our officers, directors, employees, agents, subsidiaries or affiliates liable for any trading losses or other losses incurred by you.

COMMISSIONS, FEES & OTHER COSTS. Account Holder(s) agrees to pay all commissions, fees and other costs changed by AIL. Furthermore, AIL is authorized to convert funds in Account Holder’s Account(s) into and from the relevant foreign currency at the rate of exchange plus appropriate fees incurred by AIL.

TAPE RECORDING. You hereby authorize AIL to record telephone conversations between Account Holder(s) and AIL regardless of whether a periodic tone signal is used. You consent to the use of such tape recording in any forum in connection with resolving any disputes.

EXCHANGE RULES. All transactions handled by AIL on the Account Holder’s behalf shall be subject to the constitution regulations, customs and interpretations of each exchange or market (and its clearing house if any), on which the trades are executed and to all applicable international governmental regulations. AIL shall not be liable to the Account Holder(s) as a result of any action taken by AIL to comply with such rules.

PROCEEDS OF TRANSACTIONS. No Proceeds from the sale of any shares through any transaction will be remitted to the Account Holder(s) if there is any outstanding debit balance within the Account. Any shares liquidated or sold resulting in proceeds from the said sale of shares will be utilized to reduce or eliminate any outstanding margin balances a client’s Account may have.

CONSENT TO JURISDICTION. Accounts Holder(s) agree that all dispute claims, actions or proceedings arising directly, indirectly or otherwise in connection with or without or related to, or from this Agreement shall be arbitrated only in an arbitration forum agreed with the AIL Account Holder(s) consent and submits to the jurisdiction of any international court.

AMENDMENTS AND GUARANTEES. This Agreement reflects the entire agreement between AIL and the Account Holder(s) and supersedes all prior oral and written agreement between the parties relating to the subject matter hereof and no provisions hereof shall in any respect be waived augmented or modified by any other party unless in writing and signed by an official authorized at AIL headquarters. No one (including AIL’s, Associated Persons introducing Brokers, Fund Managers, Commodity Trading Advisors or Pool Operations) can guarantee profits in the absence of losses. Account Holder(s) agrees to promptly notify the AIL Compliance Department if any such guarantee is suggested.

MARGIN. The Account Holder(s) acknowledges that he/she is borrowing money from the value of the securities that are held within his/her Account and that Account Holder(s) understands the requirements and risks associated with a margin position.

PURCHASES AND SALES. To execute purchase orders. AIL generally requires that your Account has available funds equal to or greater than the purchase price of the securities. To execute sell orders, AIL generally requires that securities belong in the Account Holder’s Account. Account Holder(s) agree that any purchase or sell order accepted (inadvertently or otherwise) by AIL without sufficient funds or negotiable securities, respectively, in your Account, will be subject to liquidation in the case of a purchase order, or buy in the case of a sell order, at the Account Holder’s expense. In the event that full funds are not available in Account Holder’s Account when a purchase order is executed, the Account Holder(s) promises to pay the full amount due AIL’s preferred method of payment on or before settlement date for the purchases. In the event a sale order is executed and the securities sold are not in the Account Holder’s Account, Account Holder(s) promises to deliver all securities sold on or before settlement date. If such funds or securities are not received on or before the settlement date, AIL may liquidate Account Holder’s Account and Account Holder(s) will be liable for any resulting losses and all associated costs that could be incurred by AIL.

VERBAL AUTHORIZATION. AIL may execute any transaction upon verbal authorization by the Account Holder(s) on any market (public or private) where such business is transacted. Account Holder(s) understands that AIL does not provide Account Holder(s) with direct access to the marketplace. Account Holder(s) understands, whether Account Holder(s) places an order, Account Holder(s) will receive the price at which the order is quoted to Account Holder(s). However, particularly during periods of high volume, liquidity, fast movement or volatility in the marketplace or the placement of large orders, the execution price Account Holder(s) receives may differ from the quote published at the time of order entry and Account Holder(s) may receive partial executions at different prices.

REPORTS AND NOTICES. Should inaccuracies or discrepancies appear on an Account Holder’s statement of account, the Account Holder(s) agrees that it is the Account Holder’s responsibility to inform, whether by telephone or email immediately upon receipt of the statement. All reports of inaccuracies must be made to AIL within 48 hours. If the Account Holder(s) does not respond immediately, executed orders and statement reports shall be considered accurate, in doing this, AIL relieves itself of all responsibility. Account Holder(s) has the responsibility to maintain contact with AIL at all times that Account Holder(s) has market positions or has placed orders but is not available at Account Holder’s regular address or telephone number to receive reports. Details of trades and any other similar information or notices sent to Account Holder(s) shall be conclusive and binding.

DEBIT BALANCES. All monies, securities, negotiable instruments, open positions in contracts, options premiums, commodities or other property now or at any future time on deposit or in safekeeping with AIL shall constitute as security for an Account Holder’s obligations hereunder and Account Holder(s) grants AIL the right to sell or use such security to offset and credit any of those obligations not promptly paid. Account Holder(s) understands that Account Holder is liable to AIL for any deficit (“debit”) balance in the Account(s) remaining after any such offset. If Account Holder(s) does not promptly pay a debit in Account Holder’s account(s) and AIL deems it necessary to take collection action, Account Holder(s) will hold AIL harmless for all losses and expenses and will be accountable or liable to AIL for the debit and all costs incurred, including reasonable attorney’s fees in connection with such collection actions.

SIGNED DOCUMENTATION. AIL requires that all Account Holders have an original Account Holder’s Agreement with original signatures on the file with the Accounts Department. However, at the sole discretion of AIL, documents signed and transmitted by email may be accepted as original documents. The signature of any person or entity thereon, is to be considered as an original signature and the documents transmitted is to be considered as an original signature and the document transmitted is to be considered to have the same.

I Hereby Acknowledge That I Have Read and Understand This Agreement Statement.
By signing this Account Registration, I acknowledge that I have received and read a copy of the attached Account Agreement. I acknowledge that this Account and my relationship with AIL will be governed by the Account Agreement and all incorporated agreements and disclosures, including but not limited to the Account Agreement. I understand that there are fees associated with establishing, maintaining, engaging in transactions and transferring assets out of this Account. I also acknowledge that if I trade “on margin”, I am borrowing money from the value of the securities that are held within my Account and that I understand the requirements and risks associated with a margin. I also acknowledge that AIL is relying on this information in approving my Account and extending my credit and that all such information is true and correct.

Application to Open a Trading Account - Archway Investments