corporate account application form - amana capital€¦ · amana financial services uk is...

CORPORATE ACCOUNT APPLICATION FORM

Amana Financial Services UK is authorised and regulated by the Financial Conduct Authority FRN: 605070 32 Ludgate Hill-EC4M 7DR-London-UK

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Instructions as to how to Complete the Application Form 1. Before completing this Application Form, please make sure you have read and understood our Risk Disclosure Notice, Client Agreement, Order Execution Policy, Conflicts of Interest Policy, Privacy Policy, Products Specifications, Key Information Documents and any additional legal documentation available on our website https://www.amanafs.co.uk/legal-documentations. 2. Please ensure you complete all sections of this Application Form in full. Any omitted information /section will delay the processing of your application. If any question is not applicable to your company, please enter N/A; 3. For fast processing purposes you may submit the completed, signed and scanned Application Form by email to [email protected] 3. Please note that we will not be able to proceed with your Account Opening Application unless all the required documents are received by us and all internal checks are duly satisfied; 4. You shall be contacted by a representative of Amana if further details/documents are required; 5. For any questions regarding this Application Form, the Agreement or the Contract Specifications you may contact us on T: +44 207 248 6485.

https://www.amanafs.co.uk/risk-disclosure

https://www.amanafs.co.uk/pdf/Client_Agreement_Risk_Disclosure.pdf

https://www.amanafs.co.uk/pdf/Order_Execution_Policy.pdf

https://www.amanafs.co.uk/pdf/Conflict_of_Interest_Policy.pdf

https://www.amanafs.co.uk/pdf/Conflict_of_Interest_Policy.pdf

https://www.amanafs.co.uk/pdf/Privacy_Policy.pdf

https://www.amanafs.co.uk/pdf/ProductSpecifications.pdf

https://www.amanafs.co.uk/legal-documentations



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1. Company Details Corporate Name:

Trading Name (if different):

Website:

Date and Place of Registration:

Registration Number:

Registered Address:

Country of Tax Residency:

Tax Identification Number (TIN) or Functional Equivalent:

If no TIN available, please specify the reason:

LEI Number: “The LEI (Legal Entity Identification) is designed to create a global reference data system that uniquely identifies every legal

entity or structure, in any jurisdiction, that is party to a financial transaction and we are unable to accurately report your trades

without it. Therefore, ALL legal entities (both EU and Non-EU) that wish to open an account with Amana must have an LEI Code; otherwise, no transaction can be concluded with such entities. If you do not have an LEI number please register here

https://www.lseg.com/LEI.”

Type of Incorporation:

Public Company

Private Company Other- Please specify:

Please provide a detailed description of your core business activities (to include details of services / products

and to whom these are provided. It is insufficient to state “consultancy”, “trading” etc)

Geographic Area(s)/Jurisdiction(s) of operations: (Depending on the nature and the location of the company’s

operations and activities, additional documentation and/or information may be required)



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Are you authorised to perform any regulated service/activity?

If your answer is ‘yes’ please state the name of the regulator and regulatory number

Are you part of a group:

If your answer is ‘yes’ please, provide us the company’s group structure showing the Ultimate Beneficial

Ownership.

2. Contact Details Business Address: (street & building number): City:

Postal/Zip Code:

Country: Telephone No (incl. country and area codes):

Fax:

Primary Contact:

Capacity: Email Address:

3. Banking details

Bank Name:

Bank Address/Branch:

Country:

Account Name:

Account Number:

IBAN:

Sort code/BIC:

Please send an original or certified copy of a bank statement – under the Company’s name - dated within the last three months.

Kindly be informed that withdrawals will be exclusively sent to the source of funds through same

funding method).



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4. Ownership and Control Structure - please complete this section for a minimum of two

(2) Directors (if applicable), each Authorised Representative and each Shareholder with 25% or more

ownership in the company Capacity within the Company:

• Shareholder:

• Director:

• Authorised Representative:

First Name:

Middle Name:

Last Name:

Nationality:

Date of Birth:

Educational Background

Other Occupation/Name of business

Telephone No (incl. country and area codes):

Email Address:

Permanent Address Details:

• Street & Building No.

• Post/Zip Code

• City

• Country

Do you or your family member or any other associate hold/held during the last 12 months any public positions?

Percentage of ownership (if applicable):

We may require you to provide further info and/or supporting documentation with respect to the information

provided.

5. Financial Information (please tick all criteria that apply to your company)

Balance sheet total of at least EUR 20,000,000

Net turnover of at least EUR 40,000,000

Own funds of at least EUR 2,000,000

Does the size of the financial instrument portfolio

(cash deposits and financial instruments) held by the

company exceed EUR 500,000.00 or equivalent?

6. Financial Profile Source of funds (e.g. profits from business, income/profits from investments, intellectual property rights etc).

We may require you to provide further info and/or supporting documentation in respect of the source(s):



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Purpose and reason for requesting the envisaged service(s) (e.g. capital growth, capital preservation, income

generation, liquidity management, hedging, speculation, other):

Has the company or any of its Directors ever been subject to Bankruptcy/Insolvency proceedings in any

country or territory?

7. About Your Account

Base Currency:

USD EUR GBP

Platform:

MT4 MT5 API

Leverage:

8. Account Activity Details Please choose the service(s) envisaged:

CFD trading in Currency pairs (FX): CFD trading in Spot Metals:

CFD trading in Futures: CFD trading in Spot Energies:

Trading in Cash CFDs: CFD trading in Cryptocurrencies:

Anticipated annual account turnover:

Anticipated Initial Deposit:

Anticipated deposit per Annum:

9. Investment Experience Does the Company understand the nature and risks of margined (or geared) transactions?

Have experience of trading margined (or geared) products;

If Yes:

What type of investments does the Company have experience in: e.g. Forex, futures, options, CFDs:

How large are these Transactions (lots):

How often does the Company make these transactions (times per month):

For how long has the Company been making these transactions (Years/Months):



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10. Investment Knowledge

Have the officers of the Company who will be making trading decisions worked in the financial sector for at

least one year in a professional position, which requires knowledge of the transactions or services envisaged?

Have the officers of the Company who will be making trading decisions a good understanding of leveraged

derivatives through a professional qualification and/or higher education?

In the last 12 months, have the officers of the Company who will be making trading decisions carried out transactions at an average frequency of 10 per quarter, with a minimum of 40 total transactions, in the following? Cash Shares and Bonds: OTC derivatives (e.g. FX, Commodities, CFDs): Leveraged exchange traded derivatives (e.g. Futures, Options):

Please provide us with any further information about the Company’s knowledge and experience that will help

us assess whether our services are appropriate for the Company:



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Board Resolution

“” (herein “the Company”), With registration no . certify that the following resolutions were duly passed by the directors of the Company at a meeting held on (date). All Directors being present it was decided unanimously, that:

1. The Company will enter into an agreement (“the Agreement”) with Amana Financial Services UK Limited (“Amana”), an investment firm authorised and regulated by the Financial Conduct Authority (FCA) with FRN: 605070, in regard to the provision of investment services offered.

2. The Agreement is to be entered into in connection with the opening of an Account in such form as Amana will require and all transactions entered into by the Company shall be subject to the terms and conditions of Amana’s Agreement;

3. Each if the following person(s) (hereinafter the “authorised persons):

First Name Last Name Position Specimen signature

Signature mode

1 Individually

Any 2 jointly 2 Individually



Any 2 jointly Will be authorised to open - for and on behalf of the Company - the Account with Amana, and to execute and deliver on behalf of the Company the Account Opening Form and any and all other documents requested by Amana in the process of opening the Account, and take any and all steps related thereto;

4. The Authorised Persons shall have any and all powers to operate the account. To transact any and all types of business with or through the account and generally represent the Company in all its relation with Amana;

5. The foregoing resolutions above shall remain in force until written notice of its amendment or rescission has been received by Amana and that receipt of the said notice shall not affect any action taken by Amana prior thereto. Directors:

Name:

Date: Signature:

Name:

Date: Signature:

Name:

Date: Signature:

Name:

Date: Signature:



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11. List of required documents/Information • Certificate of incorporation;

• Recent (up to 12 months) certificate of good standing;

• Certificate of directors and secretary;

• Certificate of shareholders;

• Memorandum and articles of association;

• Resolution of the Board of Directors of the Client for the opening of the account

and granting authority to those who will operate it;

• Company Authorised Signatory List

• A copy of the latest audited financial statements (if available) and

/ or copies of its latest management accounts;

• Proof of business address such as a copy of utility bill issued within the last three

months;

• Certificate of registered address if different from the proof of business address above.

• LEI Number

Amana reserves the right to require certified copies of corporate documentation of some or all the

named entities or individuals as deemed necessary.

For two Directors of the Client, as per the certificate of Directors, the following documents

are required:

• ID Document: Copy of Passport or Driving License and National Identity;

• Residential Address Document: Copy of a recent (up to 3 months) utility bill, local

authority tax bill or a bank statement.

For Beneficial Owners owning 25% of the Client the following documents are required:

• ID Document: Copy of Passport or Driving License and National Identity;

• Residential Address Document: Copy of a recent (up to 3 months) utility bill, local


For each Representative authorized to open and/or operate the Client’s account the following

documents must also be provided for each Representative person: • A legalized or apostilled document – authorizing the Representative person (if

different than any of the Directors) to act on behalf of the Client; • ID Document: Copy of Passport or Driving License and National Identity;

• Residential Address document: Copy of a recent (up to 3 months) utility bill, local


For Corporate shareholders or Directors:

• Corporate Ownership Structure

• A complete list of supporting documentation for each Company as listed above;



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• Verification of directors and shareholders who directly or indirectly exercise control

over the legal entity.

It is noted that at any times during the business relationship, the Company may require

additional documents and information if necessary.

REMARKS: 1. Certification standards: Copies of documents may be certified as true copies if the Client is from the EEA and Apostilled if the Client is from any other jurisdiction.

• Documents may be certified by a Notary Public, Banker, Lawyer or Professional Person. • The certifier should be a member of a professional organization that publishes certified lists of its

members and the professional body must be clearly identified under the signature. • The certification may be in English or Arabic or an English translation from an independent accredited

translator must be attached. • The certification must bear an original signature of the person certifying the document(s).

2. An apostille to a document is the authentication, by a specially appointed government official, of a copy of a public document which has been notarized as a true copy by a notary public. The apostille is accepted under Hague convention of 1961 to all the countries which are signatories to it. 3. Kindly note that the Company may always and at any time revert back to you requesting further information, clarifications and documentation from your behalf with respect to your application for opening an account or the maintenance and continuation of your account following approval.

TERMINOLOGY

(The below is a guide and is not meant to serve as an official definition of any of the terms provided. If in doubt, please seek legal advice.) “Beneficial Owner” m e a n s the natural person or natural persons, who ultimately owns or control the Client and/or the natural person on whose behalf a transaction or activity is being conducted. The Beneficial Owner shall at least include:

(1) In the case of a body corporate, “beneficial owner” means any individual who

(a) as respects anybody other than a company whose securities are listed on a regulated

market, ultimately owns or controls (whether through direct or indirect ownership or control,

including through bearer share holdings) more than 25% of the shares or voting rights in the

body; or

(b) as respects anybody corporate, otherwise exercises control over the management of the

body.

(2) In the case of a partnership (other than a limited liability partnership), “beneficial owner” means

any individual who:

(a) ultimately is entitled to or controls (whether the entitlement or control is direct or indirect)

more than a 25% share of the capital or profits of the partnership or more than 25% of the

voting rights in the partnership; or

(b) otherwise exercises control over the management of the partnership.

“Politically Exposed Persons”



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A politically exposed person (PEP) is an individual who is or has been entrusted during the last 12 months with a prominent public function, including the following:

PEPs in Government Roles

• Legislative Bodies: A good example here would be a Member of Parliament; • Executive Bodies: A PEP could range from the head of state down to the assistant ministers; • Diplomatic Roles: Ambassadors or charges d’affaires would be considered PEPs; • Judiciary Bodies: Key people working within supreme courts, constitutional courts or high-level judicial

bodies; • State-Owned Enterprises: A PEP would typically be anyone from a senior executive upwards. However,

even former members of the board of directors no longer associated with an organisation may retain influence and still be flagged as PEPs.

PEPs in Organisations and Institutions • Central Financial Institutions: Examples here would be the Court of Auditors and members on the

boards of central banks; • Armed Forces: In this situation a PEP rating would typically only apply to a high-ranking officer; • International Sports Committees: Members of these committees may be influenced to vote on the

location of major sporting events/contracts for building venues, etc., so have recently been included by FATF under their definition of a PEP.

Known ‘Close Associates’ who are Considered PEPs • Anyone who has a close business relationship or joint beneficial ownership of legal entities or legal

arrangements with a PEP; • Anyone who has the sole beneficial ownership of a legal entity which is known to have been set up for

the benefit de facto of the PEP. Immediate Family Members who are Considered PEPs

• Parents and children of PEPs; • Spouse or partner; • Siblings; • Uncles and aunts; • Even slightly indirect family members (such as in-laws) will be considered as a politically exposed

person.