01. Personal Details
* required fields
Surname:
Forename/s:
Title:
Mr
Mrs
Miss
Ms
Dr
Rev
Other
*
Date of birth (DD/MM/YYYY):
Home Address &
Postcode:
*
Do you own the property?
Time at current
address:
Previous address
& postcode:
Where did you hear
about us?
02. Contact Numbers
Telephone (office
hours):
Telephone (out of
hours):
Mobile:
Fax:
Email address:
03. Employment
Details (We shall not contact your employer
for references. If self-employed please give details.)
Employer’s
name:
Employer’s
Address & Postcode:
Time with this employer:
Nature of business:
Position held:
Is your employer
a quoted UK company?
04. Financial
Details
Approx. annual income
before tax:
£
Approx. value of
savings and investments (excluding property):
£
Approximately how
much of these funds are available for your trading with us:
£
Source of these
funds:
other:
Approx. value of
property (less mortgage):
£
Approx. value of
liabilities (eg. mortgage, loans, debts):
£
05. Type of Service
In order to accurately
assess the performance and quality of the services we offer,
we need to establish the type of service you wish to receive.
We will automatically classify the service being offered to
you as 'Advisory/Execution Only'. Some of the characteristic
of this service classification are listed below, please also
refer to section four of the terms of business. If you are happy
with this classification please proceed to section below:
You may receive advice and recommendations from us and may
also make your own trading decisons independantly
Any advice you receive may refer to positions you have chosen
and traded independantly as well as our own recommended trades.
You may also choose to trade on an 'Execution Only basis
and provide us with dealing instructions only.
You may also receive recommendations but execute the transactions
directly with the executing broker.
Your account may be assesssed periodically to ensure that the
service classification is accurate and you will be informed
in writing should we choose to re-classify the service as Execution
Only.
06. Your Knowledge
and Experience
Please complete the
following section so we can assess the appropriateness of our
services for you. Please note that we are required to make this
assessment by law. It may be that we do not consider the account
type you have selected to be appropriate for you. If this is the
case, we will contact you to discuss further options.
1. To what extent
over the past 3 years have you traded the following? *
Shares and/or bonds
Exchange-traded
derivatives (e.g. warrants, futures or options)
OTC derivatives
(e.g. CFDs, spread betting, forex, binaries)
2. How have you mostly
traded these products? *
Choose option:
Execution-only and/or Advisory
Managed
3. Do you have particular
experience or qualifications which would assist your understanding
of our services? *
Choose option:
If Yes:
4. Please tick here
if your investment portfolio, including cash deposits and other
financial instruments, is EUR 500,000 or more (or GBP equivalent).
07. Your Classification
It is important
to TCG Securities that our clients understand the risk of trading
CFDs and Spread Bets and also the nature of the trading advice
that you will receive. Please pay attention to the details below
and tick that you understand and accept that CFDs and Spread
Bets are classed as High Risk products and that advice given
on such products for short to medium term trading opportunities
is considered by TCG Securities as ‘High Risk’.
Risk Rating
Risk Rating Description
Up to and including
TICK
LOW
The capital returns of this
investment are predictable but may not give protection against
inflation in the long term unless specifically index linked.
Building Society Accounts,
Gilts held to redemption
X
LOW/MEDIUM
The investment is designed
to give a conservative and relatively stable level of income
and/or growth although the value can fall. Returns may
not be as high as from other investments but volatility
should be lower.
Gilts, Blue Chip Corporate
Bonds.
X
MEDIUM
The underlying assets of
this investment are broadly based and have, collectively,
provided protection against inflation in the past. There
is the potential for good capital growth and/or rising income
in the medium to long term, although the value of the investment
and/or the income therefore can fall as well as rise.
Collective Investment Schemes
(i.e Unit Trusts, OEICs and Investment Trusts)
X
MEDIUM TO HIGH
Investments which have the
potential to produce above average longer term capital and
income growth. The investments are likely to be more volatile
than other lower risk investments. The value of the investment
and/or income thereon can fall as well as rise.
Direct Equities – FTSE100
Direct Equities – FTSE 250 Direct Equities – Small Cap
X
HIGH The investment is likely
to be placed in specifically targeted assets, which have
the potential for a high level of return but is more volatile
than other lower risk investments. The value of the investment
and/or income therefore can fall as well rise and in some
cases investors can lose more than their initial investment.
Warrants, Derivatives, Contracts
for Difference (CFDs) & Spread Bets.
OVERALL ATTITUDE TO
INVESTMENT RISK – PORTFOLIO APPROACH
RISK AVERSE Security of capital is important
to you and you are not prepared to take anything more than
minimal risk. I.e .amount invested is safeguarded by a
strong guarantee.
X
CAUTIOUS You understand that capital
and income will fluctuate to an extent, but are prepared
to take some risk in seeking a return that is potentially
higher than cash deposits. There will be less exposure
to equities (which will mainly be UKto minimise the risk
of currency fluctuation) and greater exposure to fixed interest/cash.
X
BALANCED You understand that capital
and income may fluctuate in value. You are prepared to
face short term fluctuations for the potential of medium/long
term returns. A broad based approach to investments with
exposure to the full range of asset classes.
X
HIGH RISK You understand that capital
and income (where applicable) will fluctuate in value.
You are prepared to take a higher level of risk for potentially
greater returns over the short, medium and long term periods.
There might be a more specialist approach to assets classes
and sectors. You understand that in seeking to obtain higher
returns you may be placed in a position where you incur
losses in excess of you initial investment.
08. Declarations
I understand the nature and
risks of Margin Trading via CFDs. I consent to the provision
to me of the following information by way of our website, www.premier.tcgsecurities.co.uk, the Risk Warning Notice, TCG Securities Terms of Business, the Order Execution Policy,
and I hereby confirm that I have read and agree to be bound
by the terms of these documents. I also understand that a hard
copy of these documents will be delivered by post and that before
the account can be activated, the details contained within this
application form will be assessed and scored by our Compliance
Officer for approval. I also confirm that I am aged 18 years
or over and I understand that my account will be introduced
to third party clearing brokers and I will have to complete
their account opening documentation separately. I also agree
to the rates and charges applicable to my account and that these
rates and charges have been disclosed to me. Finally, I confirm
that for the purposes of allowing TCG Securities to assess the quality of its services, you will
deemed to receive an Advisory/Execution Only service unless
indicated otherwise. I agree that the information provided by
me in this form is true and correct.
You must read and agree to the following documents before submitting
this form, please tick each option to indicate you have read
and understood the documents:
Risk Warning Terms of Business Research Terms
& Conditions Disclaimer/Privacy
Policy Order Execution Policy
You understand and warrant that you will execute all
trades provided by TCG Securities on the brokerage account that
is opened and assigned to TCG Securities and not place these orders on any other trading
account that you may have access to.
