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SCFC Trading Application
- 1. SCFS-Trading 1 | P a g e SCFS Trading Limited Bank of America Tower 12 Harcourt Road, Central Hong Kong Fax: +85 2 3006 2768 www.scfs-trading.com • Please print in ink or type • Please designate N/A for those areas that do not apply CHECK ONLY ONE Individual Trust General Partnership Joint Tenants with Right of Survivorship Sole Proprietorship Corporation/LLC Limited Partnership Joint Tenants in Common Pension Plan/IRA Commodity Pool Other: __________________________________________________ ACCOUNT INFORMATION Account Title: _________________________________________________________________________ Account Mailing Address: _______________________________________________________________ Telephone number for account transaction information: ________________________________________ E-mail Address: _______________________________________________________________________ CUSTOMER INFORMATION Full Name: ______________________________________________Date of Birth: __________________ Street Address: ___________________________________________Apartment/Suite: _______________ City: _____________________State: ____________Zip: __________Marital Status: ________________ Telephone: _____________________________ U.S. Citizen: Yes No Citizenship: _____________ Employer’s Name: ________________________________________Years There: __________________ Nature of Business: ________________________________________Position Held: _________________ Employer’s Address: _______________________________________Employer’s Telephone: ___________ If joint account, percentage of ownership: _________ % CUSTOMER AGREEMENT The following confidential financial information is needed to open your account. Joint or Partnership Customers must provide combined financial information. 1. Annual Income (U.S. Dollars): $25,000 to $50,000 $50,000 to $100,000 $100,000 to $250,000$150,000 to $200,000 2. Net Worth (excluding equity in home) (U.S. Dollars): $25,000 to $50,000 $50,000 to $100,000 $100,000 to $1 50,000 More than $250,000 Less than $25,000 3. Liquid Net Worth (U.S. Dollars): Less than $15,000 $15,000 to $30,000 $30,000 to $50,000 $50,000 to $100,000 Over $100,000 4. Do you have or ever had any other account with us? Yes Account number: ___________ No
- 2. SCFS-Trading 2 | P a g e 5. Are you now or were you ever an NFA, NASD, CFTC or SEC member? Yes Reg. Status and Sponsor: _________________ No 6. Investment Experience (Must Check Yes or No) Stocks/Bonds Yes No Funds Yes No Commodities Yes No Options Yes No 7. What type of account are you opening? (Must check one) Speculative account Hedge account 8a. Do you intend to trade security futures products ("SFP")? Yes No If yes, what are you investment objective/risk tolerance? _____________________________________________ 8b. If your objective is to produce income, do you understand that there is risk of loss in trading these contracts? Yes No 9. Are you a "control person" or an "affiliate" of a public company as defined by SEC Rule 144? This would include, but not necessarily be limited to, 10% shareholder's, policy making executives and members of the Board of Directors. Yes No If Yes, Trading Symbol: ______________________________ If Yes, Company Name: ______________________________ 10. Do you understand: Futures Trading Yes No Risk of Loss Yes No PFGBEST's Margin Policy Yes No Foreign Exchange Trading Yes No 11. Do you intend to trade off exchange foreign currency (FOREX) products? Yes No 12. Do you intend to trade commodity futures products? Yes No 13. Does any other person, other than the account owner(s) have the authority to trade this account? Yes No If yes, complete the Discretionary Account Documents. E-mail address of individual/entity with discretionary authority:____________________________________________ 14. What are your objectives? Short Term Growth Mid Term Growth Long Term Growth Capital Appreciation Quarterly Income Appreciation and Income 15. What type of account are you interested in? Execution only Advisory Fully Managed 16. What best describes your investment style? Conservative Cautious Aggressive Unpredictable 17. How much do you intend on funding your account for? Amount: ________________________________________ USD The undersigned hereby attest(s) and agree(s) that the above information is complete and accurate and authorize(s) to verify any or all of the foregoing information. The undersigned further verifies that the above information was completed in Customer’s own handwriting. X _____________________________________________________________________________________________________ Customer Signature _________________________________________________________________________________________________________ Print Name Date