Margin Policy and Fees - For Active Traders

Leverage Schedule

By trading on margin, you are essentially taking a loan against your holdings or equity. This means that as your account equity changes, the amount that you can borrow will also change. Our Leverage Schedule is based on the equity value of your account.

 

Note carefully that if your account value falls below $500 leverage will be removed and your account will be converted to a cash account. If your account value falls below $350 your trading permissions will be removed and your account will be closed until the balance is above $350.

Starting Account Equity Intraday Buying Power
$0 - $499
1:1
$500 - $2499
4:1
≥$2500
6:1

Overnight margin is 2:1

Minimum initial funding amount is $500

* Capital Markets Elite Group urges all clients to use caution when trading on margin.

Maintenance Margin and Fees

Margin trading allows you to borrow against your existing holdings, leveraging them to take additional positions. Capital Markets Elite Group’s rules-based margin requirements places predefined and static calculations are that are applied to each position or groups of positions. For your knowledge these rules are listed below. Capital Markets Elite Group urges all clients to be mindful of these requirements when trading. Note that Capital Markets Elite Group reserves to right to modify certain margin policies to adjust for unprecedented volatility and risk in financial markets to ensure that margin accounts remain within the firm’s risk parameters.

We are focused on realistic and forward-looking approaches to risk management. We strongly encourage all clients to monitor this page and the Resource Page for updates regarding margin policy changes.


For Accounts with Equity below $500

(These accounts always have 100% maintenance requirement)

  1. 1. A 100% maintenance requirement for stocks that are priced at more than $4 per share  
  2. 2. A maintenance requirement of 100% per share applies to marginable stock valued from $2 to $4 per share
  3. 3. A maintenance requirement of 100% is needed for all long stocks trading at $2 and below

For Accounts with Equity at $500 – $2499:

  1. 1. A 25% maintenance requirement for stocks that are priced at more than $4 per share.
  2. 2. A maintenance requirement of 50% applies to marginable stock valued from $2 to $4 per share.
  3. 3. A maintenance requirement of 100% is needed for all long stocks trading at $2 and below.

For Accounts with Equity $2500 and greater:

  1. 1. A 16% maintenance requirement for stocks that are priced at more than $4 per share.
  2. 2. A maintenance requirement of 50% applies to marginable stock valued from $2 to $4 per share.
  3. 3. A maintenance requirement of 100% is needed for all long stocks trading at $2 and below.

Global Rule:  4. A maintenance requirement of 100% is needed for all short stocks trading from $5 per share and less.

Selling Short Stocks

With Capital Markets Elite Group, clients can borrow from our extensive list of stocks to short. A stock can either be Hard to Borrow (HTB) or Easy to Borrow (ETB). Clients who wish to short HTB stocks can utilize Capital Markets Elite Group’s Stock Locate service via the Traders Elite Pro platform to place locate requests. All short locate requests are valid for same-day trading, and new locate requests are required for each trading day. Any approved locate that is not used the same day expires at the end of the trading day.

Each locate requests will be given a rate dependent on the stock. For example, a locate requests for 100 shares of ABC stock may receive a rate of $.05 per share, if you accept, you will be charged a $5 locate fee whether you trade it or not. Locate requests also incur a $25 service charge. For shorts held overnight, you will incur an Short Position Overnight Fee of 0.5% the market value of the position.

Note: In accordance with our Margin Policy, Capital Markets Elite Group does not offer margin or short stocks below $5.

*Accounts must be compliant with overnight margin (2:1) by 3:50pm EST
* In the interest of ensuring the continued safety of its clients, Capital Markets Elite Group may modify certain margin policies to adjust for unprecedented volatility in financial markets. The changes will promote reduction of leverage in client portfolios and help ensure that clients’ accounts are appropriately capitalized.
* Accounts that fail to meet the above requirements will be liquidated in its entirety and incur a $25 margin call fee.
* Accounts with equity below $500 will lose margin capabilities and be converted to cash accounts.
*Accounts must maintain a minimum balance of $350 to meet monthly subscriptions and to maintain trading permissions.
* All liquidations are subject to the normal commission schedule.

Long Position Overnight Fee

Interest fees are charged per day based on the market value of long positions held at the close of market.

Interest Rate Position Value
7.5% APR
$0 - $100K
6.5% APR
$100,000.01 to $1M
5.0% APR
$1,000,000.01 to $3M
4.5% APR
$3,000,000.01 and above
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Information for U.S. Persons

Capital Markets Elite Group is not registered as a securities broker-dealer under the laws of the United States of America. Under U.S. securities laws Capital Markets Elite Group may not accept customers that it believes to be “U.S. Persons” that have been “solicited” by Capital Markets Elite Group. Capital Markets Elite Group uses certain safeguards in an effort to assure that it does not accept any “U.S. Person” as a customer if that person would be considered to have been solicited by Capital Markets Elite Group as determined under U.S securities law.

For this purpose, “U.S. Person” has the meaning provided below. In order for a person who may be a “U.S. Person” to open an account with Capital Markets Elite Group , that person must complete a “Certification as to U.S. Person Status” in the form provided at this link. That certification requires that a potential U.S. Person certify that the potential customer EITHER is not a U.S. Person OR has not been solicited by Capital Markets Elite Group .

In any event, customers of Capital Markets Elite Group will not be protected by U.S. laws, regulations and supervisory structures applicable to broker-dealers registered in the U.S., and they should not expect such protections to apply.

DEFINITION OF “U.S. PERSON”

  1. “U.S. person” means:
    1. Any natural person resident in the United States;
    2. Any partnership or corporation organized or incorporated under the laws of the United States;
    3. Any estate of which any executor or administrator is a U.S. person;
    4. Any trust of which any trustee is a U.S. person;
    5. Any agency or branch of a foreign entity located in the United States;
    6. Any non-discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary for the benefit or account of a U.S. person;
    7. Any discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary organized, incorporated, or (if an individual) resident in the United States; and
    8. Any partnership or corporation if:
      1. Organized or incorporated under the laws of any foreign jurisdiction; and
      2. Formed by a U.S. person principally for the purpose of investing in securities not registered under the U.S. Securities Act of 1933, unless it is organized or incorporated, and owned, by accredited investors (as defined in U.S. SEC Rule 501(a) who are not natural persons, estates or trusts.
  2. The following are not “U.S. persons”:
    1. Any discretionary account or similar account (other than an estate or trust) held for the benefit or account of a non-U.S. person by a dealer or other professional fiduciary organized, incorporated, or (if an individual) resident in the United States;
    2. Any estate of which any professional fiduciary acting as executor or administrator is a U.S. person if:
      1. An executor or administrator of the estate who is not a U.S. person has sole or shared investment discretion with respect to the assets of the estate; and
      2. The estate is governed by foreign law;
    3. Any trust of which any professional fiduciary acting as trustee is a U.S. person, if a trustee who is not a U.S. person has sole or shared investment discretion with respect to the trust assets, and no beneficiary of the trust (and no settlor if the trust is revocable) is a U.S. person;
    4. An employee benefit plan established and administered in accordance with the law of a country other than the United States and customary practices and documentation of such country;
    5. Any agency or branch of a U.S. person located outside the United States if:
      1. The agency or branch operates for valid business reasons; and
      2. The agency or branch is engaged in the business of insurance or banking and is subject to substantive insurance or banking regulation, respectively, in the jurisdiction where located.

Certification as to U.S. Person Status

(CFR Part 240 Rule 15a-6 Compliance)

PARTIES
  1. Capital Markets Elite Group Limited, a company incorporated under the laws of Trinidad and Tobago, with its registered office 22-24 Albion Plaza, Victoria Avenue, Woodbrook, Port of Spain, Trinidad and Tobago W.I. with registered company number C2013070804456 (Capital Markets Elite Group); and

  2. The undersigned potential customer (the Potential Customer). WHEREAS:
      1. Capital Markets Elite Group’s services involve providing brokerage and dealing services in connection with investments including shares and share options, debentures, warrants, futures, exchange traded funds, units in collective investment schemes, contracts for differences and forex spot contracts.
      2. Capital Markets Elite Group is authorized and regulated by the Trinidad and Tobago Securities and Exchange Commission in Trinidad and Tobago and has permission under the Securities Act 2012 to offer and provide its services to customers and counterparties.
      3. Capital Markets Elite Group can only accept a U.S. Person (as defined on Attachment 1) as a customer if that U.S. Person has not been solicited either directly or indirectly through accessing our websites or otherwise, under the unsolicited exemption of Rule 15a-6 of the U.S. Securities and Exchange Commission.
      4. The Potential. Customer wishes to engage some or all the services of Capital Market Elite Group described in 1. above.

I, The Potential Customer, DOES HEREBY CERTIFY that:
    1. The Potential Customer was first made aware of Capital Markets Elite Group by a third-party source, not a Capital Markets Elite Group website or a contact from Capital Markets Elite Group;
    2. The Potential Customer has not been solicited either directly or indirectly through accessing these websites or otherwise by Capital Markets Elite Group; (c) The Potential Customer has approached Capital Markets Elite Group on the Potential Customer’s own volition.; and
    3. The Potential Customer understands that if the Potential Customer establishes a relationship with Capital Markets Elite Group the Potential Customer will NOT be protected by U.S. laws, regulations and supervisory structures applicable to broker-dealers registered in the U.S., and the Potential Customer does not expect such protections to apply.

Information for U.S. Persons

Capital Markets Elite Group is not registered as a securities broker-dealer under the laws of the United States of America. Under U.S. securities laws Capital Markets Elite Group may not accept customers that it believes to be “U.S. Persons” that have been “solicited” by Capital Markets Elite Group. Capital Markets Elite Group uses certain safeguards in an effort to assure that it does not accept any “U.S. Person” as a customer if that person would be considered to have been solicited by Capital Markets Elite Group as determined under U.S securities law.

For this purpose, “U.S. Person” has the meaning provided below. In order for a person who may be a “U.S. Person” to open an account with Capital Markets Elite Group , that person must complete a “Certification as to U.S. Person Status” in the form provided at this link. That certification requires that a potential U.S. Person certify that the potential customer EITHER is not a U.S. Person OR has not been solicited by Capital Markets Elite Group .

In any event, customers of Capital Markets Elite Group will not be protected by U.S. laws, regulations and supervisory structures applicable to broker-dealers registered in the U.S., and they should not expect such protections to apply.

DEFINITION OF “U.S. PERSON”

  1. “U.S. person” means:
    1. Any natural person resident in the United States;
    2. Any partnership or corporation organized or incorporated under the laws of the United States;
    3. Any estate of which any executor or administrator is a U.S. person;
    4. Any trust of which any trustee is a U.S. person;
    5. Any agency or branch of a foreign entity located in the United States;
    6. Any non-discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary for the benefit or account of a U.S. person;
    7. Any discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary organized, incorporated, or (if an individual) resident in the United States; and
    8. Any partnership or corporation if:
      1. Organized or incorporated under the laws of any foreign jurisdiction; and
      2. Formed by a U.S. person principally for the purpose of investing in securities not registered under the U.S. Securities Act of 1933, unless it is organized or incorporated, and owned, by accredited investors (as defined in U.S. SEC Rule 501(a) who are not natural persons, estates or trusts.
  2. The following are not “U.S. persons”:
    1. Any discretionary account or similar account (other than an estate or trust) held for the benefit or account of a non-U.S. person by a dealer or other professional fiduciary organized, incorporated, or (if an individual) resident in the United States;
    2. Any estate of which any professional fiduciary acting as executor or administrator is a U.S. person if:
      1. An executor or administrator of the estate who is not a U.S. person has sole or shared investment discretion with respect to the assets of the estate; and
      2. The estate is governed by foreign law;
    3. Any trust of which any professional fiduciary acting as trustee is a U.S. person, if a trustee who is not a U.S. person has sole or shared investment discretion with respect to the trust assets, and no beneficiary of the trust (and no settlor if the trust is revocable) is a U.S. person;
    4. An employee benefit plan established and administered in accordance with the law of a country other than the United States and customary practices and documentation of such country;
    5. Any agency or branch of a U.S. person located outside the United States if:
      1. The agency or branch operates for valid business reasons; and
      2. The agency or branch is engaged in the business of insurance or banking and is subject to substantive insurance or banking regulation, respectively, in the jurisdiction where located.

Information for U.S. Persons

Capital Markets Elite Group is not registered as a securities broker-dealer under the laws of the United States of America. Under U.S. securities laws Capital Markets Elite Group may not accept customers that it believes to be “U.S. Persons” that have been “solicited” by Capital Markets Elite Group. Capital Markets Elite Group uses certain safeguards in an effort to assure that it does not accept any “U.S. Person” as a customer if that person would be considered to have been solicited by Capital Markets Elite Group as determined under U.S securities law.

For this purpose, “U.S. Person” has the meaning provided below. In order for a person who may be a “U.S. Person” to open an account with Capital Markets Elite Group , that person must complete a “Certification as to U.S. Person Status” in the form provided at this link. That certification requires that a potential U.S. Person certify that the potential customer EITHER is not a U.S. Person OR has not been solicited by Capital Markets Elite Group .

In any event, customers of Capital Markets Elite Group will not be protected by U.S. laws, regulations and supervisory structures applicable to broker-dealers registered in the U.S., and they should not expect such protections to apply.

DEFINITION OF “U.S. PERSON”

  1. “U.S. person” means:
    1. Any natural person resident in the United States;
    2. Any partnership or corporation organized or incorporated under the laws of the United States;
    3. Any estate of which any executor or administrator is a U.S. person;
    4. Any trust of which any trustee is a U.S. person;
    5. Any agency or branch of a foreign entity located in the United States;
    6. Any non-discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary for the benefit or account of a U.S. person;
    7. Any discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary organized, incorporated, or (if an individual) resident in the United States; and
    8. Any partnership or corporation if:
      1. Organized or incorporated under the laws of any foreign jurisdiction; and
      2. Formed by a U.S. person principally for the purpose of investing in securities not registered under the U.S. Securities Act of 1933, unless it is organized or incorporated, and owned, by accredited investors (as defined in U.S. SEC Rule 501(a) who are not natural persons, estates or trusts.
  2. The following are not “U.S. persons”:
    1. Any discretionary account or similar account (other than an estate or trust) held for the benefit or account of a non-U.S. person by a dealer or other professional fiduciary organized, incorporated, or (if an individual) resident in the United States;
    2. Any estate of which any professional fiduciary acting as executor or administrator is a U.S. person if:
      1. An executor or administrator of the estate who is not a U.S. person has sole or shared investment discretion with respect to the assets of the estate; and
      2. The estate is governed by foreign law;
    3. Any trust of which any professional fiduciary acting as trustee is a U.S. person, if a trustee who is not a U.S. person has sole or shared investment discretion with respect to the trust assets, and no beneficiary of the trust (and no settlor if the trust is revocable) is a U.S. person;
    4. An employee benefit plan established and administered in accordance with the law of a country other than the United States and customary practices and documentation of such country;
    5. Any agency or branch of a U.S. person located outside the United States if:
      1. The agency or branch operates for valid business reasons; and
      2. The agency or branch is engaged in the business of insurance or banking and is subject to substantive insurance or banking regulation, respectively, in the jurisdiction where located.

Certification as to U.S. Person Status

(CFR Part 240 Rule 15a-6 Compliance)

PARTIES
  1. Capital Markets Elite Group Limited, a company incorporated under the laws of Trinidad and Tobago, with its registered office 22-24 Albion Plaza, Victoria Avenue, Woodbrook, Port of Spain, Trinidad and Tobago W.I. with registered company number C2013070804456 (Capital Markets Elite Group); and

  2. The undersigned potential customer (the Potential Customer). WHEREAS:
      1. Capital Markets Elite Group’s services involve providing brokerage and dealing services in connection with investments including shares and share options, debentures, warrants, futures, exchange traded funds, units in collective investment schemes, contracts for differences and forex spot contracts.
      2. Capital Markets Elite Group is authorized and regulated by the Trinidad and Tobago Securities and Exchange Commission in Trinidad and Tobago and has permission under the Securities Act 2012 to offer and provide its services to customers and counterparties.
      3. Capital Markets Elite Group can only accept a U.S. Person (as defined on Attachment 1) as a customer if that U.S. Person has not been solicited either directly or indirectly through accessing our websites or otherwise, under the unsolicited exemption of Rule 15a-6 of the U.S. Securities and Exchange Commission.
      4. The Potential. Customer wishes to engage some or all the services of Capital Market Elite Group described in 1. above.

I, The Potential Customer, DOES HEREBY CERTIFY that:
    1. The Potential Customer was first made aware of Capital Markets Elite Group by a third-party source, not a Capital Markets Elite Group website or a contact from Capital Markets Elite Group;
    2. The Potential Customer has not been solicited either directly or indirectly through accessing these websites or otherwise by Capital Markets Elite Group; (c) The Potential Customer has approached Capital Markets Elite Group on the Potential Customer’s own volition.; and
    3. The Potential Customer understands that if the Potential Customer establishes a relationship with Capital Markets Elite Group the Potential Customer will NOT be protected by U.S. laws, regulations and supervisory structures applicable to broker-dealers registered in the U.S., and the Potential Customer does not expect such protections to apply.

U.S. IP Address Detected

In compliance with SEC Rule 15a-6, this website is not intended to solicit U.S. Persons. To proceed you will need to agree to Capital Markets Elite Group’s Indemnity Agreement.

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