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First Name

Last Name

E-mail

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Country of Residence

Mobile Phone

Promo Code

Account Type

Platform Type

I hereby accept that anyone in the CMEG Group may contact me with marketing material regarding investments.

ACCOUNT DETAILS

Existing Account Number (if applicable)

New Account Number (if applicable)

Primary Client Name

Joint Client Name

RISK ASSESMENT

Net Worth

< USD$50,000

USD$50,000 - USD$100,000

USD$100,000 – USD$500,000

USD$500,000 – USD$1 Million

> USD$1 Million

Purpose of investment

Capital Protection

Inflation Protection

Growth and Security

Maximum Growth

Investment Knowledge

Limited – I have very little knowledge on investments

Basic – I have a basic understanding of investing and investment types

Fair – I have a moderate level of knowledge on investment types and strategies

Extensive – I have a complete understanding of investing, types, strategies and risks

Investment Horizon

1 – 2 yrs

3 –5 yrs

6 – 10 yrs

10 – 20 yrs

More than 20 yrs

Volatility Acceptability

Over a one year period, I am comfortable with a

I am not comfortable with any declines in my portfolio

1 – 5% decline in my portfolio

5 – 10% decline in my portfolio

10 – 20% decline in my portfolio

Liquidity Needs

I anticipate that I may require full or partial access to my funds in

Less than 1 year

1 – 2 years

3 – 5 years

I am able to commit to a long term investment. I do not anticipate any need for withdrawals in the near future.

Conservative

Balanced

Growth

PORTFOLIO DETAILS

Investment Amount

< USD$2000

USD$2000-USD$4999

USD$5000 – USD$49,999

USD$50,000 – USD$100,000

USD$100,000 – USD$500,000

> USD$500,000

Please specify:$

Transfer Positions from previously existing account

Transfer Current Stock and Cash

Close Positions and Transfer Cash

Not Applicable

Portfolio Type Selection

Conservative – Heavily weighted towards debt instruments

Moderate – Relatively balanced weighting between equity and debt instruments

Aggressive – Heavily weighted towards equity

House Number

Street Name

Postcode/ZIP

City/Town

State/Province/Region

Country

Security Questions

Occupation/Job title

Employment Status

The company's nature of business is one of following

Name of Employer (we will not contact)

Address of Employer

Type of Business/Industry for Employer

Annual Salary After Tax (USD)

Liquid Net Worth (USD)

Trading Experience

Years of Experience

I have a secondary income above 10,000 USD annually after tax

Secondary source(s) of income, if applicable

Dividends/Interests from Own Company

Dividends/Interests from Stocks/Bonds etc.

Others

Royalties

Please specify other source of secondary income

Total amount of secondary income annually after tax (USD)

Primary Source(s) of Wealth

Savings from Salary/Pension

Trading Profit

Others

Please specify other source of primary income

How much do you intend to invest?

Nationality

Tax ID/BIR/SSN/TIN Number

Which countries are you resident in for tax purposes?

Date of Birth

You must be 18 years or older to establish a trading account

Country of Birth

City of Birth

Are you a United States citizen?

Yes No

Are you a United States resident for tax purposes?

Yes No

Please provide your US Tax ID

Any Military Service?

Yes No

Member of Parliament?

Yes No

If yes to (1) and/or (2), please explain

Why have you selected our branch?

Have you ever been convicted of Money Laundering, Fraud or any other crime of dishonesty in any jurisdiction?

Yes No

If yes, please explain

Have you been or are you now involved in any terrorist activities or group?

Yes No

How much funds do you estimate will pass through this account?

Will you be using a foreign bank account to finance this account?

Yes No

Personal References

(a) One (1) Relative, Two (2) Non-relative

Name

Address

Telephone No.

Name

Address

Telephone No.

The following questions relate to your knowledge of persons falling within the definition of Politically Exposed Person (PEP). A PEP is:
(a) An individual such as the Head of State or Government, senior politician, senior government, judicial or military officials, senior executives of State-owned corporations and important political party officials who are or have been entrusted with prominent functions –
(i) By a foreign country; or
(ii) Domestically for Trinidad and Tobago;
(b) Persons who are or have been entrusted with a prominent function by an international organization which refers to members of senior management such as directors and members of the board or equivalent functions;
(c) An immediate family member of a person referred to in paragraph (a) such as the spouse, parent, siblings, children and children of the spouse of that person; and
(d) Any individual publicly known or actually known to the relevant financial institution to be a close personal or professional associate of the persons referred to in paragraphs (a) and (b).

Do you know any PEP who is or was entrusted with important public functions in foreign country or locally, such as: (a) A current or former senior official of a foreign government, whether elected or not?

Yes No

If yes, please explain

(b) A current or former senior official of the government of Trinidad and Tobago?

Yes No

If yes, please explain

Yes No

If yes, please explain

(d) A senior officer of the Judiciary of any foreign country?

Yes No

If yes, please explain

(e) A senior military official, whether locally or internationally

Yes No

If yes, please explain

(f) An immediate family member of a person mentioned in paragraphs (a) to (e), meaning the spouse, parents, siblings or children of that person and the parents, siblings and additional children of the persons spouse?

Yes No

If yes, please explain

(g) Any individual publicly known or actually known to be a close or professional associate of a person mentioned in paragraphs (a) to (e)?

Yes No

If yes, please explain

Client’s Certificate Declaration and Consent

I Client’s Full Name declare and confirm that the information given by me in this Application for Financial Services(s) is true and correct and further confirm and declare that I am not engaged in Money Laundering, Terrorist Financing or any other Crimes or illicit activities. I am aware that I am required by the account agreement to deposit only good items to my accounts and to refrain from using the account for money laundering, terrorist financing or for furthering criminal purposes or conducts. I have not assumed the identity of any other person and the property being dealt with is beneficially owned by me and no one else.

I hereby give consent to Capital Markets Elite Group Limited to disclose this application, any information contained in it, other related confidential information of mine and current and future deposits and other transactions of mine to Law Enforcement Agencies, Regulatory Authorities and other institutions in accordance with the law.

I promise to abide by the terms of the account(s) agreement and I consent to all enquiries Capital Markets Elite Group Limited may make about me and to the retention of this application and all documents tendered by me in support of this application.

General Business Terms & Agreements

Margin Disclosure and Agreement

A margin account involves an extension of credit to you in connection with your trading account. This Margin Agreement enables equity and securities in your account to be pledged to finance the funds that are loaned to you by Capital Markets Elite Group Ltd. (“CMEG”).
This Margin Agreement is part of the Client Agreement (“Agreement”) between you and CMEG. In consideration of the acceptance of your account under this Margin Agreement, you agree to the following terms and provisions. It is agreed that you may purchase, carry and trade certain securities on margin. When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from CMEG by the use of your margin account. If you choose to borrow funds from CMEG, the securities purchased are CMEG’s collateral for the loan to you.
							
1.	Payment for Transactions 
You agree that you are responsible for paying for all transactions you make and all authorized transactions in your account. When you purchase securities on margin, you agree to deposit the required initial equity by the settlement date and to maintain your equity at the required levels. In addition, you agree to pay any debit remaining in your account if your positions are liquidated to satisfy a margin call. We may extend credit to you according to applicable laws and regulations. You agree to use this credit primarily for business and investment purposes. 
 
2.	Maintenance of Collateral 
You agree to maintain in Your Account collateral of the type and amount required by Applicable Exchange rules and federal regulations; or this agreement, at our discretion. 
    
3.	Maintenance of Margin
You agree to maintain such positions and margin as required by this agreement, rules and regulations, or as may be deemed necessary by CMEG. Additional requirements may be more stringent than those required by law or exchange regulations. Such requirements may be changed or modified without prior notice to you. If the securities held in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, CMEG can take any action deemed necessary action, such as issue a margin call and/or sell securitiesin any of your accounts held with CMEG in order to maintain the required equity in the account. You acknowledge that there is no requirement of CMEG to provide notice to you of a margin deficiency. It is important that you fully understand the risks involved in trading securities on margin and that you promptly satisfy all margin and maintenance calls. If you do not meet a margin call, CMEG may liquidate securities in the account to the extent necessary to satisfy the call.
  
4.	Liquidation 
Whenever it is necessary for our protection or to satisfy a margin call, deficiency, debit, or other obligation owed us, We may sell all or any part of the Securities securing Your obligations, or close any or all transactions in Your Account. You acknowledge that securities held in your account may be liquidated without notice to satisfy minimum maintenance, margin calls or any other obligation. CMEG will attempt to contact you, when practicable, before taking any action described in this section. However, we reserve the right to take any such action without prior notice. Any prior demand, call, or notice will not be considered a waiver of our right to sell or buy without demand, call, or notice. We may choose which Securities to buy or sell, which transactions to close, and the sequence and timing of liquidation. You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold by CMEG to meet a margin call.We may take such actions on whatever exchange or market and in whatever we choose in the exercise of our business judgment. You agree not to hold us liable for the choice of which Securities to buy or sell, or of which transactions to close, or for the timing or manner of the liquidation. Ifwe determine that your obligations are not adequately secured or to satisfy a margin deficiency or other obligation, you agree to pay on demand any Account deficiencies after liquidation, whether liquidation is complete or partial. Without limitation, any of the following circumstances may give rise for CMEG to exercise this power: (i) your failure to promptly meet any call for additional collateral; (ii) the filing of a petition in bankruptcy by or against you; (iii) the appointment of a receiver is filed by or against you; (iv) a significant judgment is entered against you, or any levy is made on your account(s); and (v) the occurrence of any event which, in CMEG’s judgment, operates to impair your ability to perform its obligations under this Margin Agreement. In any such event, and without further notice, you authorize CMEG to (i) sell any securities held in your account(s); (ii) buy any securities which may be short; (iii) cancel any open order; (iv) to close any outstanding order; and (v) otherwise take any action deemed necessary to comply with applicable statutes, rules and regulations or any other requirements governing your margin account. If for any reason, CMEG delays to promptly enforce its margin requirements, a subsequent enforcement or right to enforce is not waived.

5.	Short Sales
You agree to designate a sell order as a short sale if, at the time You place the order, You either do not own the security being sold or are unable to deliver the security in a timely manner. You agree that short sale transactions are subject to certain regulatory rules and cannot be executed under certain market conditions. In addition, depending on market conditions, CMEG cannot guarantee that it will have shares available to facilitate a short sale. You agree that we may, in our discretion and without notice, “buy in” securities to cover any short security position in Your Account at Your expense. We may take this action either on a regular settlement, cash, or next-day settlement basis. If You are unable to cover a short security position (either through delivery of the security or through our “buying-in” the security) in enough time so We can deliver the security to its lender (to whom We’re obligated), You agree to reimburse Us for the losses We sustain as a result of Your failure to deliver the security. You shall pay interest on credit extended by CMEG under this Margin Agreement for the purpose of purchasing, carrying or trading securities. Interest will be charged on your average daily net settled debit balance and calculated using CMEG’s interest rate schedule. On demand, you shall pay any balance owing with respect to your accounts, including fees and any costs of collection. All payments received in your account, including dividends, interest, premiums and principal payments may be applied to the balance due in your account. The rate of interest charged for the credit extended to you shall be calculated on a 360-day year and actual days elapsed. The Interest Rate will vary from time to time without prior notice, in accordance with shifts in money rates, industry conditions relating to the extension of margin credit and the general credit markets.

6.	Arbitration Agreement 
You agree to settle by arbitration any controversy between or among You and CMEG, arising out of or relating to Vanguard Brokerage Services’ business or the Margin Agreement. Such arbitration will be conducted by and in accordance with the securities arbitration rules and regulations then in effect of Trinidad and Tobago Securities and Exchange Commission or any national securities exchange that provides a forum for the arbitration of disputes, provided CMEG is a member of such national securities exchange at the time the arbitration is initiated. Arbitration must be commenced by service upon the other party of a written demand for arbitration or a written notice of intention to arbitrate, therein electing the arbitration tribunal. In the event the undersigned does not make such election within five (5) days of such demand or notice, then the undersigned authorizes CMEG to do so on behalf of the undersigned. The award of the arbitrator will be final and binding, and judgment on the award may be entered in any court having jurisdiction. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (i) the class certification is denied; (ii) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under the Margin Agreement except to the extent stated herein.

7.	Governing Law
The Margin Agreement and the Agreement, all transactions made in Your Account, and all matters arising in connection with the Margin Agreement and the Agreement will be governed by, and construed and enforced in accordance with, the laws of the Republic of Trinidad and Tobago (regardless of the choice of law rules thereof).

8.	Amendment 
On prior or successive notice to You, We may modify or rescind existing provisions or add new provisions to the Margin Agreement. By not closing and/or continuing to use Your Account, You confirm Your agreement to abide by the Margin Agreement, as amended from time to time. Amendments will not affect rights or obligations either of Us incur before the effective date of the amendment. No prior conduct, past practice, or oral statement by any CMEG representative can amend or modify this written agreement. All transactions in Your Margin Account are subject to the Margin Agreement and the Agreement in their entireties and any other disclosures, terms, and agreements relating to Your Account or to particular features or services offered in connection with Your Account, each as amended from time to time.

I acknowledge that I have received, read, understand and agree to be bound by the terms and conditions as set forth in this Margin Agreement as currently in effect and as amended from time to time.

Indemnity Agreement

(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 1 Murray Street, Woodbrook, Port of Spain, Trinidad and Tobago W.I. with registered company number C2013070804456 (“Capital Markets Elite Group”) TTSEC number CF-8542; and
(2) A U.S Citizen with an individual residing at address: (the “U.S. 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/U.S. Customer if he or she has not been solicited either directly or indirectly through accessing their websites or otherwise, under the ‘unsolicited’ exemption of the CFR Part 240 Rule 15a-6. 4. The U.S. Customer wishes to engage some or all the services of Capital Market Elite Group described in 1. above.
I the U.S. Customer, DO HEREBY CERTIFY that:
(a) I have not been solicited either directly or indirectly through accessing their websites or otherwise by Capital Market Elite Group, and;
(b) That I have approached the said Capital Markets Elite Group on my volition.
Dated this day of 20

I acknowledge that I have received, read, understand and agree to be bound by the terms and conditions as set forth in this Indemnity Agreement as currently in effect and as amended from time to time

Day Trading Disclosure Statement

A day trade is a buy and sell of the same security on the same day. A "day-trading strategy" means an overall trading strategy characterized by the regular transmission by a customer of intra-day orders to effect both purchase and sale transactions in the same security or securities.You should consider the following points before engaging in a day-trading strategy

Day trading can be extremely risky. Day trading generally is not appropriate for someone of limited resources and limited investment or trading experience and low risk tolerance. You should be prepared to lose all of the funds that you use for day trading. In particular, you should not fund day-trading activities with retirement savings, student loans, second mortgages, emergency funds, funds set aside for purposes such as education or home ownership, or funds required to meet your living expenses. Further, certain evidence indicates that an investment of less than $50,000 will significantly impair the ability of a day trader to make a profit. Of course, an investment of $50,000 or more will in no way guarantee success.

Be cautious of claims of large profits from day trading. You should be wary of advertisements or other statements that emphasize the potential for large profits in day trading. Day trading can also lead to large and immediate financial losses.

Day trading requires knowledge of securities markets. Day trading requires in-depth knowledge of the securities markets and trading techniques and strategies. In attempting to profit through day trading, you must compete with professional, licensed traders employed by securities firms. You should have appropriate experience before engaging in day trading.

Day trading requires knowledge of a firm's operations. You should be familiar with a securities firm's business practices, including the operation of the firm's order execution systems and procedures. Under certain market conditions, you may find it difficult or impossible to liquidate a position quickly at a reasonable price. This can occur, for example, when the market for a stock suddenly drops, or if trading is halted due to recent news events or unusual trading activity. The more volatile a stock is, the greater the likelihood that problems may be encountered in executing a transaction. In addition to normal market risks, you may experience losses due to systems failures.

Day trading will generate substantial commissions, even if the per trade cost is low. Day trading involves aggressive trading, and generally you will pay commission on each trade. The total daily commissions that you pay on your trades will add to your losses or significantly reduce your earnings..

Day trading on margin or short selling may result in losses beyond your initial investment. When you day trade with funds borrowed from a firm or someone else, you can lose more than the funds you originally placed at risk. A decline in the value of the securities that are purchased may require you to provide additional funds to the firm to avoid the forced sale of those securities or other securities in your account. Short selling as part of your day-trading strategy also may lead to extraordinary losses, because you may have to purchase a stock at a very high price in order to cover a short position.

I acknowledge that I have received, read, understand the information presented in the above disclosure

Disclaimer of Warranty - Third Party Software Providers

Data and information provided by das trader or any of its affiliates, their members, directors, officers, employees, agents, and contractors ("das") is for informational purposes only, and is provided by das on an "as is" basis. Das expressly disclaims any and all warranties, express or implied, including without limitation warranties of merchantability and fitness for a particular purpose and a warranty for non-infringement, with respect to the data and information. In no event shall das be liable for any direct, indirect, incidental, punitive, or consequential damages of any kind whatsoever (including, but not limited to, lost profits, trading losses, internet security breaches and damages that may result from the use of the data and information, any delay or interruption of service, or omissions or inaccuracies in the information) with respect to the data and information.
							
User shall not, (i) interfere with the das system by using viruses or any other programs or technology designed to disrupt or damage any software or hardware, (ii) modify, create derivative works from, reverse engineer, decompile or disassemble any technology used to provide the das system, or make or distribute any other form of, or any derivative work from the system, (iii) use any device or process to gain access to proprietary information related to the das system and its software, (iv) engage in any activity that materially interferes with the operation of the technology service. User should not use any technology (not limited to vpn, proxy, etc.) Known to mask or hide computer information and ip addresses. User and affiliates are authorized to use exchange data. User and affiliates may create derivative works from the exchange data. User and affiliates may utilize derivative data as needed for trading purposes.

Finally, the user, as a condition to viewing the data and information, expressly waives any claim it may have against das. Please note that accounts with prefix ‘tr’ are designated as a training account. All tr account’s trades are in simulation for training purposes only.

I acknowledge that I have received, read, understand the information presented in the above disclaimer.

When uploading documents please ensure that the document is well lit, clear and readable. If taking a picture please ensure that your document is on a white background. Documents should not be defaced or obscured, screenshots are not acceptable. Note, your Proof of Identification and Proof of Residence cannot be the same document.

Documentation guidelines

How to Properly Upload Documents

Photo ID:

ID number

Please upload id proof

Photo ID:

ID number

Proof of Address (no more than 6 months old):

A utility bill, bank statement, gov’t issued letter

Please upload residence proof

Proof of Income:

Job Letter, Payslip, if self-employed – 6 months bank statements

Please upload proof of income