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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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