✨ Trading Member Forms
28 SEPTEMBER NEW ZEALAND GAZETTE
DATED this day of 19 .
(Signature)
Notes to Broker:
(1) A copy of the Statement of Risk (Form 5) must be attached to this form before signing.
(2) Where this form is to be used by a client who has been introduced by an Introducing Broker Member, omit clause 10 and substitute the following clause:
- (a) I have been introduced to you by (the Introducing Broker) who will be responsible for the giving of instructions with respect to trading on my account and I hereby authorise you to accept and act on such instructions. In giving instructions to you, the Introducing Broker will be acting as my agent and I acknowledge that I am responsible for instructions so given.
(b) You will be responsible for the trading, or the giving of instructions for trading, in futures and options contracts on my behalf in accordance with instructions given by the Introducing Broker or by me and for providing all necessary contract notes and monthly statements in relation to such trading directly to me, whether you have received trading instructions from the Introducing Broker or from me.
(c) I acknowledge that you will be paying a commission or other fee to the Introducing Broker in respect of trades executed by you on my behalf out of the commission which I pay to you.
(d) *You are authorised to pay any moneys owing to me directly to me at my address, or to bank A/c No. ___ at Bank Branch, being an account over which I am the sole signatory.
(e) I shall not pay any moneys to or lodge any property with the Introducing Broker and any moneys or property shall be lodged directly with you, except as provided in clause 10(f).
(f) *I may lodge cheques with the Introducing Broker in respect of my obligations to you for margins provided such cheques are crossed “not negotiable, account payee only” and are made payable to the client funds account of the Principal Broker.
*No cheques whether or not payable to you shall be lodged with the Introducing Broker.
*Delete whichever is inapplicable.
CLIENT ACKNOWLEDGEMENT
FORM 3 – For use by Trading Member or Affiliate Member with Clearing Member Client
TO:
(*Trading Member/Affiliate Member)
- delete as applicable
(Client)
of
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VUW Te Waharoa —
NZ Gazette 1990, No 170
NZLII —
NZ Gazette 1990, No 170
✨ LLM interpretation of page content
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Client Acknowledgement Form for Trading Members
(continued from previous page)
🏭 Trade, Customs & IndustryClient Acknowledgement, Trading Member, Non-Clearing Member, Futures Contracts, Option Contracts
🏭 Client Acknowledgement Form for Trading Member or Affiliate Member with Clearing Member Client
🏭 Trade, Customs & IndustryClient Acknowledgement, Trading Member, Affiliate Member, Clearing Member, Client