What is the name of the corporate entity you will be filing your membership application under?
Where is the corporate head quarters for the company located?
What is the official web site of your company?
Who are the major principals and owners of the corporation? (Anyone who is more than a 10% owner)
Is the firm currently licensed or regulated in any jurisdiction?
If Yes, please provide the regulator and license number
How many years has your company been in business as a financial services provider?
What markets is your company currently operating in?
What languages does your company support?
Which trading platforms does your company offer your customers?
Which financial trading products does your company currently offer to your clients?
What is the minimum account size available to trade with your company?
What price vendors are used to determine settlement price?
Does the firm cover all or part of its positions? If yes, please list the name of counter-parties.
Does the firm outsource their dealing desk?
Does your company store tick data?
If yes, please specify for how long.
How many complaints do you estimate would be handled by the Financial Commission per month coming from your company?
Has your company ever had any previous disciplinary actions from a regulator or legal entity?
If Yes, please specify all instances of legal or regulatory disciplinary actions
Has your company been previously registered with a regulatory entity and is no longer regulated?
If Yes, please state which entity, license number
Company Contact for future communications with the Financial Commission
Position Held with the company
Direct Phone Number
The Financial Commission asks that you please supply the following documentation along with your application:
Please send all documentation to: [email protected]
Signature By signing this document you agree that you have completely reviewed all information and attest to the best of your knowledge that the information you have provided on the Financial Commission Membership Application is 100% accurate and has not been falsified in any way.
Position Held with Company