Ouverture d'un compte titres chez PRT ( ProRealTime ), pour une personne morale ( SAS, SASU, SARL, EURL, SC, SCI, SEL, SPFPL, SELEURL, SELASU, SELARL ) - Déclarations fiscales et formulaires fiscaux Américains

L’ouverture d’un compte-titres chez PRT ( ProRealTime ), pour une personne morale, est un long processus où il y a énormément de documents à remplir, de formulaires à valider, de tests à passer et d’aller/retours avec leur service commercial, compliance, KYC, confomité, juridique, de certification de documents, de formulaires compliqués et en Anglais…

Notre société propore un service qui consiste à vous aider à remplir toutes ces étapes et à répondre à toutes leurs exigences, afin d’avoir votre compte de trading validé et opérationnel dans les plus brefs délais et vous soulager de ces démarches chronophages et nécessitant une connaissance approfondie du processus d’ouverture du compte chez PRT et ses partneaires ( IBKR, Saxo et IG ).

Nous avons l’expérience et l’expertise nécessaires pour vous faciliter dans toutes vos démarches, vous n’aurez rien à faire, nous nous occuperons de tout de A à Z.

Vous aurez bien évidemment une facture pour cette prestation et cette dépense sera fiscalement déductible du bénéfice de votre société.

Nous acceptons aussi les paiements par virement bancaire, vous pouvez demander notre RIB via la page “Contact”.

L’ouverture d’un compte personnel était déjà assez fastidieuse mais celle pour une personne morale est quasiment impossible à finaliser dans un délai raisonnable, sans l’aide d’experts comme nous.

Une mauvaise case cochée ou un formulaire mal rempli peuvent vous valoir le refus d’ouverture du compte-titres par PRT et ses partenaire, ou des restrictions qui vous empêcheront par la suite de profiter pleinement de leurs services.

Avez-vous déjà entendu parler du “Legal Entity Identifier”, d’EMIR, RMIR, PEP, de PRIIPS, de LEI, de “Proof of Principal Place of Business Address” ou de tous ces documents demandés par PRT ( voir liste plus bas ) ? Est-ce que votre société est “active” ou “passive ? Est-ce que votre société est de type FC, NFC-, NFC+ ? Est-ce que ce compte est utilisé “for commercial activity or treasury financing under EMIR” ? Savez-vous remplir le formulaire fiscale Américain W-8BEN-E pour bénéfieir d’un taux réduit de retenue à la source pour les dividendes Américains ?

Est-ce-votre société est une Société, une Société de personnes ou une Entité transparente ?

Ces multiples formulaires aux noms exotiques et aux cases multiples sont parfois incompréhensibles et vont vous faire perdre des semaines à chercher leur explication sur les différents sites et forums où vous trouverez des informations parfois contradictoires et souvent incomplètes.

La solution ? Faire appel à des pros, comme chez https://www.fiscus.fr qui vont vous faire économiser votre temps ( et du coup votre argent ), en vous assistant de A à Z dans votre ouverture de compte chez PRT ( la décision finale revient bien sûr à PRT et ses partenaires, avec qui nous n’avons aucun lien commercial ni financier ).

Comment nous allons vous aider ? C’est simple, nous allons vous guider étape par étape, vous aider à remplir tous les formulaires, vous assister pour toutes les demandes du courtier, vous fournir tous les formulaires demandés par PRT pré-remplis, avec les bonnes cases cochées, vous aider à répondre à toutes leurs demandes et toutes leurs questions jusqu’à la finalisation de l’ouverture du compte chez PRT pour une personne morale.

Vous aurez aussi une assistance téléphonique/email/whatsapp illimitée jusqu’à l’ouverture du compte.

D’après notre expérience, l’ouverture du compte chez PRT prend entre 10 et 25 jours pour une société ayant des personnes physiques comme actionnaires, un peu plus quand il y a d’autres personnes morales dans la structure.

Voici quelques exemples des questionnaires complexes auxquels nous vous aiderons à répondre :

En utilisant de l’effet de levier, vous pouvez perdre plus que le capital investi.
Vrai
Faux
Je ne sais pas

En utilisant de l’effet de levier avec le Forex ou les CFDs ou les métaux précieux, et par rapport aux mouvements de marché, les gains ou pertes constatés sont :
répliqués à l’identique
amplifiés
réduits
Je ne sais pas

Le marché des devises est un marché réglementé et centralisé par une Bourse.
Vrai
Faux
Je ne sais pas

Un ordre d’achat sur EURUSD implique :
simultanément l’achat de l’Euro et la vente d’US Dollars.
simultanément la vente de l’Euro et l’achat d’US Dollars.
de miser sur la baisse de l’Euro.

Un ordre de vente sur EURUSD implique :
simultanément l’achat de l’Euro et la vente d’US Dollars.
simultanément la vente de l’Euro et l’achat d’US Dollars.
de miser sur la hausse de l’Euro.

Vous avez une valeur de portefeuille de 10 000 €. Vous êtes à l’achat sur l’EUR/USD pour 1 lot de 100 000 à 1,0000. La marge requise pour ouvrir cette position était de 10% de la valeur de la transaction. Cette position est en perte de 3%. Quelle est la perte par rapport à votre portefeuille ?
3% de votre portefeuille
6% de votre portefeuille
30% de votre portefeuille

Si vous achetez 100 000 EURUSD à 1,2000, lorsque le prix du marché augmente de 1 pip, votre gain latent sur la position :
augmente de 1 $
augmente de 10 $
augmente de 10 €

Vous pensez que la livre sterling va s’apprécier par rapport aux autres devises. Quelles transactions vous permettront le mieux de profiter de cette hausse ?
Acheter EUR/GBP et Vendre GBP/USD
Vendre EUR/GBP et Acheter GBP/USD
Vendre GBP/USD et Vendre GBP/JPY

Vous vendez à découvert 2 lots de 100 000 EUR/USD à 1,2000, puis vous clôturez votre position à 1,2010. Les frais de courtage sur cette transaction sont de 5 $. Quel est le gain ou la perte réalisée ?
Un bénéfice de 195 $
Une perte de 205 $
Une perte de 2 005 $

Vous achetez un lot de 100 000 EUR/USD à 1,25 $. Quelle est votre exposition sur le marché ?
100 000 $
125 000 $
125 000 €

Vous achetez un lot de 100 000 EUR/USD à 1,2 $. La marge demandée par le courtier est de 5% de la valeur de la transaction. Quel est le montant la marge demandée ?
5 000 $
6 000 $
6 000 €

Vous souhaitez acheter 2 lots de 100 000 EUR/USD à 1,33 $. La marge requise est de 3%. Parmi les choix ci-dessous, quelle est la valeur de portefeuille minimale qui vous permettra de prendre la position ?
6 500 $
8 000 $
9 500 €

Vous entrez dans une position à l’achat sur XAUUSD (Gold Spot). Quelle est la perte potentielle maximale sur cette position ?
La perte est limitée à une fraction de votre capital, en raison de la faible volatilité des prix spot des métaux.
La perte est limitée au montant que vous déposez sur votre compte.
En fonction de l’effet de levier sur votre position, la perte peut être supérieure à vos dépôts.
Je ne sais pas

Un ordre d’achat sur XAUUSD (Gold Spot) implique :
simultanément l’achat de l’or et la vente d’US Dollars.
simultanément la vente de l’or et l’achat d’US Dollars.
de miser sur la baisse de l’or.

Une transaction sur l’or ou l’argent spot non allouée n’implique pas la livraison physique des lingots d’or ou d’argent correspondants par le vendeur à l’acheteur.
Vrai
Faux
Je ne sais pas

Un contrat à terme (ou contrat Future) est un accord d’achat ou de vente dans le futur et à un certain prix, d’une quantité précise d’un actif financier.
Vrai
Faux
Je ne sais pas

En investissant sur des contrats Futures, vous pouvez perdre plus que le capital investi.
Vrai
Faux
Je ne sais pas

En utilisant de l’effet de levier avec les contrats Futures, et par rapport aux mouvements de marché du sous-jacent, les gains ou pertes constatés sont :
répliqués à l’identique
amplifiés
réduits
Je ne sais pas

Un contrat Future sur Indice conservé jusqu’à son échéance :
donne lieu à un règlement en cash (est converti en cash).
est automatiquement prolongé jusqu’à l’échéance suivante.
perd toute sa valeur.

Vous avez une position de 2 contrats Futures DAX. Suite à une baisse du cours de l’indice DAX, la valeur de votre portefeuille est inférieure à la marge requise. Que se passe-il ?
Le courtier peut clôturer tout ou partie de votre position, sans préavis.
Vous devez payer des pénalités journalières égales à [valorisation de la position x taux d’intérêt journalier].
Votre position est convertie en Actions.

Vous êtes en position acheteuse sur un contrat Future qui utilise un effet de levier x5 sur la valeur totale de votre portefeuille. Cette position perd 2%. Quelle est la perte latente de votre portefeuille ?
2%
5%
10%

Vous achetez un contrat Future. Qu’est-ce que la marge ?
La perte maximale possible sur la position.
Le montant des intérêts facturés par le courtier.
La somme immobilisée par le courtier pour l’ouverture de la position.

Le Future ABC vaut 8 000 points. La valeur de ce Future est de 10 € par point. Quelle est la valeur totale d’un contrat Future ABC ?
10 €
8 000 €
80 000 €

Le Future ABC vaut 10 000 points. La valeur de ce Future est de 0,10 € par 1/4 de point. Quelle est la valeur totale d’un contrat Future ABC ?
1 000 €
4 000 €
10 000 €

Vous prenez une position à l’achat de 1 contrat Future qui vaut 3 000 points avec une valeur de 10 € par point. La marge demandée à l’entrée en position pour ce Future est de 5 000 € par contrat. Quel est l’effet de levier maximum autorisé sur ce future ?
5/3
6
10

Vous prenez une position à la vente de 1 contrat Future qui vaut 5 000 points avec une valeur de 10 € par point. Quel est le montant de votre perte maximale théorique ?
Illimitée
5 000 €
50 000 €
Je ne sais pas

Vous avez une position à la vente de 5 contrats Futures. Lequel de ces ordres vous permettra de clôturer votre position ?
Vente Stop de 5 contrats Futures
Achat Stop de 5 contrats Futures
Vente au marché de 5 contrats Futures

Vous avez un portefeuille de 10 000 €. Vous êtes en position sur un contrat Future pour lequel la marge requise est de 5 000 € et la valeur totale du contrat est de 80 000 €. Votre position perd 1%. Quel est l’impact sur votre portefeuille ?
Mon portefeuille perd 1% de sa valeur, soit 100 €.
Mon portefeuille perd 8% de sa valeur, soit 800 €.
Mon portefeuille perd 1% de la valeur de la marge de 5 000 €, soit 50 €.

Vous achetez 1 contrat Future E-mini NASDAQ-100. Ce contrat a une valeur par point de 20 $. Si le cours de ce contrat augmente de 10 points par rapport à votre cours d’achat, la performance latente sur cette position :
augmente de 10 $.
augmente de 200 $.
baisse de 200 $.

Vous vendez à découvert 1 contrat Future June E-mini S&P 500 à 3 205,25 (multiplicateur : 50 $ par point). Vous clôturer finalement la position à 3 220,75. Les commissions totales pour ces opérations sont de 10 $ par contrat. Quel est alors le montant des pertes ou profits ?
Profit de 765,00 $
Perte de 25,50 $
Perte de 785,00 $

En sachant que les warrants peuvent seulement être traités à l’achat, la perte maximale pour une transaction sur un warrant :
est potentiellement illimitée.
peut atteindre au maximum l’intégralité du montant investi.
peut dépasser le montant investi.
Je ne sais pas

L’achat d’un call warrant confère au détenteur le droit, mais pas l’obligation, d’acheter le produit sous-jacent à un prix donné à la date ou avant échéance.
Vrai
Faux
Je ne sais pas

L’achat d’un put warrant confère au détenteur le droit, mais pas l’obligation, de vendre le produit sous-jacent à un prix donné à la date ou avant échéance.
Vrai
Faux
Je ne sais pas

La liquidité sur le marché des warrants est assurée par :
la bourse sur laquelle le warrant est échangé.
l’émetteur, qui anime le marché à l’achat et à la vente, dans la limite du nombre total de warrants émis.
la présence d’investisseurs sur le marché uniquement.

Le sous-jacent d’un warrant peut être une action, un indice, une devise, une matière première ou un taux d’intérêt.
Vrai
Faux
Je ne sais pas

Le temps à une influence positive sur la valorisation d’un warrant : plus l’échéance du warrant approche, plus le prix de celui-ci s’apprécie.
Vrai
Faux
Je ne sais pas

Une volatilité élevée du sous-jacent contribue à maintenir une meilleure valorisation du warrant.
Vrai
Faux
Je ne sais pas

La parité d’un call warrant sur action ABC correspond :
au coût total d’exercice du warrant.
au nombre de warrants qu’il est nécessaire d’exercer pour acheter 1 action ABC.
au nombre d’actions ABC qu’il est possible d’acheter en exerçant 1 warrant.

Vous achetez 1 000 call warrants sur l’action ABC (prix d’exercice : 20 $, multiplicateur : 0,01) pour un coût total de 10 $. Dans quel scenario pouvez-vous réaliser un profit?
Prix du sous-jacent à 15 $ à l’échéance
Prix du sous-jacent à 20 $ à l’échéance
Prix du sous-jacent à 25 $ à l’échéance

Vous achetez 1 000 put warrants sur l’action ABC (prix d’exercice : 20 $, multiplicateur : 0,01) pour un coût total de 10 $. Dans quel scenario pouvez-vous réaliser un profit?
Prix du sous-jacent à 15 $ à l’échéance
Prix du sous-jacent à 20 $ à l’échéance
Prix du sous-jacent à 25 $ à l’échéance

Pour les 5 prochaines questions, supposons qu’un investisseur achète 100 warrants avec les caractéristiques suivantes :
type de warrant : call européen
sous-jacent : indice DEF
devise : USD
multiplicateur : 0,01
prix d’exercice : 4 000 points
barrière inférieure désactivante : 3 800 points
règlement en cash

Ces warrants sont exercés automatiquement à échéance tant que le warrant a une valeur non-nulle.

Situation 1 : La valeur de l’indice DEF est restée entre 3 900 et 4 150 points. Que se passe-t-il si l’indice DEF est à 4 100 points à l’échéance?
Le warrant n’est pas exercé.
Le warrant est exercé et l’investisseur reçoit 100 USD.
Le warrant est exercé et l’investisseur doit payer 100 USD.

Situation 2 : La valeur de l’indice DEF est restée entre 3 850 et 4 000 points. Que se passe-t-il si l’indice DEF est à 3 900 points à l’échéance ?
Le warrant n’est pas exercé.
Le warrant est exercé et l’investisseur reçoit 100 USD.
Le warrant est exercé et l’investisseur doit payer 100 USD.

Situation 3 : La valeur de l’indice est descendue jusqu’à 3 750 points. Que se passe-t-il si l’indice DEF est à 3 750 points à l’échéance ?
Le warrant n’est pas exercé.
Le warrant est exercé et l’investisseur reçoit 50 USD.
Le warrant est exercé et l’investisseur doit payer 50 USD.

Situation 4 : La valeur de l’indice est descendue jusqu’à 3 750 points. Que se passe-t-il si l’indice DEF est à 3 900 points à l’échéance ?
Le warrant n’est pas exercé.
Le warrant est exercé et l’investisseur reçoit 100 USD.
Le warrant est exercé et l’investisseur doit payer 100 USD.

Situation 5 : La valeur de l’indice est descendue jusqu’à 3 750 points. Que se passe-t-il si l’indice DEF est à 4 100 points à l’échéance ?
Le warrant n’est pas exercé.
Le warrant est exercé et l’investisseur reçoit 100 USD.
Le warrant est exercé et l’investisseur doit payer 100 USD.

Type of Company

I certify that the Company:

is a private Company.
is NOT a hedge fund, mutual fund or similar collective investment vehicle containing investor or customer funds.
is NOT a Company quoted on a recognized, designated or approved stock exchange.
is NOT controlled, fully or partially owned by a Company that is quoted on a recognized, designated or approved stock
exchange

If your Company does not meet all the conditions above, this document does not apply. In this case, contact us for the
appropriate documentation.

Is the Company:

an operating business that was NOT formed primarily for the purpose of trading or holding financial assets.
a proprietary trading Company not containing investor or client funds.
a personal or family investment vehicle.

IF YOU HAVE CHOSEN THE THIRD BOX, PLEASE CHECK IF ANNEX 4 NEED TO BE FILLED IN.

Regulatory Information

Is the Company registered, licensed, or acting as any of the following, or would the organization be considered any of
the following if it is located in the EU AND if it was located in the US:

A foreign bank (A “foreign” bank is a bank that is organized under non-EU law and is located outside the E.U.

Non-EU banks include, but are not limited to, the offices, branches, and agencies of commercial banks or trust
companies, private banks, national banks, thrift institutions, credit unions and other organizations chartered
under banking laws and supervised by the banking supervisors of any state.).

A licensed advisor or investment manager or pool operator for securities or futures or forex trading.

A mutual fund, open-end investment company, hedge fund, private equity fund, UCIT fund, venture capital
fund, commodity pool, or any other type of formal collective investment vehicle or fund

A licensed money transmitter.

A licensed foreign exchange (forex) dealer or broker or a currency dealer or exchanger.

Is the Organization a credit or financial institution that is located in the E.U. and is regulated by a regulatory authority
in the E.U.?

Is the Organization a credit or financial institution that is not located in the E.U., but is regulated in its home country?

Is the Organization engaged in the brokerage business? (e.g., is the Organization registered, authorized or operating
as a futures commission merchant, or securities or futures brokerage firm in the US, UK, Canada or elsewhere)

Is the Organization a member of an exchange or a regulatory or self-regulatory organization or an associated
or affiliated person of an exchange member?

Has the organization, its affiliates, or any of the principals, officers, authorized traders on the account been
charged or convicted of a crime? Or been involved in ANY regulatory action or settlement?

Is the organization or any of its officers (i) a director/officer; (ii) any other person with a similar policy-making
authority or (iii) a 10% or more shareholder of any Publicly Traded Company?

Is any officer or authorized trader of the organization registered as a broker or an employee, director or owner of a
securities or commodities brokerage firm, employee of a bank, hedge fund, or other financial services company?

Do any of the owners/investors of the organization reside in the U.S.?

Does the organization solicit or accept owners/investors who reside in the U.S.?

By opening an account, you also agree to inform ProRealTime of any future changes to the above questions.

ProRealTime Trading is a trading name of ProRealTime SAS, an investment
Company approved and supervised by the French financial authorities (Autorité
de Contrôle Prudentiel et de Résolution / Banque de France). ProRealTime
SAS (Simplified joint-stock Company) – N° 499 355 444 RCS Nanterre
Head office: ProRealTime SAS – 30 avenue Edouard Belin – 92500 RueilMalmaison – France.

Signature

Corporate stamp or
Name of Company

Company Identification

Company Identification
Company name
Legal Form

Please indicate your Company’s official and exact legal entity type. Example: Pan-EU
entity, Société à Responsabilité Limitée (SARL), Risk Capital Investment Company, etc.
Description of the Company’s Business
(The description of your business should be as
specific as possible. General descriptions such
as “investment”, “trading”, “import/export” or
“general business” will require further requests
for information that may delay your application)

Company registration number

VAT number for EU company

Country that issued VAT

Website of your Company

ProRealTime Account Number

Clients of the Company
Clients of the Company are:

Individuals
Companies / organizations
States

The Company does not have clients

List the countries in which the Company
generates 10% or more of its business revenue:

Principal Place of Business

This is the principal location of the Company where its officers and employees work and where day-to-day operations are
conducted.

The following documents are required:

Proof of registration of the Company (less than 3 months old)

Proof of address of the Company’s principal place of business (less than 6 months old)

Additional company’s authentication document (ex: Certificate of incorporation by Companies House)

Company’s full shareholder list signed and accounting for the percentages of ownership for each direct and
indirect owner with a total equal to 100% (less than 6 months)

Street name and number

State/Province

Zip/Postal Code

Phone Number

Country

City

Signature

Corporate stamp or
Name of Company

Authorized Person Identification

“The Authorized Person is the person who has completed the online application form and who is authorized to sign Customer
Agreements on behalf of the Private Company. The Authorized Person will be later defined as the “Customer”.
First Name
Last Name

The following documents are required:

Two (2) valid proofs of identity (see list of accepted documents p.7)
Proof of address (less than 6 months old)
Proof of authority and Ability to trade on margin
Proof of Authorization to Open a Company Account

I hold the following title(s) in the Company:

CHECK ALL THAT APPLY
Managing authority – Please specify your title:
ONLY IF you (authorized person) are NOT also the managing authority, please fill in annex 3.
Director
Secretary
Chief Executive Officer (CEO) or equivalent
Chief Operations Officer (COO) or equivalent
Chief Financial Officer (CFO) or equivalent
Chief Legal Officer / General Counsel or equivalent
Chief Compliance Officer (CCO) or equivalent
Other – Please specify your title:

Signature

Corporate stamp or
Name of Company

Company Ownership

Company Ownership
Are you (authorized person) an owner of the Company ?

Yes

If you answered “Yes”, please fill in both columns. If you answered “No”, please fill in only the right column.
Percentage of your ownership in the Company:

Please detail source(s) of your personal funds you used
to create the Company (or invest in the Company):

Please confirm the source(s) of your personal total
assets:

Savings from income of professional activity

Retirement pension

Inheritance / gift

Income from renting out

Severance / compensation

Unemployment benefits

Gains from financial investments

Sale of real estate

Sale of a Company

Other – Please specify:

Check the corresponding box(es) with a X.

Could you please describe the nature of your previous employment or self-employment:
Company name
Industry (eg software, haulage, law firm)
Job title
We will not contact your previous employer.

Could you please describe the nature of current employment or self-employment IF you have another job
position besides your job position in the Company:
Your Job title
Your employer’s name
Your employer’s type of business activity (eg software,
haulage, law firm)
A brief description of your position within the company

Your employer’s address (headquarters)

We will not contact your employer.

Signature

Corporate stamp or
Name of Company

Company Ownership

If the Company has more than one owner with 10% or more, provide information about each individual and/or entity
owning 10% or more shares of the Company:
FOR EACH INDIVIDUAL OWNER LISTED BELOW, PROVIDE ANNEX 1.
FOR EACH ENTITY OWNER LISTED BELOW, PROVIDE ANNEX 2.
First Name or Entity Name

Last Name

Type

% of Ownership

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Individual

Entity

Source of Funds
Important note: the wire transfer to fund your account must originate from a bank account registered in the Company’s name.
The funds used for the trading account belong to:
CHECK YES or NO for EACH LINE
The Company (business capital) exclusively

Yes

Clients of the Company

Yes

Investors that are not Company shareholders

Yes

Please describe the sources of the Company’s assets:
CHECK ALL THAT APPLY
Sources of assets

% of the Company’s assets

Income from the Company’s activity

Funds from shareholders / owners

Loans from banks or credit institutions

Gains from trading or financial investments

Other:

Please give a percentage in the corresponding box(es) with a X and indicate a number besides %.
% of the Company’s assets: for each source, indicate the percentage so that the total percentage of sources is equal to 100%.
Please confirm if, for the last calendar year, 50% or more of the:
gross income by the Company is passive* income

Yes

assets held by the Company are generating passive* income

Yes

* Passive income includes gains from investments, dividends, interests, rentals, royalties, annuities and any other kind of
passive income.
ProRealTime Trading is a trading name of ProRealTime SAS, an investment
Company approved and supervised by the French financial authorities (Autorité
de Contrôle Prudentiel et de Résolution / Banque de France). ProRealTime
SAS (Simplified joint-stock Company) – N° 499 355 444 RCS Nanterre
Head office: ProRealTime SAS – 30 avenue Edouard Belin – 92500 RueilMalmaison – France.

Signature

Corporate stamp or
Name of Company

Legal Entity Identifier (LEI)

Legal Entity Identifier (LEI)
The European market infrastructure regulation (“EMIR”) aims at increasing transparency and reducing counterparty risk in the
OTC derivatives market and came into effect on 16 August 2012. The Legal Entity Identifier (“LEI”) will be used for the purpose
of reporting counterparty data and will allow for the unambiguous identification of parties to financial transactions.

LEI Number
CHECK ONE ONLY
I already have an LEI:
I wish Interactive Brokers to obtain an LEI for me.
Please sign annex 5.
You will be charged 169 $ by Interactive Brokers to cover the cost of this third-party application and your account will be
assessed an annual maintenance fee of 120 $ on or shortly after the yearly anniversary date of your LEI application. (rates
may be subject to change)

EMIR reporting
I wish to delegate my EMIR reporting to Interactive Brokers and have Interactive Brokers file the required reports for me.
Please sign annex 5.

Counterparty type
CHECK ONE ONLY
Non-financial Counterparty (NFC) BELOW the clearing threshold

(1)

Non-financial Counterparty (NFC) ABOVE the clearing threshold

(1)

Financial Counterparty (FC) (2)
(1) A NFC is defined as an undertaking established in the EU other than those defined as a FC or a Central Counterparty
(“CCP”), like the Clearing Houses.
A NFC is below the clearing threshold if on a 30-day rolling average basis, the amount of OTC transactions your Company (or
your group) makes is:
below 1 billion EUR in gross notional value for: OTC credit derivative contracts and OTC equity derivative contracts
below 3 billion EUR in gross notional value for: OTC interest rate derivative contracts, OTC FX derivative contracts, OTC
commodity derivative contracts and any other OTC derivative contracts
(2) If you are a bank, an investment firm, a credit institution, an insurer, an UCIT and pension scheme or an Alternative
Investment Fund managed by an AIFM. The Alternative Investment Fund (“AIF”) will only become an FC if the manager of that
AIF is authorised under the Alternative Investment Fund Managers Directive (“AIFMD”), so a fund outside the EU may be
subject to EMIR reporting requirements.

Signature

Corporate stamp or
Name of Company

Reminder of Required Documents

For the Company:
Proof of registration of the Company (less than 3 months old)
Proof of address of the Company’s principal place of business (less than 6 months old)
Additional company’s authentication document (ex: Certificate of incorporation by Companies House)
Company’s full shareholder list signed and accounting for the percentages of ownership for each direct and
indirect owner with a total equal to 100% (less than 6 months)
For the Authorized Person:
Two (2) valid proofs of identity
Proof of address (less than 6 months old)
Proof of authority and Ability to trade on margin
Proof of Authorization to Open a Company Account
For each Individual owner of the Company:
Two (2) valid proofs of identity
Proof of address (less than 6 months old)
For each Entity owner of the Company:
Proof of registration of the Entity (less than 6 months old)
Proof of address of the Entity’s principal place of business (less than 6 months old)
Confirmation Statement (document that states the name and address of the owning Entity and confirms
ownership of the applicant Company)
Two (2) valid proofs of identity of the principal ultimate beneficial owners of the entity owner
Proof of address (less than 6 months old) of the principal ultimate beneficial owners of the entity owner
Choice of valid first identity document:
National identity card (front and back)
Passport (double pages with photo page required)
Choice of additional identity document AND different from the first identity document:
National identity card (front and back)
Passport: (copy of the first 4 pages and photo page required)
Residence permit (front and back)
Driving license (front and back)
European health insurance card (front and back)
Other official document showing your full identity and your date and/or place of birth. Ex: national health
insurance card, tax receipt (less than 6 months old), copy of your birth certificate (less than 6 months old).

Signature

Corporate stamp or
Name of Company

Annex 1: Individual Owner (1/2)

Annex 1: Individual Owner (1/2)
THIS ANNEX IS TO BE PRINTED AND COMPLETED BY EACH INDIVIDUAL OWNER OF THE COMPANY, AS MANY TIMES AS THERE
ARE INDIVIDUAL OWNERS OF THE COMPANY BUT IS NOT TO BE COMPLETED BY THE “AUTHORIZED PERSON”.
EX: IF THERE ARE 3 OWNERS AND ONE OF THEM IS THE “AUTHORIZED PERSON”, THIS ANNEX IS TO BE COMPLETED 2 TIMES.

In addition to this annex, the following documents are required:
Two (2) valid proofs of identity (see list of accepted documents p.7)
Proof of address (less than 6 months old)

Identity
Salutation
First Name
Last Name
Percentage of your ownership in the Company

Please describe the sources of your personal assets in the way that the sum is 100% in total:
CHECK ALL THAT APPLY
Savings from income of professional activity

Sale of real estate

Retirement pension

Sale of a Company

Inheritance / gift

Other – Please specify:

Income from renting out

Severance / compensation

Unemployment benefits

Gains from financial investments

Could you please describe the nature of current employment or self-employment:
Your Job title
Your employer’s name
Your employer’s type of business activity (eg software, haulage, law firm)
A brief description of your position within the Company
Your employer’s address (headquarters)
We will not contact your employer.
If you are Unemployed, At-home trader (no other occupation), Retired or Student/Intern, please confirm your status and describe
the nature of previous employment or self-employment:
Current status
Company name
Industry (eg software, haulage, law firm)
Job title
We will not contact the previous employer.

Signature

Corporate stamp or
Name of Company

Annex 1: Individual Owner (2/2)

Personal address
Street name and number

Zip/Postal Code
City
State/Province
Country
Phone Number

Additional Information
Date of birth
Country of citizenship
Legal identification document
Identification document number
Country of issuance
Tax identification Number
Country of issuance of Tax identification Number

Signature

Corporate stamp or
Name of Company

Annex 2: Entity Owner (1/2)

Annex 2: Entity Owner (1/2)
THIS ANNEX IS TO BE PRINTED AND COMPLETED BY EACH ENTITY OWNER OF THE COMPANY, AS MANY TIMES AS
THERE ARE ENTITY OWNERS OF THE COMPANY.

In addition, the following documents are required:
Proof of registration of the Entity (less than 6 months old)
Proof of address of the Entity’s principal place of business (less than 6 months old)
Confirmation Statement (document that states the name and address of the owning Entity and confirms
ownership of the applicant Company)
Two (2) valid proofs of identity of the principal ultimate beneficial owners of the entity owner (see list of
accepted documents p.7)
Proof of address (less than 6 months old) of the principal ultimate beneficial owners of the entity owner

Entity Information
Entity name
Percentage of ownership

Please confirm the source(s) of total assets of the entity owner in the way that the sum is 100% in total:
Owner/Shareholder Equity or Loan to Company

Market Trading Profits

Property

Business Revenue

Retained Earnings

Other – Please specify:

Check the corresponding box(es) with a X and indicate a number besides %.

Principal place of business
This is the principal location of the firm where its officers and employees work and where day-to-day operations are conducted.
Street name and
number

State/Province

Zip/Postal Code

Phone Number

Country

City
Country of formation
Is the entity publicly traded on a regulated exchange ?

Yes

Tax identification Number
Country of issuance of Tax identification Number

Corporate stamp or
Name of Company

Annex 2: Entity Owner (2/2)

Annex 2: Entity Owner (2/2)
Each individual shareholder who owns indirectly more than 10% of the entity opening the account through the direct
parent company must provide ANNEX 1.
Please find below a diagram explaining how to calculate the indirect holding percentages.

M. John is an indirect beneficial owner of the Company A.
Why ?
He owns indirectly MORE than 10% of the shareholding of the company A : 70% x 90% = 63%
Annex 1 must be filled.
M. Smith is not an indirect beneficial owner of the Company A.
Why ?
He owns indirectly LESS than 10% of the shareholding of the company A : 70% x 10% = 7%

Signature

Corporate stamp or
Name of Company

Annex 3: Managerial Authority

Annex 3: Managerial Authority
IF THE AUTHORIZED PERSON IS ALSO THE MANAGING AUTHORITY, YOU DO NOT NEED TO FILL IN THIS FORM.

In addition, the following documents are required:
Two (2) valid proofs of identity (see list of accepted documents p.7)
Proof of address (less than 6 months old)

Authority
Confirm title

Identity
Salutation
First Name
Last Name

Personal address
Street name and
number

City
State/Province

Zip/Postal Code

Country

Signature

Corporate stamp or
Name of Company

Annex 4: Personal/family investment vehicle Professional Third Party Administrator

Annex 4: Personal/family investment vehicle – Professional Third Party Administrator
IF THE PERSONAL/FAMILY INVESTMENT VEHICLE HAS AN EXTERNAL ADMINISTRATOR OR CORPORATE SERVICES
PROVIDER, PLEASE FILL IN THIS FORM.

Corporate Administrator identity
Salutation
First Name
Last Name
Company Name

Corporate Administrator Address
Street name and
number

City
State/Province

Zip/Postal Code

Country

Corporate Administrator Contact
Salutation
First Name
Last Name
Phone Number

Signature

Corporate stamp or
Name of Company

A n n e x 5 : E M I R D e l e g a t e d Tr a n s a c t i o n R e p o r t i n g
Agreement by Interactive Brokers

Annex 5: EMIR Delegated Transaction Reporting Agreement by Interactive Brokers
INTERACTIVE BROKERS (I.E) LIMITED EMIR DELEGATED
TRANSACTION REPORTING AGREEMENT
This EMIR Delegated Transaction Reporting Agreement
(“Agreement”), effective as of the Effective Date below, is between
Interactive Brokers Ireland Limited (“IBIE”) and the Client
(“Client”).
1. Client has entered into and/or intends to enter into derivative
transactions with IBIE or its affiliates. Under the European Market
Infrastructure Regulation and related rules and regulations
(“EMIR”), IBIE and Client are required to report the details of
certain derivative transactions (“Transactions”) to a trade
depository recognised under EMIR. EMIR permits one party that is
subject to the transaction-reporting obligation to delegate the
submission of the transaction report (“Transaction Report”) to the
counterparty or a third party.
2. Client hereby appoints IBIE to submit the Transaction Reports
in accordance with this Agreement. Subject to Clause 3 below,
IBIE’s appointment under this Agreement shall be effective upon
execution of this Agreement (“Effective Date”), and such
appointment shall continue until terminated in accordance with
Clause 16. The Client must provide IBIE with a Legal Entity
Identifier (“LEI”) for the purposes of submitting transaction reports.
Where required (as determined by IBIE in its sole and absolute
discretion), the Client appoints IBIE to apply for a LEI on its behalf
and at Client’s cost. For the purposes of this application, the Client
agrees to provide the relevant information required for the
submission as dictated by IBIE.
3. IBIE shall not be obliged to begin reporting any transaction until
IBIE has notified Client that the on-boarding process has been
completed.
4. In respect of each Transaction, IBIE will submit a Transaction
Report, within the timeframes specified under EMIR, containing
the minimum details required by EMIR (“Reporting Service”).
5. IBIE may decide not to submit a Transaction Report in respect of
any Transaction if IBIE reasonably considers that it does not have
sufficient information to do so, that any of the information is
incomplete, inaccurate, or not compliant with any requirements under
EMIR, or where any reporting may breach any law or regulation.
6. The Reporting Services shall be provided on a reasonable
efforts basis and is conditional upon: (i) Client’s delivery to IBIE of
the requisite counterparty data and any other data that may be
required to enable IBIE to make such Transaction Reports in a
timely manner (collectively, “Client Data”), and (ii) Client having a
valid LEI.
7. In consideration for IBIE providing the Reporting Services and
obtaining and maintaining a LEI, Client shall pay fees (“Fees”) to
IBIE in accordance with the current Fee Schedule posted on IBIE’s
website. Client agrees that IBIE may change the Fees at any time.
Fees will be deducted from Client’s IBIE account.
8. IBIE may delegate any of its obligations under this Agreement
to an affiliate or other third party and you authorise us to do so
without your further consent.
9. Each party represents and warrants to the other that it has the
requisite power and authority to execute this Agreement and to
perform the relevant obligations hereunder.
10. On each occasion on which Client delivers Client Data to IBIE
under this Agreement, and on each occasion IBIE delivers a
Transaction Report to a trade repository, Client hereby agrees,
represents, warrants and covenants that: (i) the Client Data is
complete, accurate and compliant with any requirements under

EMIR; (ii) Client understands that regulatory liability for the
accuracy and completeness of such transaction reports, even
where delegated, rests with the Client accepts that while
submission of reports may be delegated, responsibility for
compliance with Client’s regulatory requirement to report remains
with the Client, and (iii) Client understands that IBIE is providing
the Reporting Services and submitting Transaction Reports based
on IBIE’s interpretation of EMIR, which may not be entirely
accurate.
11. Client consents to IBIE submitting the Client Data associated
with any Transaction to: (i) a legal or regulatory authority whose
rules or requirements with respect to disclosure are applicable; (ii)
a EMIR recognised trade repository; and (iii) any of IBIE’s affiliates
or agents for the purpose of providing the Reporting Services.
12. IBIE has no obligation in respect of, and accepts no liability for,
verifying the validity or accuracy any Client Data provided to IBIE.
13. IBIE, its affiliates, and theair respective directors and officers
shall not be liable for any loss, cost, charge, fee, expense, penalty
or damage resulting from any act or omission made in connection
with this Agreement, other than to the extent arising directly from
IBIE’s gross negligence, wilful misconduct or fraud.
14. IBIE shall not be liable for any partial or non-performance of
the reporting obligation by reason of any force majeure event,
technical error, breakdown or failure of transmission,
communication or computer facilities.
15. Except in the case of gross negligence, wilful misconduct or
fraud on the part of IBIE, Client shall indemnify and hold harmless
IBIE and its affiliates, and each of their respective directors,
officers, employees, agents and affiliates, from and against any
claim, damages, loss, liability, cost and/or expense (including, but
not limited to, reasonable attorney’s fees and costs) that directly or
indirectly arise from or are caused by, or in connection with: (i) this
Agreement, (ii) any breach by the Client of its obligations under
this Agreement, or (iii) Client’s use of the Reporting Service.
16. Either party may terminate this Agreement at any time upon
the giving of not less than 60 (sixty) days’ prior written notice or, in
either case, sooner if pursuant to legal or regulatory requirement.
IBIE may terminate this Agreement immediately: (i) in the event
that Client becomes insolvent; (ii) in the event of a material breach
of Client’s obligations under this Agreement, any other agreement
between Client and any of us or of any rules or regulations of any
regulatory authority or applicable law material to your ability to
perform your obligations under this Agreement. Clauses 12, 13,
14, 15 and 18 shall survive termination or expiration of this
Agreement.
17. Client may not transfer this Agreement or any interest in or
under it to any third party without IBIE’s prior written consent. IBIE
may assign this Agreement to an affiliate. This Agreement shall be
amended as needed from time to time as and when required by
changes in reporting requirements, systems or processes or for
any other similar reason. IBIE is not acting as the Client’s fiduciary
or adviser.
18. This Agreement is governed by the laws of Ireland. All
disputes shall be within the exclusive competence of the Courts of
Ireland, unless IBIE chooses to bring an action against the Client
before any other court having jurisdiction under the ordinary rules
of procedure, in particular according to the applicable jurisdiction
rules of the relevant European regulation or applicable
convention.

Date:

Signature

Corporate stamp or
Name of Company