Download IBSJ Account Application Form (and Client Card) for Exchange listed

IBSJ Account Application Form (and Client Card) for
Exchange listed Securities Cash / Futures & Options - Individuals
For the attention of
Interactive Brokers Securities Japan Inc.
103-0025
Tokyo Chuo-Ku Nihonbashi Kayabacho
3-2-10 Tekkokaikan 4F
Account
Number
Username
I, hereby, confirm the information registered on your website and the followings are accurate and genuine, to establish a Securities Cash Account and
Futures and Options Account based on your company’s rules and terms & conditions and to receive trade confirmations, etc via electronic methods.
I, hereby, confirm that your company will not provide account opening service “Tokutei Kanri Koza” as defined on Article 37-10-2-1 as well as “Tokutei
Koza” as defined on Article 37-11-3-1 and 2 of Special Taxation Measures Law “Sozei Tokubetsu Sochi Hou” respectively.
I, hereby, request that Article 343-3 of the Enforcement Rule for the Income Tax Act and Article 26-24-6 of the Enforcement Rule for the Special
Taxation Measures Law (Shinkoku Bunri Kazei no Shinkoku) to be applicable for myself and I declare it in accordance with the Article 224-2 of the
Income Tax Act (Rishi, Haitoh, ShoukanKin no Jyuryousha no Kokuchi) and Article 9-2-6 of the Special Taxation Measures Law (Joujoukabushiki tou
no Haitoh ni kakaru Gensencyousyuu Gimu tou no Tokurei).
I, hereby, confirm that I received the attached risk disclosure documents prior to entrust orders to your Company. I fully understand risks involved in
each product. I will conduct transactions based on my own judgment and responsibilities.
Application Date: Year 20__ Month__
※ Please check if information printed on the form matches with your identification document. To amend
details, please log back in to the online application.
Date__
Section A
Name
Katakana
Date of Birth
Christian Year
Year
Month
Day
Identification Document
（please fill out our name in Block）
Address
Gender
□
□
Seal (hanko) or Signature
M
F
Identification Number
Katakana
〒
-
Tel
ＦＡＸ
Mobile
Email Address
Section B
Occupation
Employment
Address
□ N/A
Insider
Registration
Employer’s
name)
Name
(Company
Type of business
Title in the company
□Listed
□Non-Listed
Employment Tel
Business Description
〒
－
Location
Insider items （For further information: please refer to the attached）
□ Applicable
□ Not Applicable
Office Use Only
Id Proof
Address Proof
Registered Mail Record
□DL □Pass □Pension □Insurance □Alien
Type （
）
□ Sent Date (YY
MM
DD
)
□Confirmed Date
(YY
MM
DD
)
Verified Indiv.
Registration
（Tokyo）Approver
（US） Approver
Section C
Income
□Less than 4 million JP yen
□4-10million
Total Net
Worth
□Less than 2million JP yen
□Over 100 million yen
□2-5million yen
Investment
Experience
□ Stocks
□ Options
□ Futures
□ Forex
□ No Experience
Investment
Objectives
（
（
（
（
Years Trading）
Years Trading）
Years Trading）
Years Trading）
□10-20million yen
□5-10million yen
□Over 20million yen
□10-50million yen □50-100 million yen
（Number of Traders Per Year:
（Number of Traders Per Year:
（Number of Traders Per Year:
（Number of Traders Per Year:
）
）
）
）
( Knowledge Level : □Good
( Knowledge Level : □Good
( Knowledge Level : □Good
( Knowledge Level : □Good
□Limited)
□Limited)
□Limited)
□Limited)
Please select all that apply
□Preservation of Assets □Income □Growth
□Ｔrading Profits
□Speculation
□Hedging
Please note that to receive permission to open a margin account or trade futures or options, your investment objectives should
include “trading profits” and/or “speculation”
Sales
Name
Security
Question
Deposit/
Transfer
Section D
□Wire Transfer
□Assets Transfer from the 3rd party institution
Institution Name:
BANK
Transfer Amount for initial deposit (cash money)
Branch Name:
JPY
Type （Current/Saving）:
Transfer Amount for initial deposit (securities – market value)
Account number:
JPY
Account name:
1. What is your favourite Colour?
1.
2. What is the name of your favourite sportsteam?
2.
3. Where is your favourite vacation spot?
3.
4.
4. What is your Mother’s Maiden Name？
Who is your IBSJ Sales Representative, if any?
Section E
Are you a Special Investor, as defined under the Financial Instruments and Exchange Law?
□ Yes, I am classified as a Special Investor
Are you or do you have any relationship with:
-Individuals / entities listed in the economic sanctions lists issued by Ministry of Finance Japan as set under Japanese Foreign Exchange and Trade
Law, such as Taliban, Terrorists etc.
- Violence group, Gang member, Gang sub-member, Business units relevant to violence group, Corporate democrats etc., Disguised rogues as social
activist, Intelligence violence group, Antisocial symbiotic forces
□
Yes, I have a relationship with the above
If Yes, describe in detail below.
2|Page
Ver3.0
Agreement, Policies and Risk Disclosures - Confirmation
1.
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
General Client Agreements
Customer Agreement
Disclosure of Fees in Relation to Financial Instruments Transactions
Declaration of the Protection of Personal Information
Best Execution Policy
Solicitation Policy
Basic Policy Against Anti-Social Forces
Consent to Electronic Records and Communication
Explanation of the Contract for Deposit, Entry and Transfer of Money and Securities
Disclosure of Sales of Financial Products
2.
2.1
2.2
2.3
Documents Specific for your Securities Cash Account
Securities and listed ETFs Settlement Account Management Agreement
Safe Custody Agreement
Risk Disclosure for Exchange Listed Securities Documents Specific for your Futures and Options Account
Agreement for Setting Up Futures/Options Trading Account (for trading at Tokyo Stock Exchange)
Agreement for Setting Up Futures/Options Trading Account (for use by Osaka Securities Exchange)
Risk Disclosure for Index Futures/Options Transactions
Consent of Replacement Deposit and Confirmation Related to Index Futures and Options
Risk Disclosure for Securities Futures/Options Transactions
3.
3.1
3.2
3.3
3.4
3.5
I acknowledge that I have read, agree to, and accept all terms and conditions and risk disclosures in the documents listed above.
Agreed and Accepted by:
_____________________________________________ (Seal or Signature)
Date: _______________
3|Page
Ver3.0
Confirmation of Insider Information
To protect against insider trading, IBSJ is required to ask the customers’ insider information and requests a signature. Please
confirm the following information and submit this document with your signature and seal. If you have any change on your
insider status or you are no longer an insider, please contact us for update.
Are you any of the following:
(1) Managing Director, Accounting Advisor, Auditor, or Director (herein thereafter referred to as “insider”) of a listed
company
(2) “Insider” of parent company or a subsidiary company of a listed company
(3) Employed as an “insider” within the previous 12 months.
(4) Have a spouse who is a Director, etc of a listed company
(5) Employee of a listed company and same level of post as Director, etc.
(6) Employee of a listed company and in a department where the position deals with important information and/or
important facts of the company, which may contain inside information
(7) Employee of the parent company or a subsidiary company of a listed company and same level of post as “insider”
(8) Employee of the parent company or a subsidiary company of a listed company and belongs to a department where the
position deals with the important information and/or important facts of the company
(9) Parent company of subsidiary company of listed company
(10) Large shareholder of a listed company (a person who is listed on the recent Financial Report, Interim Report, or
Quarterly Report)
Please select one of the following:
□ I am an insider of below company and request the insider registration.
□ I am NOT an insider of any listed company
I confirm and pledge;
I do not trade the issue if I have insider information of the company.
I cancel the order when I get the insider information of listed company.
I will immediately contact IBSJ;
When I newly become an insider
When any change occurs on my insider registration
When I am no longer considered to be an insider
① Insider items Number above ( )
Name of Company (Issue name)
（Security Code）
Date of Retire or
company: DD/MM/YY
（Security Code）
Date of Retire or left
company: DD/MM/YY
left
②Insider items Number above ( )
Name of Company (Issue name)
Signed:
_____________________________________________ (Seal or Signature)
（Name in Block）：
Date: _______________
4|Page
Ver3.0
Account Application – Legal Acknowledgements
Interactive Brokers (“IB”) can maintain its low commission structure because we have built automated trade processes to minimize human intervention
and discretion. In this respect, we have established some simple terms which govern trading in all IB accounts. These rules recognize that from time to
time, due to their nature, electronic systems, which often rely on third party connectivity, may fail or be delayed and exchanges and data providers may
make errors.
Accept
I am obligated to accept all executions that are consistent with the instructions specified in my
orders.
Although we believe our failure rate is among the lowest in the industry, any system may fail at one time or another, often
by reason of forces beyond human control. IB is not liable for system or network failures, and customers who require the
highest level of reliability, agree to maintain secondary trading facilities.
Customers are responsible for protecting the secrecy of their usernames and passwords, and they will be responsible for
trades entered by third parties using their usernames and passwords.
In the event trades are confirmed by IB as executed, and they are later cancelled by an exchange, trading network or
regulatory authority, the IB confirmed trade will also be deemed cancelled.
IB generally processes orders in the order in which it receives them, including all orders submitted by IB or its affiliates.
IB is not responsible for ensuring the execution of orders at limit prices if the order's transmission is delayed or is otherwise
affected by data communication failure.
IB does not provide trading, investment or tax advice, and customers shall not rely on statements by IB employees which
purport to provide such advice.
IB generally does not make margin calls, and IB maintains the right to immediately close out positions, without notice or
liability, in any account that does not have sufficient funds to meet the margin requirements imposed by it or regulatory
authorities. At its sole discretion given the market or other factors, IB may choose to make a margin call and/or may not
liquidate account positions. If you receive a margin call you are required to immediately deposit funds to cover the
deficiency.
IB customers are responsible to IB for the continued accuracy and updating of all information provided to IB.
IB customers agree to keep IB informed of their current email address, so they will be in a position to read and receive emails
addressed to them by IB.
Agreed and Accepted by:
_____________________________________________ (Seal or Signature)
（Name in Block）：
Date: _______________
5|Page
Ver3.0