Sophisticated Investor Questionnaire

Professional Account
(Sophisticated Investor Questionnaire)

Online Form

Please read carefully the following statements, and fill out the application form.

Some financial products (wholesale financial products) are not available to retail investors. In order for you to access these products, AT Global Markets (Australia) Pty Ltd (ATFX Australia) needs to be satisfied on reasonable grounds that you have sufficient experience using financial services and investing in financial products to meet the Corporations Act criteria under section 761GA to be able to assess for yourself:

The merits and value of a financial product or service;
The risks associated with holding a financial product;
The information you need when considering the financial product;
The adequacy of the information ATFX Australia gives you.

This is important because these products do not have the usual “retail client” disclosures (such as a Product Disclosure Statement) or investor protection rules (such as complaints processes and negative balance protection), so you need to be able to decide what information you need to obtain to assess the product for yourself. To make these determinations about you, ATFX Australia needs to obtain some information about your background and experience in investment. It is important that you answer these questions yourself (preferably in your own handwriting) and as completely as you can. This information will not be used for any other purpose or disclosed to any third party.

To be classified as a Sophisticated Investor you must meet 2 of the 4 criteria below (please tick). If you need to provide supporting documents, you can upload on the next page, or email us at support.

Criteria 1: At least 50 CFD trades in the last 12 months (This can be verified from your ATFX Australia trading account or external statements.) Criteria 2: At least $500,000 AUD notional value of CFD trades in the last 12 months (This can be verified from your ATFX Australia trading account or external statements.) Criteria 3: The value of your portfolio, assets and investments exceeds $250,000 AUD (This can be verified from your ATFX Australia trading account or external statements.) Criteria 4: At least 1 year working experience in the financial sector.

Client Acknowledgement

I/we acknowledge that

I have completed this questionnaire myself and all the information is true, complete and correct to the best of my knowledge.
I will not be acquiring the relevant financial products or services in connection with a business.
If granted, ATFX Australia may withdraw my sophisticated investor status at any time in its discretion.
The financial products and services which ATFX Australia will provide to me as a sophisticated investor do not necessarily have the same investor protection and disclosure requirements as products made available to retail clients by the product intervention order 2020/986 and I am satisfied that I have the ability to obtain the information needed to make an informed decision.
ATFX Australia is not required to give to me any document of disclosure applicable to retail clients in relation to the relevant financial products or services.
ATFX Australia will not have any obligation to me that ATFX Australia would otherwise have if it were to provide these same products and services to a retail client.
ATFX Australia may, from time to time, voluntarily provide some of the retail client disclosure documents and protections to me, at its discretion. The provision of such documents or protections at any particular time does not create any entitlement in me to their continued provision.
If I am already an ATFX Australia client, from the date that I am granted sophisticated investor status previously issued disclosure and engagement documents will no longer correctly reflect my rights and powers and should not be relied on.
I understand the below rules which apply to Retail and Sophisticated Investors and, if granted, I will be subject to the rules for Sophisticated Investors.

Please make sure you understand the differences between Retail and Sophisticated Investor protections and trading conditions.

Rule	Retail	Sophisticated Investor
Margin Close-out If the total equity in your account falls below this level your positions will start to be closed out.	50%	50%
Negative Balance Protection The total losses on your CFD positions will be limited to the funds in your trading account.
Client Inducements Certain benefits cannot be given or offered to you as a retail trader such as deposit bonuses or volume rebates.
Access to Internal Dispute Resolution System Although we aren’t required to by law, all clients will still have access to our dispute resolution system.
Access to AFCA Access to external dispute resolution through the Australian Financial Complaints Authority (AFCA).
Disclosure Documents Product disclosure statements and financial services guides.
Segregated Funds Although we aren’t required to by law to segregate wholesale client funds, all client funds will still continue to be segregated.

First Name

Last Name

Date

Please answer the question for the following criteria

Criteria 1: At least 50 CFD trades in the last 12 months

You have met this requirement through your trading at ATFX Australia? *

Yes No

Please upload trading history from another broker *

Criteria 2: At least $500,000 AUD notional value of CFD trades in the last 12 months

You have met this requirement through your trading at ATFX Australia? *

Yes No

Please upload trading history from another broker *

Criteria 3: The value of your portfolio, assets and investments exceeds $250,000 AUD

Does your ATFX Australia account hold at least $250,000 AUD? *

Yes No

Please upload proof that your portfolio, assets and investments exceed $250,000 AUD *

Criteria 4: At least 1 year work experience in the financial sector

Summary of Investment Experience

(Please note that all experience relevant to using financial services and investing in financial products generally and derivatives in particular should be included.)

Personal Details

Capacity in which the investor acts (trustee, director, individual, etc.) *

Relevant Qualifications (RG146, bachelor’s degree, etc.) *

Relevant Work Experience

Employer *

Title/role *

Time in position *

Relevant Investment Experience

If you have additional experience in addition to the above 4 criteria, please provide below.

What instruments have you traded in the past? *

How many years have you been trading/investing? *

How frequently do you trade? *

Signature

ATFX is a co-brand shared by a group of entities including:

AT Global Markets (UK) Ltd is authorized and regulated by the Financial Conduct Authority (FCA) in the United Kingdom with registration number 760555. The Registered Office: 1st Floor, 32 Cornhill, London EC3V 3SG, United Kingdom.

AT Global Markets (Australia) Pty Ltd is authorized and regulated by the Australian Securities and Investments Commission with AFSL number 418036. The registered office: Tower 2 Darling Park, Level 16, 201 Sussex Street, Sydney NSW 2000.

AT Global Markets SA (Pty) Ltd is licensed in South Africa by the Financial Sector Conduct Authority with FSP license number 44816 and a licensed OTC Derivatives Provider. The registered office: 1020 Manhattan Place, 130 Bree Street Cape Town, 8001.

ATFX Global Markets (CY) Ltd is authorized and regulated by the Cyprus Securities and Exchange Commission (CySEC) under the license no. 285/15. The Registered Office: 159 Leontiou A’ Street, Maryvonne Building Office 204, 3022, Limassol, Cyprus.

AT Global Markets Intl Ltd is authorized and regulated by the Financial Services Commission with license number C118023331. The Registered Office: G08, Ground Floor, The Catalyst, Silicon Avenue, 40 Cybercity, 72201 Ebène, Republic of Mauritius.

AT Global Markets (SC) Limited is licensed by the Seychelles Financial Services Authority as a Securities Dealer with License No. SD093. The Registered Office: Suite 3, Global Village, Jivan’s Complex, Mont Fleuri, Mahe, Seychelles.

ATFX MENA FINANCIAL SERVICES LLC is regulated by the Securities and Commodities Authority (SCA) in the United Arab Emirates with the license number 20200000078.

EMERGING MARKETS is regulated by the Jordan Securities Commission authority as an Introducing Broker license number 643 and is the regulated entity in the Hashemite Kingdom of Jordan.

ATFX is a trade mark of AT Global Markets INTL LTD a company registered in Mauritius under FSC and all services in the Hashemite Kingdom of Jordan is offered through its Introducing Broker.

AT Global Markets LLC is a Limited Liability Company in Saint Vincent and the Grenadines with company number 333 LLC 2020. The Registered Office: Euro House, Richmond Hill Road, Kingstown, St. Vincent and the Grenadines.

HIGH RISK INVESTMENT WARNING: Trading Foreign Exchange Contracts and Contracts for Difference carries high risk and may not suit all investors. You may sustain complete loss of capital invested—do not invest with capital you cannot afford to lose. When acquiring our products, you have no rights or entitlements to underlying assets. AT Global Markets (Australia) Pty Ltd (AFSL:418036) only provides general advice – information provided does not consider your financial objectives, situation or needs. We recommend seeking personal financial advice before deciding to invest. Product Disclosure Statements and Financial Services Guide available upon request and will be sent to all live account applicants—these should be reviewed before acquiring, holding or disposing of our products or services. Our Target Market Determination also available from here.

Restricted Regions: AT Global Markets (Australia) Pty Ltd does not provide services to residents of certain countries, including but not limited to Canada, Japan, Democratic People’s Republic of Korea (DPRK), Iran and United States of America (USA), or any person in any country or jurisdiction where such distribution or use would be contrary to our TMD, local law or regulation.

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Please note that you may be accessing this page from outside Australia. For retail and professional inquiries regarding AT Global Markets (Australia) Pty Ltd, kindly reach out to us at [email protected].

Restrictions on Use

Products and Services on this website are not suitable for the UK residents. Such information and materials should not be regarded as or constitute a distribution, an offer, or a solicitation to buy or sell any investments. Please visit https://www.atfx.com/en-za/ to proceed.

Restrictions on Use

Products and Services on this website are not suitable for Hong Kong residents. Such information and materials should not be regarded as or constitute a distribution, an offer, solicitation to buy or sell any investments.

使用限制：本網站的產品及服務不適合香港居民使用。網站內部的信息和素材不應被視為分銷，要約，買入或賣出任何投資產品。

Restrictions on Use

Professional Account (Sophisticated Investor Questionnaire)

Online Form

Client Acknowledgement

Professional Account
(Sophisticated Investor Questionnaire)