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New Account - JointThank you for choosing Ally Invest Forex LLC. (“Ally Invest Forex”). To make it easy and convenient to open your account, we have included all thenecessary forms in this application packet. Completing the application process is an easy process:Step 1: Complete the Customer Account Application (pages 2-3), read the Customer Agreement (pages 4-13) and the Risk Disclosure Statement(pages 14-16) and sign and submit pages 13, 14 & 16. U.S. Residents: Also complete the W-9 Request for Taxpayer Identification Number and Certificate Non U.S. Residents: Also complete the W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding FormStep 2: Verify Personal Information U.S. Residents: You are not required to submit additional information at this time. Non U.S. Residents: Please submit two (2) forms of identification, including one (1) photo ID (i.e. passport or any other government-issueddocument evidencing nationality or residence and bearing a photograph), AND one (1) proof of address as represented on this application(i.e. utility bill, driver’s license, etc.). Required of all authorized signers of this account.Notice Regarding Anti-Money Laundering:In response to the US Patriot Act, it Ally Invest Forex’s Policy to verify personal information provided on this application. When opening a trading accountwith Ally Invest Forex, we will ask for your name, address, date of birth, social security number or documentation to support your identity such as a currentpassport, driver’s license or other documents deemed appropriate GAIN Capital reserves the right to request additional documentation and upon furtherreview may deny opening an account if documentation is determined to be insufficient.Step 3: Fax or mail your completed, signed application (in its entirety), tax form and copy of your photo ID(s)via FAX (for expedited processing):ATTN: New Accounts 1.908.731.0777via MAIL:GAIN Capital Group, LLCATTN: New AccountsBedminster One135 US Highway 202/206Suite 11Bedminster, NJ 07921Step 4: Fund Your Account. There are four (4) easy ways to fund your account.Cash deposits are not accepted, which includes cashiers’ checks, money orders, traveler's checks or other cash equivalents. Underno circumstances will GAIN Capital make or receive payments via third parties. There are three easy ways to fund your account:a) Wire Transfer – The fastest way to fund your account.Bank wires are typically received and credited to a client's account within 1-2 business days. Wire transfer instructions can be accessedvia the “My Account” feature on the GAIN Capital website. GAIN Capital currently supports deposits in multiple currencies via wiretransfer.b) ACH Check (Automated Clearing House Transaction) - Once received, ACH transactions are typically credited to a client'saccount within five (5) business days or less and can be accessed via the “My Account” feature on the GAINCapital website.c) Personal or Business Check - Funds sent via personal or business check take 5-10 business days (from date of receipt) to clearand be credited to a client's trading account, according to our banking partner's posted schedule. This can vary depending on the bankand state of issue. International checks may take several weeks to clear.Please make checks payable to GAIN Capital. Under no circumstances will GAIN Capital make or receive payments via thirdparties.d) Debit CardLog into MyAccount to submit a debit card deposit.A GAIN Capital representative will contact you when your application has been approved and you have been cleared for trading. If you have questionsor require assistance completing the application, please call us at 1.877.GAINCAP (toll free within North America) or 1.908.731.0700 (international) ore-mail us at clientservices@gaincapital.com.1Last Updated 4/27/2021
Customer Account Application - JointThis Application must be completed in full or it will not be processed. GAIN Capital will not disclose, share or sell your personal information to thirdparties. You must be at least 18 years of age to open an account. Please type or print clearly.PRIMARY APPLICANTPERSONAL INFORMATIONName: DOB:Email Address: Telephone:(this will be our primary method of contacting you)US Citizen?YESNO If not a US Citizen, please list country of citizenship and passport number:SSN/TIN:HOME ADDRESSAddress (P.O. boxes not accepted):City: State: Zip: Country:M AILING ADDRESSAddress (P.O. boxes not accepted):City: State: Zip: Country:EMPLOYMENT STATUS(Check one) Employed Military Service Retired Self-Employed Student UnemployedIf you selected Employed or Self-Employed, provide the following information:Employer’s Name: Industry:ADDITIONAL INFORMATION (REQUIRED)Are you employed by a Futures Commission Merchant (FCM), broker, or registered with the YES NOCFTC, NFA or equivalent regulatory body?If yes, provide Company Name:Are there any undisclosed persons with a financial interest in this account? YES NOIf yes, please list names here:Industry regulations require us to obtain the information requested in this section.2Last Updated 4/27/2021
CO-APPLICANTPERSONAL INFORMATIONName: DOB:Email Address: Telephone:(this will be our primary method of contacting you)US Citizen?YESNO If not a US Citizen, please list country of citizenship and passport number:SSN/TIN:HOME ADDRESSAddress (P.O. boxes not accepted):City: State: Zip: Country:M AILING ADDRESSAddress (P.O. boxes not accepted):City: State: Zip: Country:EMPLOYMENT STATUS(Check one) Employed Military Service Retired Self-Employed Student UnemployedIf you selected Employed or Self-Employed, provide the following information:Employer’s Name: Industry:ADDITIONAL INFORMATION (REQUIRED)Are you employed by a Futures Commission Merchant (FCM), broker, or registered with the YES NOCFTC, NFA or equivalent regulatory body?If yes, provide Company Name:Are there any undisclosed persons with a financial interest in this account? YES NOIf yes, please list names here:Industry regulations require us to obtain the information requested in this section.3Last Updated 4/27/2021
JOINT CUSTOMER SHARE ALLOCATION(Check which one applies)Joint Tenants with Rights of Survivorship (JTWROS).Joint Tenants in Common (JTIC).JTWROS - Each joint tenant has a share in the Account Balance and positions in the Account of the percentage (%) interestas shown in the space next to each tenant’s signature. In the case of a tenant’s death, that tenant’s interest in the Accountwill be passed to the other tenant(s).JTIC - Each tenant in common has a share in the Account Balance and positions in the Account of the percentage (%) interestas shown in the space next to each tenant’s signature. In the case of a tenant’s death, that tenant’s interest in the Accountwill be paid to the legal heirs with reference to the Customer Agreement.For all Joint Accounts, each tenant has authority:a)b)c)d)e)To trade for the Account subject to the agreements of the Account.To receive all correspondence and documents in respect of the Account.To receive or withdraw cash and other property.To execute agreements relating to the account.To deal fully with GAIN Capital Group.GAIN Capital has the authority to require joint action by the parties to the Account in matters of the Account. GAIN Capitalhas possession over the security of the Account individually or jointly. If a death occurs to one or more of the tenants, GAINCapital shall be notified in writing. All expenses due to the date of notification shall be charged to the Account. If no percentage(%) is indicated, each tenant is presumed to have an equal share, with a total of 100%.FINANCIAL INFORMATION (COMBINED)Total annual income Net Worth (assets minus liabilities) Initial deposit What is the source of funds?TRADING EXPERIENCEa)Stocks/Equities 6 months 6 months – 1 year 1-2 years 2-3 years Over 3 years None 6 months 6 months – 1 year 1-2 years 2-3 years Over 3 yearsFutures None 6 months 6 months – 1 year 1-2 years 2-3 years Over 3 years 6 months 6 months – 1 year 1-2 years 2-3 years Over 3 years Noneb)c)d)OptionsForex None4Last Updated 4/27/2021
Notice Regarding Anti-Money LaunderingIn response to the US Patriot Act, it is GAIN Capital’s Policy to verify personal information provided on this application. When opening a tradingaccount with GAIN Capital, we will ask for your name, address, date of birth, social security number or documentation to support your identity such asa current passport, driver’s license or other documents deemed appropriate. GAIN Capital reserves the right to request additional documentation andupon further review may deny opening an account if documentation is determined to be insufficient.Customer AgreementThis Agreement sets forth the terms and conditions governing your Account at Gain Capital Group, LLC (“GAIN Capital”) and all Contracts and othertransactions in this Account with GAIN Capital. In this Agreement, the undersigned customer is referred to as “Customer” or undonAllyInvest’s1.DEFINITIONS. Terms capitalized e2.SERVICES PROVIDED. Subject to the terms and conditions of this Agreement and acceptance of Customer’s application to open an Account withGAIN Capital, GAIN Capital will maintain one or more Accounts in Customer’s name and will effect cash settled and physically settled transactionswith and for Customer in the international Over-the-Counter Foreign Currency (foreign exchange) markets and metal markets on a spot basis, andprovide such other services and products as GAIN Capital may, in its sole discretion, determine from time to time in the future. Unless expresslystated otherwise in writing, all Contracts and other transactions entered into between GAIN Capital and Customer shall be governed by the termsof this Customer Agreement, as amended from time to time (including, without limitation, GAIN Capital’s Trading Policies and Procedures).3.REPRESENTATIONS AND WARRANTIES. As of the date hereof, the date of each Contract and other transaction in Customer’s Account and anydate on which GAIN Capital’s Risk Disclosure Statement or Trading Policies and Procedures are revised, updated or amended, Customerrepresents and warrants to GAIN Capital and agrees for the benefit of GAIN Capital that:3.1. if Customer is a natural person, Customer is of sound mind, legal age (18 years old in the United States) and legal competence.3.2. if Customer is not a natural person, (i) Customer is duly organized and validly existing under the applicable laws of the jurisdiction of itsorganization; (ii) execution and delivery of this Agreement and all Contracts and other transactions contemplated hereunder and performanceof all obligations contemplated under this Agreement and all Contracts and other transactions contemplated hereunder have been dulyauthorized by Customer; and (iii) each person executing and delivering this Agreement and all Contracts and other transactions contemplatedhereunder on behalf of Customer performing the obligations contemplated under this Agreement and any Contract and other transactioncontemplated hereunder on behalf of Customer, has been duly authorized by Customer to do so.3.3. execution and delivery by Customer of this Agreement and all Contracts and other transactions contemplated hereunder, and performanceof all of Customer’s obligations contemplated under this Agreement and any Contract and other transaction contemplated hereunder, will notviolate any statute, rule, regulation, ordinance, charter, by-law or policy applicable to Customer.3.4. Customer has full beneficial ownership of Customer’s Account. Customer has not granted and will not grant a security interest in Customer’sAccount with GAIN Capital (other than the security interest granted to GAIN Capital hereunder) to any person without GAIN Capital’s priorwritten consent. Customer has full beneficial ownership of all collateral and will not grant any security interest in any Collateral to any person(other than the security interest granted to GAIN Capital hereunder) without GAIN Capital’s prior written consent.3.5. Customer will execute and deliver all documents, give all notices, make all filings and take such other actions as GAIN Capital, in its solediscretion, deems necessary or desirable to evidence or perfect any security interest in favor of GAIN Capital or to protect GAIN Capital’sinterests with respect to any Collateral.3.6. Customer has read and understands the provisions contained in this Agreement, including, without limitation, GAIN Capital’s Risk DisclosureStatements and Trading Policies and Procedures, Customer will review the Agreement each time it is amended. Customer will not affect anyOpening Transaction in Customer’s Account unless Customer understands GAIN Capital’s revised Agreement, and Customer agrees that ineffecting any Opening Transaction it is deemed to represent that it has read and understands GAIN Capital’s revised Agreement as in effectat the time of such Opening Transaction.3.7. Customer agrees to comply with all applicable law. You may not use your personal account with GAIN Capital for any illegal activity.3.8. All information provided by Customer to GAIN Capital, including information regarding Customer’s trading experience and investmentsophistication, is true, correct
27.04.2021 · 1 Last Updated 4/27/2021 New Account - Joint Thank you for choosing Ally Invest Forex LLC. (“Ally Invest Forex”). To make it easy and convenient to open your account, we have included all the
