Introducing Broker Questionnaire

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1 K2, First Floor, Forni Complex, Valletta Waterfront Floriana, FRN 1913 Malta (Europe) P: (+356) F: (+356) Introducing Broker Questionnaire Section 1: General Information Type of IB Application: Guaranteed IB Independent IB Foreign IB Name of IB: Main Address: Telephone: Fax: Name of Contact: Tax ID of Firm (US or Foreign): State of Incorporation: Firm Formation Date: Business Type (Check One): Sole Proprietor Partnership Limited Liability Corp. Corporation Principals: **If there are more than 3 principals, please attach a separate list. Number of Associated Persons ( AP ): Number of Branch Offices: Is IB a member of any financial exchanges? Yes No If yes, please list: NFA Registrations: Securities Registrations: 04/12/2011 Introducing Broker Questionnaire Page 1 of 5

2 List Two Business References (Name, Address & Phone Number): List a Bank Reference (Name, Address & Phone Number): List your Attorney (Name, Address & Phone Number): Section 2: Business Information Current Liquidity Provider Relationships: Past Clearing Relationships: Total Number of Accounts: Average Account Size: Total Customer Funds: Average Round Turns traded per month: Average ticket size in standard lots: Which other electronic order entry platforms do you use? Please list all countries in which your customers are located: For each type of account listed, indicate the percentage that type of account represents of the IB s overall customer account business: Type Individual Institutional Managed Percentage Does the IB charge any fees? Yes No Has the IB received any customer complaints within the past 6 months? Yes No 04/12/2011 Introducing Broker Questionnaire Page 2 of 5

3 Has the IB or any of its principals, traders or sales persons ever been the subject of any disciplinary action or proceeding by the CFTC, NFA or other regulatory organization or entity? Yes No Date of your last NFA audit, if any. Please attach a copy of the NFA audit findings report. Section 3: Sales / Marketing / Promotion Briefly describe how you generate or solicit new business: Does the IB currently utilize any means of marketing or promotional material: Yes No If yes, please check all types of marketing means currently being utilized by IB: Newspaper/Magazine Seminars Television Internet Radio Other (Please specify) Direct Mail Please attach copies of all promotional material currently being used, including all pages from any Internet website. If IB has a website, please list the website address: Does the IB or any of its employees or agents recommend or solicit on behalf of any other liquidity provider or system vendor? Yes No If yes, please attach a list of all such liquidity providers and system vendors. Does the IB or any of its employees or agent s trade customer accounts pursuant to third party trading systems under a letter of direction? Yes No *If yes, please attach a list of all such Trading Systems. List any other information that you feel is necessary: Completed by Date Signature 04/12/2011 Introducing Broker Questionnaire Page 3 of 5

4 FXDD Sales Person: Date Recieved: TO BE COMPLETED BY FXDD FXDD MALTA LTD Security Deposit Requested: FXDD BACKGROUND CHECK AUTHORIZATION To be completed by each principal Applicant: CRD/NFA No: SSN (if any): Date of Birth: Address: City: State: Zip: Telephone: Applicant, by his/her signature, authorizes FXDD MALTA LTD to engage in a background check, including but not necessarily limited to, obtaining and reviewing Applicant s Central Registration Depository ( CRD ) and/or BASIC files relating to National Association of Securities Dealers ( NASD ) and National Futures Association ( NFA ) registration. Signature Date 04/12/2011 Introducing Broker Questionnaire Page 4 of 5

5 Institutional Sales Questionnaire Name of IB: 1. How did you come into contact with this entity? Did you have an existing relationship with this entity? 2. Have you met with the principals? Have you visited this entity at its physical location? 3. How many years has the firm been active in the forex business? 4. Describe the firm s business in general terms (i.e. what is the firm s client base, what type of client do they service, are they full service brokers, etc.) 5. What are their reasons for changing liquidity providers? 6. Are you personally aware of any derogatory information on this entity? If so, please explain. Please Fax a signed copy to: (+356) , or sign and scan a copy to sales@fxdd.com.mt 04/12/2011 Introducing Broker Questionnaire Page 5 of 5

INTERNAL AUDIT. Chapter 16 9 KATHMANDU, NEPAL, THE HIMALAYA S IN THE BACKGROUND

INTERNAL AUDIT. Chapter 16 9 KATHMANDU, NEPAL, THE HIMALAYA S IN THE BACKGROUND INTERNAL AUDIT Chapter 16 9 KATHMANDU, NEPAL, THE HIMALAYA S IN THE BACKGROUND R M. S T A R K & C O., I N C Chapter 16 INTERNAL AUDITS NASD Rule 3010(c)(1) requires each member to inspect, at least annually,