1. Provide all names of persons authorised to make introductions
2. What jurisdictions do you operate in?
3. Please describe the typical clients & business line that you are exposed to
4. What is your regulatory status in those jurisdictions and what licenses do you have?
5. What is your regulatory status in those jurisdictions and what licenses do you have?
6. Please describe how you became an introductory broker
7. How long have you/your company been performing capital introductory services?
8. Please attach CV's and passports of these individuals
9. Briefly describe how you generate or solicit new business
10. Typically, who are your clients & what products do they trade?
11. What volume of Business do you carry out?
12. Are any contractual arrangements with your clients on an exclusive basis?
13. What checks do you perform on a prospective client?
14. With regards to the intended client to be introduced to Kimura ("the Client"), please provide background to your relationship.
15. Do you have a direct contractual relationship with the Client?
16. Do you receive any payments for any services from the Client? How is this paid? Are you paid on a fixed fee or commission based agreement?
17. Please define your role in specifically dealing with the introduced client going forward, i.e.:
By signing this document, I am hereby certifying and declaring that all of the information provided above is true, accurate, complete and not misleading by error, omission or otherwise. I confirm that I am a duly authorised representative of the Company and I have the authority to sign on behalf of the Company. We undertake to promptly inform Kimura Capital LLP, as permitted by law, of any civil or criminal penalties imposed on the Company that relate to a failing of our AML/CTF responsibilities and obligations. Additionally, we undertake to promptly inform Kimura Capital LLP upon the identification of any blocked persons, individuals or entities, or any beneficial owners relating to any business placed with Kimura. Finally, we undertake to inform Kimura of any other material changes to the information provided within this document. We expressly recognise the right of Kimura to terminate any business or contractual relationship maintained with the Company in view of a Sanction breach or failure to provide information or documentation that may be required by regulatory or legal obligation.
Your full name
Your email
Position
Your company
Signature