Professional Documents
Culture Documents
客戶協議
客戶協議
客戶協議
1.
1.1 Forex Capital Markets Limited
1.2
(a)
(b)
(c)
(d)
1.3
(a)
(b)
(c)
(d)
(e)
(f)
1.4
2.
2.1
(a)
(b)
(c)
(d)
(e) 1.2
(f)
(g)
20061159
(h)
(i)
(j)
(k) 2000200185(1)
(l)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
1/39
4/19/13
(m)
(n)
(o)
(p)
(q)
(r)
(i)
(ii)
(iii)
(u)
(v)
(w)
(x)
(y)
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(z) 24.1(j)
(aa)
(bb) 15.2
(cc) 7.7
(dd)
(ee) 2007111
(ff)
(gg) 24.1(a)
(hh)
(ii)
(jj) (Handbook of Rules and Guidance of the United
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
2/39
4/19/13
(qq)
(rr) 26.1
(ss) 20.1
(tt)
(uu)
(vv)
(ww)
2004/39/EC4
(xx)
(yy) MT431.1
(zz) FXCM Nominees Limited04027520The Northern and Shell
Building, 10 Lower Thames Street, Eighth Floor, London, EC3R 6AD, United Kingdom
(aaa)
(bbb)
(ccc)
(ddd)
(fff)
(ggg) PAMM(percentage allocation management module)
(hhh)
(iii) 2007111
(jjj)
(kkk)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
3/39
4/19/13
(lll) 2007111
(mmm)
(nnn)
(ooo) 21.1
(ppp) 200020017680
(qqq)
(rrr)
(sss) 2000
(ttt)
(uuu)
(vvv)
(www)
2.2
2.3
2.4
2.5
2.6
3.
3.1 The Northern and Shell Building, 10 Lower Thames Street, Eighth Floor, London, EC3R 6AD, United
Kingdom25 The North Colonnade, Canary Wharf, London, E14 5HS,
United Kingdom (www.fsa.gov.uk)217689
3.2 1.3
(casereview@fxcm.com)
South Quay Plaza, 183 Marsh Wall, London, E14 9SR, United Kingdom (www.fos.org.uk)
3.3
50,000Seventh
Floor,
Lloyds
Chambers, Portsoken Street, London E1 8BN, United Kingdom (www.fscs.org.uk)
4.
4.1
(a)
(b)
(c)
4.2
(a)
(b)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
4/39
4/19/13
(c)
(d)
5.
5.1 20044212004/39/EC (MiFID)2000
5.2
5.3
5.4
6.
6.1
6.2
7.
7.1
(a)
(b)
(c)
(d)
(e)
(f)
7.2
(a)
(b)
7.3
(10)
7.4
7.5
(a)
(b)
(c)
(d)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
5/39
4/19/13
7.6
(a)
(b)
(c)
(d)
(e)
(f)
7.7
(a)
(b)
8.
8.1
8.2
(a)
(b)
(c)
(d)
8.3 ,
8.2(b)
8.4
9.
9.1
(a)
Forex Capital Markets LLC
Forex Capital Markets LLCForex
Capital Markets LLCForex Capital Markets LLC
Forex Capital Markets LLC
Forex Capital Markets LLCForex Capital Markets
LLCForex Capital Markets LLC
Forex Capital Markets LLC
Forex Capital Markets LLC
(b) B
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
6/39
4/19/13
(c) D
9.2 9.1
9.3
9.4
9.5
10.
10.1
10.2
(ComplianceEurope@fxcm.com)
(a)
(b)
10.3
(ComplianceEurope@fxcm.com)
(a) 10.3
(b)
11.
11.1
(a)
(b)
(c)
(d)
(e)
11.2
11.3
12.
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
7/39
4/19/13
12.1
12.2
12.3 12.112.2
(a)
(b)
(c)
12.4
12.5
12.6
13.
13.1
(a)
(b)
(c)
(d)
(e)
(f)
13.2
13.3
(a)
(b)
(c)
(d)
(e)
(f)
13.4
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
8/39
4/19/13
13.5
13.6
13.7
13.8
14.
14.1
(a)
(b)
(i)
(ii)
(c)
(d)
(e)
14.2
(a)
(b)
(c)
(d) 14.2
14.3
15.
15.1
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMENT
9/39
4/19/13
15.2
15.3
15.4
15.5
15.6
(a)
(b)
(c)
15.7
16.
16.1
16.2
17.
17.1
17.2
(ComplianceEurope@fxcm.com)
17.3
(a)
(b)
(c)
18.
18.1
18.2
18.3
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
10/39
4/19/13
18.4
18.5
18.6
18.7
18.8
19.
19.1
(a)
(b)
(c)
(d)
(e)
(f)
19
19.2
19.3
19.4
(a)
(b)
19.5
19.6
19.7 PAMMLAMM
PAMM
(a)
(b)
(c)
19.8
19.9
19.10
19.11
19.12
19.13
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
11/39
4/19/13
19.14
19.15
20.
20.1
20.2
20.3
20.4
20.5
20.3
20.6
20.7
(a)
(b)
20.8
20.9
20.10
20.11
21.
21.1
21.2
21.3
21.4
21.5
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
12/39
4/19/13
21.6
21.7 24.1
22.
22.1
22.2
22.3
22.4
22.5
22.6
22.7
23.
23.1
(a) 18
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
(m)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
13/39
4/19/13
23.2
(a)
(b) 23
(c)
(d)
(e)
24.
24.1
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
(m)
24.2
(a)
(b)
(c)
(d)
(e)
(f)
192593103
(g)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
14/39
4/19/13
(h)
(i)
(j)
(k)
24.3 24.2
24.4 24.2
25.
25.1
25.2
(a)
(b)
(c)
(d)
(e)
26.
26.1
26.2
(a)
(b) 26.2
(c)
26.3
27.
27.1
27.2
27.3
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
15/39
4/19/13
28.
28.1
28.2
(a)
(b)
(i)
(ii)
(iii)
(c)
28.3 28
(a)
(b) 30
28.4
28.5
29.
29.1 2000
29.2
(a)
(b)
(c)
(d)
(e)
(f)
29.3
30.
30.1
(a)
(b)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
16/39
4/19/13
(c)
30.2
30.3
30.3
(a) 25
(b)
(c)
(d)
(e)
(f)
(g)
(h)
31. MT4
31.1 Metatrader 431
Metatrader 4MT4MT4
31MT4MetaQuotes Software Corporation
MetaQuotes Software Corporation
31.2 MT4MT4
MT4MT4
(a) MT4MT4
MT4
MT4MT4MT4
MT4
(b) MT4
(c) MT4
MT4
MT4
(d) 31
MT4MT4
(e)
MT4MT4
31
32.
32.1 32
32.2 14
32.4
32.3
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
17/39
4/19/13
32.4
32
32.5
32.6 34
33.
33.1
10
33.2 33.1
10
33.3
34.
34.1
34.2 (5)
34.2
34.3
(a)
(b)
(c)
34.4
34.5
35.
35.1
35.2
35.335.8
35.1
35.3 24.2
35.4
35.5
35.6
35.7
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
18/39
4/19/13
35.8
36.
36.1
36.2 36.3(5)
36.3
(a)
(b)
(c)
(d)
(e)
(f)
(g)
36.4
36.5
36.6
(a)
(b)
(c)
(d)
36.7
36.8
36.9
37.
37.1
(a)
(b)
(i)
(ii)
(c)
(d)
(e)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
19/39
4/19/13
38.
38.1
38
(a)
(b)
(c)
(d)
(e)
38.4
38.3
38.5 10
38.6
39.
39.1 (10)
39.2
39.3 198520062000
(United Kingdom Listing Authoritys Listing Rules)
39.4
39.5
39.6
39.7
39.8
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
20/39
4/19/13
39.9
40.
40.1
40.2 (FOS)3.2
40.3 40
40.4
A
1.
1.1
A
1.2 A25
2.
2.1 A
2.2 A
(a)
(b) A5.4
3.
3.1 9
3.2
3.3
(a)
(b)
3.4
(a)
(b)
4.
4.1
4.2
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
21/39
4/19/13
5.
5.1
5.2
5.3
5.4
(a)
(b)
(c)
5.5 17:00
B
1.
1.1 B
B
1.2 B214
2.
2.1 B
2.2 B
(a) B8.4
(b)
(c) 2000200176808385
(d)
(e) B8.5
(f)
(g)
50%
(h)
3.
3.1
3.2
4.
4.1
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
22/39
4/19/13
5.
5.1 B5.3
5.2
5.3
(a) 9.1(a)
(b)
5.4
6.
6.1 9B5
6.2
6.3
(a)
(b)
6.4
(a)
(b)
7.
7.1
7.2
8.
8.1 B8
8.2 B8.3
8.3 B8.2
(a)
(b)
(c)
8.4
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
23/39
4/19/13
(a)
(b)
8.5 B8.4
(a)
(b)
(c)
50%
8.6
9.
9.1 B9
9.2
(5)
9.3
10.
10.1
B10.7
10.2
10.3
10.4
10.5
10.6
(a)
(b)
(c)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
24/39
4/19/13
10.7
(a) 17:00
(b)
10.8
11.
11.1 10.3
11.2
12.
12.1 13.213.5
(a)
(b)
(c) B1213.8
B12
13.
13.1
14.1(c)
14.2(d)
14.
14.1
14.2
C
1.
1.1 C
C
1.2 C29
2.
2.1 C
2.2 C
(a) B8.5
(b)
(c) C8.48.58.6
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
25/39
4/19/13
3.
3.1
3.2
3.3
4.
4.1 9
4.2
4.3
5.
5.1 9C5
5.2
5.3
(a)
(b)
5.4
(a)
(b)
6.
6.1
6.2
7.
7.1
(5)
7.2
8.
8.1
8.2
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
26/39
4/19/13
8.3
8.4 C8.7
8.5
(a)
(b)
(c)
8.6
8.7 17:00
8.8
9.
9.1
9.2 16.1
D
1.
1.1 D
D
1.2 D215
2.
2.1 D
2.2 D
(a) AGM
(b) EGM
(c)
(d)
(e)
(f)
3.
3.1
4.
4.1
5.
5.1 9.1(a)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
27/39
4/19/13
5.2
(a)
(b)
(c)
5.3
5.4
5.5
5.6
(g)
(h)
5.7
5.8
(a)
(b)
(c)
(d)
(e)
6.
6.1 13.213.5
(a)
(b)
(c) D6.113.8
D6.1
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
28/39
4/19/13
6.2 13.213.5
7.
7.1
8.
8.1
8.2
9.
9.1
9.2
9.3
9.4
(a)
(b)
9.5
9.6
9.7
9.8
9.9
10.
10.1 10.110.2
10.2
(3)
(a)
(b)
(c)
10.3
10.3
(3)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
29/39
4/19/13
(a)
(b)
10.4
10.5
11.
11.1 14.1(c)14.2(d)
12.
12.1
12.2
13.
13.1
13.2
13.3
13.4
13.5
13.6
13.7
13.8
13.9
14.
14.1
14.2
W8BENW8BEN
14.3 W8BEN
W8BENW8BEN
15.
15.1
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
30/39
4/19/13
15.2
E
1.
1.1 E
E
1.2 E210
2.
2.1 E
2.2 E
(a)
(b)
3.
3.1
3.2
3.3
4.
4.1
4.2
4.3
5.
5.1 13.213.5
(a)
(b)
(c) E513.8
E5
6.
6.1
6.2
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
31/39
4/19/13
6.3
7.
7.1
a.
8.
8.1
a.
9.
9.1 E9.2
9.2
9.3
(i)
(j)
9.4 E9.49.5
9.5
10.
10.1 14.1(c)14.2(d)
F
1.
1.1 FF
F
1.2 F213
2.
2.1 F
(a)
(b)
(c) 2005631992
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
32/39
4/19/13
1511998
(d)
(e)
(f) F6.1
(g)
3.
3.1
3.2
4.
4.1
4.2
4.3
4.4
4.5 (30)
4.6
5.
5.1
6.
6.1
6.2 (8)
(OEICs)
(UCITS)
6.3 (AIM)PLUS
6.4
6.5
(a)
(b)
6.6
6.7
6.8
6.9
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
33/39
4/19/13
6.10
6.11
7.
7.1
8.
8.1
9.
9.1
(a) 36912
(30)
(b)
9.2
10.
10.1 14.1(c)14.2(d)
11.
11.1
11.2
(20)
11.3
12.
12.1
12.2
12.3
13.
13.1
(a)
(b)
13.2
(a)
(b)
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
34/39
4/19/13
G
1.
1.1 G
G
1.2 G27
2.
2.1 G
2.2 G
(a)
(b) SIPP
(c) SIPPSIPP
(d) SIPPSIPP
3.
3.1 SIPPSIPP
4.
4.1 SIPP
4.2
4.3
5.
5.1
5.2
5.3 SIPP
SIPP
5.4 SIPPSIPP
6.
6.1 23
SIPP
7.
7.1 G
7.2 SIPP
7.3 SIPP
SIPP
H
1.
1.1 HH
H
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
35/39
4/19/13
1.2 H2H
2.
2.1 H
2.2 H
(c) -
(d)
(e)
(f)
3.
3.1
(a)
(b)
(c)
4.
4.1 H4.24.320
4.2
4.3 (ComplianceEurope@fxcm.com)
5.
5.1
(a)
(b)
(c)
(d)
5.2
5.3
6.
6.1
(ComplianceEurope@fxcm.com)
6.2
7.
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
36/39
4/19/13
7.1
20
1
1.
40
2.
2.1
2.2
(a) AMFAutorite des marches financiers
(b)
(c) L. 341-1 demarchage bancaire ou financier
(d) (registre du commerce et des societes)
509 690 9054 avenue Hoche, 75008 Paris
4.
4.1
4.2
5.
5.1
5.3
Forex Capital Markets LLC
L. 533-18 I314-75 IV
5.5
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
37/39
4/19/13
5.6 5.6
(a)
(b) 314-62 5314-8610
314-86
(c)
6.
6.1
6.2 5
L. 533-11
R. 533-9314-1
6.3
(a)
(b)
6.4
(a) 5L. 533-16D. 53311314-4
(b) 22
L. 533-13 II III314-48
(c) 2.1(cc) 2.1(ggg) 2.1(jjj)(i)(ii)
L.
533-16D.
533-11314-4
7.
7.1 L. 511-33
7.2
7.3
7.4 38
8.
8.1 9.2L. 341-1
D. 341-1
(a) L. 341-12R. 341-16
(b) L. 341-16 14
L. 341-16 III
(c)
L. 341-12R. 341-16
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
38/39
4/19/13
8.2 L. 341-2
(a)
(b)
9.2(a)9.2(b)L. 341-2
9.19.1
9.
34
https://secure4.fxcorporate.com/tr/agreement/print/?code0=DOC_AGREEMENT_CFD&title0=DOC_AGREEMENT_CFD&windowTitle=DOC_AGREEMEN
39/39