Legal
Client documentation
These are the executed documents, as signed. They are published here rather than summarised, so that what a client reads and what a client agrees to are the same text.
Customer Agreement
The contract between the client and the firm. Covers account opening, orders and execution, client money, margin and close-out, fees, termination and dispute resolution.
PDFRisk Disclosure
The risks of trading derivative instruments on margin, including the risk of losing more than the amount deposited.
PDFFAIS Disclosures
The statutory disclosure required of an authorised financial services provider: licence particulars, officers, product categories, remuneration and complaints.
PDFPrivacy Policy
What personal information the firm collects, why it holds it, who it shares it with, and the rights of a data subject under POPIA and the GDPR.
PDFConflicts of Interest Policy
How the firm identifies, avoids, manages and discloses conflicts of interest, and the consequences for a representative who does not.
PDFComplaints Management Policy
How to complain, what the firm does with a complaint, the time limits that apply, and how to escalate to the FAIS Ombud.
PDFAML Policy
Customer due diligence, sanctions and high-risk jurisdiction screening, record keeping, and the reporting duties the firm and its officers carry.
PDFSoftware Terms of Use and Access License
The terms on which the trading platform and related software are made available, and the limits of that licence.
PDFExpert Advisors Policy
The terms that apply when a client runs an automated strategy, and what the firm does and does not accept responsibility for.
PDFReferral Agents Disclaimer
What a referral agent is permitted to do, and what a client should not rely on a referral agent for.
PDFIndividual Application
The account opening form for an individual applicant.
PDFFunds Redemption Form
The form used to request a withdrawal from an account.
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