CAUFEX Membership Application Form

1. Applying Electronically. If you decide to apply to establish a Trading Account with JSC CAUFEX, you agree to receive a Trader Account Letter, Risk Disclosure, Transaction Disclosure, and Trader Agreement.

2. Electronic Communications. Trader Account Letter, Risk Disclosure, Transaction Disclosure, Trader Agreement, and any notices, instructions, agreements, or any other communications regarding Transactions and your Account (all of which are referred to herein as the "Communications") may be presented, delivered, stored, retrieved, and transmitted electronically.

3. Executing Transactions Electronically. The Transactions, Agreements, Records and Signatures can be executed in electronic form.

4. Consenting to Do Business Electronically. The decision whether to do business electronically is yours, and you should consider whether you have the necessary hardware and software capabilities. Your consent to do business electronically, and our agreement to do so, only applies to the establishment and maintenance of your Account and the execution of Transactions in connection with your Account.

5. Withdrawal of Consent. You have the right to withdraw your consent to doing business electronically at any time. However, if you withdraw such consent, any Communications or Transactions between us during the period after your consent to doing business electronically, and before your withdrawal of such consent, will be valid and binding on all parties.

6. Changes to Your Contact Information. You should keep us informed of any change in your electronic or mailing address or other contact information.

7. Printing. You may print this document by selecting Print from the File menu.

8. Your Ability to Access Communications. When you sign this document below, you acknowledge that you have the capability to access the Communications.

9. Consent to Electronic Communications. When you sign this document below, you consent to having all Communications provided or made available to you in electronic form.

10.Consent to Executing Transactions Electronically. When you sign this document below, you consent to executing the Transactions, Agreements, Records and Signatures electronically.

* I have read and understood the foregoing Consent to Conduct Business Electronically.

The undersigned agrees to be bound by all of the terms and conditions hereof. *

* When you select the "I Agree" button below, you consent to executing the Agreement and Transactions by electronic record and/or electronic signature. *

Authorized representative / Applicant

First NameMiddle NameLast Name

Signature of Authorized representative / Applicant*

I agree that my electronic signature is the legally binding equivalent to my handwritten signature. By my electronic signature, I acknowledge that I have carefully reviewed this Terms and Conditions and understand its contents.

Signature

Individual Member (IM) is an individual or organization and a basic member of the Exchange. Individual Member has the authorization to buy or sell financial instruments on CAUFEX using his/her own account on his/her own behalf only
Associated Person (AP) is an individual or organization who solicits orders, Clients or Client funds (or who supervises persons so engaged) on behalf of a Prime Clearing Member, Clearing Member, EPO, Non-clearing Broker. An AP is, in effect, anyone who is a salesperson or who supervises other salespersons for any of these categories of Members at CAUFEX
Currency Corporate Trader (CCT) is an individual or organization and a basic NON- CLEARING member of the Exchange. Currency Corporate Trader has the authorization to buy or sell financial instruments on CAUFEX using his/her account on his/her own behalf only. CCT has access to informational products available at CAUFEX (CAUFEX Pro Charts, News, Radio, etc.)
Exchange Trading Advisor (ETA) is an individual or organization which, for compensation or profit, advises others as to the value of or the advisability of buying or selling contracts/spot units on CAUFEX
Non-Clearing Broker (NCB) is an individual or organization, who has a direct relationship with Institutional and individual Members/ Clients and solicits or accepts orders to buy or sell futures contracts, options on futures, retail FOREX contracts or swaps but does not accept money or other assets from customers; trading activities performed by introduced members are supported by CAUFEX Prime Clearing (Liquidity) Members via Electronic Liquidity PITs and other software systems
Exchange Pool Operator (EPO) is an individual or organization which operates or solicits funds for an Exchange pool; that is, an Exchange Member in which funds are contributed by a number of persons are combined for the purpose of trading contracts/spot units on the Exchange or to invest in another Exchange pool. EPO must clear transactions and accept funds through the Prime Clearing Member or the Clearing Member at JSC CAUFEX.
Clearing Member (CM) solicits or accepts orders to buy or sell on JSC CAUFEX. Clearing Member is permitted to accept money or other assets from Clients to support such orders. Clearing member who is not a Market Maker has full access to informational products available at JSC CAUFEX, is supported by advanced JSC CAUFEX technology except real-time risk management system.
Clearing Broker (CB) is a qualified market participant who is authorized to buy or sell for another person using his own account. Clearing Broker can accept money or other assets from the client, but must clear transactions and accept funds through the Prime Clearing Member or the Clearing Member at JSC CAUFEX.
Prime Clearing Member (PCM) is a Market Maker at JSC CAUFEX. Prime Clearing Member solicits or accepts orders to buy or sell on JSC CAUFEX. Prime Clearing Member is permitted to accept money or other assets from Clients to support such orders. Prime Clearing Member has full access to informational products available at JSC CAUFEX, is

Please select the Membership type*

Signature of Authorized representative / Applicant*

I Agree to the type of the Membership I have chosen

Signature

JSC CAUFEX (CAUFEX) has the responsibility to regulators for compliance with KYC procedures in regards to anti-money laundering (AML) regulations globally. For that reason, Members and Traders are required to submit corporate and individual proofs of identity. CAUFEX will not activate an account until satisfactory proof of identity is provided by potential membership and trading account holders, as determined by CAUFEX

Explanatory Note for Membership Application

The following supporting documentation must accompany completed membership Application form and uploaded or send by e-mail to business@caufex.com , to assign membership and open the trading account, prior to being activated:

Proof of Identification:

Individual

Name
Date and place of birth
Residence address and mailing address if different (PO Box alone will not be acceptable)
Official issued identification number (e.g., passport number, social security number, employee identification number or individual taxpayer identification number)
Copy of two valid photo identification of the principal(s) involved with the account (e.g., drivers license, armed forces identification, passport, alien identification card)
Proof of Address (Statement from Bank, Utility Bill (not a mobile phone bill - issued within the last 3 months), Local Authority Tax Bill (issued within 6 months or valid for current year))

Institution

Copy of Memorandum and Articles of Association;
Copy of Certificate of Incorporation;
Copy of Certificate of Good Standing;
Copy of the Operating License issued by the corresponding Authority of the country of incorporation (if applicable) or certified statement of authorized representative of the company that the license is not required by the corresponding governing Authority;
Certified list of the directors, officers and shareholders, listing all of the directors, officers and shareholders names. This list should be certified under the corporate seal of the Company;
Proof of Registered Address and/ or Correspondence Address (recent original utility bill or bank statement displaying the Company’s Name and Registered Address);
Verification of the names and addresses of the directors, officers, shareholders and authorized signatories by provision of:

a certified copy of Proof of Identification: JSC CAUFEX accepts valid passports, valid driver´s licenses or other valid government issued photographic identification (showing photograph, personal details, signature, date and place of issue and serial number), and;
an original or certified copy of a separate document such as a recent (last 3 months) utility bill (gas, water, electricity, or fixed phone bill), bank statement, or banker’s or lawyer´s confirmation that verifies the applicant´s address.
the date of birth of the individual should also be supplied if it is not evident from the documents described above; and

Please answer all the questions stated in the Membership Application. If any question is not applicable, please state "N/A".

Upon acceptance of the Membership Application by CAUFEX membership and compliance departments, the Applicant will be further instructed before starting transactional activity.

* I have read and understood the foregoing Consent to KYC Guidelines and Explanatory Note for Membership Application. The undersigned agrees to be bound by all of the terms and conditions hereof.

Signature of Authorized representative / Applicant*

I agree that my electronic signature is the legally binding equivalent to my handwritten signature.

Signature

Applicant (Individual Applicant)

First NameMiddle NameLast Name

Date of Birth*

Passport or ID#*

Citezenship*

Phone Number

Area CodePhone Number

E-mail*

Address*

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry

Authorized Representative (Corporate Applicant)

First NameMiddle NameLast Name

Company Name

Title

Citizenship

Passport / ID #

Date of Birth

Address

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry

Phone Number (Cell/Mob)

Area CodePhone Number

E-mail

Phone Number (Business)

Area CodePhone Number

Company Registered Number / Tax ID #

Country of Incorporation

Date of Incorporation

Company URL

Business Address

Street Address

Street Address Line 2

CityState / Province

Postal / Zip CodeCountry

Signature of Authorized representative / Applicant*

I declare that the information contained in this Account Opening Documentation is true and accurate and certify that the signature(s) is/are genuine and that any photocopies, including copies of the verification of identity documents forwarded are identical with the corresponding originals.

Signature

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Membership Application Form.

Consent to Conduct Business Electronically

MEMBERSHIP APPLICATION

KYC and AML

Applicant’s Information

Applicant’s Information

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