Full Name*

Date of Birth*

Town of Birth*

Country of Birth*

Address*

National Insurance Number*

Bank Account Name*

Bank Account Number*

Bank Sort Code*

Proof of identify - Drivers Licence / Passport (upload at end of the form)*
Drivers LicencePassport

Average size investment*
£0-£5,000£5,001-£10,000£10,001-£20,000£20,001-£30,000£30,000-PLUS

Broker option investment*

PROFESSIONAL CLIENTS
(Will only be categorised as such once TPI have undertaken an adequate assessment of your expertise, experience and knowledge).
PLEASE CONFIRM IF YOU WISH TO BE TREATED AS A PROFESSIONAL CLIENT IN RESPECT OF ALL PRODUCTS AND SERVICES. (Should you wish to become a professional client in respect of any specific products or services, please notify your TPI point of contact as soon as possible)

YesNo

IF YOU WISH TO BE CLASSIFIED AS A PROFESSIONAL CLIENT, WE ARE OBLIGED TO INFORM YOU THAT AS A CONSEQUENCE OF THIS CLASSIFICATION, YOU MAY LOSE THE PROTECTIONS AFFORDED TO RETAIL CLIENTS UNDER THE RULES OF THE FINANCIAL CONDUCT AUTHORITY. YOU WILL BE PROVIDED WITH A SEPARATE NOTICE DETAILING THE PROTECTIONS THAT YOU MAY NOT BE ENTITLED TO AND YOU WILL BE REQUIRED TO SIGN AND RETURN AN ACKNOWLEDGEMENT OF THIS NOTICE IN ORDER TO CONFIRM YOUR ACCEPTANCE OF YOUR CLASSIFICATION AS A PROFESSIONAL CLIENT.
Are you a US Citizen, a US Resident, or a US Green Card Holder?

YesNo

If you are a US Citizen or a tax resident in the US, UK Crown Dependencies or Gibraltar please enter your TIN
Are you a US Citizen, a US Resident, or a US Green Card Holder?

POLITICAL EXPOSURE
Politically exposed persons are individuals who are or have been, at any time in the preceding year, entrusted with prominent public functions in the UK or a foreign country, e.g. Heads of States of Governments, senior politicians, senior government / judicial / military officers, senior executives of state-owned corporations, important political party officials, etc. In addition, a “Politically Exposed Person” includes the immediate family members of a Politically Exposed Person such as spouses, children, parents and other relatives. Politically Exposed Persons includes even close associates like advisors, secretaries and other associates of a Politically Exposed Person.

YesNo

Are you Politically Exposed Person (PEP)?
YesNo

Risk Warnings

Do you understand that all investments carry some risk; the value of shares and the income from them may go down as well as up and you may not get back the money you invested. It should not be assumed that the value of investments will always rise. Past performance is not a reliable indicator of future results and investment in shares carry the risk that all or some of the capital invested might be lost?

Do you appreciate that investors should carefully consider their own personal financial circumstances before dealing in the stock market, and should seek independent professional advice prior to investing?

Do you understand that there is an extra risk of losing money when shares are bought in smaller companies and investments that are not readily realisable, e.g. unquoted companies or smaller less liquid quoted companies, and you may have difficulty in selling them at a reasonable price and in some circumstances, it may be difficult to sell at any price?

Do you appreciate that high risk or “speculative” investments have wider spreads on price and are more illiquid and it may be difficult to sell the shares on a short-term basis?

Are you aware that investment in high risk or “speculative” shares such as AIM/Small Cap/ISDX carry an even greater risk that some or all of the capital invested might be lost and that you should ensure that you have the financial capacity to bear the risk and only invest money you can afford to lose?

Are you aware that investment in high risk or “speculative” shares such as AIM/Small Cap/ISDX carry an even greater risk that some or all of the capital invested might be lost and that you should ensure that you have the financial capacity to bear the risk and only invest money you can afford to lose?

Do you acknowledge that clients with fixed or low income and people approaching retirement age should carefully consider the risks as described above?

YOUR RESPONSIBILITIES (Execution Only Transactions)

Execution-only Transactions - As an execution-only client you are fully aware that all such transactions you decide to transact will be on an execution-only basis

No Advice Provided - As an execution-only client you confirm that you have not asked for or received advice in any capacity

Your Decision - You fully accept that as an execution-only client it is your decision alone to take out any investments

Can you confirm that you have understood your responsibilities and agree to them?

DECLARATIONS

I understand that in accordance with the EC Money Laundering Directive TPI is required to verify my/our identity. I/We accept that TPI will carry out an electronic check where possible to verify my/our identity as the account holder(s). I/we understand and accept that if TPI is unable to verify my/our identity through an electronic search, they will ask me/us to provide additional documents to verify my/our identity.

I understand that TPI will rely on the information provided in opening this account and represent that the information is correct and complete.

I understand that, for my/our own benefit and protection I/we should read TPIs Terms of Business carefully before signing this application form including, but not limited to, the Risk Warnings and Disclosures, the Order Execution Policy, Privacy Policy and the Commission and Charges. I/We understand that I/we will be bound by these Terms of Business and if I/we do not understand any point then I/we should ask for further information before signing and returning this application form. Tick if you agree (If you are a Non-EU/EEA Resident we will require documentary proof of your identity and address as described above. Both documents must be certified by a regulated or professional person such as a notary, lawyer, banker, financial intermediary or accountant. The full name, address, occupation, date and signature of the person who is certifying must be evident – if possible, an official stamp should be used)

RISK WARNING: The value of shares and the income from them may go down as well as up and you may not get back the money you invested. It should not be assumed that the value of investments will always rise. Past performance is not a reliable indicator of future results and any investment in shares carries the risk that all or some of the capital invested might be lost. Investors should carefully consider their own personal financial circumstances before dealing in the stock market and should seek independent professional advice prior to investing. Investors should ensure that they have the financial capacity to bear the risk and only invest money you can afford to lose
RISK WARNING – INVESTING IN SMALLER COMPANIES: Companies listed on the AIM market can be highly volatile and are considered high risk speculative investments. You should only consider investing in AIM shares if you have an appropriate degree of equity trading knowledge and experience. It may be difficult to sell the shares on a short-term basis without receiving a significantly lower price than you paid. This is the nature of illiquid investments and their large spread.

PHOTO ID & BANK STATEMENT REQUIREMENT

FOR ANTI-MONEY LAUNDERING PURPOSES, PLEASE ENSURE THAT YOU UPLOAD A COLOUR SCAN COPY OF YOUR VALID PASSPORT OR DRIVERS LICENCE AND A RECENT BANK STATEMENT WHICH IS LESS THAN 3 MONTHS OLD AND CLEARLY DISPLAYS YOUR ADDRESS.

Full list of acceptable Photo ID:

Valid Passport • Valid Driving Licence • EEA ID Card • Firearms or Shotgun Licence • National ID Card

Please ensure:
Whole document is within scan area • Information is legible • Photo is clear • Document has not has not expired

Please upload proof of identity

Please upload bank statement