EXCHANGE TRADER APPLICATION Member Firm: .............................................................................................................
Participant ID………….......................................................................
Name of the Exchange Trader 1:………………………………………………………………………………….Date of birth…........................................................ P0F
P
Exchange Trader´s office Phone number (including country code):………………………………………………………….……………………………………… Exchange Trader´s E-mail:………………………………………………………………………………………………..........................………………………………… Date of completed INET/Genium INET examination:…………………………………………………………………………………………………………………….. The authorization shall apply to:
Equity related Fixed income related (Personal trader) Financial derivatives related Fixed income related (Back office) Commodities derivatives related (Only for members enabled for trading commodities through their financial derivatives membership) U
Please indicate on which Exchange(s) the Exchange Trader in question will be trading: (valid only for Equity and Fixed Income) Nasdaq Stockholm Nasdaq Riga Nasdaq Iceland hf.
Nasdaq Copenhagen Nasdaq Vilnius
Nasdaq Helsinki Nasdaq Tallinn
Members on price list 2 need to specify the price list selection for the new account (not applicable if the member is on price list 1). If the boxes are left blank the default selection is 2A. Nasdaq Stockholm:
Nasdaq Helsinki:
Price list 2A Price list 2B
Nasdaq Copenhagen:
Price list 2A Price list 2B
Price list 2A Price list 2B
The above choices will not generate corresponding technical configurations of market access for the user. In INET and Genium INET, market permissions are inherited from the participant for whom the Exchange Trader is registered. Trading activity will be followed up through regular audits. Please note that if the Exchange Trader in question wishes to start trading on additional Exchange(s) as compared to the above indicated Exchange(s), the member shall send a new Exchange Trader Application to Member Services with regard to registering the Exchange Trader for the relevant Exchange(s). In accordance with the Nasdaq Nordic Member Rules 4.4.3 and the Rules and Regulations of Nasdaq Derivatives Markets 2.2.10 (or corresponding local rulebooks and clauses), the member is responsible for ensuring that the Exchange Trader possesses the following requirements: • • • •
At least 6 months experience in securities trading; Documented knowledge regarding the Exchange(s)’ trading rules and other legislation governing trading; Documented knowledge of economics, financial markets, and financial analysis; Has taken and passed a test organized by the Exchange(s) in trading in the Trading System and/or has read and understood the Fixed Income Market Model document.
It is hereby confirmed that the above-mentioned person fulfils the requirements stated above and that the person possesses the qualifications and experience, as well as is deemed suitable, to be registered as an Exchange Trader in accordance with Nasdaq Nordic Member Rules and the Rules and Regulations of Nasdaq Derivatives Markets. ……………………………………………….… Date ……………………………………………….…………………………….............. Signature (Compliance Officer / Head of Trading)
…………………..………………………………………………………. Signature (Trader)
……………………………………………………………………………………….. Name in print Contact person for the application:………………………………………..………
Contact E-mail:………………………………………….. ……………..
Please send the completed form to
[email protected] 2TU
U2T
Personal data which the persons submit in connection herewith, is dealt with the Exchanges within Nasdaq Nordic (“Nasdaq”) for the purposes of the preparation and administration of the mandate. Personal data will only be used for administrative reasons and to inform the persons about Nasdaq’s activities. If a person wishes to receive information on the personal data relating to him or her which is held by Nasdaq, the person can request such information from Nasdaq by writing to the following address: Nasdaq, SE-105 78 Stockholm, Sweden. If a person wishes to correct inaccurate or misleading information, he/she can contact Nasdaq on the above address. For the purpose of this application, “Exchange Trader” in respect of trading on the Derivatives Markets shall have the same meaning as Broker in the Rules and Regulations of Nasdaq Derivatives Markets. Traders belonging to another legal entity than the member also need to send in the Confirmation of Nasdaq Brokers form. 1