Partnership Accounts - AGN Futures

35 Pages·2010·0.81 MB·English

Futures Account Application
Partnership Accounts
Four High Ridge Park 141 West Jackson Boulevard, Suite 3900
Stamford, Connecticut 06905 Chicago, Illinois 60604
Telephone: [phone] Telephone: [phone]
Fax: [phone] Fax: [phone]
Toll Free: 800.440.6898
www.visionfinancialmarkets.com
Vision Account Application
Anti-Money Laundering Policy
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT
Vision Financial Markets LLC (“Vision”) recognizes that the USA PATRIOT Act, as amended from time to time (the
“Act”), imposes important obligations on all financial firms for the detection, deterrence and reporting of money
laundering activities. It has established the following policies to ensure compliance with all laws and regulations
regarding money laundering.
Prior to the opening of any new account, Vision will document the identity, nature of business, income, source of
funds, and investment objectives of each prospective customer. Therefore, we will request your driver’s license,
passport or other identifying documents.
On an on-going basis, Vision will review account activity for evidence of transactions that may be indicative of
money laundering activities. Every officer, employee, and associated person of Vision is responsible for assisting
in the firm’s efforts to uncover and report any activity that might constitute, or otherwise indicate or raise suspicions
of, money laundering. To this end, Vision provides continuing education and training of all such persons.
Vision will comply with all trade and economic sanctions imposed by the U.S. Office of Foreign Assets Control
against targeted foreign countries and shall cooperate fully with government agencies, self-regulatory organiza-
tions and law enforcement officials. As provided by the Act, Vision may supply information about former, current or
prospective customers to such bodies.
Partnership Accounts Rev. January 4, 2011
Privacy Policy
WHAT VISION DOES WITH YOUR PERSONAL INFORMATION
Vision has always been committed to maintaining the confidentiality, integrity and security of personal information
about our current and prospective customers. We want you to understand how we collect and share that information.
We understand that privacy is an important issue for you, and we also want you to understand how we protect your
privacy when we collect personal information about you.
HOW WE OBTAIN PERSONAL INFORMATION
In providing you with financial products and services, or information about such products and services, Vision may
collect public and non-public personal information about you from the following sources:
• your account agreements and other related documents and forms (for example, name, address, social security
number, birth date and financial information)
• transactions with Vision (for example, trading with us, history of meeting margin calls, and your use of various
products and services that we provide)
• outside entities, including credit reporting agencies, to obtain information (such as verification of identity, credit-
worthiness, credit history, purchasing and investment preferences).
HOW WE PROTECT YOUR PERSONAL INFORMATION
It is our policy not to release your personal information except as permitted by law, with your consent, as requested
by you or set forth below. Within Vision, we restrict access to your personal information to those who require it to
provide products or services to you.
To protect your personal information from unauthorized access and use, we use security measures that comply
with federal law. These measures include computer safeguards and secured files and buildings.
REASONS WE CAN SHARE YOUR PERSONAL INFORMATION
Within Vision, we may share personal information about you for several reasons, including:
• for our everyday business purposes, including to process your transactions and maintain your account
• to assist us in providing services
• to help design and improve products
• for marketing purposes to offer products and services that may be of interest to you.
In the course of doing business we may share information with third parties, which could include personal
information about you. Personal information may be shared with others for the following reasons:
• in response to a subpoena
• to prevent fraud
• to comply with inquiries from government agencies or other regulators
• for other legal purposes.
We also may share your personal information with:
• others that service your accounts, or that perform services on our behalf
• others with whom we may have joint marketing agreements, such as financial services companies
• non-affiliated financial services providers, such as clearing firms, introducing brokers, broker/dealers, futures
commission merchants, investment companies, investment advisers, commodity trading advisers and commodity
pool operators
• non-affiliates to market to you including publishers and other direct marketers of products related to the financial
services industry, such as newsletter or book publishers and software or trading system developers
• other non-affiliated third parties with your consent, at your request or as permitted or required by law.
OPT OUT NOTICE
If you prefer that Vision not disclose non-public personal information about you to non-affiliated third parties,
you may opt out of those disclosures. That is, you may direct Vision not to make those disclosures, other than
disclosures permitted or required by law. Any customer who decides to opt out of these disclosures to non-affiliated
third parties must notify us by sending an e-mail to [email protected].
Vision regularly provides notices to our customers regarding our privacy policy. Vision reserves the right to change
this policy, and to apply changes to information previously collected, as permitted by law. If there is any change to
this policy, Vision will provide our customers with a revised privacy notice. To obtain further information, please call
our Customer Service Team at 1.877.836.3949.
When this Policy refers to Vision, it is referring to Vision Financial Markets LLC and its affiliates Vision Brokerage
Services, LLC, Vision Investment Advisors, LLC and Whitehall Investment Management, Inc.
Partnership Accounts
Vision Account Application
Table of Contents
Page
CFTC Risk Disclosure Statement for Futures and Options - Rules 1.55(c)
and 190.10(c) (Form 1) 1-3
Partnership Account Information - General Information (Form 2) 4-6
W-9 Tax Form 7
W-8BEN Tax Form 8
Consent to Electronic Delivery of Vision’s Confirmations
and Statements (Form 3) 9
Customer Agreement (Form 4) 10-15
Introduced Accounts Agreement (Form 5) 16
Additional Risk Disclosure (Form 6) 17
Online Services Agreement (Form 7) 18-20
Arbitration Agreement (Form 8) 21
Acknowledgement of Risk Disclosure Statement for
Security Futures Products (Form 9) 22
Account Transfer Form (Form 10) 23
Hedge Account Representation Letter (Form 11) 24
Partnership Account Application (Form 12) 25
Limited Partnership or General Partnership Authorization
and Certificate (Form 13) 26
Notice to Foreign Brokers and Traders (Form 14) 27
Commercial Category Code (Form 15) 28
Personal Guarantee Agreement (Form 16) 29-30
Additional Information and Instructions 31
Partnership Accounts
Vision FORM:1
Financial Markets CFTC Risk Disclosure Statement for Futures and Options - Rules 1.55(c) and 190.10(c)
THIS BRIEF STATEMENT DOES NOT DISCLOSE ALL OF THE RISKS AND OTHER SIGNIFICANT ASPECTS OF TRADING IN
FUTURES AND OPTIONS. IN LIGHT OF THE RISKS, YOU SHOULD UNDERTAKE SUCH TRANSACTIONS ONLY IF YOU UNDER-
STAND THE NATURE OF THE CONTRACTS (AND CONTRACTUAL RELATIONSHIPS) INTO WHICH YOU ARE ENTERING AND
THE EXTENT OF YOUR EXPOSURE TO RISK. TRADING IN FUTURES AND OPTIONS IS NOT SUITABLE FOR MANY MEMBERS
OF THE PUBLIC. YOU SHOULD CAREFULLY CONSIDER WHETHER TRADING IS APPROPRIATE FOR YOU IN LIGHT OF YOUR
EXPERIENCE, OBJECTIVES, FINANCIAL RESOURCES AND OTHER RELEVANT CIRCUMSTANCES.
Futures
(1) EFFECT OF “LEVERAGE” OR “GEARING”
TRANSACTIONS IN FUTURES CARRY A HIGH DEGREE OF RISK. THE AMOUNT OF INITIAL MARGIN IS SMALL RELATIVE
TO THE VALUE OF THE FUTURES CONTRACT SO THAT TRANSACTIONS ARE “LEVERAGED” OR “GEARED.” A RELATIVELY
SMALL MARKET MOVEMENT WILL HAVE A PROPORTIONATELY LARGER IMPACT ON THE FUNDS YOU HAVE DEPOSITED
OR WILL HAVE TO DEPOSIT: THIS MAY WORK AGAINST YOU AS WELL AS FOR YOU. YOU MAY SUSTAIN A TOTAL LOSS OF
INITIAL MARGIN FUNDS AND ANY ADDITIONAL FUNDS DEPOSITED WITH THE FIRM TO MAINTAIN YOUR POSITION. IF THE
MARKET MOVES AGAINST YOUR POSITION OR MARGIN LEVELS ARE INCREASED, YOU MAY BE CALLED UPON TO PAY
SUBSTANTIAL ADDITIONAL FUNDS ON SHORT NOTICE TO MAINTAIN YOUR POSITION. IF YOU FAIL TO COMPLY WITH A
REQUEST FOR ADDITIONAL FUNDS WITHIN THE TIME PRESCRIBED, YOUR POSITION MAY BE LIQUIDATED AT A LOSS AND
YOU WILL BE LIABLE FOR ANY RESULTING DEFICIT.
(2) RISK-REDUCING ORDERS OR STRATEGIES
THE PLACING OF CERTAIN ORDERS (e.g., “STOP-LOSS” ORDERS, WHERE PERMITTED UNDER LOCAL LAW, OR “STOP-
LIMIT” ORDERS) WHICH ARE INTENDED TO LIMIT LOSSES TO CERTAIN AMOUNTS MAY NOT BE EFFECTIVE BECAUSE
MARKET CONDITIONS MAY MAKE IT IMPOSSIBLE TO EXECUTE SUCH ORDERS. STRATEGIES USING COMBINATIONS OF
POSITIONS, SUCH AS “SPREAD” AND “STRADDLE” POSITIONS, MAY BE AS RISKY AS TAKING SIMPLE “LONG” OR “SHORT”
POSITIONS.
Options
(3) VARIABLE DEGREE OF RISK
TRANSACTIONS IN OPTIONS CARRY A HIGH DEGREE OF RISK. PURCHASERS AND SELLERS OF OPTIONS SHOULD FA-
MILIARIZE THEMSELVES WITH THE TYPE OF OPTION (i.e. ,PUT OR CALL) WHICH THEY CONTEMPLATE TRADING AND THE
ASSOCIATED RISKS. YOU SHOULD CALCULATE THE EXTENT TO WHICH THE VALUE OF THE OPTIONS MUST INCREASE
FOR YOUR POSITION TO BECOME PROFITABLE, TAKING INTO ACCOUNT THE PREMIUM AND ALL TRANSACTION COSTS.
THE PURCHASER OF OPTIONS MAY OFFSET OR EXERCISE THE OPTIONS OR ALLOW THE OPTIONS TO EXPIRE. THE
EXERCISE OF AN OPTION RESULTS EITHER IN A CASH SETTLEMENT OR IN THE PURCHASER ACQUIRING OR DELIV-
ERING THE UNDERLYING INTEREST. IF THE OPTION IS ON A FUTURE, THE PURCHASER WILL ACQUIRE A FUTURES
POSITION WITH ASSOCIATED LIABILITIES FOR MARGIN (SEE THE SECTION ON FUTURES ABOVE). IF THE PURCHASED
OPTIONS EXPIRE WORTHLESS, YOU WILL SUFFER A TOTAL LOSS OF YOUR INVESTMENT WHICH WILL CONSIST OF THE
OPTION PREMIUM PLUS TRANSACTION COSTS. IF YOU ARE CONTEMPLATING PURCHASING DEEP-OUT-OF-THE-MONEY
OPTIONS, YOU SHOULD BE AWARE THAT THE CHANCE OF SUCH OPTIONS BECOMING PROFITABLE ORDINARILY IS RE-
MOTE.
SELLING (”WRITING” OR “GRANTING”) AN OPTION GENERALLY ENTAILS CONSIDERABLY GREATER RISK THAN PURCHAS-
ING OPTIONS. ALTHOUGH THE PREMIUM RECEIVED BY THE SELLER IS FIXED, THE SELLER MAY SUSTAIN A LOSS WELL
IN EXCESS OF THAT AMOUNT. THE SELLER WILL BE LIABLE FOR ADDITIONAL MARGIN TO MAINTAIN THE POSITION IF THE
MARKET MOVES UNFAVORABLY. THE SELLER WILL ALSO BE EXPOSED TO THE RISK OF THE PURCHASER EXERCISING
THE OPTION AND THE SELLER WILL BE OBLIGATED TO EITHER SETTLE THE OPTION IN CASH OR TO ACQUIRE OR DELIV-
ER THE UNDERLYING INTEREST. IF THE OPTION IS ON A FUTURE, THE SELLER WILL ACQUIRE A POSITION IN A FUTURE
WITH ASSOCIATED LIABILITIES FOR MARGIN (SEE THE SECTION ON FUTURES ABOVE). IF THE OPTION IS “COVERED” BY
THE SELLER HOLDING A CORRESPONDING POSITION IN THE UNDERLYING INTEREST OR A FUTURE OR ANOTHER OP-
TION, THE RISK MAY BE REDUCED. IF THE OPTION IS NOT COVERED, THE RISK OF LOSS CAN BE UNLIMITED.
CERTAIN EXCHANGES IN SOME JURISDICTIONS PERMIT DEFERRED PAYMENT OF THE OPTION PREMIUM, EXPOSING
THE PURCHASER TO LIABILITY FOR MARGIN PAYMENTS NOT EXCEEDING THE AMOUNT OF THE PREMIUM. THE PUR-
CHASER IS STILL SUBJECT TO THE RISK OF LOSING THE PREMIUM AND TRANSACTION COSTS. WHEN THE OPTION IS
EXERCISED OR EXPIRES, THE PURCHASER IS RESPONSIBLE FOR ANY UNPAID PREMIUM OUTSTANDING AT THAT TIME.
Partnership Accounts 1
Vision FORM:1
Financial Markets CFTC Risk Disclosure Statement for Futures and Options - Rules 1.55(c) and 190.10(c) - Page 2
Additional Risks Common to Futures and Options
(4) TERMS AND CONDITIONS OF CONTRACTS
YOU SHOULD ASK THE FIRM WITH WHICH YOU DEAL ABOUT THE TERMS AND CONDITIONS OF THE SPECIFIC FUTURES
OR OPTIONS WHICH YOU ARE TRADING AND ASSOCIATED OBLIGATIONS (e.g., THE CIRCUMSTANCES UNDER WHICH
YOU MAY BECOME OBLIGATED TO MAKE OR TAKE DELIVERY OF THE UNDERLYING INTEREST OF A FUTURES CONTRACT
AND, IN RESPECT OF OPTIONS, EXPIRATION DATES AND RESTRICTIONS ON THE TIME FOR EXERCISE). UNDER CER-
TAIN CIRCUMSTANCES, THE SPECIFICATIONS OF OUTSTANDING CONTRACTS (INCLUDING THE EXERCISE PRICE OF
AN OPTION) MAY BE MODIFIED BY THE EXCHANGE OR CLEARING HOUSE TO REFLECT CHANGES IN THE UNDERLYING
INTEREST.
(5) SUSPENSION OR RESTRICTION OF TRADING AND PRICING RELATIONSHIPS
MARKET CONDITIONS (e.g., ILLIQUIDITY) AND/ OR THE OPERATION OF THE RULES OF CERTAIN MARKETS (e.g., THE SUS-
PENSION OF TRADING IN ANY CONTRACT OR CONTRACT MONTH BECAUSE OF PRICE LIMITS OR “CIRCUIT BREAKERS”)
MAY INCREASE THE RISK OF LOSS BY MAKING IT DIFFICULT OR IMPOSSIBLE TO EFFECT TRANSACTIONS OR LIQUIDATE/
OFFSET POSITIONS. IF YOU HAVE SOLD OPTIONS, THIS MAY INCREASE THE RISK OF LOSS.
FURTHER, NORMAL PRICING RELATIONSHIPS BETWEEN THE UNDERLYING INTEREST AND THE FUTURE, AND THE UN-
DERLYING INTEREST AND THE OPTION MAY NOT EXIST. THIS CAN OCCUR WHEN, FOR EXAMPLE, THE FUTURES CON-
TRACT UNDERLYING THE OPTION IS SUBJECT TO PRICE LIMITS WHILE THE OPTION IS NOT. THE ABSENCE OF AN UN-
DERLYING REFERENCE PRICE MAY MAKE IT DIFFICULT TO JUDGE “FAIR” VALUE.
(6) DEPOSITED CASH AND PROPERTY
YOU SHOULD FAMILIARIZE YOURSELF WITH THE PROTECTIONS ACCORDED MONEY OR OTHER PROPERTY YOU DE-
POSIT FOR DOMESTIC AND FOREIGN TRANSACTIONS, PARTICULARLY IN THE EVENT OF A FIRM INSOLVENCY OR BANK-
RUPTCY. THE EXTENT TO WHICH YOU MAY RECOVER YOUR MONEY OR PROPERTY MAY BE GOVERNED BY SPECIFIC
LEGISLATION OR LOCAL RULES. IN SOME JURISDICTIONS, PROPERTY WHICH HAD BEEN SPECIFICALLY IDENTIFIABLE
AS YOUR OWN WILL BE PRORATED IN THE SAME MANNER AS CASH FOR PURPOSES OF DISTRIBUTION IN THE EVENT
OF A SHORT FALL.
(7) COMMISSION AND OTHER CHARGES
BEFORE YOU BEGIN TO TRADE, YOU SHOULD OBTAIN A CLEAR EXPLANATION OF ALL COMMISSION, FEES AND OTHER
CHARGES FOR WHICH YOU WILL BE LIABLE. THESE CHARGES WILL AFFECT YOUR NET PROFIT (IF ANY) OR INCREASE
YOUR LOSS.
(8) TRANSACTIONS IN OTHER JURISDICTIONS
TRANSACTIONS ON MARKETS IN OTHER JURISDICTIONS, INCLUDING MARKETS FORMALLY LINKED TO A DOMESTIC
MARKET, MAY EXPOSE YOU TO ADDITIONAL RISK. SUCH MARKETS MAY BE SUBJECT TO REGULATION, WHICH MAY OF-
FER DIFFERENT OR DIMINISHED INVESTOR PROTECTION. BEFORE YOU TRADE YOU SHOULD ENQUIRE ABOUT ANY
RULES RELEVANT TO YOUR PARTICULAR TRANSACTIONS. YOUR LOCAL REGULATORY AUTHORITY WILL BE UNABLE TO
COMPEL THE ENFORCEMENT OF THE RULES OF REGULATORY AUTHORITIES OR MARKETS IN OTHER JURISDICTIONS
WHERE YOUR TRANSACTIONS HAVE BEEN EFFECTED. YOU SHOULD ASK THE FIRM WITH WHICH YOU DEAL FOR DE-
TAILS ABOUT THE TYPES OF REDRESS AVAILABLE IN BOTH YOUR HOME JURISDICTION AND OTHER RELEVANT JURIS-
DICTIONS BEFORE YOU START TO TRADE.
(9) CURRENCY RISKS
THE PROFIT OR LOSS IN TRANSACTIONS IN FOREIGN CURRENCY-DENOMINATED CONTRACTS (WHETHER THEY ARE
TRADED IN YOUR OWN OR ANOTHER JURISDICTION) WILL BE AFFECTED BY FLUCTUATIONS IN CURRENCY RATES
WHERE THERE IS A NEED TO CONVERT FROM THE CURRENCY DENOMINATION OF THE CONTRACT TO ANOTHER CUR-
RENCY.
(10) TRADING FACILITIES
MOST OPEN-OUTCRY AND ELECTRONIC TRADING FACILITIES ARE SUPPORTED BY COMPUTER-BASED COMPONENT
SYSTEMS FOR THE ORDER-ROUTING, EXECUTION, MATCHING, REGISTRATION OR CLEARING OF TRADES. AS WITH ALL
FACILITIES AND SYSTEMS, THEY ARE VULNERABLE TO TEMPORARY DISRUPTION OR FAILURE. YOUR ABILITY TO RE-
COVER CERTAIN LOSSES MAY BE SUBJECT TO LIMITS ON LIABILITY IMPOSED BY THE SYSTEM PROVIDER, THE MARKET,
THE CLEARING HOUSE AND/ OR MEMBER FIRMS. SUCH LIMITS MAY VARY; YOU SHOULD ASK THE FIRM WITH WHICH
YOU DEAL FOR DETAILS IN THIS RESPECT.
Partnership Accounts 2
Vision FORM:1
Financial Markets CFTC Risk Disclosure Statement for Futures and Options - Rules 1.55(c) and 190.10(c) - Page 3
(11) ELECTRONIC TRADING
TRADING ON AN ELECTRONIC TRADING SYSTEM MAY DIFFER NOT ONLY FROM TRADING IN AN OPEN-OUTCRY MARKET
BUT ALSO FROM TRADING ON OTHER ELECTRONIC TRADING SYSTEMS. IF YOU UNDERTAKE TRANSACTIONS ON AN
ELECTRONIC TRADING SYSTEM, YOU WILL BE EXPOSED TO RISKS ASSOCIATED WITH THE SYSTEM INCLUDING THE
FAILURE OF HARDWARE AND SOFTWARE. THE RESULT OF ANY SYSTEM FAILURE MAY BE THAT YOUR ORDER IS EITHER
NOT EXECUTED ACCORDING TO YOUR INSTRUCTIONS OR IS NOT EXECUTED AT ALL.
(12) OFF-EXCHANGE TRANSACTIONS
IN SOME JURISDICTIONS, AND ONLY THEN IN RESTRICTED CIRCUMSTANCES, FIRMS ARE PERMITTED TO EFFECT OFF-
EXCHANGE TRANSACTIONS. THE FIRM WITH WHICH YOU DEAL MAY BE ACTING AS YOUR COUNTERPARTY TO THE
TRANSACTION. IT MAY BE DIFFICULT OR IMPOSSIBLE TO LIQUIDATE AN EXISTING POSITION, TO ASSESS THE VALUE, TO
DETERMINE A FAIR PRICE OR TO ASSESS THE EXPOSURE TO RISK. FOR THESE REASONS, THESE TRANSACTIONS MAY
INVOLVE INCREASED RISKS. OFF-EXCHANGE TRANSACTIONS MAY BE LESS REGULATED OR SUBJECT TO A SEPARATE
REGULATORY REGIME. BEFORE YOU UNDERTAKE SUCH TRANSACTIONS, YOU SHOULD FAMILIARIZE YOURSELF WITH
APPLICABLE RULES AND ATTENDANT RISKS.
CFTC Risk Disclosure Statement Pursuant to CFTC Rule 190.10(c) For Non-Cash Margin:
THIS STATEMENT IS FURNISHED TO YOU BECAUSE RULE 190.10(c) OF THE COMMODITY FUTURES TRADING COMMIS-
SION REQUIRES IT FOR REASONS OF FAIR NOTICE UNRELATED TO THIS COMPANY’S CURRENT FINANCIAL CONDI-
TION.
1. YOU SHOULD KNOW THAT IN THE UNLIKELY EVENT OF THIS COMPANY’S BANKRUPTCY, PROPERTY, INCLUDING
PROPERTY SPECIFICALLY TRACEABLE TO YOU, WILL BE RETURNED, TRANSFERRED OR DISTRIBUTED TO YOU, OR ON
YOUR BEHALF, ONLY TO THE EXTENT OF YOUR PRO RATA SHARE OF ALL PROPERTY AVAILABLE FOR DISTRIBUTION TO
CUSTOMERS.
2. NOTICE CONCERNING THE TERMS FOR THE RETURN OF SPECIFICALLY INDENTIFIABLE PROPERTY WILL BE BY
PUBLICATION IN A NEWSPAPER OF GENERAL CIRCULATION.
3. THE COMMISSION’S REGULATIONS CONCERNING BANKRUPTCIES OF COMMODITY BROKERS CAN BE FOUND AT
17 CODE OF FEDERAL REGULATIONS PART 190.
I Hereby Acknowledge that I Have Read and Understand the Foregoing Risk Disclosure Statements
Pursuant to CFTC Rules 1.55(c) and 190.10(c)
______________________________________________ ______________________________________________
Print Entity Name Date
X
______________________________________________
Authorized Signature
______________________________________________
Print Name of Person Signing
______________________________________________
Print Title of Person Signing
THIS RISK DISCLOSURE STATEMENT WAS ADOPTED BY THE COMMODITY FUTURES TRADING COMMISSION, AN AGENCY OF
THE FEDERAL GOVERNMENT. THE CFTC REQUIRES THAT YOU ACKNOWLEDGE YOUR UNDERSTANDING OF THIS STATEMENT
BEFORE YOU OPEN AN ACCOUNT. THEREFORE, WE URGE YOU TO READ THE STATEMENT CAREFULLY. PLEASE INFORM
VISION’S CUSTOMER SERVICE DEPARTMENT IF ANYONE TELLS YOU NOT TO READ THIS STATEMENT OR IF YOU HAVE QUES-
TIONS THAT HAVE NOT BEEN ANSWERED.
Partnership Accounts 3
Vision FORM:2
Financial Markets Partnership Account Information - General Information
Account Owner Information
_______________________________________________ _______________________________________________
Customer Name Taxpayer ID Number
_______________________________________________________________________________________________
Address (Street Address - No P.O. Boxes Allowed)
_______________________________________________________________________________________________
City State Zip Country
Address for account statements if different from above
_______________________________________________________________________________________________
Address
_______________________________________________________________________________________________
City State Zip Country
(____) ______ __________ (____) ______ _________ (____) ______ _________ (____) ______ _________
Business Telephone Alternate Telephone Cell Phone Fax
______________________________ ______________________________ ______________________________
Web Site Address Place of Formation Date of Formation
Authorized Signatory’s Information
_______________________________________________ Check one: U.S. Citizen Resident Alien Non-Resident Alien
Signatory’s Name
_______________________________________________________________________________________________
Residence Address (Street Address - No P.O. Boxes Allowed)
_______________________________________________________________________________________________
City State Zip Country
Address for account statements if different from above
_______________________________________________________________________________________________
Residence Address
_______________________________________________________________________________________________
City State Zip Country
(____) ______ __________ (____) ______ __________ (____) ______ __________ (____) ______ __________
Business Telephone Home Telephone Cell Phone Fax
_______________________ _______________________ _______________________ _______________________
Employer’s Name Years There Position (If retired, previous occupation) E-mail Address
_______________________ _______________________ _____________ _________ _______________________
Social Security Number (if applicable) Date of Birth (MM/DD/YYYY) Marital Status Number of Mother’s Maiden Name
Dependents
Required Under Vision’s Anti-Money Laundering Policy
_____________________________________________ _____________________________________________
Your Country of Citizenship Drivers License # Passport # Alien Identification Card # (if applicable)
Please include a photocopy (enlarged if possible) of your current passport, drivers license or other government issued document bear-
ing a photograph and including a signature when returning this application. Non-U.S. citizens must provide a copy of their passport.
I am I am not a current or former senior official of a foreign government or political party, or senior executive of a foreign govern-
ment-owned commercial enterprise, an entity or business formed for the benefit of such person or a family member or close associate
of such person, or a “foreign shell bank.”
Partnership Accounts 4
Vision FORM:2
Financial Markets Partnership Account Information - General Information - Page 2
Suitability
Financial Information of the Entity
Annual Income from All Sources in U.S. Dollars: Total Net Worth of All Assets in U.S. Dollars: Total assets mi-
nus total liabilities:
Below $25,000 $200,000 - $499,999 Below $50,000 $500,000 - $999,999
$25,000 - $74,999 $500,000 - $999,999 $50,000 - $149,999 $1,000,000 - $4,999,999
$75,000 - $199,999 $1,000,000+ $150,000 - $499,999 $5,000,000+
If below $25,000 insert amount: $ __________________ If below $50,000 insert amount: $ __________________
Liquid Net Worth in U.S. Dollars: Exclude the value of real
estate and other illiquid assets of the entity:
Below $50,000 $500,000 - $999,999
$50,000 - $149,999 $1,000,000 - $4,999,999
$150,000 - $499,999 $5,000,000+
If below $50,000 insert amount: $ __________________
Investment / Trading Experience Investment / Trading Experience
How many years experience does entity have investing in the How many years experience do you have investing in the
following areas? following areas?
Less than Less than
1 year 1-5 yrs. 6-10 yrs. 10+ yrs. 1 year 1-5 yrs. 6-10 yrs. 10+ yrs.
Futures Futures
Futures Options Futures Options
Stock Options Stock Options
Futures Funds/Hedge Funds Futures Funds/Hedge Funds
Mutual Funds/Stocks Mutual Funds/Stocks
Name of FCM(s) where you have had futures accounts in the last 5 years: Name of FCM(s) where you have had futures accounts in the last 5 years:
____________________________________________ ____________________________________________
Name of Broker/Dealer(s) where you have had securities accounts in the Name of Broker/Dealer(s) where you have had securities accounts in the
last 5 years: last 5 years:
____________________________________________ ____________________________________________
Duplicate Information (optional)
To Additional Authorized Individual (if applicable)
Send account information to each account holder’s mailing address or primary e-mail address (if electronic delivery is re-
quested). Otherwise, all account information will be sent to the mailing address or e-mail address of the account and deemed to
have been delivered to all account holders.
To Third Party (Attach additional sheets if necessary) Send this party duplicate: Statements and Trade Confirmations
Please direct Vision to send statements and trade confirmations via paper ($2.00 charge for each item sent in paper) or electronically via
e-mail (no charge).
Paper Delivery Electronic Delivery
_________________________________________________ _________________________________________________
Name Name
_________________________________________________ _______________________@_________________________
Street Address E-mail Address
_________________________________________________ _________________________________________________
City, State, Zip, Country
Partnership Accounts 5
Vision FORM:2
Financial Markets Partnership Account Information - General Information - Page 3
Account Owner Information Authorized Signatory Information
Education: High School Undergraduate Graduate
Has entity ever been the subject of a bankruptcy Yes* No
proceeding, receivership, or similar action? ______________________ _______________________
Field of Study Degrees Obtained
Has entity ever been in a legal dispute, arbitra- Yes* No
tion, or reparations action related to a commodity
Have you ever been the subject of a bankruptcy Yes* No
or securities account?
proceeding, receivership, or similar action?
Has entity ever closed an account with an unsat- Yes* No
Have you ever been in a legal dispute, arbitration, Yes* No
isfied debit balance at a commodity or securities
or reparations action related to a commodity or
firm?
securities account?
Does entity maintain an account at any other Yes* No
Have you ever closed an account with an unsatis- Yes* No
futures commission merchant, introducing broker
fied debit balance at a commodity or securities
or broker/dealer?
firm?
Is this a hedge account used for the purpose of Yes* No
Do you maintain an account at any other futures Yes* No
reducing risk in connection with the conduct or
commission merchant, introducing broker or
management of a commercial enterprise? If so,
broker/dealer?
please complete the hedge account representa-
tion letter in Form 11. Is this a hedge account used for the purpose of Yes* No
reducing risk in connection with the conduct or
Is entity a futures commission merchant or an Yes* No
management of a commercial enterprise? If so,
introducing broker registered under the Commod-
please complete the Hedge Account Representa-
ity Exchange Act or a broker/dealer registered
tion Letter in Form 11.
under the Securities Exchange Act of 1934? If so,
specify firm name: Are you an “affiliated person” of a futures com- Yes* No
mission merchant or of an introducing broker
_____________________________________
registered under the Commodity Exchange Act or
of a broker/dealer registered under the Securities
* If yes, explain in the space below marked “Additional Information.”
Exchange Act of 1934? If so, specify firm name:
Customer Acknowledgement: _____________________________________
Entity acknowledges that Vision is relying on this information in * If yes, explain in the space below marked “Additional Information.”
approving your account and extending entity credit and that all such
information is true and correct. (An “affiliated person” is defined as any “general partner, officer, director,
owner of more than ten percent of the equity interest, branch manager,
____________________________________________ associated person or employee, of the registered entity, and any relative
or spouse of any of the foregoing persons, or relative of such spouse who
Print Entity Name shares the same home as any of the foregoing persons.”)
_X____________________________ _____________
Customer Acknowledgement:
Authorized Signature Date
You acknowledge that Vision is relying on this information in approving
entity’s account and extending entity credit and that all such information
is true and correct.
____________________________________________
Print Your Name
_X____________________________ _____________
Your Signature Date
Approved by Introducing Broker:
____________________________________________ ____________________________________________
Print or Type Name of Introducing Broker Print or Type Name of Introducing Broker
_X____________________________ _____________ _X____________________________ _____________
IB Principal’s Signature Date IB Principal’s Signature Date
Approved by Vision Financial Markets LLC:
___________________________________ X___________________________________ ________________
Print Name of Vision Principal Vision Principal’s Signature Date
ADDITIONAL INFORMATION
Partnership Accounts 6