Open Your Brokerage Account | J. Knobel Investor Services Limited

APPLICANT INFORMATION

Title

First Name

Last Name

Fathers Name

PASSPORT DETAILS

I.D./Passport Number

Date of Birth

Nationality

Country of Issue

Date of Issue

Expiry Date

I.D./Passport

Upload I.D./Passport

Proof of Address

Upload Utility bill

Professsion

Employer

Year of service/self-employment

Position

Home Address

Address Line 1

City

Postcode

Country

Work Address

Address Line 1

City

Postcode

Country

Home Phone

Phone/Mobile

Work Phone

Fax

Email

Correspondance sent to:

Home

Work

Hold Mail

Other (please state below)

Correspondence Address

Address Line 1

City

Postcode

Country

SELF CERTIFICATION FORM

FATCA INFORMATION

Are you a U.S. Person

Yes

No

Do you hold U.S. Citizenship?

Yes

No

Place of Birth

U.S. Tax Identification Number (TIN)

Were you born in the United States of America, but you do not hold a U.S. Citizenship?

Yes

No

If yes, kindly clarify

Do you hold a green card?

Yes

No

If your answer is yea to one of the above questions, please complete a W9 form otherwise, please complete a W8 form

W8

W9

CRS Information

Country of Tax Residence

TIN

If no TIN available enter: A - Country of tax residence does not issue TINs to its resients B – Unable to obtain TIN (explain why below) C – No Tin is required by country’s authorities

PLEASE EXPLAIN IN THE FOLLOWING BOXES WHY YOU ARE UNABLE TO OBTAIN A TIN IF YOU SELECTED REASON B ABOVE.

INVESTMENT QUESTIONNAIRE

Please complete this questionnaire answering all questions and providing true, accurate and up-to-date information in a clear and precise manner. MEGA EQUITY SECURITIES AND FINANCIAL SERVICES PUBLIC LTD (Registration No. HE107394) (“M.E.’’), will rely on the information you will provide for the purposes of the assessment of appropriateness. The reason for requesting information on your knowledge and experience is to enable MEGA EQUITY SECURITIES AND FINANCIAL SERVICES PUBLIC LTD, to assess whether the investment services or products or transactions envisaged, including their complexity and the risks involved, are appropriate for you.

GENERAL QUESTIONS

1. What is your total regular net annual income

2. What is the best estimate of your Net Worth (Assets minus Liabilities)

3. What is the value of your current investment portfolio

4. What is the desired period of your investments (select all that apply)

a. Very Short Term → 0-1 Year

b. Short Term → > 1-3 Years

c. Medium Term → > 3-5 years

d. Long Term → > 5 years

5. What is your expected yearly return for your investments

Low → 3% – 4%

Average → 5% – 7%

Above average → 8% – 12%

High → > 12%

6. Which of the following risk profiles corresponds better to your investment objectives

Preservation of capital

Secure investment

Medium term growth

Performance objective

Speculation

8. In what markets have you already invested (select all that apply)

None, we have not previously done any investments

Home country

Developed markets (e.g. USA, Japan and Western Europe)

Emerging Markets

9. On the basis of which investment services have you already invested (select all that apply)

Brokerage services/execution only, I/we decide on my/our own where to invest

Based on general investment advice received

Based on investment advice received for specific investments

Discretionary Asset Management through a Portfolio Manager

10. What is the average value of your financial transactions in each of the following financial instruments

11a. How many transactions have you performed yearly on average in each of the last 5 years in each of the following financial instruments

12. What is the desired level of liquidity of your investment portfolio

Fully liquid - all investments can be easily converted to cash

Mainly liquid - a large percentage of the investments can be easily converted to cash

Somewhat liquid - the investments are split between easily convertible to cash and not easily convertible to cash

Somewhat illiquid - A large percentage of the investments may not be easily convertible to cash

Illiquid - Most of the investments may not be easily convertible to cash or there is a penalty for doing so

Indifferent for liquidity – investments may vary and can be a mixture

13. Primary purposes of your investments (select all that apply)

Capital Preservation

Produce regular income

Produce occasional income

Produce a combination of income and capital growth

Growth of capital with little or no income

Indifferent for either income or capital growth, can be a combination or a mixture

14. Would you consider any level of gearing / margin for your portfolio

None

≤ 25%

26% - 50%

51% - 75%

Maximum % that can be obtained - I/we may provide investment directions

Yes, for a specific investment, I/we may provide investment directions

15. In which of the following services would you be interested in? (select all that apply)

Brokerage Services/Execution Only, I/we decide on my/our own where to invest

General investment advice

Investment advice for specific investments

Discretionary Asset Management through a Portfolio Manager

Combination of Brokerage Services/Execution Only and investment advice

Combination of Brokerage Services/Execution Only and Discretionary Asset Management

Combination of Brokerage Services/Execution Only, investment advice and Discretionary Asset Management

16. Would you consider exposure to OTC financial and other investment instruments acknowledging that such instruments may contain specific and/or excessive degree of risk

Yes

No

17. Please indicate the possibility to be invested in up to 100% in a single type of investments and/or in a single financial or other investment instrument

Yes

No

18. When do you plan to withdraw principal (initial capital invested) from your investment portfolio

In less than 1 year

Within >1 – 3 years

Within >3 – 5 years

After 5 years

Currently I/we do not plan to withdraw principal

19. If you plan to withdraw principal from your investment portfolio, what portion do you anticipate withdrawing annually

Currently I/we do not plan to withdraw principal

Less than 10%

Between 11% and 25%

Between 26% and 50%

Between 51% and 75%

Between 76% and 100%

20. What is your financial ability to bear losses on your total investment portfolio

Can bear only the minimum possible losses (less than 5% of the portfolio)

Can bear losses between 5% and 10% of the portfolio

Can bear losses between 11% and 20% of the portfolio

Can bear losses between 21% and 30% of the portfolio

Can bear losses between 31% and 50% of the portfolio

Can bear losses between 51% and 75% of the portfolio

Can bear losing the entire value of the portfolio

21. What would you consider to be your overall risk level profile

Not willing to take any investment risk which may result in any loss of initial capital even in adverse market conditions.

Willing to undertake minor investment risk so that to aim mainly for capital preservation. In adverse market conditions minor losses may occur with only minimal percentage of the initial capital been unrecoverable.

Willing to undertake some investment risk and small market volatility in order to achieve average returns. In adverse market conditions moderate losses may occur and small percentage of the initial capital may be unrecoverable.

Willing to undertake a considerable risk and accept market volatility in order to enhance potential returns. In adverse market conditions, negative returns and possibly unrecoverable loss of a certain percentage of the initial investment capital may occur.

Willing to undertake a large degree of investment risk in order to achieve high potential returns. In adverse market conditions a substantial and possibly unrecoverable loss of a large percentage of the initial investment capital may occur.

22. Are you willing to take selective investments risks with parts of your investment portfolio for specific investments which generally fall outside your general overall risk profile?

Yes

No

Please state any investments you would consider inappropriate to invest in, any legal, moral, ethical or tax-related constraints, or any other investment concerns, limitations or conflicts you would like to address and/or other material information you would like to provide (continue in an additional separate sheet if required).

Please state any other material information you would like to provide.

I consent to the collection and processing of my personal data in accordance with the Privacy Policy and Terms of Service. I understand that my data will be used to process my account application and to provide relevant communications regarding my account. I acknowledge that I can withdraw my consent at any time as described in the Privacy Policy.

	Equities	Fixed Income	Investment Funds	Derivatives/CFDs
Less than €20,000
€20,001 – €50,000
€50,001 – €200,000
€200,001 – €1,000,000
Over €1,000,000

	Equities	Fixed Income	Investment Funds	Derivatives/CFDs
None
Less than 10
11 – 50
51 – 100
Over 100

MiFID ACCOUNT OPENING FORM – NATURAL PERSON

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