ADDITIONAL ACCOUNT INFORMATION. Disclosures Required Under the USA PATRIOT ACT 1) Is this account for a Foreign Financial Institution (e.g., non-U.S. bank; non-U.S. branch of a U.S. bank; broker-dealer; futures merchant; commodities introducing broker; mutual fund; money transmitter or currency exchanger)?
ADDITIONAL ACCOUNT INFORMATION. Account Number: Account Registration (e.g., joint, XXX, Trust, etc.): Estimated Account Balance: Custodian: Account title (e.g., Xxxx X. Public Trust): Account Jurisdiction/Country of Residence Owner name (if different from above): Owner address (if different from above): Phone number: Date of birth: Social Security Number: Tax status (taxable / non-taxable): Government Entity Account Yes No Employee Retirement Income Security Act Account Yes No Systematic Monthly Withdrawal (if applicable):
ADDITIONAL ACCOUNT INFORMATION. You must promptly provide to HFS any reasonably requested information that is necessary to maintain your account or to effect any transaction directed by you.
ADDITIONAL ACCOUNT INFORMATION. If Customer is or maintains the Account on behalf of a current or former politically exposed person or public official (domestic or foreign), Customer must provide further information regarding such persons to the Introducing Broker. If Customer is or maintains the Account on behalf of a foreign financial institution (as defined under Title 31 of the Code of Federal Regulations), Customer must complete the Foreign Financial Institution Due Diligence Questionnaire Form, which may be requested from the Introducing Broker. If Customer is or maintains the Account on behalf of a foreign bank organized under foreign law and located outside of the United States, Customer must complete the Certification Regarding Correspondent Accounts in addition to the Foreign Financial Institution Due Diligence Questionnaire Form, both of which may be requested from the Introducing Broker.
ADDITIONAL ACCOUNT INFORMATION. Disclosures Required Under the USA PATRIOT ACT
ADDITIONAL ACCOUNT INFORMATION. You must promptly provide to AFS any reasonably requested information that is necessary to maintain your account or to effect any transaction directed by you. Trade Confirmations and Account Statements. Unless otherwise directed by the fiduciaries, trade confirmations and account statements will be sent directly to you and, if requested by the fiduciaries, to the fiduciaries themselves or any other parties so directed. Certain customers receive electronic confirmations through Depository Trust Company or other institutional delivery systems in lieu of hard copy confirmations of each transaction. You should be aware that all of the terms, conditions, and disclosures set forth on such hard copy confirmations will continue to apply to each confirmation processed electronically. Cancellation And Modification Requests. AFS cannot guarantee that requests to cancel or modify account orders will be effective, even if such requests are submitted before receiving notice that the order was executed. A requested cancellation or modification of a prior order will not be effected unless we have had sufficient time to forward the request to the actual parties responsible for executing the transaction, the request is received in the marketplace, and the marketplace has matched the request with the account order(s) before it is executed. We cannot guarantee that the marketplace or a mutual fund company will match a cancellation or modification request with respect to a prior order, even if such request is received by the same marketplace or mutual fund company before the order is executed. Therefore, no assumption can be made that a prior order has been canceled or modified until there is actual receipt of a trade confirmation from us. You shall have full responsibility for any orders entered, even if we are unable to cancel or modify the order prior to execution.
ADDITIONAL ACCOUNT INFORMATION a) Are purchase order numbers required on all purchases? [ ] yes [ ] no If yes, goods or services will not be provided until a purchase order number is provided.
