Hythe Securities Ltd., Hythe House, 337 City Road, London EC1V 1LJ, UK.
Regulated by FSA, Member of ICMA & LSE
Tel: +44 20 7713 6688 Fax: +44 20 7713 8383
Email: info@hythegroup.com Web: www.hythegroup.com
PERSONAL ACCOUNT FORM
STRICTLY CONFIDENTIAL
You Must Initial Each Page Where Indicated And Beside Any Changes That You Make.
1. PERSONAL DETAILS OF THE CLIENT
Name, Address & Telephone
Title: Phone Number:
First Name: Other Phone:
Surname: E-Mail Address:
Date of Birth: Fax:
Marital Status: Work Status:
Nationality: Nat Insurance No:
Address Type: County:
Street & No: Town/City:
Country:
Postcode:
Country of Residence (If Different):
Bank Details
Name on Account: Account Number:
Bank/Building Society: Sort Code:
Bank Address: Town/City:
Post Code:
Country:
Value of Assets
Investment Property: Principal Residence:
Annual Income: Mortgage Value:
Other Investments e.g Bonds: Other Borrowings/Liabilities:
Alternative Liquid Investments: Total Liquid Assets:
Share Portfolio Net Liquid Assets: *
Cash:
Your Investment Strategy (See Section 6 Page 4 for Guidance Notes)
Service Level:* ……………………….. Preferred Core Investments: …………………..
Investment Strategy: ……………………….. Risk Capital: ** GBP ...…………………
Your attitude to risk
Referring to your Net Liquid Assets (NLA), how would you like us to allocate your NLA investments across the categories below?
Low: ……… % e.g. FTSE 100 stocks or equivalent, collective investments, sovereign bonds
Medium: ..…….. % e.g. FTSE 250 stocks or equivalent, more foreign currency exposure, investment grade corporate bonds
High: ………. % e.g. Growth company stocks on AIM/OFEX or equivalent, exchange traded derivatives, cfds and fx
Your Investment Objectives
Some of the investments traded by Hythe Securities are, by their very nature, inherently high risk. With this in mind, please review and confirm your
investment objectives.
[ ] I want to accept only a low degree of risk
[_] I want to hedge against existing/future exposures.
[_] I accept a moderately high degree of risk in order to achieve a profit.
[ ] I have a very high profit expectation and am willing to accept a higher level of risk.
Key: * Net Liquid Assets is intended to be a sum of your liquid and investable assets after deduction of any liabilities or and borrowings, not including the equity value of
your principal residence; Key ** : Risk Capital is defined as the total amount of funds that you are prepared to place at the risk of total loss; Key ***: Service Levels offered
are ‘execution-only’ where you take charge of investment decisions, ‘advisory’ where we provide advice and ‘discretionary’ where we take responsibility for managing your
assets and report to you periodically.
pg. 1 Client Initial .
Hythe Securities Ltd., Hythe House, 337 City Road, London EC1V 1LJ, UK.
Regulated by FSA, Member of ICMA & LSE
Tel: +44 20 7713 6688 Fax: +44 20 7713 8383
Email: info@hythegroup.com Web: www.hythegroup.com
Trading Experience - Please complete all six sections below providing us with your trading experience in each of the identified product types. Where you have
trading experience in a product please provide the additional information requested.
1. Unit Trusts, Investment Trusts & OEIC’s 2. All Bonds i.e Corporate, Government, Etc.
[_] None [_] 2 years – 5 years [_] None [_] 2 years – 5 years
[_] Less than 6 months [_] More than 5 years [_] Less than 6 months [_] More than 5 years
[_] 6 months – 2 years [_] 6 months – 2 years
Approximate Trading Frequency: Approximate Trading Frequency:
Average Trade Size: £ Average Trade Size: £
3. Large Cap Equities i.e FTSE, Dow Jones, Etc. 4. Small Cap Equities i.e AIM, PLUS, Etc.
[_] None [_] 2 years – 5 years [_] None [_] 2 years – 5 years
[_] Less than 6 months [_] More than 5 years [_] Less than 6 months [_] More than 5 years
[_] 6 months – 2 years [_] 6 months – 2 years
Approximate Trading Frequency: Approximate Trading Frequency:
Average Trade Size: £ Average Trade Size: £
5. Derivatives i.e Options, Futures, CFDs Etc. 6. Financial Spreadbetting
[_] None [_] 2 years – 5 years [_] None [_] 2 years – 5 years
[_] Less than 6 months [_] More than 5 years [_] Less than 6 months [_] More than 5 years
[_] 6 months – 2 years [_] 6 months – 2 years
Approximate Trading Frequency: Approximate Trading Frequency:
Average Trade Size: £ Average Trade Size: £
2. PERSONS AUTHORISED TO GIVE INSTRUCTIONS ON THE ACCOUNT
Authorised Third Parties - Please complete this section entering only the details of any persons, other than the account holder/s, whom you wish to be
able to operate the account.
I/we authorise Hythe Securities Ltd to accept any and all instructions, from any one of the under mentioned third party/ies, and appoint the under mentioned as my/our agent
and attorney to buy and sell securities and any other investment transactions for my/our account and risk and in my/our name or number in your books. I/we hereby agree to
indemnify and hold you harmless from and to pay you promptly on demand any and all losses, costs, indebtedness, and liabilities arising therefrom or debit balances due
thereon.
Authorised person one Authorised person two Authorised person three
Full Name and Title:
Address:
Contact telephone Number/s:
Signature:
For every individual account holder and every individual listed as an additional authorised third party above, we need to verify personal
identity and address. Therefore, in signing this form, you do so on the understanding that we may ask you for additional documents to ensure that we comply
with FSA Rules and the requirements of the Money Laundering Regulations 1993.
pg. 2 Client Initial .
Hythe Securities Ltd., Hythe House, 337 City Road, London EC1V 1LJ, UK.
Regulated by FSA, Member of ICMA & LSE
Tel: +44 20 7713 6688 Fax: +44 20 7713 8383
Email: info@hythegroup.com Web: www.hythegroup.com
3. PERSONAL IDENTIFICATION
Documents On File
We need to verify personal identity and address. Therefore, in signing this form, you do so on the understanding that we may ask you for additional documents to ensure that
we comply with FSA Rules and the requirements of the Money Laundering Regulations 1993. Additionally, we may make address checks through a credit reference agency.
The Money Laundering regulations require all financial institutions to verify the identity of their clients. Accordingly, we require one form of personal identification and one
form of address verification (from those listed below). You may:
1. Present the document to your adviser.
2. Post a certified photocopy of the original to your adviser. A lawyer, banker or regulated professional must certify each photocopy.
3. Post the originals to your adviser. Your adviser accepts no liability for original documents that are mislaid in the post. We strongly advise that you send your
documents by registered post and should you wish, upon receipt we will endeavour to return your documents immediately.
Address Verification (Please choose one from each.)
[ ] Utility Bill [ ] Benefit Book
[ ] Bank Statement or Passbook [ ] Photo Card Driving Licence
[ ] Mortgage Statement / Tax Bill [ ] Solicitor’s Letter
Photographic Identification
[ ] Passport Copy [ ] Photo Card Driving Licence
[ ] Photo certified by a professional
Please note that you may not use the same document for both personal identification and address verification. Each Account holder and authorised
person needs to provide the above documents. Mobile phone bills are not valid address verification documents.
4. OTHER INSTRUCTIONS
If any of the information provided is incorrect or you have any additional information or instructions, please enter your comments below.
pg. 3 Client Initial .
Hythe Securities Ltd., Hythe House, 337 City Road, London EC1V 1LJ, UK.
Regulated by FSA, Member of ICMA & LSE
Tel: +44 20 7713 6688 Fax: +44 20 7713 8383
Email: info@hythegroup.com Web: www.hythegroup.com
5. DECLARATION
I/We have read this form and to the best of my knowledge the information that I/We have provided is correct. I/We undertake to notify
Hythe Securities Ltd of any significant/material changes. I understand that these objectives should be reviewed regularly. I confirm that I
have received and read the Hythe Securities Ltd Terms of Business and Hythe Securities Ltd Schedule of Fees and Commissions, and
consent to my treatment as a retail customer. All parties to a joint account must sign below.
Please note that this Personal Account Form (and the highly Personalised Strategy Appendix if applicable), together with our Terms of
Business and Schedule of Fees and Commissions will comprise your contract.
FIRST NAME:
FULL NAME:
DATE:
SIGNED:
FIRST NAME:
FULL NAME:
DATE:
SIGNED:
FIRST NAME:
FULL NAME:
DATE:
SIGNED:
6. INVESTMENT STRATEGIES
Strategy Investment Objective Typical description of Risk Strategic asset allocation Typical Investments
Liquidity To ensure that the assets can Low risk - the capital value may fluctuate Predominantly fixed income securities, Cash deposits, money market funds,
be readily realised and to in the short term but will typically remain some selected equities. and short dated bond and bond funds
maximise the returns stable, is unlikely to show significant
available from them capital gains and may decline in real
terms
Conservative To provide stable returns and Low risk - the capital value will fluctuate in Majority in fixed income investment Cash deposits, money market funds,
to minimise the portfolio’s the short term, and is unlikely to show with the balance in equity investments. and short dated bond and bond funds,
exposure to risk significant capital gains above inflation Some allocation in capital protected and individual bonds and equities.
structured products. Selective capital protected products.
Balanced To balance generating real Medium risk - the capital value will ~40% fixed income investment and Cash deposit, money market funds,
returns with maintaining a fluctuate in the medium term, and capital ~40% equity investment. Some small and short dated bond and bond funds
relatively low risk exposure returns may be negative over short time allocation (10-25%) in smaller and individual bonds and equities.
horizons companies (AIM/OFEX, pre-IPO) or Selective Unregulated funds.
similar higher risk investments. Derivatives used for hedging.
Growth To significantly increase the High risk - the capital value will fluctuate Lesser or no weighting in fixed income Cash deposit, money market funds,
capital value of the portfolio in in the medium term, and capital returns investments and majority in equity and short dated bond and bond funds,
real terms may be negative over short to medium investments, inclusive of smaller equity funds, exchange traded funds
time horizons companies on Aim/OFEX/pre-IPO or and individual bonds and equities.
similar risky investments. Selective Geared products such as futures,
use of derivatives and structured options, cfds or warrants. Selective
products. Unregulated funds.
Aggressive To provide significant capital High risk - the capital value will fluctuate 100% investment. Usage of full range Cash deposits, money market funds,
growth above inflation in the medium term, and capital returns of equity investments including short dated bond and bond funds,
may be negative over short to medium AIM/OFEX stocks and pre-IPO equity funds, exchange traded funds
time horizons. Usage of geared investments. Some use of cfds, and individual bonds and equities.
instruments can result in losses that margin fx and other derivatives or Geared investments such as futures,
exceed the amount invested. structured products. options, cfds and warrants. Selective
Unregulated funds.
Highly To meet highly personal High risk - the capital may fluctuate Not applicable Cash deposits, money market funds,
Personalised objectives such as trading dramatically, capital returns may be and short dated bond and bond funds,
strategies that are intended to negative over the period of the investment equity funds, exchange traded funds,
generate high capital returns and individual investments may become individual bonds and equities, options,
over short time horizons valueless, and can in some cases result in warrants and alternative investments
losses greater than the sum invested and geared products such as futures,
options, cfds and warrants. Selective
Unregulated funds.
pg. 4 Client Initial .