FORMS AND DOCUMENTS FOR LEGAL ENTITY

1. Documents to complete and submit before Acceptance

For the purpose of protecting and promoting your interests, it is important for you to provide us with the necessary information regarding your company. After becoming familiar with OnePlus activities and policies, you may proceed with the submission of the relevant documents:

1.1 Account Opening Form
1.2 Investment Questionnaire
1.3 Ultimate Beneficial Owner Information
1.4 Declaration of Information for Client’s Categorisation
1.5 Declaration by Nominee(s) and Introducer(s) for Legal Entity

In particular through the completion of Account Opening Form and Ultimate Beneficial Owner Information we would be in place to understand company’s main activities, its beneficial owners, representatives and employees authorized to set and sign orders and corresponding execution confirmations as well as those responsible to receive statements of your investment activities and other information supplied by OnePlus at regular intervals or upon request.

Furthermore, through the completion of the Investment Questionnaire we would be able to receive information about your knowledge and experience in the investment field, your investment objectives as well as your financial situation that would be used to better evaluate whether an investment service or product offered, demanded or envisaged is appropriate for you where such determination is required by law. Also in the context of the provision of investment advice and portfolio management services we would use particular information such as to better determine your risk profile and investment strategies and thus better examine the suitability of various investment opportunities available on financial markets.

In addition, we are required by the Investment Services and Activities and Regulated Markets Law No. 144(I)/2007 to identify the category (Retail or Professional or Eligible Counterparty) of the Client who is expected to trade in financial instruments and to be provided with other services rendered by OnePlus Capital. For that purpose, each candidate Client should declare the necessary information in the Declaration of Categorisation Form such as to help our Company to categorize him properly.  Finally, in case that there is/are Nominee(s) Shareholder(s)/Introducer(s), then the Declaration by Nominee(s)/Introducers for Legal Entity should also be completed.        
The global effort to combat Money Laundering, Terrorist Financing, and fraudulent activity stipulates the submission of certain documents by the Client. For opening appropriate account and providing the Client with Investment Services, it is required to obtain the documents shown below:

1.6 Due Diligence Checklist for Legal Entity
1.6.1 Company Resolution for opening of account
1.6.2 Power of Attorney for the persons authorised to act on behalf of the Client 
1.6.3 Know Your Customer (KYC) Questionnaire (for the purposes of the Prevention of Money Laundering and Terrorist Financing legal requirements)

 All documents should be duly notarized (certified true copies or originals) in English. In the case of a legal person all documents requested and approved by One Plus Capital Ltd depend on the Customer’s country of origin. Please note that the list is not exhaustive and One Plus Capital Ltd may require additional documents where this shall be deemed necessary.

2. Documents to sign after Acceptance

After receiving a letter of acceptance as a Client of OnePlus, you should proceed with signing the agreement/s  corresponding to the service/s requested:

2.1 General Agreement for the Provision of Services to a Professional Investor.
2.2 General Agreement for the Provision of Services to a Retail Client.  
2.3 Portfolio Management Agreement.
2.4 Investment Advice Addendum. 
2.5 Custodian Services Agreement.
2.6 Agreement for the Provision of Services to Eligible Counterparties.
2.7 Agreement for the Provision of Supplementary Services.

For each of the investment services OnePlus is licensed to provide there is a corresponding written agreement that the potential client must contract with OnePlus. For example, a new client should first sign the General Agreement in order to begin receiving brokerage services. Apart from this, there are distinct agreements for investment advice, portfolio management and custodian services. It should be mentioned that the client should sign the General Agreement even in the case he wishes to receive portfolio management and/or investment advice but not brokerage services. Together with the relevant agreement/s, some additional documents should also be signed and submitted to OnePlus Account Opening officer:

2.8 Confirmation of Acquaintance with OnePlus and MiFID Informative Documents (Retail Clients)
2.9 Confirmation of Acquaintance with OnePlus and MiFID Informative Documents (Professional Clients)
2.10  Power of Attorney to appoint OnePlus
2.11  Letter of Indemnity for Authorisation to act upon Telecommunications
2.12  Categorization and Execution Policy Consent Form
2.13  Application for a change of Client Status

In particular, a new Client should sign the Power of Attorney indicating his consent for appointing OnePlus as his lawful attorney. He should also confirm that he has become acquainted with OnePlus and MiFID informative documents, sent by mail or available on our web-site. The Client needs to authorize OnePlus to act upon Telecommunications for orders and to submit investment confirmations/statements to the Client.  Finally, a new Client should sign the Categorization and Execution Policy Consent Form.  In the case a Client wishes to change his classification, he should complete and submit the Application for Change of Client Status.

The standard forms presented below should be used by Clients to confirm actions related to money transfers, trade order   settings, complaints designation, currency conversion, financial instruments deposition or transfer, etc:

3.1 Form for Deposit of Funds into Client Accounts
3.2 Form for Withdrawal of Funds from Client Accounts
3.3 Buy Order Form
3.4 Sell Order Form
3.5 Suggestions and Complaints Form
3.6 Instructions for Currency Conversion
3.7 Instructions for Depositing Financial Instruments
3.8 Instructions for Transferring Financial Instruments