Get the free Automated Trading System Questionnaire - the ICE

Automated Trading System Questionnaire ICE recommends that participants in its markets operating an Automated Trading System (ATS) comply with the Futures Industry Associations Recommendations for

How to fill out automated trading system questionnaire

How to fill out an automated trading system questionnaire:

1. Start by carefully reading the instructions provided with the questionnaire. Make sure you understand the purpose and requirements of the questionnaire.
2. Gather all the necessary information and documents that may be required to complete the questionnaire. This may include your personal information, trading history, investment objectives, risk tolerance, and financial statements.
3. Begin by entering your personal details accurately and thoroughly. This may include your full name, contact information, and any other relevant information requested.
4. Provide a detailed description of your trading experience. This may include the types of assets you have traded, the markets you have traded in, and any previous experience with automated trading systems, if applicable.
5. Indicate your investment goals and objectives. This could include factors such as capital preservation, income generation, or capital appreciation. Be clear and specific about your expectations from the automated trading system.
6. Assess and address your risk tolerance. The questionnaire may ask about your willingness to accept potential losses, risk appetite, and any specific risk preferences you may have.
7. Evaluate your financial situation and provide accurate information about your financial resources. This may include details about your income, savings, investments, and liabilities.
8. If applicable, disclose any conflicts of interest or other relevant information that could impact your trading activities or the outcomes of the automated trading system.
9. Review the completed questionnaire for accuracy and make any necessary revisions or clarifications.
10. Submit the questionnaire as instructed, ensuring that all sections are completed accurately and honestly.

Who needs an automated trading system questionnaire?

1. Individuals or institutions interested in engaging in automated trading activities may need to complete an automated trading system questionnaire. This could include retail traders, professional traders, hedge funds, financial institutions, or any other entity looking to utilize automated trading systems.
2. Traders who want to determine their suitability for automated trading systems may benefit from completing a questionnaire. This can help assess whether their trading goals, risk tolerance, and financial situation align with the requirements and capabilities of automated trading systems.
3. Regulatory authorities or financial institutions may require individuals or entities seeking to trade using automated systems to complete a questionnaire. This helps ensure compliance with regulatory guidelines and assess the suitability of the applicant for automated trading activities.

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What is automated trading system questionnaire?

The automated trading system questionnaire is a set of questions designed to gather information about automated trading systems used in financial markets.

Who is required to file automated trading system questionnaire?

Financial institutions and trading firms are required to file the automated trading system questionnaire.

How to fill out automated trading system questionnaire?

The automated trading system questionnaire can be filled out electronically or manually, providing accurate and detailed information about the automated trading systems.

What is the purpose of automated trading system questionnaire?

The purpose of the automated trading system questionnaire is to monitor and regulate the use of automated trading systems to ensure market integrity and stability.

What information must be reported on automated trading system questionnaire?

Information such as details of the automated trading system used, trading strategies employed, risk management procedures, and compliance measures must be reported on the automated trading system questionnaire.