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COMMON APPLICATION Formal. CA Date: DD / MM / YYYYDistributors ARNSubBrokers Couperin (Mandatory)E06814663416ARN0155SIGNATURE(S) (To be signed by All Applicants)Declaration for “Execution only transactions

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How to fill out declaration forquotexecution-onlyquot transactions only

01

To fill out a declaration for "execution-only" transactions, follow these steps:

02

Obtain the necessary declaration form from the relevant institution or financial service provider.

03

Read and understand the terms and conditions of the declaration form.

04

Fill in your personal details such as your full name, contact information, and any identification numbers required.

05

Provide details about the specific transaction you are declaring as "execution-only", such as the date of the transaction, the financial product involved, and the relevant parties or entities involved.

06

Sign and date the declaration form to confirm that you are taking full responsibility for the execution of the transaction without seeking any advice or recommendations from the institution or financial service provider.

07

Submit the filled-out declaration form to the institution or financial service provider as per their instructions.

08

Keep a copy of the filled-out declaration form for your records.

Who needs declaration forquotexecution-onlyquot transactions only?

01

A declaration for "execution-only" transactions is required by individuals who wish to execute financial transactions without seeking any advice or recommendations from the institution or financial service provider. This could include experienced investors who have a good understanding of financial products and are confident in their decision-making abilities. It is important to note that the specific requirements for a declaration can vary depending on the regulations and policies of the institution or financial service provider.

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What is declaration for 'execution-only' transactions only?

A declaration for 'execution-only' transactions is a formal statement submitted to regulatory authorities, indicating that transactions were conducted solely on the basis of the client's instructions without any advice or recommendation from the firm.

Who is required to file declaration for 'execution-only' transactions only?

Financial firms that conduct transactions on behalf of clients, specifically where no advisory services were offered, are required to file this declaration.

How to fill out declaration for 'execution-only' transactions only?

To fill out the declaration, firms must provide details including the client’s information, transaction specifics, and a statement confirming that the service was provided on an execution-only basis.

What is the purpose of declaration for 'execution-only' transactions only?

The purpose is to ensure transparency and compliance with regulatory requirements, confirming that the transactions were executed without investment advice, thus clarifying the nature of the client-firm relationship.

What information must be reported on declaration for 'execution-only' transactions only?

The declaration must include client identification, transaction dates, descriptions of the transactions, amounts involved, and a written confirmation of the execution-only status.

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