Otkritie Broker LTD - Information for clients

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Information for clients

Account Opening Pack

Accession Application Form
Application for the Services
Investment Questionnaire for the Natural Person
Investment Questionnaire for the Legal Person
Investment Questionnaire Form Authorised Representative of the Natural Person
Investment Questionnaire for the Donor of the Natural Person
Uniform Subscriber Addendum (For USA Market only)
Bats Global Markets. Subscriber Agreement (For USA Market only)
Application for Password Setting (Cancellation)
Board resolution template authorizing a director to open and/or operate an account with OTKRITIE BROKER LTD
Board resolution template authorizing any representative except of a director to open and/or operate an account with OTKRITIE BROKER LTD
Sole Director resolution template authorizing a director/other person to open and/or operate an account with OTKRITIE BROKER LTD
Standart Form of Power of Attorney for Natural Persons
Standart Form of Power of Attorney for Legal Persons
For individuals. Form W-8BEN
For legal entities. Form W-8BEN-E
For intermediaries and flow-through entities. Form W-8IMY
Clients Reminder SFTP client installation and secure file storage use policy
Assessment of Appropriateness Test

Broker's details

Payment details
Settlement details for securities depositing

Sample Forms

Order for Transaction
Consolidated Order for Deals with Securities (for "International Securities Market" Account)
Order for OTC Transaction
Order for REPO Transaction
Order for Premature Execution of the Second Leg of REPO Transaction
Order for Loan Agreement
Notice on Order Cancellation
Order for Funds Conversion
Application for Transfer (Withdrawal) of Funds
Order for writing off/depositing/transfer of securities
Notification on repudiation of the Agreement by Client

Our content

Presentation MARGIN TRADING IN EUROBONDS
RISK WARNING ON PRE-IPO PARTICIPATION
Client categorisation

List of financial instruments for conclusion of REPO transactions for allocation of the Client’s available monetary funds

List of financial instruments for conclusion of REPO transactions for allocation of the Client’s available monetary funds, Effective from 01/03/2021

Tariffs

Tariffs, Effective from 01/03/2022

Current version

Terms of business
Schedule 01. Exhibit 01. Accession Application form
Schedule 01. Exhibit 02. Investment questionnaire for the donor of the natural person
Schedule 01. Exhibit 02. Investment questionnaire for the legal person
Schedule 01. Exhibit 02. Investment questionnaire for the natural person
Schedule 01. Exhibit 02. Investment questionnaire form authorised representative of the NP
Schedule 01. Exhibit 03. Application for the services
Schedule 01. Exhibit 04. List of required documents
Schedule 02. Definitions and interpretations
Schedule 03. Exhibit 01. Notification on repudiation of the Agreement by Client
Schedule 03. Exhibit 02. Notification on repudiation of the Agreement by Broker
Schedule 03. Exhibit 03. Standard forms of documets for submission to the Company
Schedule 03 Exhibit 04 NOTIFICATION on closing Accounts by Broker
Schedule 04. Custody Terms
Schedule 05. Electronic Trading Terms
Schedule 06. The rates of OTKRITIE BROKER LTD
Schedule 07. Disclosure of Best Execution Policy
Schedule 08 Exhibit 01. Risk Warning Statement Related to Financial Instruments
Schedule 08 Exhibit 02. Target Markets Assessment
Schedule 09. Conflict of Interest Policy
Schedule 10. Complaints Handling Procedure
Schedule 11. Notice on the Investor Compensation Fund
Schedule 12. Margin Facilities Rules
Schedule 13. The Terms of use of the Client portal

Amendments and Additions

Table of Revisions introduced July 1, 2021
Table of Revisions introduced January 1, 2020
Table of Revisions introduced October 30, 2019
Table of Revisions introduced August 1, 2019
Table of Revisions introduced July 1, 2019
Table of Revisions introduced May 1, 2019
Table of Revisions introduced February 5, 2019
Table of Revisions introduced December 01, 2018
Table of Revisions introduced November 15, 2018
Table of Revisions introduced November 1, 2018
Table of Revisions introduced October 1, 2018
Table of Revisions introduced September 1, 2018
Table of Revisions introduced August 1, 2018
Table of Revisions introduced May 25, 2018
Table of Revisions introduced March 21, 2018
Table of Revisions introduced March 01, 2018
Table of Revisions introduced February 01, 2018
Table of Revisions introduced January 03, 2018
Table of Revisions introduced December 01, 2017
Table of Revisions introduced November 15, 2017
Table of Revisions introduced October 02, 2017
Table of Revisions introduced August 23, 2017
Table of Revisions introduced August 01, 2017
Table of Revisions introduced June 01, 2017
Table of Revisions introduced April 24, 2017
Table of Revisions introduced February 15, 2017
Table of Revisions introduced December 21, 2016
Table of Revisions introduced December 06, 2016

Archive

Terms of business, valid until June 30, 2021
Terms of business, valid until February 01, 2021
Terms of business, valid until May 3, 2020
Terms of business, valid until December 31, 2019
Terms of business, valid until October 29, 2019
Terms of business, valid until July 31, 2019
Terms of business, valid until June 30, 2019
Terms of business, valid until April 30, 2019
Terms of business, valid till February 04, 2019
Terms of business, valid till November 30, 2018
Terms of business, valid until November 14, 2018
Terms of business, valid until October 31, 2018
Terms of business, valid until September 30, 2018
Terms of business, valid until August 31, 2018
Terms of business, valid until July 31, 2018
Terms of business, valid until May 24, 2018
Terms of business, valid until March 20, 2018
Terms of business, valid until February 28, 2018
Terms of business, valid until January 31, 2018
Terms of business, valid until January 02, 2018
Terms of business, valid until November 30, 2017
Terms of business, valid until November 14, 2017
Terms of business, valid until October 01, 2017
Terms of business, valid until August 22, 2017
Terms of business, valid until July 31, 2017
Terms of business, valid until May 31, 2017
Terms of business, valid until April 23, 2017
Terms of business, valid until February 14, 2017
Terms of business, valid until December 20, 2016
Terms of business, valid until December 05, 2016
List of financial instruments for conclusion of REPO transactions for allocation of the Client’s available monetary funds, Еffective from 18/10/2017 to 12/12/2017
List of financial instruments for conclusion of REPO transactions for allocation of the Client’s available monetary funds, Effective from 19/06/2017 to 17/10/2017
List of financial instruments for conclusion of REPO transactions for allocation of the Client’s available monetary funds, Еffective from 01/06/2017 to 16/06/2017

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