The financial information and representations in this questionnaire are required to be provided to Global FX for the undersigned to qualify as an “Wholesale Client” as defined by Chapter 7 of Corporations Act 2001 in order to purchase or sell certain derivatives, on a principal to principal basis with Global FX. The client must read, qualify under, and initial at least one of the sections below.

The undersigned prospective client represents and warrants for purposes of entering into certain derivatives transactions with Global FX that the prospective client is and shall be acting for its own account and shall at all times qualify, notwithstanding any subsequent determination to the contrary, as an “Wholesale Client” as defined by Section 761G and 761GA of the Corporations Act 2001 because the prospective client:

(Check and Initial any and all that apply. Please note that all monetary figures are given in AUD)

* Please note in accordance with the Corporations Act 2001, the reference to person refers to a natural individual or legal entity.

*An item must be checked!

Size of Business Test - the financial product or service is provided for use in connection with a business that is not a small business.
Small business means a business employing:

1. less than 20 people; or
2. if the business is or includes the manufacture of goods then less than 100 employees.

*An item must be checked!

Sophisticated Investor – the person has:

1. net income of $250,000 per annum (gross) for the last 2 years; or
2. has net assets greater than $2.5 million.

where the product/service is not provided in connection with a business.

*An item must be checked!

Experienced Investor (in accordance with s 761GA Corporations Act) – the person has satisfied Global FX they have previous experience in using financial services and investing in financial products.
where the product/service is not provided in connection with a business.

If qualifying under this criteria, you will need to provide proof and or confirmation of your experience. Global FX may ask for additional information to confirm as it deems necessary.

*An item must be checked!

Professional Investor Test – is an entity where one or more of the following apply:

1. is a financial services licensee;
2. is a body regulated by APRA, other than a trustee of any of the following (within the meaning of the Superannuation Industry (Supervision) Act 1993 ):
1. a superannuation fund;
2. an approved deposit fund;
3. a pooled superannuation trust;
4. a public sector superannuation scheme;
3. is a body registered under the Financial Corporations Act 1974 ;
4. is the trustee of:

   （i） a superannuation fund; or

   （ii） an approved deposit fund; or

   （iii） a pooled superannuation trust; or

   （iv） a public sector superannuation scheme;

   within the meaning of the Superannuation Industry (Supervision) Act 1993 and the fund, trust or scheme has net assets of at least $10 million;

5. controls at least $10 million (including any amount held by an associate or under a trust that the person manages);
6. is a listed entity, or a related body corporate of a listed entity;
7. is an exempt public authority;
8. is a body corporate, or an unincorporated body, that:

   （i） carries on a business of investment in financial products, interests in land or other investments; and

   （ii）for those purposes, invests funds received (directly or indirectly) following an offer or invitation to the public, within the meaning of section 82, the terms of which provided for the funds subscribed to be invested for those purposes;

9. is a foreign entity that, if established or incorporated in Australia, would be covered by one of the preceding paragraphs.

If qualifying under this criteria, you will need to provide proof and or confirmation regarding the type of professional investor status that applies to your account. Please refer to Appendix C. Global FX may ask for additional information to confirm as it deems necessary.

*An item must be checked!

Wholly-owned subsidiary of a company that is a “Professional Investor” (as defined above).

If qualifying under this criteria, you will need to provide proof and or confirmation regarding the type of professional investor status that applies

*An item must be checked!