FX - Newedge

Transcription

FX - Newedge

Monthly Statements
NEWEDGE USA, LLC
550 W. JACKSON, SUITE - 400
CHICAGO, IL 60661
STATEMENT DATE: JUL 29, 2014
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
1
*
F X
S P O T
A N D
F O R W A R D
O P E N
P O S I T I O N S *
OPEN POSITIONS
TICKET ORIGINAL VALUE
DEALT
CONTR CLOSING
NUMBER TRD DATE
DATE
B/S CCY
QUANTITY
RATE
CCY PRICE
UNREALIZED P/L
NET AMOUNT
------ -------- -------- ---- --- ------------------ ----------- --- ----------- ------------------ -----------------8403 06/06/14 09/08/14 BUY EUR
980,000.00
1.4330900 CAD 1.3715952
60,264.89DR
1,404,428.20DR
7785 06/23/14 09/08/14 SELL EUR
980,000.00DR
1.3842500 CAD 1.3715952
12,401.69
1,356,565.00
09/08/14
.00 *
47,863.20DR*
47,863.20DR*
1642 07/07/14 09/11/14 SELL EUR
840,000.00DR
1.3764300 CAD 1.3714696
4,166.67
1,156,201.20
09/11/14
840,000.00DR*
4,166.67 *
1,156,201.20 *
840,000.00DR*
43,696.53DR*
1,108,338.00 *
0176 04/27/14 08/03/14 BUY GBP
1,320,000.00
1.5794900 CAD 1.5694870
13,203.88DR
2,084,926.80DR
3172 05/13/14 08/03/14 SELL GBP
1,320,000.00DR
1.5676800 CAD 1.5694870
2,385.32DR
2,069,337.60
08/03/14
.00 *
15,589.20DR*
15,589.20DR*
2712 05/27/14 09/01/14 BUY GBP
1,540,000.00
1.6063400 CAD 1.5700546
55,879.39DR
2,473,763.60DR
8245 06/15/14 09/01/14 SELL GBP
1,540,000.00DR
1.5758500 CAD 1.5700546
8,924.79
2,426,809.00
09/01/14
.00 *
46,954.60DR*
46,954.60DR*
5079 06/23/14 09/27/14 SELL GBP
1,260,000.00DR
1.5582000 CAD 1.5705462
15,556.26DR
1,963,332.00
9349 07/28/14 09/27/14 BUY GBP
1,260,000.00
1.5496200 CAD 1.5705462
26,367.06
1,952,521.20DR
09/27/14
.00 *
10,810.80 *
10,810.80 *
.00 *
51,733.00DR*
51,733.00DR*
1043 05/16/14 08/17/14 BUY USD
1,740,000.00
0.9790200 CAD .9553343
41,213.12DR
1,703,494.80DR
8691 06/15/14 08/17/14 SELL USD
1,740,000.00DR
0.9697000 CAD .9553343
24,996.32
1,687,278.00
08/17/14
.00 *
16,216.80DR*
16,216.80DR*
9908 06/27/14 09/28/14 BUY USD
1,600,000.00
0.9913100 CAD .9562423
56,108.32DR
1,586,096.00DR
8007 06/30/14 09/28/14 SELL USD
1,600,000.00DR
0.9686000 CAD .9562423
19,772.32
1,549,760.00
09/28/14
.00 *
36,336.00DR*
36,336.00DR*
4881 07/04/14 10/05/14 SELL USD
1,380,000.00DR
0.9619300 CAD .9563892
7,646.19
1,327,463.40
10/05/14
1,380,000.00DR*
7,646.19 *
1,327,463.40 *
1,380,000.00DR*
44,906.61DR*
1,274,910.60 *
TOTAL FOR CONTRA CAD
2,331,515.60 *
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
DEALT
NUMBER TRD DATE
DATE
B/S CCY
QUANTITY
------ -------- -------- ---- --- -----------------8214 07/01/14 09/05/14 BUY AUD
840,000.00
2016 07/18/14 09/05/14 SELL AUD
840,000.00DR
09/05/14
.00 *
.00 *
8234 07/01/14 09/05/14 BUY SGD
1,620,000.00
2080 07/13/14 09/05/14 SELL SGD
1,620,000.00DR
09/05/14
.00 *
.00 *
5136 07/08/14 09/05/14 BUY USD
1,600,000.00
5559 07/12/14 09/05/14 SELL USD
1,600,000.00DR
09/05/14
.00 *
0298 07/14/14 09/05/14 SELL USD
1,400,000.00DR
09/05/14
1,400,000.00DR*
1,400,000.00DR*
2162
8059
1150
3466
8447
06/16/14 09/20/14 BUY USD
06/30/14 09/20/14 SELL USD
09/20/14
07/04/14 10/06/14 SELL USD
10/06/14
1,760,000.00
1,760,000.00DR
.00 *
1,500,000.00DR
1,500,000.00DR*
1,500,000.00DR*
05/05/14 08/10/14 SELL CAD
06/15/14 08/10/14 BUY CAD
08/10/14
2,620,000.00DR
2,620,000.00
.00 *
2
CONTR CLOSING
RATE
CCY PRICE
UNREALIZED P/L
NET AMOUNT
----------- --- ----------- ------------------ -----------------85.4380000 JPY 83.9947060
1,212,366DR
71,767,920DR
82.8730000 JPY 83.9947060
942,233DR
69,613,320
2,154,600DR*
2,154,600DR*
2,154,600DR*
2,154,600DR*
65.7740000 JPY 63.9985373
2,876,249DR
106,553,880DR
64.8100000 JPY 63.9985373
1,314,569
104,992,200
1,561,680DR*
1,561,680DR*
1,561,680DR*
1,561,680DR*
81.3640000 JPY 77.0090515
6,967,917DR
130,182,400DR
79.5050000 JPY 77.0090515
3,993,517
127,208,000
2,974,400DR*
2,974,400DR*
78.9120000 JPY 77.0042063
2,670,911
110,476,800
2,670,911 *
110,476,800 *
303,488DR*
107,502,400 *
TOTAL FOR CONTRA JPY
103,786,120 *
12.1141000 MXN 11.7850467
579,133.70DR
21,320,816.00DR
11.8175000 MXN 11.7850467
57,117.70
20,798,800.00
522,016.00DR*
522,016.00DR*
11.7007000 MXN 11.8017000
151,500.00DR
17,551,050.00
151,500.00DR*
17,551,050.00 *
673,516.00DR*
17,029,034.00 *
TOTAL FOR CONTRA MXN
17,029,034.00 *
1.2738100 SGD 1.2599643
36,275.50
3,337,382.20
1.2731600 SGD 1.2599643
34,572.50DR
3,335,679.20DR
1,703.00 *
1,703.00 *
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
DEALT
NUMBER TRD DATE
DATE
B/S CCY
QUANTITY
------ -------- -------- ---- --- -----------------6393 07/20/14 10/24/14 BUY CAD
1,720,000.00
10/24/14
1,720,000.00 *
1,720,000.00 *
6337 05/24/14 08/26/14 SELL EUR
1,320,000.00DR
2506 06/01/14 08/26/14 BUY EUR
1,320,000.00
08/26/14
.00 *
7920 06/06/14 09/08/14 BUY EUR
1,100,000.00
9888 06/27/14 09/08/14 SELL EUR
1,100,000.00DR
09/08/14
.00 *
.00 *
5289 02/23/14 08/25/14 SELL JPY
18,060,476DR
9700 02/28/14 08/25/14 SELL JPY
8,972,508DR
2658 03/15/14 08/25/14 BUY JPY
27,032,984
08/25/14
*
*
3575 05/09/14 08/11/14 SELL USD
207,658.00DR
08/11/14
207,658.00DR*
6693 05/16/14 08/19/14 SELL USD
167,008.00DR
8264 07/01/14 08/19/14 BUY USD
167,008.00
08/19/14
.00 *
7722 07/20/14 08/22/14 SELL USD
26,420.00DR
7997 07/27/14 08/22/14 BUY USD
8,804.00
08/22/14
17,616.00DR*
0771 07/11/14 10/13/14 SELL USD
2,640,000.00DR
10/13/14
2,640,000.00DR*
2,865,274.00DR*
3
CONTR CLOSING
RATE
CCY PRICE
UNREALIZED P/L
NET AMOUNT
----------- --- ----------- ------------------ -----------------1.2795500 SGD 1.2576409
37,683.62DR
2,200,826.00DR
37,683.62DR*
2,200,826.00DR*
35,980.62DR*
2,199,123.00DR*
1.7465300 SGD 1.7276103
24,973.89
2,305,419.60
1.7730500 SGD 1.7276103
59,980.29DR
2,340,426.00DR
35,006.40DR*
35,006.40DR*
1.7941000 SGD 1.7269822
73,829.50DR
1,973,510.00DR
1.7479700 SGD 1.7269822
23,086.50
1,922,767.00
50,743.00DR*
50,743.00DR*
85,749.40DR*
85,749.40DR*
64.8000000 SGD 64.0205965
3,393.10DR
278,711.05
64.3700000 SGD 64.0205965
760.74DR
139,389.59
62.9880000 SGD 64.0205965
6,922.25DR
429,176.73DR
11,076.09DR*
11,076.09DR*
11,076.09DR*
11,076.09DR*
1.2351000 SGD 1.2035111
6,559.68
256,478.40
6,559.68 *
256,478.40 *
1.2485000 SGD 1.2034928
7,516.56
208,509.49
1.2268900 SGD 1.2034928
3,907.52DR
204,900.45DR
3,609.04 *
3,609.04 *
1.2140000 SGD 1.2034859
277.78
32,073.88
1.2023500 SGD 1.2034859
10.00
10,585.49DR
287.78 *
21,488.39 *
1.2222800 SGD 1.2033359
50,012.27
3,226,819.20
50,012.27 *
3,226,819.20 *
60,468.77 *
3,508,395.03 *
TOTAL FOR CONTRA SGD
1,212,446.54 *
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
DEALT
NUMBER TRD DATE
DATE
B/S CCY
QUANTITY
------ -------- -------- ---- --- -----------------6682 05/13/14 08/03/14 BUY CAD
15,589.20
08/03/14
15,589.20 *
3224 06/15/14 08/17/14 BUY CAD
16,216.80
08/17/14
16,216.80 *
3285 06/15/14 09/01/14 BUY CAD
46,954.60
09/01/14
46,954.60 *
9054 06/23/14 09/08/14 BUY CAD
47,863.20
09/08/14
47,863.20 *
3804 07/28/14 09/27/14 SELL CAD
10,810.80DR
09/27/14
10,810.80DR*
8734 06/30/14 09/28/14 BUY CAD
36,336.00
09/28/14
36,336.00 *
152,149.00 *
6659 07/13/14 10/05/14 BUY JPY
1,561,680
2280 07/18/14 10/05/14 BUY JPY
2,154,600
10/05/14
3,716,280 *
8388 07/12/14 10/12/14 BUY JPY
2,974,400
10/12/14
2,974,400 *
6,690,680 *
8764 06/30/14 09/20/14 BUY MXN
522,016.00
09/20/14
522,016.00 *
522,016.00 *
4663 07/04/14 10/06/14 BUY NZD
1,220,000.00
10/06/14
1,220,000.00 *
1,220,000.00 *
4
CONTR CLOSING
RATE
CCY PRICE
UNREALIZED P/L
NET AMOUNT
----------- --- ----------- ------------------ -----------------0.9713700 USD .9550132
274.87
16,048.67DR
274.87 *
16,048.67DR*
0.9724000 USD .9553343
297.91
16,677.09DR
297.91 *
16,677.09DR*
0.9727000 USD .9556380
861.85
48,272.44DR
861.85 *
48,272.44DR*
0.9827000 USD .9557947
1,371.05
48,705.81DR
1,371.05 *
48,705.81DR*
0.9520600 USD .9562199
49.41
11,355.17
49.41 *
11,355.17 *
0.9650200 USD .9562423
345.62
37,653.11DR
345.62 *
37,653.11DR*
3,200.71 *
156,001.95DR*
78.8560000 USD 77.0138968
473.69
19,804.20DR
78.9530000 USD 77.0138968
687.11
27,289.65DR
1,160.80 *
47,093.85DR*
79.5280000 USD 77.0090515
1,223.37
37,400.66DR
1,223.37 *
37,400.66DR*
2,384.17 *
84,494.51DR*
11.7945000 USD 11.7850467
35.50
44,259.27DR
35.50 *
44,259.27DR*
35.50 *
44,259.27DR*
0.8241600 USD .8739161
60,702.52
1,005,475.20DR
60,702.52 *
1,005,475.20DR*
60,702.52 *
1,005,475.20DR*
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
5
DEALT
CONTR CLOSING
NUMBER TRD DATE
DATE
B/S CCY
QUANTITY
RATE
CCY PRICE
UNREALIZED P/L
NET AMOUNT
------ -------- -------- ---- --- ------------------ ----------- --- ----------- ------------------ -----------------3330 06/15/14 08/10/14 SELL SGD
1,703.00DR
1.2334750 USD 1.2035134
34.37DR
1,380.65
08/10/14
1,703.00DR*
34.37DR*
1,380.65 *
4942 06/01/14 08/26/14 BUY SGD
35,006.40
1.2314100 USD 1.2034768
659.82
28,427.90DR
08/26/14
35,006.40 *
659.82 *
28,427.90DR*
2315 06/27/14 09/08/14 BUY SGD
50,743.00
1.2419700 USD 1.2034458
1,307.89
40,856.86DR
09/08/14
50,743.00 *
1,307.89 *
40,856.86DR*
84,046.40 *
1,933.34 *
67,904.11DR*
TOTAL FOR CONTRA USD
1,358,135.04DR*
CURRENCY RECAP FOR OTC FX OPEN POSITIONS
CCY
DEALT AMOUNT
CONTRA AMOUNT
NET AMOUNT
-----------------------------------------------------------EUR
840,000.00DR
.00
840,000.00DR
CAD
1,872,149.00
2,331,515.60
4,203,664.60
GBP
.00
.00
.00
USD
7,145,274.00DR
1,358,135.04DR
8,503,409.04DR
AUD
.00
.00
.00
JPY
6,690,680
103,786,120
110,476,800
SGD
84,046.40
1,212,446.54
1,296,492.94
MXN
522,016.00
17,029,034.00
17,551,050.00
NZD
1,220,000.00
.00
1,220,000.00
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
NET EXPOSURE BY CURRENCY COMBINATION FOR OTC FX
EUR
CAD
GBP
USD
----------------------------------------------------------------------------EUR
840,000.00DR
CAD
1,108,338.00
51,733.00DR
1,427,059.60
GBP
USD
1,536,001.95DR
AUD
JPY
114,193,080
SGD
85,749.40DR
2,199,123.00DR
3,592,441.43
MXN
17,551,050.00
NZD
1,220,000.00
6
NET EXPOSURE BY CURRENCY COMBINATION FOR OTC FX (CONTINUED)
JPY
SGD
MXN
NZD
----------------------------------------------------------------------------EUR
CAD
1,720,000.00
GBP
USD
1,484,494.51DR
2,933,178.11DR
1,544,259.27DR
1,005,475.20DR
AUD
JPY
1,561,680DR
SGD
11,076.09DR
MXN
AUD
--------------------
2,154,600DR
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
7
NZD
BEGINNING BALANCE
*** ENDING BALANCE ***
*US DOLLARS*
1,105,297.07
1,321,672.74
ENDING BALANCE
FX UNREALIZED P&L
*** MARGIN EQUITY ***
1,321,672.74
68,256.24
1,389,928.98
1,127.63DR
.00
1,127.63DR
.00
140,336.14DR
140,336.14DR
1.60DR
.00
1.60DR
NET MARKET VALUE OF OPTIONS
*** NET LIQUIDATION VALUE ***
.00
1,389,928.98
.00
1,127.63DR
.00
140,336.14DR
.00
1.60DR
1,127.63DR
.00
1,127.63DR
140,336.14DR
.00
140,336.14DR
1.60DR
.00
1.60DR
MARGIN EQUITY
INITIAL MARGIN REQUIREMENT
*** MARGIN EXCESS/DEFICIT ***
CURRENCY CONVERSION RATE TO US
CONVERTED NET LIQ VALUE
BEGINNING BALANCE
1,389,928.98
631,354.07DR
758,574.91
1.00000000
1,389,928.98
*BRITISH POUNDS*
282.08DR
282.08DR
*AUSTRALIAN DOLLARS*
1,127.63DR
1,127.63DR
1.10010000
1,240.51DR
*KOREAN WON*
0DR
0DR
*CANADIAN DOLLARS*
.00
.00
1.04717535
146,956.55DR
*JAPANESE YEN*
506,032
506,032
*EUROS*
1.60DR
1.60DR
1.43635000
2.30DR
*NEW ZEALAND $$*
.00
.00
ENDING BALANCE
FX UNREALIZED P&L
282.08DR
.00
282.08DR
0DR
0
0DR
506,032
4,019,768DR
3,513,736DR
.00
.00
.00
.00
282.08DR
0
0DR
0
3,513,736DR
.00
.00
MARGIN EQUITY
282.08DR
.00
282.08DR
0DR
0
0DR
3,513,736DR
0
3,513,736DR
.00
.00
.00
1.64350000
463.60DR
.00094894
.00
.01297437
45,588.52DR
.87820000
.00
Monthly Statements
NEWEDGE USA, LLC
CHICAGO, IL 60661
˙
MONTHLY STATEMENT
ABC Trading Company
123 Main Street
Chicago IL 60606
F 000 12345
PAGE
BEGINNING BALANCE
*SWEDISH KRONOR*
21,662.28DR
21,662.28DR
*SINGAPORE DOLLARS*
15,359.69
15,942.98
*EURO TOTAL*
1.60DR
1.60DR
8
** MXN-FX **
.00
.00
ENDING BALANCE
FX UNREALIZED P&L
21,662.28DR
.00
21,662.28DR
15,942.98
72,337.34DR
56,394.36DR
1.60DR
.00
1.60DR
.00
673,516.00DR
673,516.00DR
.00
21,662.28DR
.00
56,394.36DR
.00
1.60DR
.00
673,516.00DR
MARGIN EQUITY
21,662.28DR
.00
21,662.28DR
56,394.36DR
.00
56,394.36DR
1.60DR
.00
1.60DR
673,516.00DR
.00
673,516.00DR
BEGINNING BALANCE
.15896229
3,443.49DR
*CONVERTED TOTAL*
1,119,474.63
1,336,334.94
ENDING BALANCE
FX UNREALIZED P&L
1,336,334.94
248,385.84DR
1,087,949.11
.00
1,087,949.05
MARGIN EQUITY
1,087,949.05
631,354.07DR
456,595.04
1.00000000
1,087,949.11
.83087539
46,856.69DR
1.43635000
2.30DR
.08526639
57,428.28DR
Monthly Statements
CONFIRMATION OF TRANSACTIONS: Terms and Conditions of Purchase and Sale and Disclosures for the Newedge Group and all Subsidiaries
Newedge Group:
Newedge Group is incorporated as a “Société Anonyme” in France. Newedge
Group is authorized by CECEI (Banque de France) and lead-regulated in France
by the Commission Bancaire and the Autorité des Marchés Financiers. Newedge
Group operates outside France through its branches in Germany, Dubai, Spain,
Hong Kong and UK. “Newedge” refers to Newedge Group and all of its
worldwide branches and subsidiaries.
If you believe that this statement contains unauthorized or impermissible trading activity,
or you have a complaint, please contact Newedge Group or relevant Newedge subsidiary
Compliance Department.
General:
All transactions are subject to our terms of business and any other relevant
agreement unless otherwise agreed to in writing (the “Customer Agreement”) such
terms and conditions being incorporated herein. All transactions executed or
cleared by us for your account are subject to your Customer Agreement or, if you
have not signed one, our standard terms and conditions from time to time in effect.
London Metals Exchange (LME) Transactions:
London Metals Exchange (LME) Transactions: All LME registered client contracts are
governed by the Customer Agreement and can only be issued by Newedge Group, the
LME category 1 member, as principal. Newedge Subsidiaries may carry accounts for
clients that receive LME registered client contracts on the basis of a principal-to-principal
relationship with Newedge Group. Your statement will identify such contracts by the
words “LME REGISTERED CLIENT CONTRACT”.
Toutes les opérations sont régies par nos conditions générales ou par tout autre
accord écrit (ci-après la "Convention Client"), ces conditions générales et ces
accords s'incorporant de plein droit à la présente. Toutes les opérations exécutées
ou compensées par nous pour votre compte sont régies par la Convention Client
ou, dans la mesure où vous n'avez pas signé de convention, par nos conditions
générales en vigueur.
This statement is an official record of your account(s) at Newedge Group or the
relevant Newedge subsidiary. If you believe this statement contains or reflects any
inaccuracy, error, discrepancy, unrecorded dividend payments or unaccounted cash
position, it is important for your own protection that you report it to us
immediately. All trades in your account and all items on this statement are binding
upon you unless you notify us immediately upon the earlier of the time-frame set
forth in your Customer Agreement, applicable confirmation or if not applicable, by
open of trading on the next business day or any later period mandated by law.
Cet avis constitue le relevé de vos comptes ouverts auprès de Newedge Group ou
de toute autre entité de Newedge Group. Si vous pensez que ce relevé est inexacte,
contient une erreur, qu'une position cash n'est pas reflétée ou que le paiement d'un
dividende n'est pas enregistré il est important, afin de sauvegarder vos droits, de
nous le notifier immédiatement. Toutes les opérations reflétées sur votre compte
ainsi que tout ce qui figure sur ce relevé vous lie en l'absence de contestation
effectuée conformément aux stipulations de la Convention Client ou de toute
confirmation et en l’absence de clauses spécifiques, le jour ouvré suivant
l’opération considérée ou tout autre délai spécifié par la réglementation en vigueur.
If “IB COMMISSION” is on your statement, the amount next to it is the
commission charged by your Introducing Agent. “APS” designated under the
contract description denotes an average price trade.
Si la mention “IB Commission” figure sur votre relevé, le montant en face
correspond à la commission chargé par l’apporteur d’affaires. La mention « APS »
affichée sous le descriptif du contrat signifie une transaction à « cours moyen ».
In certain jurisdictions and on certain Exchanges, you may not receive an
exchange contract. These transactions may be OTC contracts which may
materially reflect the terms of the equivalent derivatives futures or options contract
but are not exchange contracts (e.g. KRX,).
Dans certains pays ou sur certains marchés, il est possible que vous n’obteniez pas
un contrat sur marché réglementé. Ces transactions pourront être de gré à gré et
dans ce cas refléteront les conditions équivalentes à celles du produit dérivés listés
mais ne constitueront pas un contrat sur marché réglementé (par exemple KRX,
BSE, NSE).
Please notify us promptly of any material change in your investment strategy or
financial situation.
Veuillez nous notifier sans délai tout changement important de vos objectifs
d’investissement ou de votre situation financière.
The following information is available upon written request (as applicable by law):
executed time; counterparty details including fees, other charges and commissions;
summary financial statements; if Newedge USA, LLC, or Newedge Canada Inc.
acted as agent for both buyer and seller; the commission charged to the party;
order taker; any agent used; and directors and senior officers list.
Les informations suivantes sont disponibles sur demande écrite (conformément à
la règlementation applicable) : heure d'exécution, détails concernant la contrepartie
incluant les commissions, toutes autres charges et commissions, un résumé des
relevés de compte. Si Newedge USA, LLC ou Newedge Canada Inc, agit en
qualité d'agent du vendeur et de l'acheteur, vous pourrez disposer des informations
relatives aux commissions prélevées, à l'identité du preneur d'ordre et de tout agent
utilisé ainsi que de la liste des directeurs et des responsables.
Si vous pensez que ce relevé reflète des opérations non autorisées ou non permises par la
réglementation ou pour toute réclamation veuillez contacter le Département Conformité
de Newedge Group ou de l'entité de Newedge Group concernée.
Transactions sur le London Metals Exchange (LME): Tout contrat sur produits dérivés
enregistrés sur le LME est régi par la convention client "Customer Agreement". Ces
contrats sont émis par Newedge Group qui, en sa qualité de Membre de catégorie 1 sur le
LME, est contrepartie aux contrats "principal" . Les entités du groupe Newedge peuvent
détenir sur les comptes de leurs clients les contrats enregistrés sur le LME dans le cadre
de la relation "principal-to-principal" qui lie les clients avec Newedge Group. L'avis
d'opéré identifie ces contrats ainsi: "LME REGISTERED CLIENT CONTRACT".
Foreign Exchange, Commodity OTC and Contracts for Difference Transactions:
Foreign exchange, commodity OTC and Contracts for Difference transactions are
governed by the relevant Customer Agreement and, in the absence of an executed
Customer Agreement, an agreement in the form of the ISDA Master Agreement or long
form ISDA confirmation shall apply unless otherwise agreed in writing.
Les opérations de change, les opérations OTC sur marchandises et les opérations de
type CFD sont régies par la convention client correspondante. En l’absence d’une
convention signée ou d’un quelconque engagement écrit, un contrat de type ISDA
s’appliquera.
USA: Newedge USA, LLC
Newedge USA, LLC is a member of FINRA and the Securities Investor Protection
Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC
Brochure, by contacting SIPC at (202) 371-8300 or www.sipc.org. In accordance with the
SEC Customer Protection Rules, Newedge USA, LLC may use free-credit balances in
your securities account in the operations of their business. Such balances are payable to
you upon demand and, although properly accounted for on their records, are not
segregated. Futures accounts are not afforded SIPC protection.
With respect to fixed income securities: (a) This substitute 1099-B serves to inform you
of the amount of proceeds reported to the IRS; (b) when applicable, the CUSIP number
and description of the item being reported is shown; (c) all items are reported by trade
date; and (d) if your Taxpayer Identification Number has not been provided, you are
subject to backup withholding at 28% rate on certain payments. Call or redemption
features for fixed income securities may affect yield. Debt Securities with a zero coupon
have no periodic payments. Such securities may be callable at a price below their
maturity.
USA Compliance Department contact information:
Newedge USA, LLC may be reached at: 550 W. Jackson Blvd, Suite 500, Chicago,
Illinois, 60661: Operations 312-258-2448 or Compliance Department 312-258-2223.
Canada:
Newedge Canada Inc. is a member of the Canadian Investor Protection Funds ("CIPF").
Customers' accounts are protected by the CIPF within specified limits. A brochure
describing the nature and limits of coverage is available upon request. Any free credit
balances represent funds payable on demand which, although properly recorded in our
books, are not segregated and may be used in the conduct of our business. For the shares,
the following abbreviations may appear on your statement: NV-Non Voting; RVRestricted Voting; SV-Subordinate Voting. Please keep this statement for income tax
purposes, as no other form will be provided in respect of these transactions.
Newedge Canada Inc. est membre du Fonds canadien de protection des épargnants
("FCPE"). Les comptes de clients sont protégés par le FCPE jusqu’à concurrence de
limites précises. Il est possible d’obtenir sur demande une brochure décrivant la nature et
la limite de la couverture. Tout solde créditeur libre représente des fonds payables sur
demande qui, bien que correctement inscrits dans nos registres, ne sont pas gardés
séparément et peuvent être utilisés dans la conduite de nos affaires. Pour les actions, les
abréviations suivantes peuvent figurer dans votre relevé: NV – Non votantes; RV – Vote
restreint; SV – Vote limité. Veuillez conserver ce relevé aux fins d’impôt car aucun autre
formulaire ne sera émis pour ces transactions.

FX - Newedge

Transcription

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