Membership Requirements for Iraqi Brokerage Companies on Abu Dhabi Securities Exchange (ADX) for Trading via TABADUL Platform

1. Completion of the Foreign Brokerage Firm Entry Form (according to the attached Form T/1).
2. A copy of the license to practice brokerage activity granted to the foreign (Iraqi) brokerage firm in the home country.
3. A copy of the membership certificate of the supervisory authority (Iraqi Securities Commission) in the International Organization of Securities Commissions (IOSCO), and applies controls and procedures no less than those in the country regarding "Know Your Customer" (KYC) and "Customer Due Diligence" (CDD) standards, Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT), and CRS and FATCA regulations, as well as meeting any requirements under the applicable UAE Commercial Companies Law.
4. A certificate of no objection from the same supervisory regulatory body in the home country (Iraq) as required by its laws.
5. A copy of the contract between the foreign (Iraqi) brokerage firm and the clearing member in the country.
6. A copy of the internal control system that ensures the proper application of laws, regulations, decisions, and circulars issued pursuant thereto, and the internal regulations in force in the market.
7. A copy of the Company's Operational Risk Management Manual.
8. Investor Number from Abu Dhabi Securities Exchange (ADX) (according to the attached Form and Requirements).
9. Production use details (according to the attached Form).
10. Broker trading limit on Abu Dhabi Securities Exchange (Official letter from the Exchange) (according to the attached Form).

Additional Conditions from the Iraqi Securities Commission:

1. Availability of a robust Back Office system approved by the Iraqi Securities Commission.
2. Availability of a robust Online Trading System approved by the Iraqi Securities Commission.

ADX Membership Remote Access Requirements For TABADUL Trading Platform:

1. Remote Access for Foreign Brokerage Firm Application (template attached)
2. A copy of the license to practice the brokerage activity granted to the foreign brokerage firm in the parent country.
3. A copy of the membership certificate of the supervisory authority in the International Organization of Securities Commissions (IOSCO), and applies controls and procedures no less than those in the country regarding know your customer (KYC), due diligence measures (CDD), money laundering and terrorist financing (AML/CFT), FATCA and CRS regulation as well as meeting any requirements in accordance with the applicable UAE Commercial Companies Law.
4. A certificate of no objection from the same regulatory body in the mother country as required by its laws.
5. A copy of the contract between the foreign brokerage firm and the member of the clearing within the State.
6. A copy of the internal control system that ensure the proper application of law and regulations, decisions and circulars issued pursuant to it and the internal regulations in force in the market.
7. A copy of the Company Operational Risk Management Manual.
8. Investor Number Application Form to ADX (template and Requirement attached)
9. Production use details (template attached)
10. Broker trading Limit on ADX (Official letter from the Exchange) (template attached)

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ADX
TABADUL
Exchange Hub | منصة التبادل

Trading for a Foreign Brokerage Firm

GENERAL INFORMATION

Applicant Information:
Company Name:
Address:
P.O. Box:
Phone:
Fax:
Email & Website:
Number of User Requested:
Country of Incorporation:
Name of the Home Regulator:
Country of Jurisdiction of Home Regulator:
The Home Regulator is a member of the International Organization of Securities Commissions (IOSCO)?

• Yes □ No

Legal form of Applicant:

• Subsidiary of a foreign Bank
• Joint Stock Company incorporated in foreign country
• Subsidiary of a foreign company that is engaged in financial services business
• Subsidiary of a foreign financial institution
• Others (specify)

Contact Details:
Name of key person:
Job Position:
Address:
P.O. Box:
Phone:
Fax:
Email:

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EMPLOYEE INFORMATION

Job title	Name	Nationality	Contact Numbers
المدير العام General Manager
مدير التداول Trading Manager
مدير العمليات Operation Manger
المراقب الداخلي Compliance Manager
المدير المالي Finance Manager

BROKER TRADERS

Name	Nationality	Contact Numbers

BOARD OF DIRECTORS DETAILS

Name	Job title	Ownership	Nationality

LIST OF AUTHORIZED NAME

Name	Job title	Telephone No	Signature

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DECLARATION & ACKNOWLEDGEMENT

1. We, the undersigned, hereby acknowledge that all information provided and all documents in this application and attached thereto are accurate and correct.
2. We also undertake to disclose to Abu Dhabi Securities Exchange any information about the Company or its customers upon request and any changes in the Companys organizational or financial status or any decisions taken by the Company in the parent country or any country in which it operates.
3. We undertake to take care and maintain the confidentiality of information and data when practicing activity in the State and abide by the provisions of laws, regulations, decisions, controls and circulars issued pursuant thereto.
4. In addition, that our company implements controls and procedures are not less than the applicable state on know your customer (KYC) and measures of customer due diligence (CDD), money laundering and the financing of terrorism (AML / CFT), FATCA and CRS regulation as well as satisfy any requirements under the law of the UAE Commercial Companies.
5. We acknowledge that our professional records with the regulatory authorities licensed to us do not include during the six months preceding the date of submitting this request any decisions on suspension or serious irregularities such as violations of the standards of solvency or separation of accounts.
6. Our company also has the necessary software and technical systems in accordance with the requirements set by the Abu Dhabi Securities Exchange decisions and circulars issued pursuant to it and the internal regulations in force in the market.
7. We shall maintain adequate internal control measures and risk management systems to monitor and manage our risk exposure in the market as well as risk associated with our business operations to the satisfaction of ADX and / or the selected market where applicable.
8. We shall not act contrary to the interests of the investing public, or to the requirements of ADX, the SCA or the relevant market regulator.
9. We shall make satisfactory provisions for an orderly, transparent and fair conduct of business and undertake the necessary provisions for the supervision of our employees and representatives.
10. We shall ensure compliance to ADX rules and/ or the selected market rules as well as SCA regulations where applicable.
11. We have arrangement, procedures and policies in place to ensure the timely statement of transactions executed on the hub.
12. We further undertake that ADX shall not be liable for any loss incurred by the member firm in the course of it dealing and activities through the hub. Thus, ADX is not responsible for any damage or loss, which could occur due to any delay, disconnection or malfunction of the hub, be it temporary or permanent for any reason.
13. We accept the standards of professional conduct, regulations as determined by the Abu Dhabi Securities Exchange and undertake to comply with them.
14. We accept that Abu Dhabi Securities Exchange may reject this request without any justification.

1. نحن الموقعون أدناه، نقر بأن كافة المعلومات المقدمة وجميع المستندات في هذا الطلب والمرفقة به دقيقة وصحيحة.
2. كما نتعهد بالإفصاح لسوق أبو ظبي للأوراق المالية عن أي معلومات عن الشركة أو عملائها عند الطلب وعن أي تغييرات تطرأ على وضع الشركة التنظيمي أو المالي أو أي قرارات متخذه بحق الشركة في البلد الأم أو أي بلد تزاول الشركة نشاطها به.
3. ونتعهد ببذل عناية الرجل الحريص والحفاظ على سرية المعلومات والبيانات عند مزاولة النشاط في الدولة (الامارات العربية المتحدة) والالتزام بأحكام القوانين والأنظمة والقرارات والضوابط والتعاميم الصادرة بمقتضاه.
4. بالإضافة إلى ذلك، وبأن شركتنا تطبق ضوابط وإجراءات لا تقل عن المطبقة في الدولة بشأن أعرف عميلك (CYK)، وتدابير العناية الواجبة للعملاء (DDC)، وغسل الأموال وتمويل الإرهاب (TFC / LMA) فضلاَ عن استيفائها لأي متطلبات وفقاَ لقانون الشركات التجارية الإماراتي.
5. ونقر بأن سجلنا المهني لدى الجهات الرقابية المرخصة لنا لا يتضمن خلال الست أشهر السابقة لتاريخ تقديم هذا الطلب على قرارات بالإيقاف عن العمل أو مخالفات جسيمة كمخالفات معايير الملاءة المالية أو الفصل بين الحسابات، وأنه لم يتم رفض ترخيص من أي جهة رقابية مثيلة للهيئة.
6. كما أنه تتوفر لدى شركتنا البرامج الإلكترونية والأنظمة الفنية اللازمة وفقاَ للمتطلبات التي حددها سوق أبو ظبي للأوراق المالية، وبكفل سلامة تطبيق القوانين والأنظمة والقرارات والتعاميم الصادرة بمقتضاها واللوائح الداخلية المعمول بها.
7. يجب علينا اتخاذ كافة تدابير الرقابة الداخلية وأنظمة إدارة المخاطر الكافية لمراقبة وأدارة المخاطر المعرضين لها في السوق وكذلك المخاطر المرتبطة بعملياتنا التجارية بما يرضي سوق أبو ظبي للأوراق المالية / أو السوق المعني حينما ينطبق ذلك.
8. لن نتصرف بما يتعارض مع مصالح المستثمرين العامة أو مع متطلبات هيئة الأوراق المالية والسلع أو الجهة التنظيمية للسوق المعني.
9. سوف نضع أحكام مرضية لإجراءات أعمالنا بشكل منظم وشفاف وعادل ونتولي الأحكام اللازمة للإشراف على موظفينا.
10. يجب علينا الامتثال لقواعد سوق أبو ظبي للأوراق المالية / أو السوق المعني حينما ينطبق ذلك.
11. لدينا الترتيبات والإجراءات والسياسات المعمول بها لضمان تسوية المعاملات المنفذة في المنصة في الوقت المناسب.
12. كما نتعهد بأن سوق أبو ظبي للأوراق المالية لن يكون مسؤول عن أي خسارة تتكبدها الشركة في سياق تعاملاتها وأنشطتها عبر المنصة. وبالتالي فإن السوق ليست مسؤولة عن أي ضرر أو خسارة قد تحدث بسبب أي تأخير أو عطل بالمنصة، سواء أن كان مؤقتاَ أو دائماَ لأي سبب من الأسباب.
13. نحن نقبل بمعايير السلوك المهني والأنظمة واللوائح كما هي مقررة من قبل سوق أبو ظبي للأوراق المالية ونتعهد بالتقيد والالتزام بها.
14. ونتعهد ونقبل بأن هذا الطلب قد يرفض من قبل سوق أبوظبي للأوراق المالية دون أي تبرير.

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Date:
Name:
Job Title:
Singnature:
Company Stamp

REQUIRED DOCUMENTS

1. Filling form of trading a foreign brokerage firm.
2. A copy of the license to practice the brokerage activity granted to the foreign brokerage firm in the parent country.
3. A copy of the membership certificate of the supervisory authority in the International Organization of Securities Commissions (IOSCO), and applies controls and procedures no less than those in the country regarding know your customer (KYC), due diligence measures (CDD), money laundering and terrorist financing (AML/CFT) FATCA and CRS regulation as well as meeting any requirements in accordance with the applicable UAE Commercial Companies Law.
4. A certificate of no objection from the same regulatory body in the mother country as required by its laws.
5. A copy of the contract between the foreign brokerage firm and the member of the clearing within the State.
6. A copy of the internal control system that ensure the proper application of law and regulations, decisions and circulars issued pursuant to it and the internal regulations in force in the market.
7. A copy of the Companys Operational Risk Management Manual.

1. تعبئة نموذج تداول شركة وساطة أجنبية
2. نسخة من رخصة مزاولة نشاط الوساطة الممنوحة لشركة الوساطة الأجنبية في الدولة الأم من جهة رقابية مثيلة للهيئة سارية المفعول.
3. نسخة من شهادة العضوية للجهة الرقابية في المنظمة الدولية لهيئات الأوراق المالية (الأيوسكو)، وتطبق ضوابط وإجراءات لا تقل عن المطبقة في الدولة بشأن اعرف عميلك (KYC)، وتدابير العناية الواجبة (CDD)، وغسل الأموال وتمويل الإرهاب (/CFT AML)، فضلاَ عن استيفائها لأي متطلبات وفقاَ لقانون الشركات التجارية الإماراتي المعمول به.
4. شهادة عدم ممانعة من الجهة الرقابية المثيلة في الدولة الأم متى طلبت قوانينها ذلك.
5. نسخة من العقد المبرم مع السوق الأجنبي (تقاص عام) ليتولى عمليات تقاص وتسوية عمليات التداول بين شركة الوساطة الأجنبي وبين عضو التقاص داخل الدولة.
6. نسخة من نظام الرقابة الداخلية بما يكفل سلامة تطبيق القانون والأنظمة والقرارات والتعاميم الصادرة بمقتضاه واللوائح الداخلية المعمول بها لدى السوق.
7. نسخة من الدليل التشغيلي للشركة لإدارة المخاطر.

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TABADUL
Member Collateral Allocation Form

To be filled by the applicant
Date: -
Broker Name: -
Exchange: -
The Existing Bank Guarantee under: -

Exchange	Local Currency	Current Amount In Local Currency	Status Mark if New	Amount AED
ADX	AED	-	-	-
BHB	BHD	-	-	-
BHB-MM	BHD	-	-	-
MSX	Oman Riyal	-	-	-
MSX-MM	Oman Riyal	-	-	-
AIX	KZT	-	-	-
KASE	KZT	-	New	-
AMX	USD	-	-	-
Total Trading Limit Via Tabadul				-

Note: if you are a market maker on any Market, please add a Separate amount. For status please specify If its new request or change. Applicants Notes:

Authorized Signatory Broker Confirmation:
Name:
Title:
Date:
Signature and Stamp:

To be filled and Singed by Authorized Signatory in the Exchange /Depository Name:
Title:
Date:
Signature and Stamp:

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ADX
Abu Dhabi Securities Exchange
Tabdul Hub Production Users Request

Date:
Brokerage Firm Name - Symbol
Exchange

1. Trading User (Create only 2 users for trading)

Maker Employee Name	Job Title	Mobile	Email
1.
2.

2. Equator System (Equator Users with specification of who is the Maker / Checker

Maker Employee Name	Job Title	Mobile	Email	User privileges
1.				Maker
2.				Checker

Approval and Signature: (Authorized)
Name:
Title:
Signature & Stamp:

PO Box 54500, Abu Dhabi, United Arab Emirates | Tel: +971 2 6277777 | ص.ب 54500، أبوظبي، الإمارات العربية المتحدة | adx.ae

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ADX
Abu Dhabi Securities Exchange
Investor Number (IN) Application Form

1. Individual
Full Name:
Birth Date:
Nationality:
Mother Name:
Gender: □ Female □ Male
Passport Expiry Date:
Passport No:
Family No:
City No:
Family Book No:
National ID Expiry Date:
National ID No:
Guardian IN No:
Guardian Name:

2. Company / Fund / Free Zone
Company Name:
Issue Place:
Nationality:
Trade License No:
Commercial Trade No:
Expire Date:
Trade Issue Date:

3. Address
Telephone1:
P.O.Box:
Telephone2:
Postal Code:
Mobile:
City:
Fax:
Emirate:
E-mail:
Country:

4. Bank Account
Bank Account No:
Bank Name:
Branch Name:
City / Country:

The undersigned hereby certify that I am the holder of the above mentioned bank account and that I agree to allow ADX to transfer my entitlements of cash dividends distributed by issuers for securities owned by myself to the same account, without any legal responsibility on ADX even in the cases of closing or freezing or blocking the account onto the deposited funds. I also undertake to promptly update the said account's information and details as soon as any changes occur.

Signature:
Date:
Applicant Name:

For ADX Authorize Member Use Only

The undersigned confirm that I have checked the accuracy and completeness of the above information and supporting documents Signature:
Date:
Name:

For Official Use By ADX Only
رقم المستثمر:
اسم الموظف: | Staff Name:
التوقيع | Signature
التاريخ: | Date:

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Requirements for Issuing Investor Number (IN)

Individual

1. True copy of Valid Passport.
2. True copy of Valid Identify Card.
3. True copy of Personal Card (Foreigner).
4. True copy order for the guardian below 21.
5. True copy of Bank Account details.

Company:

1. True copy of Valid Commercial Licence.*
2. Memorandum or Articles of Association.
3. True copy of List of authorised signatories in ADX.*
4. True copy of Bank Account details.

Fund

1. True copy of Issue fund approval letter from Central Bank.*
2. True copy of Mother Fund Commercial License.*
3. True copy of List of authorize signature.*
4. Prospectus of the fund.
5. True copy of Bank Account details.

Free Zone

1. True copy of Valid Free Zone License.*
2. Memorandum or Articles of Association.
3. List of authorised signatories.
4. Copy of Bank Account details.

Institution

1. True copy of Valid Commercial Licence.*
2. Memorandum or Articles of Association.
3. List of authorised signatories.*
4. Application for authorization to sell shares of client.
5. Copy of Bank Account details.

Government

1. True copy of Law or Royal Decree establishing the Authority.
2. True copy of the authorised signatories.
3. True copy of Bank Account details.