ICE FUTURES EUROPE
MEMBERSHIP APPLICATION FORM
Please complete and return to:
ICE Futures Europe Membership Department
ICE Futures Europe
5th Floor, Milton Gate
60 Chiswell Street
London, EC1Y 4SA
United Kingdom
If you have any questions regarding this application form please contact:
Ann Carroll +44 (0)20 7065 7737 ann.carroll@theice.com
or
Narinder Nijher +44 (0)20 7065 7740 narinder.johal@theice.com
ICE Futures Europe – Application Form
Ref: M05_011012
www.theice.com
1. APPLICATION DETAILS
Legal name of Applicant:
Registered address:
Mailing address: (if different)
Address in England for service of
notices: (if different)
Telephone no.
(including country code)
Fax no.
(including country code)
Website address:
Name, address and position of person responsible for processing application:
Telephone no.
(including country code)
Fax no.
(including country code)
E-mail address:
Please tick class of membership applied for:
GENERAL PARTICIPANT
GENERAL PARTICIPANT
ICE BLOCK BROKER: BLOCK
TRADE CONTRACTS AND EFMS
ONLY
TRADE PARTICIPANT
INDIVIDUAL PARTICIPANT
GENERAL PARTICIPANT
ICE BLOCK BROKER: EFPs
AND EFSs ONLY
GENERAL PARTICIPANT ICE
BLOCK BROKER: BLOCK TRADE
CONTRACTS, EFPs, EFSs AND
EFMs
Please tick clearing status as appropriate:
CLEARING
ICE Futures Europe - Application Form
Ref: M05_011012
NON CLEARING
www.theice.com
2. COMPANY INFORMATION
2.1
Certificate of Incorporation, Memorandum and Articles of Association
If applying for General or Trade Participant category of membership (or in the case of an application for the
Individual Participant category of membership where the Applicant is a company) please provide:
a) A copy of the Certificate of Incorporation (or local equivalent*) and a Certificate of Incorporation on Change of
Name (or local equivalent*) if applicable;
b) A copy of the Memorandum and Articles of Association (or local equivalent*).
(*please provide an English translation if applicable, certified by the Company Secretary or Head of Legal)
2.2
Corporate Structure and Key Personnel
Please provide the following:
a) A group organisation chart (if applicable), and/or an organisation chart detailing all staff to be involved in ICE
Futures Europe operations.
b) A list of Directors;
c) Details of Key Personnel, Emergency Contacts and a generic e-mail address for receipt of Exchange Circulars by
completing Appendices A and B;
d) Names of and proof of identity for any shareholders directly or indirectly owning or controlling more than 25% of the
Company (“Beneficial Owners”) by completing Appendix C.
2.3
Business and Financial Information
a) Please answer the following questions by providing details in the spaces provided and by ticking YES or NO.
(i) What is the nature of your business?
(ii) Are you currently trading/broking ICE products?
YES
(If yes, please give details of products currently traded in the space below)
(iii) How are you accessing the markets?
(iv) What is the type and quantity of your trading/broking?
(v) Please state which clearing firm(s) you currently use for ICE Futures Europe business.
ICE Futures Europe - Application Form
Ref: M05_011012
NO
www.theice.com
(vi) Will you be trading proprietary business (for your own account or the account of a company within your
corporate group)?
YES
NO
(vii) Will you be acting on behalf of clients?
YES
NO
b) In the space below (or attached to the Application on a separate sheet) please provide:



Your reasons for wishing to become a Member
Details of relevant experience and expertise the Applicant’s staff have had in the industry
Any other relevant facts that the Applicant believes will be helpful in assisting the Exchange with this
application
c) Please submit with your application:

d)
The last 3 years’ annual audited accounts or, in the case of a new company, an audited opening balance
sheet
Please insert below:
The date of the Company’s financial year-end
(e.g. 31st December)
Company registration number
2.4
Authorised Signatory List
If applying for General Participant, General Participant ICE Block Broker: Block Trade Contracts and EFMs only,
General Participant ICE Block Broker: EFPs and EFSs only, General Participant ICE Block Broker: Block Trade
Contracts, EFPs, EFSs and EFMs, or Trade Participant category of membership (or in the case of an application for the
Individual Participant category of membership where the Applicant is a company) please provide:

A list of the company’s authorised signatories together with an explanation of the respective authorisations and
signing procedure. This must include sample signatures for each individual listed.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
3. INDIVIDUAL PARTICIPANT INFORMATION
(ONLY TO BE COMPLETED BY AN APPLICANT SEEKING TO BECOME AN INDIVIDUAL PARTICIPANT)
In respect of an application for the Individual Participant category of membership, please provide:
a) Proof of identity (e.g. originals or certified copies of current signed passport/national identity card or UK photocard
driving licence)
b) 2 items providing proof of permanent residential address (e.g. originals or certified copies of UK photocard driving
licence, 1 to be a bank statement, utility bill or local authority tax bill valid for the current year)
c) Evidence of having gained at least 1 year’s experience as a trader on a futures exchange, or, of having passed the
ICE Futures Europe Responsible Individual (“RI”) tutorial.
In determining an applicant’s suitability for Individual Participant Membership, ICE Futures Europe will also have regard
to:
a) The individual’s knowledge and understanding of the products traded on the market and of the risks involved;
b) The length of time the individual has been active in these markets and the frequency of the individual’s dealings
in those markets;
c) The size and nature of transactions that have been undertaken by the individual in these markets;
d) The individual’s financial standing, which may include an assessment of his/her net worth or of the value of
his/her portfolio.
In determining an applicant’s suitability, ICE Futures Europe reserves the right to ask for such additional materials
and documentation it considers appropriate.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
4. REGULATORY STATUS
It is a Member’s responsibility to ensure that the Member has the appropriate regulatory status in each jurisdiction
in which the Member operates or plans to operate. If you have any questions, please contact your Compliance
Officer for guidance. Details of ICE Futures Europe’s various jurisdictional approvals can be found at
www.theice.com/publicdocs/futures_jurisdiction.pdf and should be consulted by the Member to ensure that there
are no jurisdictional restrictions applicable to the Member’s proposed trading arrangements.
4.1
Confirmation of Regulator
If the Applicant is regulated or authorised by the Financial Services Authority (“FSA”), please give full details below.
If the FSA is not the Applicant’s lead regulator please give full details of the lead regulator.
Regulatory Organisation
Contact Name at
Regulator
Members Registered
Company name
Status and Regulator’s
identification
code/number
Date of Admission
(DD/MM/YY)
If the Applicant is NOT regulated or authorised, below please either give the reasons for not being regulated or
authorised as appropriate, or confirm that an application for authorisation (if applicable) has been made to the FSA
or other regulatory body (attach evidence to the application).
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
4.2 (i)
Jurisdictional Declarations
(i) Please read the following carefully, and confirm the statements which apply to the organisation by ticking the
relevant box(es) and (if applicable) providing an answer in the space provided below.
a)
I confirm that I have read and understood the relevant jurisdictional information contained in the document at
www.theice.com/publicdocs/futures_jurisdiction.pdf, will continue to monitor changes to the document, and
have obtained legal advice to confirm that the Company will not be acting in breach of any applicable legal or
regulatory provisions, nor in a way that would bring ICE Futures Europe into disrepute with a Regulatory
Authority or any third party.
As an applicant incorporated or operating in, or intending to enter into, a broking, clearing or order routing
arrangement with another party from, one of the following jurisdictions which has specific Member obligations
Australia
ICE Futures Europe Circular 10/016
Singapore
ICE Futures Europe Circular 09/033
the Company proposes to comply with those obligations in the following manner: (Please describe proposed
actions/systems/controls as necessary in the space below).
b)
Not Applicable
By ticking the Not Applicable box above, I confirm that the organisation IS NOT incorporated in Australia or
Singapore and intending to enter into a broking, clearing or order routing arrangement with another party from
Australia or Singapore.
(ii) Location of Order Entry Screens of Responsible Individuals
A Member is required to provide details of the locations of all the screens where orders are entered and trades
made on ICE’s electronic trading platform by a Responsible Individual registered with that Member and to ensure
that ICE Futures Europe has an accurate and inclusive record of such locations throughout the period of
membership. Pursuant to the Regulations, Members must provide accurate details of such locations and other
related information upon request by ICE Futures Europe.
Details of ICE Futures Europe’s various jurisdictional approvals can be found at
www.theice.com/publicdocs/futures_jurisdiction.pdf and should be consulted by the Member to ensure that
there are no jurisdictional restrictions applicable to the Member’s proposed trading arrangements.
The jurisdictions document lists the jurisdictions in which ICE Futures Europe is permitted to grant access to the
ICE Platform. It details restrictions of which the Exchange has been made aware. It does not constitute legal
advice, nor should it be relied upon as such by any party, in any context. Prospective market participants should
obtain their own legal, licensing and tax advice in relation to trading activities in the jurisdictions from which they
propose to access the ICE Platform to trade ICE Futures Europe contracts.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
5. EXCHANGE AND CLEARING HOUSE MEMBERSHIPS
Please give full details of any futures and/or options Exchange or Clearing House in the UK or overseas which the
Applicant is currently a member of.
Exchange/Clearing House
Class of membership
Name and email address of contact at
Exchange/Clearing House
If the Applicant has ever applied to and has been rejected by, or has been expelled from any futures and/or options,
securities or commodities exchange or clearing house in the UK or overseas please give full details. Please include
the reasons for expulsion or why membership was denied.
Exchange/
Clearing House
Contact name at
Exchange or
Clearing House
ICE Futures Europe - Application Form
Ref: M05_011012
Class of
membership
Date of
Application
(DD/MM/YY)
Reasons for rejection or expulsion
www.theice.com
6. DISCIPLINARY MATTERS
Please read each question fully, noting that the Applicant’s answers (indicated by a tick in the relevant column),
should include the activities of all Directors and Senior Executives not authorised by the FSA in the case of a
company’s application for the General or Trade or Individual Participant category of membership; further, in the event
of an application for Individual Participant where the Applicant is not a Director or Senior Executive of the company, or
alternatively where the Individual Participant is not a company, then responses should be provided in respect of the
Applicant.
YES*
A.
Has the Applicant ever been the subject of disciplinary procedures by the FSA (or its
predecessors), an exchange or professional body, or Government body or agency in the
UK or similar entity overseas?
B.
Is the Applicant currently aware of or currently under any special investigation by an
auditor, self regulating or professional body, an exchange, FSA, government body or
agency whether in the UK or overseas?
C.
Has the Applicant ever been convicted or found guilty in respect of any criminal offence,
other than a minor traffic offence?
D.
Has the Applicant been the subject of a refusal or restriction to carry on trade, business
or profession requiring a licence, registration or other authorisation?
E.
Has the Applicant ever been dismissed or requested to resign from any office or
employment?
F.
Has the Applicant ever been, or is the Applicant currently concerned with the
management of a corporate body which has been, or is currently the subject of an
investigation into an allegation of misconduct or malpractice?
G.
Has the Applicant ever been, or is the Applicant currently the subject of, an investigation
into an allegation of misconduct or malpractice?
H.
Has the Applicant ever been subject to an order of disqualification as a director?
I.
Has the Applicant ever been subject to an adverse finding in a civil action by any court of
competent jurisdiction of fraud or other misconduct, whether in connection with the
formation or management of a corporation or otherwise?
J.
Has the Applicant been a director, partner or concerned in the management of a
company or partnership which has gone into insolvent liquidation (or the equivalent in any
jurisdiction) whilst that person/body was connected with that company or partnership or
within one year of such a connection? In the case of an application for Individual
Participant class of membership, has the Applicant ever been adjudged bankrupt (or the
equivalent) in any jurisdiction?
NO
K. Has the Applicant ever had any judgment against it by a court of competent jurisdiction?
* If the answer to any of these questions is YES, please provide details on a separate sheet. Minor infringements
need not be declared, but any disciplinary action involving Market or Client abuse in the last 5 years must be
declared, as must any penalty in excess of $50,000 for whatever reason.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
7. 60/40 TAX TREATMENT
(ONLY TO BE COMPLETED BY APPLICANTS BASED IN THE UNITED STATES OF AMERICA)
For completion in relation to the designation by the US Internal Revenue Service (“IRS”) of ICE Futures Europe as
a “qualified board or exchange” within the meaning of § 1256(g)(7)(C) of the US Internal Revenue Code.
The applicant is requested to provide confirmation of
its United States Tax Identification Number (if any):
8. US JURISDICTIONAL QUESTIONS
(TO BE COMPLETED BY ALL APPLICANTS)
By a letter dated 12 November 1999, the Commodity Futures Trading Commission (“the CFTC”) granted the
Exchange no action relief from a Contract Market Designation Requirement under Sections 5 and 5.a of the
Commodity Exchange Act (“the CEA”) (“the No Action Relief”). In accordance with the terms of the No Action
Relief, ICE Futures Europe is required to obtain representations on behalf of its Members trading on behalf of a
Foreign futures or options customer (as defined in Part 30.1 of the CEA). Therefore, the applicant is required to
complete the following as appropriate:
a) Please consider the questions below and provide responses by ticking response/providing information as
appropriate.
1.
2.
Question
Does the Applicant undertake, with
respect to a Foreign futures or foreign
options customer (as defined in Part
30.1 of the CFR), any of those activities
referenced in Part 30.4 of the CFR in
accordance with an exemption granted
by the CFTC under Part 30.5 of the
CFR?
Response
Yes
Is the Applicant registered with the
CFTC as an FCM?
Yes
No
No
3.
4.
5.
Does the Applicant undertake business
on behalf of a Foreign futures or foreign
options customer (as defined in Part
30.1 of the CFR) through its registered
FCM?
Does the Applicant undertake business
on behalf of a Foreign futures or foreign
options customer (as defined in Part
30.1 of the CFR) in accordance with an
exemption granted by the CFTC under
part 30.10 of the CFR?
Does the Applicant undertake business
on behalf of a Foreign futures or foreign
options customer (as defined in Part
30.1 of the CFR) other than as, or
through, an FCM, or in accordance with
an exemption granted by the CFTC
under Part 30.10 of the CFR?
Requirement
Please confirm below/under separate cover
the identity of the FCM or foreign broker who
has received confirmation of an exemption
granted by the CFTC under Part 30.10 of the
CFR with whom you will engage in all
transaction subject to regulation under
Part 30 of the CFR.
Go to Question 2.
Confirmation of NFA registration number:
Go to Question 3.
Yes
No
Go to Question 4.
Yes
Complete the representation form found
at 8. b) and provide relevant supporting
documentation when returning the complete
application form.
No
Go to Question 5.
Yes
Please confirm under separate cover the legal
basis for such business undertaken.
No
NOTE: If you answered ‘No’ to questions 1-5 above, you are not required to sign the representation form at 8.b) on
the following page.
b) ICE Futures Europe – 30.10 Member Representations
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
In accordance with the terms of the No Action Relief, ICE Futures Europe Members trading on behalf of a Foreign
futures or options customer (as defined in Part 30.1 of the CEA), in accordance with an exemption granted by the
CFTC from Part 30.10 of the CEA (“30.10 Members”), when trading ICE Futures Europe Contracts, are required to
make certain representations to be applicable for as long as such 30.10 Member trades on the Exchange.
Therefore, in the event that the applicant trades on behalf of a Foreign futures or options customer (as defined in
Part 30.1 of the CEA), in accordance with an exemption granted by the CFTC from Part 30.10 of the CEA (“30.10
Members”), when trading ICE Futures Europe Contracts, the applicant is required to represent that, for as long as it
operates pursuant to the No Action Relief, and in keeping with representations previously made by the applicant to
the CFTC as part of the petition process it completed to gain exemption under Part 30.10, that:

it shall submit to the jurisdiction of the CFTC with respect to its activities conducted pursuant to the No
Action Relief; and,

it shall provide, upon the request of the CFTC, the United States Department of Justice, and, if appropriate,
the National Futures Association, prompt access to original books and records it maintains, at offices in the
United States, as well as access to premises in the United States where its Foreign futures or options
customers might order route from the United States.
Signed on behalf of (the Applicant):
By:
Name:
Position:
Date:
Further, the applicant confirms that it has appointed:
(Agent for Service details)
as its agent for service (“Agent for Service”) of process in the United States, authorised to accept delivery and
service of any summons, complaint, order, subpoena, request for information, or notice of any other written or
electronic documentation or correspondence issued by or on behalf of the CFTC.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
9. CLEARING ARRANGEMENTS*
*Not necessary if applying for General Participant ICE Block Broker Membership.
Please confirm below the name of the clearing Member who will provide clearing services for the Applicant if
appropriate and also attach with your application written confirmation from the clearer that this has been agreed.
10. OPERATIONAL DETAILS*
*Not necessary if applying for General Participant ICE Block Broker Membership.
The ICE Futures Europe Regulations state that a Member must ensure that relevant Directors and staff are fit and
proper, adequately trained and properly supervised with well defined procedures for compliance with the ICE
Futures Europe Regulations, as appropriate.
Whilst not obligatory, it is recommended that the relevant staff also attend the Introduction to ICE Futures Europe &
ICE Clear Europe course. Details can be found here:
https://www.theice.com/education_course_detail.jhtml?cid=1000
a) Applicants applying for Membership with clearing status must demonstrate that:
(i)
At least 2 of their back office have a minimum of 3 years experience working in a relevant back office
environment. Whilst not obligatory, it is recommended that relevant staff also attend the Introduction to
ICE Futures Europe course.
b) Applicants applying for non clearing status who do not intend to have ICE Post Trade and Cleaing Systems (the
“ICE Systems”) must provide written confirmation from the Member with whom the applicant has (or will have) a
clearing arrangement, that such Member will perform such functions on behalf of the non clearing Member at
Section 9 of this application. Please tick YES or NO where applicable below:
Will have own ICE Systems and at least 2 staff have the
requisite working experience
YES
NO
Will have own ICE Systems and requires training
YES
NO
Clearer will perform all necessary ICE Systems functions on
behalf of the Applicant
YES
NO
ICE Futures Europe and ICE Clear Europe require Members to have a 3 letter mnemonic for trading purposes.
Please provide below 3 three letter mnemonics e.g. ABC, DEF, GHI, ranked in order of preference.
1
2
3
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
11. SYSTEM DETAILS
Which front end application(s) or order routing system does the Applicant intend to use? (Any such Independent
Software Vendor must have a current conformance certificate issued by the ICE Futures Europe.) Please tick YES
or NO below.
WebICE
YES
NO
Own API
YES
NO
Third Party Software
YES
NO
If yes to any of the above, please give details below. If you have ticked YES for WebICE, please state if training is
required.
Compatible front end systems are listed here: https://www.theice.com/isv.jhtml
The Applicant must be prepared to demonstrate that it has adequate risk management systems commensurate with
its proposed membership class.
Application Fees
Participant
Member Application Fee
Emissions Application Fee
General Participant
$4,500
€2,500
Trade Participant
$4,500
€2,500
Individual Participant
$800
N/A
Participant
Member Annual Subscription
(excl. Emissions Trading Privilege)
Emissions Trading Privilege Annual
Subscription
General Participant
$11,500
€2,500
Trade Participant
$4,500
€2,500
Individual Participant
$600
N/A
Annual Membership Fees
Please note that if a Member wishes to trade all ICE Futures Europe Contracts (including ICE Futures ECX EUA Futures and ICE
Futures ECX CER Futures Contracts) they will be required to pay the Membership Annual Subscription plus the Emissions Trading
Privilege Annual Subscription. Successful General and Trade Participant Applicants will also be required to pay a one-off Application
Fee of $4,500 and an additional Application Fee of €2,500 for Emissions as above.
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
12. TRADING PERMISSIONS
There are a number of Contracts available for trading on ICE’s electronic trading platform by ICE Futures Europe Members. The various
Contracts are listed below in the combination in which they might be traded. At present there are effectively five sets of Contracts which might
be traded either in combination or separately. Please indicate below the set of ICE Futures Europe Contracts which you elect to trade. There
will be different application and annual fees payable by Members in respect of their elected ICE Futures Europe Contract sets.
Permissions Required
(indicate with )
ICE Futures Europe Contract Sets
ICE Futures Europe Contracts
ICE Brent Futures
ICE Brent Options
ICE Gasoil Futures
ICE Gasoil Options
Oil Contracts
ICE Low Sulphur Gasoil Futures
ICE Low Sulphur Gasoil Options
ICE WTI Futures
ICE WTI Options
ICE Heating Oil Futures
ICE RBOB Gasoline Futures
ICE Middle East Sour Crude Futures
ICE ASCI Futures
ICE ASCI Differential Futures
ICE UK Natural Gas Futures
ICE UK Natural Gas Options
ICE UK Base Electricity Futures
Utility Contracts
ICE UK Peak Electricity Futures
ICE TTF Natural Gas Futures
ICE TTF Natural Gas Options
ICE NCG Natural Gas Futures
ICE GASPOOL Natural Gas Futures
ICE Rotterdam Coal Futures
ICE Richards Bay Coal Futures
ICE gC Newcastle Coal Futures
Coal Contracts
ICE gC Newcastle Coal Options
ICE Appalachian Coal Futures
ICE CSX Coal Futures
ICE Powder River Basin Coal Futures
ICE FOB Coal Futures
ICE ECX EUA Futures
ICE ECX CER Futures
ICE ECX EUA Options
Emissions Contracts
ICE ECX CER Options
ICE ECX ERU Futures
ICE ECX EUA Daily Futures
ICE ECX CER Daily Futures
Swap Futures Contracts
ICE Futures Europe - Application Form
Ref: M05_011012
Cleared OTC energy swaps and
options products (Global Crude and
Refined Products, Freight, Iron Ore
and Natural Gas Liquids) transitioned
to ICE Futures Europe futures
contracts.
www.theice.com
13. MEMBER STATEMENT
This statement is made in support of my/the Applicant company’s1 (“the Applicant” or “it” in this statement, whether referring to
me or a company) application for membership of ICE Futures Europe (“the Exchange”) and is made by me on behalf of the
Applicant. The statements made below are legally binding on the Applicant.
In respect of the application, I confirm that:
1.
2.
3.
the Regulations of the Exchange (“the Regulations”) (for the avoidance of doubt including the Memorandum and
Articles of Association) as at the date of the application, have been reviewed by or on behalf of the Applicant;
the Applicant understands that it will be bound by and subject to the Regulations of the Exchange as a Member and
certifies that the answers and statements given in the application are true and complete; and
the Applicant will promptly advise the Exchange of any change required in the answers and statements in the
application (or otherwise in support of the application) to ensure that they remain true and complete throughout the
period of the Applicant’s membership of the Exchange.
The Applicant understands that membership does not start until written notice has been received from the Exchange
confirming that the Applicant has been admitted, in accordance with the provisions set down in the Regulations.
The Applicant understands that in order to be granted and thereafter to maintain membership it must organise and control its
affairs in a responsible manner, and to this end that it must have staff who are fit and proper with suitable authorisations
and/or qualifications and experience in order to implement and maintain adequate internal procedures and controls, and
otherwise comply at all times with the membership criteria set out in the Regulations from time to time.
I confirm that:
1.
2.
the Applicant has obtained all regulatory approvals necessary to act as a Member and perform the role(s) specified in
this application for membership or undertakes to obtain such regulatory approvals prior to, and as a condition of,
being admitted as a Member; and
the Applicant has all necessary authority, corporate and otherwise, power, consents, licenses and authorisations to
enter into and perform the obligations of a Member under the Regulations.
The Applicant agrees to be bound by the Regulations (including any procedures, directions, and instructions) issued by or on
behalf of the Exchange from time to time.
Nothing in this statement or the Regulations shall be considered or construed as conferring any right or benefit on a person
not a party to this Agreement under the Contracts (Rights of Third Parties) Act 1999, but this does not affect any right or
remedy of a third party which exists or is available apart from that Act.
The Applicant understands that any information provided on this form or otherwise in connection with the application for
membership may be disclosed by the Exchange to the Financial Services Authority, any other investment exchanges, selfregulatory organisations and other regulatory or governmental bodies and the Applicant authorises the Exchange to obtain
information from any regulatory authority in the UK or overseas.
Capitalised terms are defined in the Regulations unless otherwise indicated.
Signature *
Signed by and on behalf of Applicant by an authorised signatory
Job Title
Please print name
Date (DD/MM/YY)
* Please note that when applying for General or Trade Participant membership, a letter from the
Company Secretary stating that the signatory is authorised to sign the application on behalf of the
Applicant is required, unless the signatory is President or CEO of the company.
1
Please delete as appropriate
ICE Futures Europe - Application Form
Ref: M05_011012
www.theice.com
Please provide:
 Details of Key Personnel
 An organisational chart showing reporting lines
 Summary CVs of the first three personnel if these individuals are not authorised by the FSA or NFA
APPENDIX A
Director/Senior
Executive responsible for
overall management
Compliance Officer responsible
for ICE Futures Europe
operations
Senior Contact for ICE Futures
Europe trading operations
Back Office Manager
ICE Futures Europe Deliveries
Daily Contact for ICE SYSTEMS
IT/Technical contact for
installation of ICE Futures
Europe systems
Invoicing/Finance Contact
Name
Title
Tel. no.
Fax no.
E-mail
Name
Title
Tel. no.
Fax no.
E-mail
Page 15
ICE Futures Europe – Application Form
Ref: M05_011012
www.theice.com
EMERGENCY CONTACTS
APPENDIX B
Please supply details of three/four people who can be contracted in the event of an emergency.
Managerial Contact
Trading/Operational
Contact
Compliance Officer
IT/Technical Contact
Name
Mobile no.
Office tel. no.
Home tel. no.
E-mail
CIRCULARS
Please supply a generic company e-mail address for the delivery of ICE Futures Europe Circulars, for example: icenotices@yourcompany.com.
E-mail address
MEMBER VOLUMES
Please supply the following information in order to download your Member Monthly Volumes directly from the Exchange’s website (www.theice.com):
Full Name
E-mail
Contact Number
Page 16
ICE Futures Europe – Application Form
Ref: M05_011012
APPENDIX C
SHAREHOLDERS
Please provide us with a list of Shareholders owning 25% or more of the issued share capital of, or
voting rights in, the company.
This list should be provided to us on Company letterhead and signed by the Company’s
General Counsel or another authorised member of the Company’s legal team. This list should
indicate the number of shares held by each Shareholder identified, and the percentage of total
issued share capital.
PLEASE COMPLETE THE FORM BELOW WITH REGARD TO EACH BENEFICIAL OWNER
A beneficial owner ultimately owns or controls a company. UK Anti-Money Laundering legislation requires that beneficial
owners owning or controlling more than 25% (“Beneficial Owners”) of bodies corporate, partnerships or trusts are
identified, and that measures are taken to verify their identities.
1.
What is the name of the Beneficial Owner?
2.
Please ask the Beneficial Owner to provide copies of the following documents:
1. Current signed passport / current signed national identity card / current UK photocard
driving licence; and
2. Two items providing proof of permanent residential address, one to be a recent bank
statement, utility bill or local authority tax bill valid for the current year.
Please note that, as explained in Notes, these documents need to be certified by a solicitor /
attorney.
NOTES

PERSONAL IDENTITY DOCUMENTS
Please do not send us the original documents. Instead, please provide us with a Certified Copy of
each original.
Page 17
ICE Futures Europe – Application Form
Ref: M05_011012
www.theice.com
CHECKLIST OF INFORMATION TO BE RETURNED WITH THIS APPLICATION FORM
Please review the checklist below and ensure you have supplied all the required information
prior to submitting your Application Form and supporting documents.
Information Required
1
Company Information. Please ensure all necessary information is included / attached separately as regards
points 2.1, 2.2, 2.3, and 2.4.
2
Trade and General Participant Applicants: Last 3 years’ annual audited accounts (Section 2.3 c).
3
In the case of an application for Individual Participant membership, all the supporting documents listed in
Section 3.
4
Separate schedule where necessary detailing any registrations or authorisations with regulatory bodies or
other exchanges relating to Key Personnel identified in Appendix A (Section 4.1).
5
If the Applicant is NOT registered or authorised, reasons for not being regulated, or confirmation and
evidence that an application for authorisation (if applicable) has been made to the FSA or other
Regulatory body (Section 4.1).
6
If applicable, details to support “Yes” answers to questions in Section 6.
7
If the Applicant wishes to have ICE SYSTEMS, evidence of attendance of an ICE Systems training course,
or confirmation of experience in a back office processing ICE Futures Europe business.
8
If the Applicant does not wish to have ICE SYSTEMS, confirmation from the clearer that it will perform the
ICE SYSTEMS functionality on behalf of the non clearing member.
9
In the case of an application for General or Trade Participant category of membership, a letter from the
company secretary confirming the party signing the application is authorised to do so (unless signatory is
President or CEO of the Applicant company).
10
Completed schedule of Key Personnel (Appendix A), Emergency Contacts and an email address for the
receipt of circulars (Appendix B).
11
Completed and supplied documents pertinent to Appendix C. Please ensure to provide certified
documents.
12
An organisation chart detailing all staff to be involved in ICE Futures Europe operations as per Appendix A.
13
Summary CVs of the first three Key Personnel listed in Appendix A if these individuals are not FSA
authorised or NFA approved.
ICE Futures Europe - Application Form
Ref: M05_011012
YES/NO or
N/A
www.theice.com
ICE Futures Europe - Application Form
Ref: M05_011012