Application – atlasgroupag.com

ACCOUNT APPLICATION

About this Application

This is a Retail Brokerage Account Application. Please read it carefully, as you will select products and services, tell us
how you want to communicate with us, and agree to certain provisions that will govern our relationship. When we accept it,
this Application and all accompanying or supplemental documents form the entire Agreement between us for this account.

Unless otherwise indicated in this Application, the words “you,” “your,” “yourself,” and “yours” mean the applicant(s). The
words “we,” “us,” and “our” mean Einsiedlerstrasse 21, 8834 Schindellegi, Switzerland (UID CHE-249.312.269) inclusive of our branches, subsidiaries, and affiliates.

GETTING STARTED

Please complete this Application and then submit it along with a copy of the required government-issued identification such as a driver’s license or passport.

The information will be used for standard Anti-Money Laundering (AML) checks and also helps us to fully understand your investment profile and identify what types of investments or strategies may be suitable for you. Please note: if we cannot verify the information you provide, we may be required to restrict or deny your account.

Please remember to notify us if you experience a significant life change, such as the birth of a child, marriage, divorce, death of a spouse, loss of a job, change in financial situation, etc.

1. SELECT AN ACCOUNT

Account Type

IndividualJoint Account (more than one account holder)Corporate (shares to be registered in the name of one’s company)

Other AccountsDo you have other accounts with us?YesNo

For Corporate AccountsPlease provide company name.

2. PLEASE TELL US ABOUT YOURSELF

Primary Applicant

First Name *

Middle Name

Last Name *

Building/Road/Street Name *

House/Apt/Suite No. *

City

Region

Postal Code

Country *

Mobile Phone *

Home Phone

Work Phone

Email Address *

Job Title

Occupation

Employer

Years with this Employer

Business Address

Floor/Office/Suite No.

City

Region

Postal Code

Country

Co-Applicant (if applicable)

First Name

Middle Name

Last Name

Use the same contact information listed for the primary applicant.

Mobile Phone

Home Phone

Work Phone

Email Address

Job Title

Occupation

Employer

Years with this Employer

Business Address

Floor/Office/Suite No.

City

Region

Postal Code

Country

All Applicants

Industry and Other Affiliations

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings and dependents…

Employed by or associated with the securities industry (for example, a sole proprietor, partner, officer, director, branch manager, registered representative or other associated person of a broker-dealer firm) or a financial services regulator?

Primary ApplicantYesNo

Co-ApplicantYesNo

If yes, please specify entity below. If this entity requires its approval for you to open this account, please provide a copy of the required authorization letter (with this Application).Broker-Dealer or Municipal Securities DealerInvestment AdviserFINRA or other Self Regulatory Organization*Securities Regulator

(*Including a national securities exchange, registered securities association, registered clearing agency or the Municipal Securities Rulemaking Board.)

Name of entity(ies):

An officer, director or 10% (or more) shareholder in a publicly-owned company?

Primary ApplicantYesNo

Secondary ApplicantYesNo

Name of company and symbol:

A senior military, governmental or political official in a non-US country?

Primary ApplicantYesNo

Secondary ApplicantYesNo

Name of country:

Financial Situation and Needs, Liquidity Considerations, and Tax Status

Please tell us your best estimate as to:

LIQUIDITY NEEDSThe ability to quickly and easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or incurring significant costs or penalties is (check one)Very ImportantImportantSomewhat importantDoes not matter

Annual income includes income from sources such as employment, alimony, social security, investment income, etc.
Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage
Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them.
Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc.
Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc.

Investment Risk Tolerance

Please select the degree of risk you (and any co-applicants, if applicable) are willing to take with the assets in this account.

Conservative – I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.Moderately Conservative – I am willing to accept low risk to my initial principal, including low volatility, to seek a modest level of port-folio returns.Moderate – I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.Moderately Aggressive – I am willing to accept high risk to my initial principal, including high volatility, to seek high returns over time, and understand I could lose a substantial amount of the money invested.Significant Risk – I am willing to accept maximum risk to my initial principal to aggressively seek maximum returns, and understand I could lose most, or all, of the money invested.

Financial Investment Experience

Please check the boxes that describe your investment experiences to date:

Investment and Years of Experience / Transactions Per Year

* May include structure products, hedge funds, etc.

3. TELL US YOUR PREFERRED CURRENCY FOR SUCCEEDING ITEMS:

If ‘other’ please specify:

4.TAX WITHOLDING CERTIFICATIONS

Please check all boxes that apply.

U.S. Person:Under penalty of perjury, I certify that: (1) I am a U.S. citizen, U.S. resident alien or other U.S. person, and the Social Security Number or Taxpayer Identification Number provided in this Application is correct (or I am waiting for a number to be issued to me); and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding; or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends; or (c) the IRS has notified me that I am no longer subject to backup withholding.Primary ApplicantCo Applicant

Certification Instructions:You must check this box if you cannot certify to item (2) above, meaning that you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return.Primary ApplicantCo Applicant

Non-Resident Alien:I certify that I am not a U.S. citizen, U.S. resident alien, or other U.S. person for U.S. tax purposes.Primary ApplicantCo Applicant

5. Review and Submit This Application

Confirmation(s) – Please Read Carefully

By submitting this Application, you affirm that you have received and read this Application (including the account agreement specifications listed below) and affirm that the information you have provided is accurate and you agree to notify us of any changes in the information provided.

1. Account Types – You acknowledge that you are solely responsible for selecting the appropriate account type—Individual, Joint, or Corporate—based on your investment objectives and circumstances.
2. Account Status – Atlas Group AG (“AGA”) agrees to accept and maintain one or more accounts for the undersigned Account Holder(s) and to act as broker-dealer in the execution, clearance, and settlement of transactions involving the purchase and sale of financial securities. The Account Holder(s) represents and warrants that all information provided in connection with this Account Agreement is true, accurate, complete, and current, and agrees to promptly notify AGA of any material changes, including changes to financial information. If the Account is held individually or jointly, each Account Holder confirms that they are of legal age and of sound mind. Unless otherwise disclosed in the Account Application, no person other than the Account Holder(s) identified therein has any legal or beneficial interest in the Account(s). The Account Holder(s) authorizes AGA to verify relevant information through third parties, including credit reporting agencies. This Agreement and the Account(s) established hereunder shall become effective only upon acceptance by an authorized representative of AGA at its principal office.
3. Accuracy of New Account Application and Credit Information – The Account Holder(s) confirms that all information provided to AGA in the Account Application is truthful, accurate, complete, and up to date. No individual or entity other than those listed in the Account Application has any interest in the Account.
4. Identity Verification (Anti-Money Laundering) – In accordance with applicable laws and regulations, AGA is required to verify the identity of each Account Holder. At least one valid form of government-issued identification must be provided upon submission of the Account Application.
5. Approval of Transactions – All transactions agreed upon with an Investment Representative are deemed final. Each transaction is subject to approval by AGA’s Compliance Officer and requires the prior consent of the Account Holder before processing.
6. Investment Risks – All investments involve risk. Certain investments, including speculative securities and initial public offerings, may involve a heightened risk of loss and may not be suitable for all investors. You may lose some or all of your invested capital. Past performance is not indicative of future results. All investment decisions and orders placed are made at your sole discretion and responsibility. You agree not to hold AGA, or any of its officers, directors, employees, agents, subsidiaries, or affiliates, liable for any trading or investment losses.
7. Commissions, Fees, and Other Costs – The Account Holder(s) agrees to pay all commissions, fees, and other charges imposed by AGA. AGA is authorized to convert funds in the Account(s) to and from applicable foreign currencies at prevailing exchange rates, together with any associated fees. Commissions are set at 1% on the buy (of net value) and 1% on the exit (of net value) on listed stocks. Under current market regulations no commissions will be imposed when buying pre-IPO (secondary market traded) equities. A 2% commission (of net value) will be applicable once listed and selling on a public exchange. Please note, there is no contractual obligation for AGA to assist in the sale of an equity, and the choice of whether to use AGA to assist with the exit of a position, whether solicited or unsolicited, relies solely on the client, (the registered share holder). The client is at liberty to exit through an alternative broker/advisor or financial institution available to them however if one proceeds in such a manner AGA has the right to cease offering advice and immediately close the account once all assets have been liquidated.
8. Tape Recording – You authorize AGA to record all telephone conversations between the Account Holder(s) and AGA whether or not a periodic tone signal is used. You consent to the use of such recordings in any forum for dispute resolution purposes.
9. Exchange Rules and Regulations – All transactions executed on behalf of the Account Holder(s) are subject to the constitutions, rules, regulations, customs, and interpretations of the applicable exchanges or markets (and their clearing houses, if any), as well as all applicable governmental and international regulations. AGA shall not be liable for any action taken in good faith to comply with such rules or regulations.
10. Proceeds of Transactions – No proceeds from the sale of securities shall be remitted to the Account Holder(s) while any debit balance remains outstanding in the Account. Proceeds from any liquidation or sale of securities shall be applied to reduce or satisfy any outstanding debit or margin balances.
11. Consent to Jurisdiction – The Account Holder(s) agrees that any disputes, claims, or proceedings arising directly or indirectly from this Agreement shall be resolved through arbitration in a forum agreed upon by AGA and the Account Holder(s). The Account Holder(s) further submits to the jurisdiction of any competent international court for enforcement purposes.
12. Amendments and Guarantees – This Agreement constitutes the entire understanding between AGAG and the Account Holder(s) and supersedes all prior oral or written agreements relating to the subject matter herein. No provision of this Agreement may be waived, amended, or modified except in writing and signed by an authorized officer of AGA. No person, including AGA, its associated persons, introducing brokers, fund managers, commodity trading advisors, or pool operators, is authorized to guarantee profits or the absence of losses. Any suggestion of such guarantees must be promptly reported to AGAG’s Compliance Department.
13. Margin Trading – The Account Holder(s) acknowledges that margin trading involves borrowing funds secured by securities held in the Account and understands the associated risks, requirements, and obligations of maintaining a margin position.

Please Upload a copy of your Government-Issued IDPassport / Driving License (Preferred)

No file chosen

DISCLOSURE POLICY:

The non-public personal information we collect about you is obtained primarily through this Account Application and other forms you submit to us. We do not disclose your information to any third party except as permitted or required by applicable law. All client information is treated with the utmost confidentiality and may be disclosed only with your express consent, as necessary to carry out your instructions, or to comply with legal and regulatory obligations.

Access to your information is strictly limited to those employees and service providers who require it to provide, administer, or support the products and services we offer. We maintain physical, electronic, and procedural safeguards designed to meet internationally recognized standards in order to protect your information. In the event that your relationship with us is terminated, we will continue to treat your information in accordance with this policy.

This statement does not purport to disclose all risks or other material considerations associated with trading in the markets. In view of the inherent risks, you should engage in such transactions only if you fully understand the nature of the relevant contracts and contractual relationships, as well as the extent of your potential exposure. Trading in the markets is not suitable for all investors, and you should carefully assess whether such activity is appropriate in light of your experience, investment objectives, financial resources, and other relevant circumstances.