Common use of Monitoring and Review Clause in Contracts

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading Registration Number 2013/045335/07 CMTrading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx 00xx Xxxxx, Xxxxxxx Xxxx Office Towers,158 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx 00xx Xxxxx, Xxxxxxx Xxxx Office Towers,158 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Contact Information Phone: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Should you not be satisfied with the service rendered by CMTrading, you may lodge a complaint via the CMTrading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading confirms that: -CMTrading holds sufficient professional indemnity and fidelity insurance cover -CMTrading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE A: PERSONAL INFORMATION REQUEST FORM‌ Please be aware that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy in order to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. SCHEDULE 4 Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading CM Trading Registration Number 2013/045335/07 CMTrading CM Trading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading CM Trading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx Physical Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx Xxxxxxxxxxxx Postal Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxxxxxxxx Contact Information PhoneTel: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Xxxx Xxxxxx, Moonstone Compliance xxxxxxx@xxxxxxxxxxxxxxxxxxx.xx.xx Should you not be satisfied with the service rendered by CMTradingCM Trading, you may lodge a complaint via the CMTrading CM Trading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE FAIS Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 000 000 0000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading CM Trading confirms that: -CMTrading - CM Trading holds sufficient professional indemnity and fidelity insurance cover -CMTrading - CM Trading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading CM Trading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE A: PERSONAL INFORMATION REQUEST FORM‌ Please be aware that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:Instruments

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading Registration Number 2013/045335/07 CMTrading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx 00xx XxxxxPhysical Address 14th Floor, Xxxxxxx Xxxx Sandton City Office Towers,158 Towers,000 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx 00xx XxxxxPostal Address 14th Floor, Xxxxxxx Xxxx Sandton City Office Towers,158 Towers,000 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Contact Information Phone: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Should you not be satisfied with the service rendered by CMTrading, you may lodge a complaint via the CMTrading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading confirms that: -CMTrading holds sufficient professional indemnity and fidelity insurance cover -CMTrading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE A: PERSONAL INFORMATION REQUEST FORM‌ Please be aware that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy in order to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. SCHEDULE 4 Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading CM Trading Registration Number 2013/045335/07 CMTrading CM Trading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading CM Trading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx Physical Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx Xxxxxxxxxxxx Postal Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxxxxxxxx Contact Information PhoneTel: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Xxxx Xxxxxx, Moonstone Compliance xxxxxxx@xxxxxxxxxxxxxxxxxxx.xx.xx Should you not be satisfied with the service rendered by CMTradingCM Trading, you may lodge a complaint via the CMTrading CM Trading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE FAIS Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 000 000 0000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading CM Trading confirms that: -CMTrading - CM Trading holds sufficient professional indemnity and fidelity insurance cover -CMTrading - CM Trading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading CM Trading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE AAugust 0000 XXXX XXXXX XXXXXX PTY LTD Trading as CM TRADING Registration No. 2013/045335/07 A juristic representative and agent of BLACKSTONE MARKETING PTY LTD Registration No. 2009/002519/23 (FSP No. 38782) Registered Office: PERSONAL INFORMATION REQUEST FORM‌ Please 00xx Xxxxx, Xxxxxxx City Office Tower 0, Xxxxxx Xxxxxxx Xxxx and 0xx Xxxxxx, Xxxxxxxxxxxx 0000 Xxxxx Xxxxxx Email: xxxxxxx@xxxxxxxxx.xxx RISK WARNING: Trading Foreign Exchange (Forex) and Contracts for Differences (CFD’s) is highly speculative, carries a high level of risk and may not be aware that we suitable for all investors. You may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:sustain a loss of

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. SCHEDULE 4 Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading Registration Number 2013/045335/07 CMTrading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx Physical Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx Xxxxxxxxxxxx Postal Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxxxxxxxx Contact Information PhoneTel: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Should you not be satisfied with the service rendered by CMTrading, you may lodge a complaint via the CMTrading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE FAIS Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 000 000 0000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading confirms that: -CMTrading holds sufficient professional indemnity and fidelity insurance cover -CMTrading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE AAugust 0000 XXXX XXXXX XXXXXX PTY LTD Trading as CMTRADING Registration No. 2013/045335/07 (The “Platform Provider”) A juristic representative and agent of BLACKSTONE MARKETING PTY LTD Registration No. 2010/010099/07 (FSP No. 38782) Registered Office: PERSONAL INFORMATION REQUEST FORM‌ Please 00xx Xxxxx, Xxxxxxx City Office Tower 0, Xxxxxx Xxxxxxx Xxxx and 0xx Xxxxxx, Xxxxxxxxxxxx 0000 Xxxxx Xxxxxx Email: xxxxxxx@xxxxxxxxx.xxx RISK WARNING: Trading Foreign Exchange (Forex) and Contracts for Differences (CFD’s) is highly speculative, carries a high level of risk and may not be aware suitable for all investors. You may sustain a loss of some, or all, of your invested capital. Therefore, you should not speculate with capital that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:you

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading Registration Number 2013/045335/07 CMTrading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx 00xx XxxxxPhysical Address 14th Floor, Xxxxxxx Xxxx Sandton City Office Towers,158 Towers,000 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx 00xx XxxxxPostal Address 14th Floor, Xxxxxxx Xxxx Sandton City Office Towers,158 Towers,000 0xx Xx, Xxxxxxx, 0000, Xxxxx Xxxxxx Contact Information Phone: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Should you not be satisfied with the service rendered by CMTrading, you may lodge a complaint via the CMTrading Blackstone Marketing SA Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE FAIS Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading confirms that: -CMTrading holds sufficient professional indemnity and fidelity insurance cover -CMTrading -Blackstone Marketing SA accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE A: PERSONAL INFORMATION REQUEST FORM‌ FORM Please be aware that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number: Postal Address: Contact Number: Email Address:

Monitoring and Review. We will monitor the effectiveness of our order execution arrangements and execution policy in order to identify and, where appropriate, correct any deficiencies. We shall notify you of any material changes to our order execution arrangements or execution policy. SCHEDULE 4 Financial Services Provider Information Business Name Global Capital Markets Trading Proprietary Limited, trading as, CMTrading CM Trading Registration Number 2013/045335/07 CMTrading CM Trading Regulatory and License Information Global Capital Markets Trading Proprietary Limited, trading as CMTrading CM Trading is an Authorized juristic representative of Blackstone Marketing Proprietary Limited an authorized Intermediary Financial Services Provider with FSP Number 38782 Xxxxxxxx Xxxxxxx Physical Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxx Xxxxxxx Xxxxxxxxxxxx Postal Address 00xx Xxxxxxxxxx, Xxxxxxx Xxxx Office Towers,158 0xx XxXxxxxx Xxxxxx, Xxxxxxx, 0000, Xxxxx Xxxxxx Xxxxxxxxxxxx Contact Information PhoneTel: 000 000 0000 Email: xxxxxxx@xxxxxxxxx.xxx xxx.xxxxxxxxx.xxx Compliance Officer Information Xxxxxxx Xxxxxx xxxxxxx.xxxxxx@xxxxxxxxx.xxx Xxxx Xxxxxx, Moonstone Compliance xxxxxxx@xxxxxxxxxxxxxxxxxxx.xx.xx Should you not be satisfied with the service rendered by CMTradingCM Trading, you may lodge a complaint via the CMTrading CM Trading Complaints Policy and procedure, which is available to you on request. Should you wish to challenge the findings, you may, upon receipt of the written findings, pursue the complaint with the relevant office. Contact details appear below. MAKE FAIS Ombudsman Information xxx.xxxxxxxxx.xx.xx Tel: 0000000000 000 000 0000 Email: xxxx@xxxxxxxxx.xx.xx Fax: 000 000 0000 CMTrading CM Trading confirms that: -CMTrading - CM Trading holds sufficient professional indemnity and fidelity insurance cover -CMTrading - CM Trading accepts responsibility for all its authorized representatives Product Category Information Products that CMTrading CM Trading is accredited to: Market and provider Intermediary Services: Securities and Instruments: Derivative Instruments ANNEXURE AAugust 0000 XXXX XXXXX XXXXXX PTY LTD Trading as CM TRADING Registration No. 2013/045335/07 (The “Platform Provider”) A juristic representative and agent of BLACKSTONE MARKETING PTY LTD Registration No. 2009/002519/23 (FSP No. 38782) Registered Office: PERSONAL INFORMATION REQUEST FORM‌ Please be aware that we may require you to provide proof of identification prior to processing your request. A. Particulars of Data Subject Name & Identity Number00xx Xxxxx, Xxxxxxx City Office Tower 0, Xxxxxx Xxxxxxx Xxxx and 0xx Xxxxxx, Xxxxxxxxxxxx 0000 Xxxxx Xxxxxx Email: Postal Address: Contact Number: Email Addressxxxxxxx@xxxxxxxxx.xxx RISK WARNING: