ASIC OTC Derivative Transaction Rules (Reporting) (“DTR”) and LEI Information
Background
ASIC Over the Counter (“OTC”) derivatives reporting regulations are designed to make the OTC derivatives markets more transparent by requiring counterparties to these transactions to report trades, positions, collateral and valuations to a derivative trade repository (trade repositories). All counterparties with reporting obligations under the DTRs must have a Legal Entity Identifier (“LEI”) in order to report. However, only IB Australia (“IBAU”) clients who have been permitted to trading in these OTC products and are operating as non-individual entities (e.g. corporations, corporate trusts, etc) are required to have an LEI.
An OTC derivative is a derivative that is not traded:
a) on a financial market that is:
subject to ASIC supervision under Pt 7.2A of the Corporations Act (such as ASX 24);
registered by the US Commodity Futures Trading Commission as a ‘designated contract market' under s5h of the Commodity Exchange Act 1936 (US); or
a regulated market’ as defined in Article 4(1)(21) of the Markets in Financial Instrument Directive 2014/65/EU (MIFID 11); or
b) on certain regulated markets (referred to as ‘regulated foreign markets’) that ASIC has determined are subject to sufficiently equivalent requirements and supervision.
For more details please refer to:
https://asic.gov.au/regulatory-resources/markets/otc-derivatives/frequentlyasked-questions/#faq12
An example of an OTC products for IBAU clients are the IBAU issued CFDs (Contracts for Difference).
All IBAU clients who are subject to the DTR regulations and who require an LEI will see the LEI Election form upon logging into Account Management. Note that you will only see the LEI Form once upon logging into Account Management; once you make your election, you will not see the form again upon subsequent Account Management logins.
Who is Subject to the DTR Regulation?
All IBAU clients operating as non-individual accounts (e.g. corporations, corporate trusts, etc.) are required to comply with DTR obligations. In this context, non-individual means any account which is owned by one or two individuals as stated in the account title. Individual accounts in the name of a single person are not subject to DTR and so will not have access to this page.
Original LEI Elections
If you are subject to the DTR regulations and are an entity or corporate client and have not already made your LEI election, when you log into Account Management, you will be prompted to do so.
If you have an IBAU account; you can elect to:
- Instruct us to apply for LEI on your behalf. You will be prompted to fill out a simple form and sign an agreement. Obtaining an LEI can take up to three days.
- Provide your LEI, which you have already obtained. You will be prompted to enter your LEI.
- Do nothing (you do not have an LEI and you are not subject to the DTR regulation).
NOTE: THE INFORMATION ABOVE IS NOT INTENDED TO BE A COMPREHENSIVE OR EXHAUSTIVE GUIDANCE AND IT IS NOT A DEFINITVE INTEPRETATION OF THE REGULATION BUT A SUMMARY OF THE ASIC DERIVATIVE TRANSACTION REPORTING.
Que signifie le statut 'En attente du conseiller/gérant' à côté de ma demande de retrait?
Overview:
Dans la section Historique de transaction de la Gestion de compte, les comptes clients qui sont connectés et ont fait une demande de retrait peuvent voir leur statut indiquer "En attente du conseiller/gérant".
Information
Dans la structure des comptes de gérants, les clients peuvent faire une demande de retrait en se connectant à la Gestion de compte, tout comme n'importe quel compte individuel. Une fois la demande de retrait effectuée par un compte client, le gérant doit consentir à la demande. Si le gérant ne donne pas son accord, le retrait sera tout de même traité mais il faudra compter un délai de trois jours ouvrables.
Étapes de confirmation par le gérant
Une fois la demande de retrait soumise par un compte client, le gérant recevra une notification par e-mail indiquant qu'un client a demandé un retrait. Afin de donner son consentement, le gérant doit se connecter à la Gestion de compte et se rendre dans la section Gérer clients puis sur le Tableau de bord et l'onglet des Éléments en attente. Le gérant cliquera sur le bouton "Consentir" afin qu'il soit procédé au traitement de la demande de retrait en attente.
Remarque concernant les délais de détention
Afin de garantir un traitement aussi rapide que possible des demandes de retrait des clients, la période de détention lorsque le montant de la demande est supérieure à 80% du montant disponible pour un retrait sera celle consentie par le gérant ou une période de 3 jours calendaires, selon le délai le plus court. Pour les montants représentant moins de 80%, la période de détention sera celle consentie par le gérant ou le jour ouvrable suivant.
Ces délais permettent de veiller à ce que votre gérant soit informé de votre demande de retrait et qu'il dispose d'un délai pour mettre les fonds à disposition, le cas échéant.
How To Request an IB Debit Card
Overview:
IB LLC individual and joint accounts (excluding IRA accounts) are now eligible to request an IB Debit Card through Account Management.
In order to request an IB Debit Card, first login to Account Management and select Transfer & Pay. Under Transfer & Pay, click the option for "IB Debit Mastercard".
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The IB Debit Card Summary screen will populate. At the top of the page you will see a button to "Apply Now". Click the button to start your IB Debit Mastercard application.
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The application page will populate with the Customer Agreement along with an option to Select an Account to link to your IB Debit Card. Click the "Add/Edit Accounts" button to make your selection.
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Your accounts will populate on the right side of the screen. Once you have made your selection, your selected account will be highlighted at the bottom of the right-hand window. Once you are ready to confirm the account, click the "Continue" button.
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Scroll down to the bottom of the page where you will be prompted to agree to the terms set forth in the Customer Agreement by signing your name as it appears on the account. Click "Continue" to proceed.
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The next screen will ask you to review the Cardholder Information. The information should all be correct as it uses the information from your IB account. If the information is not correct, you will need to go into your account and change any incorrect information. If the information is correct, click "Continue" to proceed.
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Once you confirm your Cardholder Information, your application will be submitted. You will receive a confirmation with a reference number, along with activation instructions for when you receive your IB Debit Card in the mail.
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Forex Execution Statistics
Overview:
IB clients can now analyze the quality of their forex executions in comparison to forex trades by other IB customers through the FX Browser tool in Account Management. The tool provides transaction data for the 15 forex transactions that occur immediately before and after in the same currency pair of the client's transaction.
Note:
The number of transactions may be limited to fewer than the stated 15 as the NFA also has placed a 15 minute window on the query. Meaning, if within a 15 minute window before and after the customer's execution there are fewer than 15 executions the customer's query will return only those executions which occurred within the time window.
Accessing the FX Browser Tool
To Access the FX Browser tool, login to Account Management using the Login button on our website. Click the Support tab followed by Tools. Please note, at this time only data for the live account will be provided.
From there, select FX Browser from the list of tools:
Submitting a Query
When the FX Browser is launched, you will be presented with the following screen:
Please note that only Trade Date is a mandatory field in the query. When clicking on the Trade Date field, a calendar widget will populate and allow you to select your trade date. Only transactions from the last 6 months will be available to search.
Active customers may wish to limit the results by further selecting the currency pair, side or time of the execution.
Once the desired query has been entered, click on the Submit button.
The next screen will display the list of executions for the given account on the specified day. From there, you may select the execution you wish to receive the execution statistics on.
Once the execution you wish to view has been selected, click the "Download NFA Report" button.
Reading the Report
The results will be returned in a new tab and will contain the 15 executions before and 15 executions after the trade you selected on the previous screen. Per the note above, if fewer than 15 executions occurred in the 15 minute time frame only those executions will be displayed.
The query results will include the following information:
- Execution date and time, as expressed in Eastern time
- Side (buy or sell)
- Quantity (of Transaction Currency)
- Currency pair
- Execution price
- Commissions and other charges assessed by the FDM
- Currency denomination of commissions
Your trade will be marked as Trade Number "0" and the trades before and after your trade will be numbered from 1 to 15.
Error Messages
If the search criteria you enter does not bring up any trade information, you will be presented with the following error message:
How to update the US Social Security Number (SSN) or Individual Taxpayer Identification Number (ITIN) on your account
Background:
If you have been informed or believe that your account profile contains an incorrect US SSN/ITIN, you may simply log into your Account Management to update this information. Depending on your taxpayer status, you can update your US SSN/ITIN by modifying one of the following documents:
1) IRS Form W9 (if you are a US tax resident and/or US citizen holding a US SSN/ITIN)
2) IRS Form W-8BEN (if you are a Non-US tax resident holding a US SSN/ITIN)
Please note, if your SSN/ITIN has already been verified with the IRS you will be unable to update the information. If however the IRS has not yet verified the ID, you will have the ability to update through Account Management.
How to Modify Your W9/W8
1) To submit this information change request, first login to Account Management
2) Click on the Settings section followed by Account Settings
3) Find the Profile(s) section. Locate the User you wish to update and click on the Info button (the "i" icon) to the left of the User's name
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4) Scroll down to the bottom where you will see the words Tax Forms. Next to it will be a link with the current tax form we have for the account. Click on this tax form to open it
5) Review the form. If your US SSN/ITIN is incorrect, click on the UPDATE button at the bottom of the page
6) Make the requisite changes and click the CONTINUE button to submit your request.
7) If supporting documentation is required to approve your information change request, you will receive a message. Otherwise, your information change request should be approved within 24-48 hours.
如何驗證您的手機號碼
Overview:
本文將向您說明如何驗證您的手機號碼。
如您在申請賬戶時未驗證過您的手機號碼，您可隨時通過以下步驟完成驗證：
- 登錄賬戶管理。
- 在側邊欄菜單中，依次點擊設置 和用戶設置。點擊手機號碼對應的配置齒輪圖標。如您使用的是傳統賬戶管理，您可通過管理賬戶 -> 賬戶信息 -> 詳情 -> 個人信息菜單，點擊“修改”鏈接找到該板塊。
- 點擊驗證
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- 打開您手機的短信應用，您將看到我們發送給您的帶有確認碼的短信。
注意：短信發送的時間有長有短，在某些情況下可能需要几分鐘。
- 在確認號碼區域輸入您收到的確認碼 ，然后點擊繼續。
- 如該確認碼被接受，則“短信已驗證”欄目下會出現一個綠色的勾。點擊繼續完成操作。
- 如您的用戶沒有活躍的SLS設備，該用戶將很快自動被納入短信雙因素驗證項目。有關如何通過短信完成登錄驗證的說明，請見KB3196。
如何验证您的手机号码
Overview:
本文将向您说明如何验证您的手机号码。
如您在申请账户时未验证过您的手机号码，您可随时通过以下步骤完成验证：
- 登录账户管理。
- 在侧边栏菜单中，依次点击设置 和用户设置。点击手机号码对应的配置齿轮图标。如您使用的是传统账户管理，您可通过管理账户 -> 账户信息 -> 详情 -> 个人信息菜单，点击“修改”链接找到该板块。
- 点击验证
- 打开您手机的短信应用，您将看到我们发送给您的带有确认码的短信。
注意：短信发送的时间有长有短，在某些情况下可能需要几分钟。
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- 在确认号码区域输入您收到的确认码 ，然后点击继续。
- 如该确认码被接受，则“短信已验证”栏目下会出现一个绿色的勾。点击继续完成操作。
- 如您的用户没有活跃的SLS设备，该用户将很快自动被纳入短信双因素验证项目。有关如何通过短信完成登录验证的说明，请见KB3196。
Как подтвердить Ваш номер мобильного телефона
Background:
Данная статья объясняет, как подтвердить Ваш номер мобильного телефона.
Если Вы не подтвердили номер Вашего телефона в процессе подачи заявки, то это можно сделать в любой момент, выполнив следующие действия:
- Войдите в "Управление счетом"
- В боковом меню выберите Настройки, а затем Настройки пользователя. Щелкните по значку шестеренки рядом с полем "Номер мобильного телефона". Если Вы используете классическое "Управление счетом", то этот раздел можно открыть, выбрав Параметры -> Детали счета -> Подробная информация -> Профиль в меню сверху и нажав "Изменить"
- Нажмите ПОДТВЕРДИТЬ
- Перейдите в раздел сообщений в Вашем телефоне; там Вы найдете отправленное нами SMS с кодом подтверждения.
ПРИМЕЧАНИЕ: Время доставки варьируется и в некоторых случаях может занять несколько минут.
- Введите полученный код в поле Код подтверждения и нажмите ДАЛЕЕ.
- Если код верен, то в столбце Подтвержден SMS появится зеленая отметка. Нажмите ДАЛЕЕ, чтобы завершить процедуру.
- Если у Вашего пользователя отсутствует активное устройство безопасного входа, то вскоре для него автоматически активируется система двухфакторной аутентификации. Подробнее о входе с аутентификацией посредством SMS можно узнать в статье KB3196.
アカウント・マネジメントよりメッセージサービスを有効化する方法
ここでは、携帯電話番号の確認の仕方をご説明します。
口座開設の時点で携帯電話番号の承認を行っていない場合には、下記の手順に従っていつでも確認作業を行うことができます:
- アカウント・マネジメントにログインしてください。
- サイドメニューより設定 をクリックし、そのあとユーザー設定をクリックしてください。携帯電話番号のギヤをクリックします。クラシック・アカウント・マネジメントをご利用の場合、この項目には上にあるメニューから進みます。口座管理 -> 口座情報 -> 詳細 -> プロファイルと進んで、「変更」のリンクをクリックしてください。
- 確認をクリックします
- ご利用の携帯電話のメッセージアプリに、弊社から確認コードを含めるSMSメッセージが送信されていますので、こちらを開いてください。
ご注意：メッセージの送信に数分かかることがあります。
- 受信された確認コードを、確認番号の欄に入力して、次に進むをクリックしてください。
- 正しいコードが入力されると、緑色のチェックマークがSMS承認済みコラムの下に表示されます。 次に進むをクリックして、作業を終了してください。
- 有効なSLSデバイスをお持ちでないユーザーは、二段階のログイン承認プロセスに自動的に登録されます。SMS経由でのログイン承認方法は、KB3196をご参照ください。
Come verificare il proprio numero di telefono cellulare
Background:
Il presente articolo spiega come verificare il proprio numero di telefono cellulare.
Se la verifica del proprio telefono non è stata completata durane la procedura di apertura del conto, è possibile completarla in qualunque momento seguendo questi passaggi:
- Effettuare l'accesso a Gestione conto.
- Cliccare sulle voci Impostazioni e Impostazioni utente del menu laterale. Cliccare sulla rotella della configurazione corrispondente al numero di telefono cellulare. Se si sta utilizzando la versione classica di Gestione conto, questa sezione è raggiungibile dal menu in alto Gestione conto -> Anagrafica conto -> Dettagli -> Profilo, cliccando sul collegamento "Modifica"
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- Cliccare sulla voce VERIFICA
- Aprire l'applicazione dei messaggi del proprio telefono e individuare l'SMS contenente il Codice di conferma ricevuto.
ATTEZIONE: la tempistica per la consegna dei messaggi può variare e, in determinate circostanze, può impiegare diversi minuti.
- Inserire il codice di conferma ricevuto nel campo numero di conferma, quindi cliccare su AVANTI.
- Se il codice è stato accettato, apparirà un segno di spunta verde al di sotto della colonna SMS verificato. Cliccare su AVANTI per ultimare la procedura.
- Se non si dispone di un dispositivo SLS (sistema di accesso sicuro) per le proprie credenziali d'utente, da lì a poco si verrà automaticamente registrati tramite SMS nel sistema di autenticazione a due livelli. Per istruzioni in merito all'autenticazione durante l'accesso via SMS, si prega di consultare l'articolo KB3196.
