SW-Trading application
Application

Advisory Brokerage Agreement

Complete the account opening form, upload supporting documents, and sign on screen to submit your application to SW-Trading.

Securities Account 1% Transaction Fee No Management Fee

This is an advisory account. SW Trading will only buy or sell securities on your explicit instruction. We will provide information and recommendations, but all final decisions remain yours.

Part A

Personal Information (KYC)

Section 1 — Identity Details

Please complete all fields using capital letters. We are required by law to verify your identity before opening your account.

Identity Document

Tax Information

Required under international tax reporting rules (CRS / FATCA).

Are you a US Person for tax purposes? (US citizen, Green Card holder, or US tax resident)

If Yes, a completed IRS Form W-9 must be uploaded before the account can be opened.

Only shown for US Persons. Maximum file size: 2MB.

Section 2 — Contact & Address

Please provide your primary residential details and the main contact information we should use for account communications.

Part B

Financial Profile

Section 3 — Employment & Source of Wealth

Tell us about your current employment and the origin of the wealth that will support this account.

Please tick all that apply:

Section 4 — Net Wealth

Net wealth means total assets minus total liabilities, including property, investments, savings, and business interests, less any debts or mortgages.

Total Net Wealth — select band and currency

Select band (☐) and tick currency below:

Section 5 — Liquid Wealth

Liquid wealth means cash, bank deposits, money market funds, and listed securities that can be converted to cash within 30 days.

Total Liquid Wealth — select band and currency

Select band (☐) and tick currency below:

Part C

Investment Experience & Profile

Section 6 — Investment Experience

Please tick any asset classes where you have prior investment experience. If nothing is selected, we will assume no prior experience.

Asset Class
Have Experience
Equities (Shares)
Fixed Income (Bonds)
Investment Funds / ETFs
Structured Products
Derivatives (Options / Futures)
Foreign Exchange (FX)
Commodities
Crypto / Digital Assets

Section 7 — Investment Objectives & Risk Tolerance

Please tell us your investment objective, time horizon, and how you would typically react to market volatility.

Please select one:

e.g. 2 years / 5 years / 10+ years

How would you react if your portfolio fell 20% in value over six months?

Sectors / securities to exclude.

Part D

Terms and Conditions

Please read these terms carefully. By signing this agreement, you confirm that you have read, understood, and accepted everything set out below.

1. About This Agreement

  • 1.1 This agreement sets out the terms on which SW Trading ('we', 'us', 'the Firm') will provide advisory brokerage services on your securities account.
  • 1.2 This is an advisory account. We will provide you with information, market updates, and trade recommendations, but we will only buy or sell securities when you give us a specific instruction to do so. We will never trade on your behalf without your prior approval.
  • 1.3 This agreement begins on the date you sign below and continues until either party ends it in writing.

2. What We Will Do For You

  • 2.1 We will provide you with access to securities markets and will execute trades in line with your instructions.
  • 2.2 We will provide information and, where appropriate, recommendations about securities that may suit your investment objectives and risk profile. Any recommendation is advisory only and the decision to act is always yours.
  • 2.3 We will provide you with regular account statements (at least quarterly) showing all transactions, current holdings, and portfolio value.
  • 2.4 We will act in your best interests at all times and treat you fairly.
  • 2.5 We will notify you promptly of anything material that may affect your account.

3. Your Instructions

  • 3.1 All trades must be authorised by you. We will not buy or sell any security without first receiving an explicit instruction from you (by phone, email, or in writing as agreed).
  • 3.2 You are responsible for all trading decisions made on your account. We are not liable for losses arising from trades you have instructed.
  • 3.3 Once you have given an instruction and a trade has been executed, it may not be possible to reverse it. Please ensure you are satisfied with your instruction before confirming it.
  • 3.4 We will always confirm receipt of your instruction and will provide a trade confirmation once executed.

4. Fees - Clear & Simple

Fee structure for an Advisory Securities Account
Transaction Fee (Brokerage) 1% of the value of each buy or sell trade
Management Fee NONE — no management fee is charged on securities accounts
  • Example: If you instruct us to buy shares worth 10,000, the brokerage fee is 100 (1%). There is no annual management charge.
  • 4.1 The 1% transaction fee applies each time we execute a buy or a sell order on your instruction. It is deducted from your account at the time of settlement.
  • 4.2 You will not be charged any ongoing management, advisory, or retainer fee.
  • 4.3 Third-party costs (for example, exchange fees, stamp duty, or foreign transaction taxes) are passed on to you at cost, with no mark-up.
  • 4.4 We will provide you with the estimated cost of a trade before you confirm your instruction.

5. Governing Law & Jurisdiction

  • 5.1 Each trade executed on your account is subject to the laws and regulations of the country in which the relevant securities exchange operates. For example, trades in US-listed stocks are governed by US law; trades in UK-listed stocks are governed by English law.
  • 5.2 This agreement as a whole is governed by the laws of the primary jurisdiction in which your account is registered. Any dispute arising from this agreement that is not resolved by negotiation will be referred to the courts of that jurisdiction.
  • 5.3 You acknowledge that different markets operate under different regulatory frameworks and that local rules may affect the execution, settlement, or taxation of your trades.

6. Your Obligations

  • 6.1 You must keep us informed of any changes to your personal details, financial situation, or investment objectives.
  • 6.2 All information provided in this form must be accurate and complete.
  • 6.3 You must not use your account for any unlawful purpose, including money laundering or tax evasion.
  • 6.4 You must provide any additional documents we request to meet our legal and compliance obligations.

7. Conflicts of Interest

  • 7.1 We maintain a conflicts of interest policy to ensure we always act in your best interests. A copy is available on request.
  • 7.2 We will disclose any material conflict to you before acting on your account.

8. Confidentiality & Your Data

  • 8.1 All information about you is kept strictly confidential and will not be shared with third parties except where required by law, regulation, or with your consent.
  • 8.2 We collect and process your personal data in line with applicable data protection law. Our Privacy Notice (available on request or at our website) explains your rights and how we use your data.
  • 8.3 We may share information with regulators, tax authorities, or law enforcement where legally required to do so.

9. Anti-Money Laundering (AML) & Know Your Customer (KYC)

  • 9.1 We are required by law to verify your identity before opening your account. By signing this form, you confirm that all information is true and complete.
  • 9.2 We may request further documents at any time to meet our ongoing AML obligations. Failure to provide them may result in account suspension or closure.
  • 9.3 We are required by law to report suspicious activity to the relevant authorities. We are prohibited from informing you if such a report has been made.

10. Liability

  • 10.1 We are not responsible for losses arising from market movements, events outside our reasonable control, or trades that you have instructed.
  • 10.2 We are liable for direct losses caused by our own negligence, fraud, or wilful misconduct.
  • 10.3 We are not liable for losses resulting from inaccurate information provided by you.

11. Ending This Agreement

  • 11.1 You may end this agreement at any time by giving us written notice. Any fees already earned remain payable.
  • 11.2 We may end this agreement by giving you 30 days written notice. We may end it immediately if you are in material breach, or if required to do so by a regulator.
  • 11.3 On termination, we will transfer your assets to you or to another provider as you instruct, subject to settlement of any outstanding fees.

12. Complaints

  • 12.1 If you are unhappy with our service, please contact our Compliance Officer in writing. We will acknowledge your complaint within five business days and provide a full response within 30 days.
  • 12.2 If you remain dissatisfied, you may have the right to refer your complaint to the relevant financial ombudsman or regulatory authority in your jurisdiction.
Part E

Declarations & Signature

Client Declarations

  1. I have read, understood, and accepted the Terms and Conditions set out in Part D of this document.
  2. All information provided in this form is accurate, complete, and not misleading.
  3. I understand this is an advisory account and that SW Trading will only trade on my explicit instruction.
  4. I understand that investing involves risk and the value of my portfolio may fall as well as rise.
  5. I understand that a transaction fee of 1% applies to each buy or sell trade I instruct, and that no management fee is charged.
  6. I consent to my personal data being processed as described in Clause 8 and in the Firm's Privacy Notice.
  7. I am not subject to any legal restriction that prevents me from entering into this agreement.
  8. I will notify SW Trading promptly of any material change in my personal, financial, or regulatory circumstances.

Politically Exposed Person (PEP) Declaration

A Politically Exposed Person (PEP) is someone who holds, or has held in the past 12 months, a prominent public position, or is a close family member or associate of such a person.

Signatures

Signed as a legally binding agreement between the client and SW Trading.

Second account holder / authorised signatory, if applicable.

Supporting Documents

Attach any additional supporting material you would like SW Trading to review with this application.

Accepted formats include PDF, image, Office, and ZIP files. Maximum file size: 10MB each. You can add files one by one or several at once.

SW Trading is the trading name of the legal entity AZURESPACE MANAGEMENT PTE. LTD (202144746H)

v0.8.3 updated February 2026