Application for Personal Admissions/Registrations User Manual
Contents
1. Chicaga Nationality USA Date of Birth 2 January 1987 hd Day Montheeary Pic 7 Curriculum Vitae Personal Data The system checks automatically if the CV has been completed without any gaps When errors exist within the CV information the system will identify the specific missing information and prompt which fields must be adjusted before moving to the following page screen see Pic 8 Curriculum Vitae Details The minimum required information is Secondary School Education Higher School Education and Employment History Each area requires at least one data record Data crossovers are allowed Secondary School Education Higher School Education Add Row Delete Selected Row School Hame Helene School Studies Add Row Delete Selected Row School Mame University Chicago Employment History JP Morgan Landon Other if Others please add here For example Unemployment Sabbatical Add Rowe Delete Selected Row Others Military Sabbatical q Back Cancel Save Continue Pic 8 Curriculum Vitae Details Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 7 Professional Qualification In line with the applicant s admission history of previously completed examinations and system training if applicable eXAS will automatically fill in some of the following data see Pic 92. gdb_navigation trainingscenter 10_ Trainingscenter_Portal Home the applicant must enter the Training Portal login and password see Pic 11 Training Portal page 8 4 4 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 14 2 If this is not the case or the applicant does no longer know the user name and password he she can also tick the following checkbox to retrieve the data at a later point in time See Pic 20 Professional Qualification Data Recall Expertise Refresh Data System Data Please click here to make a registration for an Eurex Clearer Test Persons designated to be registered as qualified back office staff of an adm company have to prove appropriate qualification pursuant to subsection 3 3 1 of the Exchange Rules for Eurex Deutschland and Eurex Z rich Exchange Rules assure that already have passed an Eurex Clearer Test within the last 3 years Pic 20 Professional Qualification Data Recall at a later point in time Please note unfortunately it is not possible to show the data during the application process The data will be retrieved later and integrated in the electronic application Submission of the Application At the next step the applicant needs to select one responsible Admission Administrator For this purpose all Admission Administrators that are already registered are listed In the Comments f
3. offence against sections 261 263a 2644 265b 271 274 283 263d 299 of 300 of the German Penal Code Stratgesetebuch or violation of the German Banking Act C Kreditwesengeset the German Securities Trading Act CWertpapierhandelsgese the German Stock Exchange Act Borengese the German Sate Custody Act CDepotgeset the German Money Laundering Act Seldmdschegeset of the German Investment Act CInvestmentgeset 9 in their respectively valid versions are undenway against me bil hereby assure that I have not been finally convicted of such actions nor has a final administrative order imposing a fine been issued against me cll hereby assure that ora company managed by me am not and have not been involved as debtor in insolvency proceedings or in proceedings to obtain the filing of an affidavit or comparable proceedings Cancel Save T Print as PDF Pic 3 Confirmation of Legal Requirements Personal Data The applicant s personal contact information is available in the system from the registration process for the Eurex Member Section or Xetra Floor Members Only area In case the data are not current anymore the correct information needs to be forwarded to one of the Member Services amp Admission teams See page 16 You can change the Applicant Data details not the private address data yourself in My Profile on the welcome page of the Member Section Nevertheless you can continue with your application and cha
4. Available Qualification Admission within the last 2 years for at least 12 months Exchange Trader Examination with status Registered Passed Failed System Training with status Registered Participated Not Participated Fr Confirmation Fr Application Elev Professional Qualiticatian i Admission Administrator Mote The folowing information are required for the admission of Exchange Traders according to paragraph 3 of the Admission Regulations f r Exchange Traders at the Frankfurter Wertpapierb rse and at the Eurex Deutschland Refresh Data System Data You were admitted for at least 12 month within the last 2 years Market From To Trader SA42005 HENI v You have passed the Examination within the last 2 years Mame of Qualitication Status Date Eurex Borsenhandlerprutung Passed 3 9 2009 Please click here to register f r an examination Practical Experiences Refresh Data System Data I confirm that have been actively trading f r 6 month within the last lf selected please specify below 2 Years You have participated in system training Mame of Qualification Status Date Eurex Systemschulung Handel Passed 5 11 2009 lf you do not have trading experience like those mentioned above please click here to register for system training q Back Cancel Continue Pic 9 Available Qualifications Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for pe
5. DEUTSCHE B RSE XETRA croup Electronic Exchange Admission Service eXAS Application for Personal Admissions Registrations User Manual Version 2 0 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Table of Contents Page I Table of Contents 1 INGHOGUCUON see Rs RN ES 1 2 PreCONOIU ONS iciisinciiiiniisiinimiininin Min 1 3 Electronical Application Process Admission of Exchange Traders ssssssssssrrrrrrrrrrnnnn 2 3 1 Selecion OF Mier KCtSs 1adscxmecaiuexiaancadnpsticetidicanidtatadtamasnasina tua tadame tds rhonueaiaiear 2 3 2 COntliMation OfF Legal REG UTF R US oniiir T A bs Soh a Ube he be kr 3 3 3 PO ONN Bc tc eet eee ete iree ane eee oe ane ee ge eee eee ree ere ee meee ere eager ee eee 3 3 4 CSI CEVA WF OS UN ar Sreste ees te dre eat cin adect EAA SES gata dee eta nate TRANS 6 3 5 PROTESSION al QUaIMIGELON sias rdahics crtacans cxtaiias cidstaas oclaiaes aida lags adacaeaetauaaecnasias eaetiet ie 7 3 6 SUDMISSION OF TNE AD DIC ANON bastant Bat enten bak l nere a a e oan teh tania quee caidas 10 4 Electronical Application Process Registration of Qualified Back Office Staff 11 4 1 COntirMmMation 0f Legal REGUIFEMONIS rritaren rr v n ene bd ENARE CRM NE BRA eder 11 4 2 PERSO Mall D OlO rer tedterarorokon bog a 12 4 3 POLES SHON ells OUAI CA Ul N erssssed enes anna ned ar TUES NAN OR 13 4 4 SUDMISSION O tM ADD ICANON errer
6. ail Authority If an applicant applies for admission as an Exchange Trader at the Frankfurt Stock Exchange and the applicant s habitual residence is outside of Germany a Mail Agent is required In case the applicant does not have a Mail Agent he she needs to tick the checkbox see Pic 5 Mail Authority Data This requirement does not apply to Eurex applicants Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 5 Mail Authority Data Please choose between the Wail Authority Data of your Company or fill in your oven data If you choose the data of your company please inset a name and surname of a natural person ex Bank Inc t1 Metrotech Ctr MUS 11201 3870 Brooklyn First Mame John Last Mame Street Metrotech Ctr M Humber Street Supl Country USA Fost Code 11201 3870 City Brooklyn 1 J accept that the admission notification will be assumed as received 3 day s after being sent via email or 7 days after being sent via post in case aven t notity a mail agent above Pic 5 Mail Authority Data When applying for admission as an Exchange Trader at the Frankfurt Stock Exchange traders can select the trading platform they wish to use for trading see Pic 6 Selection of Trading Platforms at the Frankfurt Stock Exchange Here Exchange Traders can only see the trading platforms their associated company has an admission for and for which
7. d applications will be available for six months after the date of creation under the menu point Application Overview see Pic 2 Application Overview Application History Application History Al C Draft only C Resend Only Reference ID Mame Description status Created on of K 20090508 000002 Chi_2 Trader QBO Admission Registration process Draft 0805 2009 Select action Eurex GAO a 20090506 000001 Chi_2 Trader Trader Adimizsion Registration process Dratt 0805 2009 Select action Eurex Pic 2 Application Overview 3 2 3 3 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 3 Confirmation of Legal Requirements After selection of the desired application the confirmation page will open All three check boxes are mandatory and must be ticked see Pic 3 Confirmation of Legal Requirements Confirmation Application Professional Qualitication Admission Administrator Currently Logged In User furi2z0 Trader Zuri20 traderiiexasbank de Contirmation hereby confirm that am the ovener of this user account hereby declare that have read and acknowledged the Information Memorandum andthe Terms of Use Any information provided in your application will be used for user requested semices only confirm my personal reliability all hereby assure that no legal proceedings or monetary fine proceedings on charges of crime or
8. ectronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 10 Submission of the Application At the next step the applicant needs to choose one responsible Admission Administrator For this purpose all Admission Administrators that are already registered are listed The applicant may also write a message in the Comments field if required see Pic 14 Selection of Admission Administrator Confirmation Application cy Professional Qualification Admission Administrator Please choose your responsible Admission Administrator First Mame Last Name Approve Martina Beckmann Magda Admin sarah Trader SA Trader PAR 2 Trader Entwickler Test 02 F Entwickler Test 02 L Ute Knoops exas Verteiler Christina Trader Comment Dear Me Admin please give the approval for my application as exchange trader at eurex Kind regards Sarah Trader d Back Cancel Save Submit P Pic 14 Selection of Admission Administrator As soon as the applicant clicks Submit the application will be forwarded to the selected Admission Administrator for approval see Pic 15 Confirmation of Submission 4 1 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 11 Confirmation Application cy Professional Qualification Admission Administrator Your Application has been submitted to your Admissio
9. en 14 5 Hotines ANA SUpPpPOFt s 55sees ssmsm 6 ER Re ER EA AE RK EEK AE EK NER 16 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 1 Introduction The Electronic Exchange Admission Service eXAS is a service for online application modification and termination of personal admissions and registrations It is accessible via the Eurex Member Section or the Xetra Floor Members Only area This document describes the application process for Exchange Traders at the Frankfurt Stock Exchange Floor XONTRO and Xetra and at the Eurex Exchanges the registration process for Qualified Back Office Staff at the Eurex Exchanges and all termination processes Preconditions To be able to use eXAS access to the Eurex Member Section or Xetra Floor Members Only area is required General explanations of the use of the Eurex Member Section or Xetra Floor Members Only area can be found under Service Point Web User Administration Users who do not yet have a login for the Eurex Member Section or Xetra Floor Members Only area should contact their company s Central Coordinator The Central Coordinator or a deputy will be able to provide the Company Login data with which a new user can begin the personal registration for a Member Section user name and password and request rights for the services that the new user desires The personal admission service pa
10. fied Back Office Staff is not longer ago than 3 years Already existing registration as a Qualified Back Office Staff for other companies Eurex Clearer Examination with Status Registered Passed Failed xperntise Refresh Data System Data Your last deregistration as Market From To Qualified Back Office staff is not ORC 5 SPE 4099009 older than 3 years You had passed the Eurex Clearer Test within the last 3 years Mame of Qualification Status Date Eurex Clearer Test Passed SA 72009 Pic 18 Available Qualification Once data about the professional qualification are available in the system they will be displayed accordingly Grayed out checkboxes with a check mark indicate that the requirements are fulfilled According to the status of the Eurex Clearer Examination an instruction will be shown at the left side of the table see Pic 19 Eurex Clearer Examination Registered Expertise Refresh Data System Data v You are registered for the Eurex Clearer Test Name of Qualification Status Date Eurex Clearer Test Confirmation 3 9 2009 Pic 19 Eurex Clearer Examination Registered In case no data is shown regarding the Eurex Clearer Examinations of the applicant despite the applicant s participation there are two possibilities to retrieve this data 1 In case the Eurex Clearer Examination was booked through the Training Portal of Deutsche B rse AG https deutsche boerse com dbag dispatch en kir
11. ield the applicant may also write a message addressed to the Admission Administrator if required see Pic 21 Selection of Admission Administrator Confirmation Application Admission Administrator Please choose your responsible Admission Administrator First Mame Last Mame Approve Sign Off HH CHO Admin Elle Driver CHO2 Admin E Zurii Admin Zuri2 Admin Zuri3 Admin Udo Brauner K 4 El aA aA OF ad A 0 a AA A O Comment please give the approval for my application for registration as a GEO Kind regards i Zuri20 Trader T Print as PDF Pic 21 Selection of Admission Administrator Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 15 As soon as the applicant clicks Submit the application will be forwarded to the selected Admission Administrator for approval see Pic 22 Confirmation of Submission Confirmation Application cy Professional Qualification Admission Administrator Your Application has been submitted to your Admission Administrator Please be informed that at first your Admission Administrator has to give the approval for your request and afterwards Deutsche B rse Group can proceed Your Reference ID is 20090226 000002 Back To Welcome Pic 22 Confirmation of Submission Once the application has been approved released by the Admission Administrator it is forwa
12. ing course data during the application process The data will be retrieved and integrated in the electronic application at a later point in time Data regarding practical experience can be entered at any time You may choose from lists of all accepted Exchanges worldwide and all accepted multilateral trading systems and enter the time trading experience was gathered see Pic 13 Practical Experience The system will check automatically whether or not the time period of active trading was at least 6 months within the last 2 years Practical Experiences Refresh Data System Data v confirm that have been actively trading for 6 month within the last lf selected please specify below 2 Years CI confirm that have previously attended the System Training Course If you do not have trading experience like those mentioned above please click here to register for system training Exchanges Add Row Delete Selected Row Exchange Other Exchange Frankturt Stock Exchange Multilateral Trading System Add Row Delete Selected Row Multilateral Trading System Other Multilateral Trading System From To MONTH YEAR MORITH YEAR 4 Back Cancel Continue Print as POF Pic 13 Practical Experience Once the checkbox l confirm that have been actively trading for 6 months within the last 2 years has been ticked the lists of all Exchanges and multilateral trading system opens automatically 3 6 Deutsche B rse AG El
13. n Administrator Please be informed that at first your Admission Administrator has to give the approval f r your request and afterwards Deutsche B rse Group can proceed Your Reference ID is 20090226 000002 Back To Welcome Pic 15 Confirmation of Submission Once the application has been approved released by the Admission Administrator it is forwarded to Deutsche Borse AG for further processing Electronical Application Process Registration of Qualified Back Office Staff Confirmation of Legal Requirements After selection of the desired application the confirmation page for legal requirements will open All checkboxes are mandatory and must be ticked see Pic 16 Confirmation of Legal Requirements l Confirmation F Application H4 Admission Administrator Currently Logged In User Chi 2 Trader chi 2 traderf exasbank de Confirmation hereby confirm that I am the owner of this user account hereby declare that I have read and acknowrledged the Information Memorandum and the Terms of Use Any information provided in your application will be used for user requested sernrices anly Cancel Continue Pic 16 Confirmation of Legal Requirements 4 2 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 12 Personal Data The applicant s personal contact information is already available in the system from the registrati
14. nge the data afterwards Due to regulatory requirements applicants must provide their private contact information in case their Exchange Trader admission will be cancelled by the company Because of that Deutsche B rse is obliged to send a revocation e mail to the private contact data see Pic 4 Private Contact Information Mail Authority Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 4 Fr Confirmation Application Professional Qualitication Admission Administrator Applicant Data First Mame Chicio Last Mame Trader Phone Fax Email chic 0 traderi exashank com If any of the information included on this page is incorrect please contact a Deutsche B rse Group Representative Office Private Address Oat Street Mustermann Str House Number 2 Street Supl Country United Kingdom Post Code S dra i London Phone United Kingdom 44 1235874 Fax United Kingdom 44 1235874 Please fill in your private email address to ensure you can be informed in the event of a termination of your admission Email chici 0 trader Gprivat de Admission Data hereby apply for admission as an Exchange Trader with the authorization to conclude options and futures transactions at Eurex Deutschland on behalf of the follayving company ess Bank USA Inc d Back Cancel Continue Pic 4 Private Contact Information M
15. on process for the Eurex Member Section In case the data are not current any longer contact one of Deutsche B rse AG s representative offices see page 16 The applicant can change the Applicant Data details not the private address data himself in My Profile on the welcome page of the Member Section Nevertheless you may continue with your application and change the data afterwards Due to regulatory requirements applicants must provide their private contact information see Pic 17 Private Contact Information Confirmation Application Admission Administrator Applicant Data First Mame Last Mame Trader Phone chi 2 traderi exashank de Private address data street street Road House Number 12 Street Supl Country USA Postcode i Chicago Phone 125 Ext 45675 Fax Ext Please fill in your private email address to ensure you can be informed in the event of a termination of your registration Email chi_2 tradercGiprivate com Pic 17 Private Contact Information 4 3 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 13 Professional Qualification Based upon the registration history as a Qualified Back Office Staff and previously completed Eurex Clearer Examinations if applicable eXAS will display the following data automatically see Pic 18 Available Qualification The last de registration as a Quali
16. rded to Deutsche Borse AG for further processing Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 16 Hotlines and Support For any questions about the login data to the Eurex Member Section or Xetra Floor Members Only area please call the Service Point team at 49 0 69 2 11 1 78 88 or e mail to servicepoint deutsche boerse com For further questions regarding the functionality of eXAS please contact one of the following Member Services amp Admission Teams Location Telephone E mail Zurich 41 0 58 8 54 29 42 Paris 33 0 155 27 67 67 paris admission deutsche boerse com London 44 0 207 8 62 71 65 uktraderadmission deutsche boerse com Chicago 1 312 5 44 10 00 customer support chicago deutsche boerse com Frankfurt 49 0 69 2 11 1 16 40 person admission deutsche boerse com For any questions on the eXAS User ID Maintenance please call Market Supervision Clearing Data Control at 49 0 69 2 11 1 24 53 or e mail to clearingdata deutsche boerse com
17. rsonal Admissions R egistrations 05 08 2009 Page 8 Once data about professional qualifications are available they will be displayed Grayed out checkboxes with a check mark indicate that the requirements are fulfilled According to the status of the Exchange Trader examination or the system training an instruction will be shown at the left side of the table see Pic 10 Eurex Exchange Trader Examination Failed Expertise Retresh Data System Data Regarding the Admission Regulations for Exchange Trader we can not Name of Qualification Status accept your examination because the date is longer aga than 2 years or You do not have passed it Please register for a new examination Thank you very much Eurex Borsenhandlerprutung Failed Please click here to register for an examination Pic 10 Eurex Exchange Trader Examination Failed In case no data is shown regarding Exchange Trader examinations and or system training of the applicant despite the applicant s participation there are two possibilities to retrieve this data 1 If the Exchange Trader examination and or system training was booked through the Training Portal of Deutsche Borse AG https deutsche boerse com dbag dispatch en kir gdb_navigation trainingscenter 10_Trainingscenter_Portal_ Home the applicant must enter his her Training Portal login and password to log into the Training Portal see Pic 11 Training Portal Log In Process for Capital Markets Academy Da
18. rt of eXAS does not require specific rights i e all users can access the personal admission menu Exchange Trader applicants must apply for their own admission 3 1 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 2 Electronical Application Process Admission of Exchange Traders Selection of Markets The user name for the Eurex M ember Section or Xetra Floor Members Only area is already linked with the associated company of the applicant and the menu is customized to the user s available options Due to the customization of the menu structure navigation the menu points are pre selected based upon the admission status of the company and the applicant see Pic 1 Menu Structure N avigation eXAS Example 1 If the company is only a member of Eurex the applicant will not see the menu point Frankfurt Stock Exchange Example 2 If the current user is already admitted as an Exchange Trader for Eurex he she will find Eurex only under the menu point Exchange Trader Termination Welcome Service Point Web User Administration Personnel Admission k Welcome Trader Admission Welcome to Electro Eurex Frankfurt Stock Exchange Gualitied Backoffice Staff Registration Pic 1 Menu Structure Navigation eXAS At any page of the electronic application it is possible to go back save all data or print the application Save
19. ta In case there are no examinations and system trainings displayed but you have participated these and you have a username and password for the training portal of the Capital Markets Academy please log in to retrieve all your data Login with another Username M Login with yourtraining portal username and password to retrieve your expertise and practical experience data Pic 11 Training Portal 2 If the Exchange Trader examination and or system training was not booked through the Training Portal of Deutsche B rse AG or the applicant does no longer know the user name and password he she can tick the following checkboxes to retrieve the data at a later point in time see Pic 12 Professional Qualification Belated Data Recall Expertise Refresh Data Please click here to register for an examination LOT contirm that I have previously passed the Exchange Trader Examination within the last 2 years Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 9 Practical Experiences Retresh Data confirm that I have previously attended the System Training Course lf you d not have trading experience like those mentioned above please click here to register for system training Pic 12 Professional Qualification Belated Data Recall Please note While using this option it is not possible to show the Exchange Trader Exam or System Train
20. the Exchange Traders is not admitted yet Admission Data intend to trade through Floor _ ontro I hereby apply f r admission as an Exchange Trader with the authorization to conclude trades at ANB Frankfurter Wertpapierb rse on behalt of the following company exAS Bank AG q Back Cancel Save Continue Pic 6 Selection of Trading Platforms at the Frankfurt Stock Exchange 3 4 Deutsche B rse AG Electronic Exchange Admission Service eXAS Application for personal Admissions R egistrations 05 08 2009 Page 6 Curriculum Vitae Resume A feature of the Curriculum Vitae CV page is that all information entered by the applicant is saved and stored for future use so that an applicant will only have to complete the CV page once Additionally Exchange Traders may add change and delete data in their CV see Pic 7 Curriculum Vitae Personal Data lt gt Mote According to the admission regulations for Exchange Traders at the Frankfurter Wertpapierb rse and at the Eures Deutschland paragraph 2a states that applicants must fill in their Curriculum vitae I Personal Resume information without any gaps on a monthly basis e g Secondary School fram August 2006 to August 2007 Higher School Education fram September 2007 to Your Curriculum vitae I Personal Resume data will be permanently stored for future use and further applications Applicant Data First Mame Chicid Last Mame Trader City of Birth
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