Appendix A to §1.20 Futures Commission Merchant Acknowledgment Letter for CFTC – Regulation 1.20 Customer Segregated Account [Date] [Name and Address of Bank, Trust Company, Derivatives Clearing Organization or Futures Commission Merchant] We refer to the Segregated Account(s) which [Name of Futures Commission Merchant] or or will open with [Name of Bank, Trust Company, Derivatives (“we” “our”) have opened Clearing Organization or Futures Commission Merchant] or (“you” “your”) entitled: [Name of Futures Commission Merchant] Customer Omnibus [if applicable, add “FCM CFTC Regulation 1.20 Customer Segregated Account under Sections 4d(a) Account”] and 4d(b) of the Commodity Exchange Act [and, if applicable, “, Abbreviated as [short title reflected in the depository’s electronic system]”] Account Number(s): [ ] (collectively, the “Account(s)”). You acknowledge that we have opened or will open the above-referenced Account(s) for the purpose of depositing, as applicable, money, securities and other property (collectively the of customers who trade commodities, options, swaps, and other products, as required “Funds”) by Commodity Futures Trading Commission Regulation 1.20, (“CFTC”) Regulations, including as amended; that the Funds held by you, hereafter deposited in the Account(s) or accruing to the credit of the Account(s), will be separately accounted for and segregated on your books from our own funds and from any other funds or accounts held by us in accordance with the provisions of the Commodity Exchange Act, as and Part 1 of the as amended (the “Act”), CFTC’s regulations,
Appendix A to §1.20 – Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account [Date] [Name and Address of Bank, Trust Company, Derivatives Clearing Organization or Futures Commission Merchant] We refer to the Segregated Account(s) which [Name of Futures Commission Merchant] (“we” or “our”) have opened or will open with [Name of Bank, Trust Company, Derivatives Clearing Organization or Futures Commission Merchant] (“you” or “your”) entitled: [Name of Futures Commission Merchant] [if applicable, add “FCM Customer Omnibus Account”] CFTC Regulation 1.20 Customer Segregated Account under Sections 4d(a) and 4d(b) of the Commodity Exchange Act [and, if applicable, “, Abbreviated as [short title reflected in the depository’s electronic system]”] Account Number(s): [ ] (collectively, the “Account(s)”). You acknowledge that we have opened or will open the above-referenced Account(s) for the purpose of depositing, as applicable, money, securities and other property (collectively the “Funds”) of customers who trade commodities, options, swaps, and other products, as required by Commodity Futures Trading Commission (“CFTC”) Regulations, including Regulation 1.20, as amended; that the Funds held by you, hereafter deposited in the Account(s) or accruing to the credit of the Account(s), will be separately accounted for and segregated on your books from our own funds and from any other funds or accounts held by us in accordance with the provisions of the Commodity Exchange Act, as amended (the “Act”), and Part 1 of the CFTC’s regulations, as
FCM_Acknowledgment_Letter_for_CFTC_Regulation_1_20_Appendix_A_to_1_20.docx