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NCM Forms

To become a Non-Clearing Member (NCM), you need to fill in the forms listed on this page. 
 

Starter Kit for Non-Clearing MemberThe NCM Starter Kit provides you with all basic admission forms necessary for NCMs.

NCM Starter Kit 

The following documents are included:

  • "Know Your Customer" (KYC) Questionnaire
  • NCM01 (with checklist including an overview of all forms and documents necessary for admission)

  • NCM02

  • TP07 VAT details

  • T10 User Setup 

download zip 

(773 kB) 


 

Non-Clearing Member Forms (NCM Forms)

Form TitleDescription Download 
KYC Questionnaire
(2016-05-25)

"Know Your Customer" Questionnaire

Required in single copy, will be signed by the NCM

NCM provides general information about his company as well as commodity-specific data

download ZIP (161 kB) 
NCM01 Application
(2016-02-02)
Application for Admission as Non-Clearing Memberdownload ZIP
(142 kB) 
NCM02 Agreement
(2015-09-03)

NCM-Agreement

required in triplicate, will be signed by CM, NCM und ECC

defines the legal relationship between the parties

download ZIP
(130 kB) 
NCM02a Appendix
(2015-09-03)

Appendix to the NCM Agreement NCM02

only required from an existing NCM who wishes to extend the license to other Partner Exchanges

required in triplicate

download ZIP
(112 kB) 
NCM02b Appendix
(2014-08-14)
Appendix Back up Clearing Member to the NCM Agreement NCM02 required in triplicatedownload ZIP
(26 kB)
NCM02c Appendix "Individual Segregation" to the NCM Agreement (Collateral Agreement)
(2014-06-18)
With the signing of this Collateral Agreement the Non-Clearing Member opts for the individual segregation of its positions and collateral (“Individual Segregation”).download ZIP
(122 kB)
NCM03 NCM Agreement for Clearing Broker Clients

NCM-Agreement for Clearing Broker Clients

required in triplicate, will be signed by CM, Clearing Broker NCM und ECC

defines the legal relationship between the parties

download ZIP
(410 kB)
NCM03a Appendix to the NCM Agreement for Clearing Broker Clients

Appendix to the NCM Agreement NCM03

only required from an existing Clearing Broker NCM who wishes to extend the license to other Partner Exchanges

required in triplicate

download ZIP
(157 kB)
NCM05 Clearer Change 
(2015-09-03)
Application to change the Clearing Memberdownload ZIP
(110 kB) 
NCM05a Clearer Change 
(2015-12-03)
Application to change the Clearing Member – Urgent Casedownload ZIP
(120 kB)
NCM06 Close-out Netting Agreement 
(2008-11-27)
Close-Out Netting Agreement between a Clearing Member and a
Non-Clearing Member
download ZIP
(13 kB) 
NCM07 Power of Authority for ECC Regarding the Transfer of Collateral in Urgent Cases
(2015-012-14)
Commission and authorisation of ECC to transfer the transferable collateral booked in the CBF pledged securities deposit and the Cash pledge accountdownload ZIP
(38 kB)
NCM07a Clearer Change Confirmation
(2012-01-09)
Approval of Position Transfer of the Accepting Clearing Memberdownload ZIP
(165 kB)


Further Documents

In addition to the NCM forms, the following documents have to be provided: 

  • proof of signature, copies of the ID cards of all persons who sign this application
  • annual report
  • certificate from company registry