Trading Info

Professional Client Status

How ESMA`s New Guidelines Might Shape Your Trading

On August 1st, 2018, the European Securities and Markets Authority (ESMA) has made a number of changes to the manner in which trading platforms offer leveraged products to retail traders.

By applying for the professional client account with Ainvesting, you could enjoy better trading terms.

Become a Professional Client

You may request a re-categorization as a professional client to avoid the impact of the new European Securities and Markets Authority`s (ESMA) restrictions on retail clients.

To qualify for the professional categorization, you must have the necessary expertise, experience, and knowledge to be capable of making your own investment decisions.

You will also need to comply with at least two of the following three regulatory criteria and provide us with the relevant proof:

Trading Experience

You must have carried out transactions, in significant size, in CFDs with an average frequency of at least 10 trades per quarter during the previous year (with us and/or other CFD providers).

Significant size is deemed as a minimum notional value of, for example, $50,000 on currency pairs, indices, and commodities or $10,000 on single stock CFDs.

The average frequency of trades can be at one provider, or a combination of two or more. We will ask you for history statements for trading activity with other CFD providers.

Portfolio Size

The size of your investment portfolio (held with us and/or other providers) is defined as including cash deposits and financial instruments, exceeds EUR 500,000.

Acceptable examples of an investment portfolio can include: cash savings, stock portfolio, debt instruments, ETFs, trading accounts, and mutual funds.

Unacceptable examples include: company pension, non-tradeable assets, property, luxury cars, jewelry, and notional values of leveraged instruments.

If a portfolio is held with other investment firm, we will ask you for statements from the other party.

Professional Experience

You currently work or have worked in the financial sector for at least one year in a professional position that requires knowledge of the transactions or services envisaged.

We will ask you for details of your role, and how it has provided you with sufficient knowledge and experience. We may require you to provide evidence of this if necessary.

Professional Client Features and Benefits

Professional Client Waived Protections

Professional Client Unchanged Protections

How to become a Professional Client

The clients defined above may waive the benefit of the detailed rules of conduct only where the following procedure is followed:

  1. They must state in writing to the Company that they wish to be treated as a professional trader, either generally or in respect of a particular investment service or transaction, or type of transaction or product,
  2. The Company must give them a clear written warning of the protection and investor compensation rights they may lose,
  3. They must state in written, in a separate document from the contract, that they are aware of the consequences of losing such protection.

Before deciding to accept any request for waiver, the Company is required to take all reasonable steps to ensure that the client requesting to be treated as a professional trader meets the relevant requirements stated above.

A Client who wishes to be re-classified shall contact our Customer Support at [email protected], and the Company will respond accordingly after reviewing the request.

Professional clients are responsible for keeping the Company informed about any change which could affect their current categorization. Should the Company become aware, however, that the client no longer fulfils the initial conditions which made him eligible for professional treatment, then the Company will take appropriate action.