Professional Clients

As an experienced trader, you may be eligible to be classed as an Elective Professional Client, gaining exemption from leverage limits and product restrictions at no additional cost.

Eligibility criteria

To be eligible for Elective Professional Client status, you need to meet the Elective Professional Client eligibility criteria. If you answer yes to at least two of these three questions, you could be eligible for Elective Professional Client status.

  • Have you placed 10 relevant trades of a significant size* per quarter in the last year? 
  • Does your financial instrument portfolio exceed €500,000?
  • Do you, or have you, worked in the financial sector for at least one year in a position, which requires knowledge of trading?

* Significant sized trades are classified as having a notional value of £10,000 for equities and £50,000 for Forex, Indices and Commodities or equivalent in local base currency.

How to apply 

If you answered yes to at least two of the three questions above, please use the following link to apply.

Apply for Elective Professional Client status

If we cannot verify the criteria above from any of your account history and trading activity with Capital Index, you may need to provide proof of these requirements. The following documents are acceptable and can be scanned and sent by email to our Client Services team:

  • Bank, Broker or investment portfolio statement showing your investment portfolio
  • CV, LinkedIn screenshot, FCA register screenshot, or letter from employer evidencing experience
  • A trading statement from another broker / financial institution showing qualifying trades

What happens if I become a Professional Client?

By choosing to categorised as an Elective Professional Client you will lose some of the regulatory protections afforded to Retail Clients. Please see below for some of the main changes in the way your account will be treated.

Protections you will retain:

  • Unless you specifically agreed otherwise in writing, Capital Index (UK) Limited will continue segregating your funds in our Client Money bank accounts in accordance with the Client Money Rules.
  • You have the right to request to be re-categorised as a Retail Client at any time.
  • As an individual, you are eligible for Financial Services Compensation Scheme protection 
  • As an individual (consumer) you are able to use the Financial Services Ombudsman should you not be satisfied with the outcome of a complaint to us please see our Complaints Procedure.

Protections you will lose:

  • As a Professional Client your account will not be eligible for negative balance protection. You will have an obligation to make additional payments if your account falls into negative balance, meaning you can lose more than your deposits.
  • Unlike a Retail Client, Capital Index (UK) Limited will not be required to restrict leverage offered to you in line with the FCA supervisory measures. Higher leverage can mean higher losses if the markets move against you.
  • As a Professional Client, Capital Index (UK) Limited may assume your level of knowledge and experience when assessing whether our products are appropriate for you.
  • Capital Index (UK) Limited will not be required to provide you with written risk warnings and notices in relation to transactions in complex financial instruments.

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