Client Application

Sonoma International Know Your Client form

Sonoma Application Form

Anti-Money Laundering & Legal Requirements Anti-Money Laundering (the AML Act) requires Sonoma International Limited to collect identification information and documentation from prospective investors.

Our application form captures personal information about investors to comply with the requirements of the AML Act. This includes details such as your occupation (for individuals) or business activity (for companies & other entities) as well as your source of funds. Under the AML Act, Sonoma International Limited are prohibited from processing your application until we have received all the required information and identification documents. Please note, in some cases Sonoma International Limited may need to collect further information and/or documentation from you in order to comply with our obligations under the AML Act. Start filling out the requested information in the corresponding fields. Should you decide to print out your documentation, when your forms have been completed and ensured that no mistakes have been made, please sign, date, scan and together with the compliance requirements, send the following forms back via email as advised below. Should you complete your documentation online please be sure to keep a copy for your own records. If you have any questions or need further assistance to complete your documentation, please contact us via email or telephone and one of our advisors will be happy to assist you.

In order to establish your Sonoma International Limited account, please complete all of the sections below. Sonoma International Limited will use the information you provide to open and service your account/s, communicate with you, and to use the information provided below to verify your identity.

Please type in your details and select the appropriate answers to complete this Application Form.


In order to establish your Sonoma International Limited account, please complete all of the sections below. Sonoma International Limited will use the information you provide to open and service your account/s, communicate with you, and to use the information provided below to verify your identity.

Please type in your details and select the appropriate answers to complete this Application Form..

If one owner dies, his/her interest passes to the surviving owner(s)


For Security and client identification purposes
Country Code
Country Code - City Area Code
Country Code - City Area Code

Permanent Residential Address

For Corporate Accounts Please Complete your Business Details

*Please Note We are unable to accept a post office box change on all places in app not just one.


1. Establish your Sonoma International Limited account (Continued) Account Holder (continued) Securities industry regulations require that we collect the following information.

Are you a Director, 10% shareholer or policy maker of a Publicly Held Company

Are you or are any of your immediate family members a current or former senior official in the executive, legislative, administrative, military or Medical Branch of any government, or a senior official of a major Political Party or a senior executive of an enterprise owned by a government or do you maintain a close personal or professional relationship with such an individual.


For Security and client identification purposes
Country Code
Country Code - City Area Code
Country Code - City Area Code

Permanent Residential Address

*Please Note We are unable to accept a post office box change on all places in app not just one.


By signing this application, you acknowledge that you have received and read a copy of the attached Application Agreement. You acknowledge that your signature signifies and constitutes your agreement that this account and your relationship with Sonoma International Limited will be governed by the Application Agreement and all incorporated agreements and disclosures. For purposes of this Account Application and the attached Application Agreement, the terms “you,” “your” and “Account Holder” refer to each person who signs this Account Application. The terms “we,” “us,” and “Sonoma International Limited” refer to Sonoma International Limited Account holder(s) represent that the foregoing information is true and correct, and will notify “Sonoma International Limited” of any material changes, Sonoma International Limited reserves the right, but has no duty, to verify the accuracy of information provided, and to contact such bankers, brokers and others as it deems necessary.
The following represents a legally binding contract between the undersigned and Sonoma International Limited Limited. It governs the undersigned/s relationship with Sonoma International Limited, and by Sonoma International Limited conducting transactions the undersigned accepts and agrees to abide by all of these terms & conditions. This agreement is between Sonoma International Limited Hereafter We, Our, Us or the broker) and the undersigned applicant (Hereafter you, you’re or the client). It is understood that by signing this agreement that it has been read and understood and that the signing party is in agreement with the terms & conditions of the agreement. This agreement and the terms & conditions herein apply to brokerage accounts ONLY. For margin accounts, special authorization accounts, discretionary accounts or primary lender accounts, specific agreements, terms & conditions apply to supersede any contradictory points to this agreement.
With respect to this contract and the account represented herein Sonoma International Limited’s primary role is as a broker between the clients and other financial services entities. At times Sonoma International Limited may act as an investment advisor in those instances their role and obligations will vary as a result. However, unless it is otherwise indicated in a separate written agreement, Sonoma International Limited only acts as a conduit. As a broker, it is understood that our primary role is the execution of trades based solely on the client’s directive. Any advice Sonoma International Limited may or may not give, is secondary to the brokerage services provided. Sonoma International Limited may act as advisor and broker to you at the same time. The fact that Sonoma International Limited works in this dual capacity should not be taken as an indication that the brokerage relationship is advisory in nature. At times Sonoma International Limited will consider the client’s brokerage account/s assets and/or personal financial situation (as it has been explained by the client) in giving investment recommendations or in helping to determine the services that could fit the client’s individual circumstances. In these cases, Sonoma International Limited is solely acting on information provided by the client and are still working as a broker as defined above and herein.
All transactions through Sonoma International Limited will be executed only on the direct order of the client in question, or the order of their authorized agent, except as otherwise described in this Agreement and outlined in writing. Credit for sales and other transactions - In the normal course of business, credit for the net proceeds of securities sales will be posted to the brokerage account on the settlement date. Availability of account credits will depend on but will not be limited to the following: the time required for transmitting and/or confirming data between financial institutions, the status of securities transactions and the collection of checks deposited. Sonoma International Limited will in the standard course of business withhold access to proceeds of checks credited to or transfers into the account until funds are collected and available, this is due to the fact that fund availability may fluctuate on a daily basis. Sonoma International Limited will not be liable for any consequences of a Fund insufficiency.
When purchasing or selling any security, the client agrees to deliver said securities in their possession or make payment in sufficient time to be received by us prior to the settlement date. In the case that Sonoma International Limited does not receive securities or payments prior to the settlement date, it is understood that the trade may be covered in the open market and that Sonoma International Limited will not incur any liability for such actions and any costs or expenses to the broker will be the sole responsibility of the client.
It is understood that Sonoma International Limited will choose the exchange that executes any and all transactions. The client understands that with respect to the execution of transactions, Sonoma International Limited may elect to sell securities from, or buy securities for, their own inventory or from/to the broker’s own account in order to satisfy the client’s order.
The Client understands that Sonoma International Limited may refuse, at their discretion, to process any transaction until reviewed and accepted. Any such transaction the Client may wish to affect that is not properly reviewed will be executed without liability to the broker. Furthermore, the undersigned agrees to hold Sonoma International Limited harmless from any losses, costs or liabilities whatsoever from acts or omissions by the broker as provided under this Agreement.
Should the client suspect an error on any transactional report, statement or other notice involving their account, the client must promptly notify Sonoma International Limited or It will be presumed that all statements and transactions reported are correct unless written notification is received within 10 days from the date of the delivery of said statement or transactions reported. It is the client’s sole responsibility to seek clarification of entries that they do not clearly understand. All correspondence sent to the address of record are presumed to have been delivered to the client personally whether or not actually received.
Sonoma International Limited may make available services (hereafter in this section referred to as the services) allowing clients to use telephone, electronic or online services, or other means to place orders and obtain market data and other information. These services at times require the use of a number or code. Responsibility for the confidentiality and use of any and all access numbers, codes and account numbers and for all securities and other transactions initiated through these means is solely the client’s responsibility and theirs alone. Any orders communicated to Sonoma International Limited through these means are treated as if sent directly. Sonoma International Limited will not be liable for lost profits or any trading losses, or other damages resulting from delays or loss of use of the services or from defective or unavailable market data. In any case, the broker’s liability arising from any claim (whether in contract, tort, or otherwise) relating to or arising out of the services or market data will not exceed the amount the client has paid for use of the services or market data.
Sonoma International Limited shall not be liable for any loss caused directly or indirectly by natural disasters, government restrictions, war, exchange or market rulings, extraordinary market volatility, exchange conditions, trading halts or any other conditions beyond their control. Furthermore, in acting hereunder, the client acknowledges and agrees that the broker shall not be liable for any loss or other claim of injury with respect to their brokerage account except for any issues that are proven to be due to gross negligence or willful misconduct.
Parties associated with the broker may have professional designations or credentials (such as accountants, financial planners or lawyers) and be members of related professional organizations. These organizations may have standards of conduct for their members. Sonoma International Limited will not be bound by the standards of any organizations of which their investment professionals are members. It is understood that the client’s relationship with the broker is governed by the terms under which they have hired Sonoma International Limited in this brokerage agreement.
The broker shall not be obligated to accept or act upon any power of attorney purportedly affecting the brokerage account, except as required and where applicable by law.
By signing this agreement, the parties agree to a pre-dispute arbitration clause the details of which are as follows:

(a) All parties to this agreement are, by their agreement, giving up the right to sue each other in court, including the right to a trial by jury, except for cases of gross negligence or willful misconduct as determined by an arbitrator under the rules of the arbitration forum in which a claim is filed.

(b) Arbitration awards will be considered final and binding; each party’s ability to have a court hearing reversed or modify an arbitration award will be limited to cases of proven gross negligence, willful misconduct or collusion.

(c) The ability of the parties to obtain documents, witness statements and other discoveries will be generally limited to the standards of an arbitration hearing.

(d) The arbitrators do not have to explain the reason(s) for their award.

(e) The rules of the arbitration forum may impose time limits for bringing a claim to arbitration.

(f) Claims that are ineligible for arbitration may be brought into court.

(g) The rules of the arbitration forum in which the claim is file and any amendments thereto, shall be incorporated into this agreement. All controversies that may arise between the client and the broker concerning any subject matter, issue or circumstance whatsoever (including, but not limited to, controversies concerning any account, order or transaction, or the continuation, performance, interpretation or breach of this or any other agreement).
I/We acknowledge that I/We have read and understood the Brokerage Account Client Agreement. I/We further agree that I/We have been informed as to the details and that I/We understand that it is my/our responsibility to understand the details of any and all transactions that I/We authorize through this account.
I/We certify that the information supplied in this application is complete and correct. I/We acknowledge that I/We have read, understood and agree with all that is written and explained and my/our signature(s) above confirm(s) this entire agreement.

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