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Employer's Letter of Awareness?


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Employer's Letter of Awareness?

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  #1 (permalink)
ihaveaquestion
McLean, VA
 
 
Posts: 1 since Jul 2022
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Just very recently opened an account with Tradovate.

One of the requested forms is the letter of awareness from my employer. Granted, I work for a bank but have zero exposure to trading desk nor insider information. Is it just me or is everyone having to provide this letter to Tradovate?

Knowing how competent my employer is, I very much doubt they have such letter to provide.

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 kevinkdog   is a Vendor
 
 
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ihaveaquestion View Post
Just very recently opened an account with Tradovate.

One of the requested forms is the letter of awareness from my employer. Granted, I work for a bank but have zero exposure to trading desk nor insider information. Is it just me or is everyone having to provide this letter to Tradovate?

Knowing how competent my employer is, I very much doubt they have such letter to provide.


For every account I have opened, they ask a question about if you work for financial institutions, etc. If you say yes, as you did, this is probably an extra hoop you have to jump through. I've never hear dof it, but I do not work for a bank...

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mendal
boston, ma
 
 
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I have accounts with Apex and LeeLoo - no such letter.

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 bobwest 
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kevinkdog View Post
For every account I have opened, they ask a question about if you work for financial institutions, etc. If you say yes, as you did, this is probably an extra hoop you have to jump through. I've never hear dof it, but I do not work for a bank...


mendal View Post
I have accounts with Apex and LeeLoo - no such letter.

But neither Apex nor LeeLoo is a broker. Probably the difference.

Bob.

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LaissezFaire
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mendal View Post
I have accounts with Apex and LeeLoo - no such letter.

Those are bucket shops (Google it). Not real brokers.

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 Ironbeam   is a Vendor
 
 
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If you work for any FINRA-registered company, there is a regulation that requires what is called a 3210 letter (formerly known as a 407 letter). The firm must give written permission for the employee to trade futures, or in other cases hold certain investments. They can also request to receive your account statements. If you work for a FINRA-registered firm, their compliance department will used to this type of request and should be able to provide the letter.

Feel free to reach out with any questions. (312) 765 7228. There is a substantial risk of loss in trading futures and options. Past performance is not necessarily indicative of future results. Full Details.
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