RegulatoryDetail

  • Fully Disclosed Client (Individual, Retirement, Joint)

  • Advisor Client (Individual, Retirement, Joint)

XSD

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<xsd:sequence>
<xsd:complexType name="RegulatoryInformation" type="RegulatoryDetail" minOccurs="1" maxOccurs="1" />
</xsd:sequence>
<xsd:sequence>
 <xsd:element name="RegulatoryDetail" minOccurs="2" maxOccurs="2" use="Required" />
 <xsd:attribute name="code" type="code" use="Required" />
 <xsd:attribute name="status" type="Boolean" use="Required" />
 <xsd:attribute name="detail" type="String" use="Optional" />
 <xsd:attribute name="external_individual_id" type="String" use="Optional" />
</xsd:sequence>

Parameters

Name

Type

Description

code

AFFILIATION

EmployeePubTrade

EmployeePubTrade

POLITICALMILITARYDIPLOMATIC

CONTROLLER

STOCKCONTROL

FOREIGN_BANK

MONEY_TRANSMITTER

HIGH_RISK_CONTRIBUTION

Individual, Retirement, Joint (All Entities) 

  • AFFILIATION: Is the applicant or any immediate family member who resides in the same household, registered as a broker-dealer or an employee, director or owner of a securities or commodities brokerage firm? (Yes/No)

Individual, Retirement, Joint (All Entities except for IB-AU) 

  • EmployeePubTrade: Are the owners of, or other non-owners listed on, the account Employees of a publicly traded company? (Yes/No)

  • ControlPubTraded:Do the owners of, or other non-owners listed on, the account Control a publicly traded company? (Yes/No)

Individual, Retirement, Joint (IB-AU only) 

  • POLITICALMILITARYDIPLOMATIC: Is the account holder, or an immediate family member of the account holder: (i) a senior government official of any country, (ii) a senior diplomatic staff member or ambassador or high commissioner for Australia or a non-Australian embassy, or (iii) a high ranking member of any country's armed forces, or (iv) a senior officer (CEO, CFO, or comparable position) of any State-owned enterprise of any country.  (Yes/No)

  • CONTROLLER: Is the account holder, or an immediate family member, a director or senior employee or officer of any publicly traded company (listed) or of an issuer/manager of any exchange traded financial product? (Yes/No)

Orgs (OWD only) 

  • STOCKCONTROL: Is the organization a publicly-held entity whose shares are traded on a regulated exchange? (Yes/No) If Yes, provide Symbol within detail.

  • FOREIGN_BANK: Is the organization a foreign bank (formed and located outside the European Union)?(Yes/No)

  • MONEY_TRANSMITTER: Is the organization a licensed money transmitter?(Yes/No)

  • HIGH_RISK_CONTRIBUTION: Does your organization generate 10% or more of its revenue by conducting business in high risk countries? (Yes/No) If yes, provide countries that apply. (Contact dam@ibkr.com for list of countries).

status

true

false

Response to the above Regulatory Questions.

Yes= true

No = false

detail

String

Required IF any of the following are true: 

EmployeePubTrade - Enter the stock symbol(s) of the company or companies, separated by commas. Stock symbol(s) must be upper case.

ControlPubTraded - Enter the stock symbol(s) of the company or companies, separated by commas. Stock symbol(s) must be upper case.

STOCKCONTROL - Enter the stock symbol(s) of the company or companies, separated by commas. Stock symbol(s) must be upper case.

HIGH_RISK_CONTRIBUTION - Enter the country(ies), separated by commas. Country must be 3 digit ISO code and all upper case.

external_individual_id String External_ID associated with the account holder.
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If ControlPubTraded and/or EmployeePubTrade="false"
<RegulatoryInformation>
 <RegulatoryDetail code="EmployeePubTrade" status="false"/>
 <RegulatoryDetail code="ControlPubTraded" status="false"/>
 <RegulatoryDetail code="AFFILIATION" status="false"/>
</RegulatoryInformation>
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If ControlPubTraded and/or EmployeePubTrade="true"
<RegulatoryInformation>
<RegulatoryDetail code="ControlPubTraded" detail="IBKR, AAPL" status="true" external_individual_id="FirstHolder"/>
<RegulatoryDetail code="EmployeePubTrade" detail="IBKR, AAPL" status="true" external_individual_id="FirstHolder" />
<RegulatoryDetail code="AFFILIATION" status="false"/>
</RegulatoryInformation>
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If false
<RegulatoryInformation>
<RegulatoryDetail code="STOCKCONTROL" status="false"/>
<RegulatoryDetail code="FOREIGN_BANK" status="false"/>
<RegulatoryDetail code="MONEY_TRANSMITTER" status="false"/>
<RegulatoryDetail code="HIGH_RISK_CONTRIBUTION" status="false"/>
</RegulatoryInformation>
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If true
<RegulatoryInformation>
<RegulatoryDetail code="STOCKCONTROL" status="true" detail="FB" />
<RegulatoryDetail code="FOREIGN_BANK" status="true" />
<RegulatoryDetail code="MONEY_TRANSMITTER" status="true" />
<RegulatoryDetail code="HIGH_RISK_CONTRIBUTION" status="true" detail="AFG"/>
</RegulatoryInformation>