Remisier/Dealer to complete client s name here.

Transcription

1 Notes: (a) Direct Trading Account (Non-Pledged Account) A trading account which is tagged to a CDS account opened under the name of client e.g. Lim Ah Kow (b) Securitised Direct Trading Account (Pledged Account) A trading account which is tagged to a CDS account opened under the name of client e.g. Lim Ah Kow (c) Securitised Nominees Trading Account - A trading account which is tagged to a Central Depository System ( CDS ) account opened under the name of CIMSEC Nominees (Tempatan/Asing) Sdn Bhd Pledged Securities Account for name of client.e.g. CIMSEC Nominees (Tempatan) Sdn Bhd Pledged Securities Account for Lim Ah Kow; Remisier/Dealer to complete client s name here. Remisier/Dealer to indicate type of account CDS # is to be completed by staff from CDS or Nominees Client code is to be completed by Data Management from CIMBIB

2 Note: It is important to advise client to read this page before completing the form.

3 Notes: It is mandatory for client to complete all the information as required under Section A to D. Section A Client to select the type of broking, Conventional / Islamic Client to select the type of account to be opened, client can both Direct & Securitised if he wishes to open both accounts. Client to indicate whether he wants to go online by on Online Trading box Client to indicate whether he wants to trade cross border by on Cross Border Trading box Notes: It is mandatory for client to complete all the information as required Section B to D

4 Notes: It is mandatory for client to complete all the information as required under Section E to H

5 Section I to J It is important to advice client to read & understand the structured warrants risk disclosure statement & memorandum of deposit.

6 Section K It is important to advice client to read & understand the T&C. Where client is unable to read & understand the provisions as contained in the application form Remisier/Dealer is required to translate or explain these provisions in the language or dialect which is understood by the client & such language or dialect used is to be indicated in the space provided at Page 9.

7 Section K It is important to advice client to read & understand the T&C. Where client is unable to read & understand the provisions as contained in the application form Remisier/Dealer is required to translate or explain these provisions in the language or dialect which is understood by the client & such language or dialect used is to be indicated in the space provided at Page 9.

8 Section K It is important to advice client to read & understand the T&C. Where client is unable to read & understand the provisions as contained in the application form Remisier/Dealer is required to translate or explain these provisions in the language or dialect which is understood by the client & such language or dialect used is to be indicated in the space provided at Page 9.

9 Section K It is important to advice client to read & understand the T&C. Where client is unable to read & understand the provisions as contained in the application form Remisier/Dealer is required to translate or explain these provisions in the language or dialect which is understood by the client & such language or dialect used is to be indicated in the space provided at Page 9.

10 Notes: Section L Payment Instruction Client can opt for :- (a) Direct credit into his CIMB Bank account Indicate the 14 digits account no and remember to enclose a photocopy of passbook or bank statement. (b) By Cheque (c) Credit directly into his trust account maintained with CIMB Investment Bank (CIMB) Client can only select for one of the above and this payment instruction shall remain in force until further notice to CIMB in writing. Notes Section M Declaration By Client Client needs to complete :- Part (6) Applicable for client trading in cross border to declare whether he has any domestic RM credit facilities. Client to endorse his signature at the space marked Signature of Applicant & indicate name, NRIC no. & date of signing. Who can witness:- Dealer s Representative Officer from CIMB Investment Bank Authorised Officer of CIMB Bank Berhad (Applicable to Bank Branch Broking only) Notary Public Indicate Name, NRIC & date

11 Section N (Declaration By DR) To Be Completed By DR/Authorised Officer of CIMB Bank (Applicable to Bank Branch Broking only) Remisier/Dealer to complete the following info:- (a) Proposed trading Limit (b) Proposed ratio for cross border trading, if applicable (c) Proposed ratio for Online Trading, if applicable (d) Name of the sales person, if applicable (e) Day Trading Facility Circle yes, if Remisier/Dealer would like to extend day trade to his client & indicate the rate applicable (Bursa floor is 0.15%) (f) As part of KYC Remisier/Dealer it is mandatory for Remisier/Dearler to furnish this additional information. (g) Jurat clause Where client is unable to read & understand the provisions as contained in the application form Remisier/Dealer is required to translate or explain these provisions in the language or dialect which is understood by the client & such language or dialect used is to be indicated in the space provided at Page 9. (h) Remisier/Dealer is to sign on the space provided and to affix the rubber stamp bearing their name & License no. Thereafter indication date of signing.