SECURITIES TRADING ACCOUNT OPENING CONTRACT

Transcription

1 For Individual CONTRACT No:. SECURITIES TRADING ACCOUNT OPENING CONTRACT Acount No C Today DD..MM..YY at KIS VN Securities Joint Stock Company, We are : From one side A : Customer: Gender: Male Female Day of birth..place of birth... ID card/passport No.Day of issue.place of issue.. Personal fax code.. Address. Telephone.Fax Mobile Banking Information: 1. Acount No At Bank 2. Acount No At Bank From one side B: KIS Viet Nam Securities Joint Stock Company (Kis) - License for establishment and operation No: 56/UBCK-GPHĐKD Day of issue: State Securities Commision of Viet Nam. - Head office: The third floor, Maritime Bank Building, Nguyen Cong Tru St, District 1, Ho Chi Minh City. - Tax Code: Telephone: (08) Fax: (08) By Mr/ Ms: Position. represented. - The franchise No:..of General Manager. The two sides agreed to sign a contract with the conditions and the following specific terms: Article 1: Governing Law. This Contract is interpreted and governed by the Vietnamese Laws and Regulations. Both parties commit to comply with the following legal documents: - Civil Code No 33/2005/QH11 June 14, 2005 ; - Securities Law No 70/2006/QH11 June 29, 2006; - The legislation detailed provisions or guiding Securities Law No. 70/2006/QH11; and other legal documents involved. Article 2 : Definition of Terms. KIS Company or KIS is Kis Viet Nam Securities Joint Stock Company Trading Acount is the two accounts of side A, including: (i) deposit trading securities accounts is opened at commercial banks appointed by side B; Securities Depository is opened at side B used to cater to the stock exchanges where the B will execute securities transactions. Securities are all of securities owned of side A are allowed to trade on the Stock Exchange in the trading account Headquarter: Maritime Bank Tower, , Nguyen Cong Tru St.,Dist 1,HCMC. Tel: Hanoi Branch: 249 Tran Dang Ninh St., Cau Giay District, Ha Noi Tel: Fax: Fax:

2 Authorizer who authorized by side A by a contract authorized to be established in accordance with law and / or in accordance with the side B is attached to this contract. Counters s the counter at the main office, branch or department of the transaction B. Online Trading is the implementation of the requirements of securities transactions including customer orders online transactions, monitoring portfolio at market prices, detailed search results matching, ook up the history of securities transactions, view account balances can deposit transactions at the bank's customers and the utility associated derivative securities services in compliance with the provisions of law, through interacting directly with information technology systems on the Company's website KIS Vietnam Securities. Online Trading Service is the service which Company KIS Viet Nam Securities give to customers with facilities to make online trading as prescribed by law. Article 3: Purpose of the Contract: Under this Contract, Party A is required Party B to open a securities trading account ( Acount for short ) under the name of Party A to Party B for the purpose: i. Executing securities transactions upon of Party A ii. Managing securities of Party A in the trading account. iii. Managing money and other assets related to securities transactions under the agreement in accordance with Party A and Party B function. iv. Undertaking securities custody, clearing/settlement through the Securities Depository Centre under Party A s authorization. v. Managing securities of Party A in the case prescribed by law. Article 4: Tacit Commitment 4.1 The Customer acknowledges that securities prices will fluctuate regularly. So, Party A must commit to accept all risks with the value of all securities accounts opened under this contract. 4.2 The Customer acknowledges that at the time of signing this contract, place orders and all other requested information on securities and securities markets, as well as the profits and losses of the A as investment securities. Party A also understand that the information, analysis, advice and reviews of Party B only for reference and Party A shall bear full responsibility for their own investment decisions. 4.3 By signing this contract, Party A acknowledges that Party B has full notice to Party A on the functions and scope of business operation license, charter capital and the agent contract and Party A has accepted and agreed to participate. 4.4 Party A agree to authorize the Party B is authorizied to perform access to the deposit account of Party A at the Bank for payment to check balances, freezing the balance of payments, and fees, taxes (if any) to buy and sell orders of the A Stock has been made, realize the procedures legal right associated Securities Number of Party A and reazile other activities to guarantee the Obligations of Party A under this Contract and other contracts signed with the B is made. 4.5 In the process perform contract, In case the two side continue sign contract together for the relate service which provided by Party B, Rights and Obligations detail of both Party will be corrected by other cotract correspondence. However, if Party A does not realize the obligations specified fully or originate from that contract, Party A allow Party B to full decide securities No and money have Trading Account to deduct/realize the remaining obligations of Party A that not any complaints requirements and / or objections to Party B

3 4.6 In the event that Party A can not pay on time, Party B shall apply measures to freeze the trading accounts of A and the full right to proceed with the liquidation of these assets to recover debts in accordance party B. 4.7 Providing honest accurate information about customers of Party A in accordance with the law and the requirements of the B. 4.8 The direct sign or authorize another person to sign the order forms properly, the A recognition that has collected enough information and know acts of the transaction and also must commit arising from acts of the transaction 4.9 Party A must provide B the list of bank accounts used to account for the B chain to transfer money into this account when Party A has requested a withdrawal from trading account. Article 5: How to place and receive orders 5.1 When realize a purchase / sale of securities Party A shall pay the order forms (Form B submitted by the parties) after sufficient information has been recorded in the counters of Party B. Order forms are only accepted when submitted at the counter-party transaction Party B before transaction, unless both parties agree, other forms of written orders. 5.2 In case Party A wants to make orders in the forms: Place orders by telephone, the Internet... (Online transactions), then Party A shall keep to define of the contract online registration transactions by the law Article 6: The rate of margin to purchase / sell securities 6.1 To place a securities sell order, custumer must have enough quantity securities sell on account securities in accordance with the provisions of the management body of laws and regulations. 6.2 To place a securities buy order, Customers must have cash balances of transaction accounts to meet margin trading ratio in accordance with the management bodies of law and regulations. Article 7: Rights and Obligations of Party A 7.1 Rights: i. Legally own the securities under Party B custody. ii. To choose and use methods of ordering provided by the B. iii. Place order(s) to trade securities as stated in article 5 of this Contract iv. To require Party B Provides information on accounts and results of securities transactions in a manner to be mutually agreed in writing. v. Party A is entitled to non-term interest rates by the Bank for settlement announced by the time the cash balances in trading accounts. vi. To authorize other persons to perform transactions on the account of Party A as stipulated. vii.have the right to withdraw / transfer part or all Securities, cash, out of trading accounts when required or to terminate the contract on condition that Party A has fulfilled all obligations to all the parties B or a third party (if any). 7.2 Obligations: i. Opening deposit accounts at the Bank appointed by Party B to carry out securities transactions. ii. Be responsible to the information provide follow the contract and the records / documents enclosed are accurate and consistent with current law. In case of change of information or misinformation, Party A shall immediately notify in writing within one (01) days for the B

4 to adjust timely updates. Party B shall not be liable for damages arising from the change of information or misinformation, if party A is not reported or reported late for the B perform the update. iii. Research and comply with the law and party B when stock trading. iv. Accept and implement the results of securities transactions provided by Party B, in accordance with the orders of A by the method of ordering that the A option. v. Updated periodically to Party B 06 (six) months of accurate information on financial capability, risk tolerance, expected benefits of Party A and Party A's relatives, and other information Other prescribed form provided by the B (Appendix 1). If Party A is not updated or updated incorrectly, Party B in its sole discretion (i) A more time for the update, (ii) continue the contract or to send written notice 45 days of the decision to unilaterally terminate this contract without compensation to Party A. vi. Payment of brokerage fees, custody fees and other fees through banks for payment in accordance with party B and how published from time to time. vii.paying taxes in accordance with the law, if any, arising from transactions made by Party A. viii. Secure all and any information relating to the trading accounts of A, this contract and other contract to be concluded with the B. ix. To comply with and strictly implement the provisions of law and the guidance of the Party B related to the use of trading accounts and transactions of purchase / sale of securities. Article 8: Rights and Obligations of Party B 8.1 Rights: i. Receive fees for intermediatery, custody fees Other charges under the fee list listed in public places and transactions on the Website of B. ii. In case Party A break the provisions of law or contractual obligations and / or other regulations published by Party B from time to time, by sending written notice to Party A before three (03 ) days, iii. In case Party A does not perform obligations arising from securities transactions are made in accordance with regulations, party B has the full right to handle securities / assets in trading accounts or banks specified requirements payment using money to pay the obligation incurred. If the money and securities on account of insufficient to fulfill the obligations, party B may request Party A to fulfill its obligations and damages incurred. 8.2 Obligations: i. Transaction at the request of Party A in accordance with the provisions of law and contract. ii. Keep the A's stock in the securities account of the investors in the Securities Depository Center as prescribed. iii. Keep Customer s information confidential, with the exception of disclosures at the customer s request or as required by law iv. Do not use money and securities A if not have the consent of Party A, except (excluding cash and securities used as collateral, pledge, or other securities in the A binding agreement with Party B, or obligations to third parties. v. Provide account information and securities trading results of the A in a manner to be mutually agreed in writing.

5 vi. To pay damages to Party A under the provisions of PL in the case of breach of contractual obligations. Article 9: Relationship authorization 9.1 Relationship authorized in the contract: Party B is authorized under the scope of authorized content determined by Party A by by this contract and the agreement supplements and at the request of the A. the time limit is authorized by this contract period 9.2 Party B must comply with the define of management organ, law and party B when authorizes to third Party trade securities on the securities accounts of the Party B Article 10: Settlement of disputes, complaints 10.1 Party B is responsible for settling disputes, complaints with the party A I n maximum 3 working days for simple cases and up to 15 days for complicated cases and / or prescribed settlement procedures of the B Disputes arising from and/or in connection to this Contract shall be settled firstly by amicable negotiation. In the case of a failure to reach a settlement through negotiation, either party may refer the dispute to the competent court of Ho Chi Minh City for settlement as regulated by law. Article 11: Validity contract 11.1 The contract take effect when be signed. All amendments and supplements must be approved by two sides through documents The contract will expire and account will be settled in cases : i. Party A request to terminate the contract through written notification and send to Party B with conditions Party A completely performed all of obligations with Party B ii. Party A violating or committing acts prohibited under the law iii. Party A is an individual dies or is incapacitated behavior iv. Party A hasn t securities or balance cash account and not traded within 12 (twelve) months. In this case, Party B is entitled to unilaterally terminate the contract v. Party B is dissolved, bankruptcy, suspension of operations and withdraw licenses Parties and their rights and obligations successor must perform arising the rights and obligations from the contract before the contract terminated. This contract includes 05 pages and appendix, was made in 02 (two) originals have the same legal value, each party retaining 01 (one). Customer (Sign and write full name) KIS Viet Nam Securities Coperation (Sign, seal)

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7 APPENDIX NUMBER 1 INFORMATION CUSTOMER (To hold request for account opening form) I. Investment Objective - Income: - Long term growth: - Mid term growth: - Short term growth: - Total: 100 II. Risk Tolerance - Low: - Medium: - High: - Total: 100 III. Net Worth - Customer s income: million (VNĐ) - Spouse s income: million (VNĐ) IV. Investment knowledge Excellent Limited V. Investment Experience Good None None Bond Treasury bill Short selling Stock Others VI. People have rights and financial benefits for this account. - Surname: - Telephone: VII Is this a trust account management Có Không Headquarter: Maritime Bank Tower, , Nguyen Cong Tru St.,Dist 1,HCMC. Tel: Hanoi Branch: 249 Tran Dang Ninh St., Cau Giay District, Ha Noi Tel: Fax: Fax:

8 - Surname Trustees - Telephone: VIII. Please state details of the public company in which you own over 5 of charter capital (if any): VIII. Please state details of the public company where you are employed in a management position (if any) IX. Relationship between the account s owner and the consultant New contacts Or introduced by Relative Others None X. Securities trading account at other securities company (if any): STT Account No Securities company s name Attorney Customer s signature Received by Verified by