APPLICATION FOR THE OPENING OF A CAPITAL MARKETS ACCOUNT - Juridical persons -

Transcription

1 APPLICATION FOR THE OPENING OF A CAPITAL MARKETS ACCOUNT - Juridical persons - New application Modified application 1. CLIENT IDENTIFICATION DATA Company Name... Form of organisation... Tax identification number (or the equivalent for foreign persons)... Nationality:... Tax residence... Certificate of registration with the Trade Register (or the equivalent authority) Number... Series... Date... Set-up authority Court of justice Government Other... Set-up document Memorandum and articles of association; Court decision Other... Date of set-up... Address of the registered office Type and name of the street... No... Block... Entry... Floor... Apt... District/County... Locality... Postal code... Country... The office where the statutory activity management centre is located (if applicable) Correspondence address - where transaction confirmations, and account statements or current information will be sent (to be filled in if different from the address of the registered office) Type and name of the street... No... Block... Postal code... Country... Contact data Fixed telephone... Mobile phone... Fax Web page... (The fax or will be indicated for the confirmation of the transaction or for the transmission of other bank information) Structure of shareholders / partners:... (Name and holding percentage) Subscribed and paid share capital... Currency... as at... Net company assets... Turnover.. Currency... Main company object (NACE code)... 1/8

2 IBAN and bank of the account... Type of client Institution Fund Trading company Other, please specify... The client's assets are held in custody by a Custodian Agent No Yes (specify) REPRESENTATIVE IDENTIFICATION DATA Last and first name... Position... Appointing document... Employer (if different from the juridical person)... Company object... Type of ID... Series... No... PIN Issued on... By... Date of birth (dd/mm/yyyy) / / Place of birth... Sex M F Citizenship... Country of origin... Marital status... Name of spouse... Politically exposed person Yes No Public office held (if applicable)... Main address (Domicile) Type and name of the street... No... Block... Postal code... Country... Contact data of the representative Fixed phone... Mobile phone... Fax INFORMATION ABOUT THE DEDICATED ACCOUNT In order to have access to the financial investment and related services provided by BRD-Groupe Société Générale as Financial Services Intermediary, the Client requests the opening of a Dedicated account for each market on which he wishes to trade and for which the Intermediary offers its services (e.g. spot market administered by BSE, SIBEX derivatives market, etc.). Each Dedicated account shall be deemed open on the date the Client signs the documentation specific to the respective market. For all the Dedicated Accounts there shall apply the rules and conditions mentioned in the Agreement. The number of each Dedicated Account shall be communicated to the Client within 24 hours from the opening of the account, through one of the means of communication chosen by the Client. 2/8

3 The Client declares having been informed on the specificity and characteristics of this account, the most important being the following: The Dedicated Account is a cash account; The Dedicated Account is a special account which will be used exclusively for transactions related to the financial investment and related services; The Dedicated Account shall be debited with the rates and fees corresponding to the performed operations, the quantum of which is mentioned in the bank s List of rates and fees. The modification of such rates and fees may be operated as per art.10.2 of the Agreement; The funds in the Dedicated Account shall be mainly used for settling the amounts resulting from the transactions performed for the financial investment services; The available funds in the Dedicated Account shall be remunerated with the interest at sight on a current account, the quantum of which is mentioned in the List of interest rates of the bank; The account holder shall not directly debit the account by cash withdrawals; The account shall only be debited by the Client ordering transfers to another account held by the Client (opened with the Intermediary or with another bank), within the limits of the amounts not assigned to transactions and only via the Intermediary, as follows: a) By transfer to the account mentioned in this Annex. In order to make each transfer, the Client shall have to inform the Intermediary with regard to the amounts he wishes to transfer, by using the means of communication agreed upon in the Agreement (in writing, by phone, by (only if the Client has the right to use an electronic signature, after prior transmission to the Intermediary of the electronic signature specifications), by accessing the Bloomberg/Reuters applications, or any other secured system used by the Intermediary, by fax (also backed by sending the order by phone, within one hour as of the time the fax was sent); b) By transfer to another account held by the Client. In this case, in order to make each transfer, the Client shall have to inform the Intermediary, using the means of communication mentioned at point a), with regard to the amounts he wishes to transfer, as well as to the account number where he wishes the transfer to be made (IBAN account, and the name of the bank/subsidiary where the account has been opened). The Client may consult the bank s List of rates and fees and List of interest rates in the bank agencies and on the institutional website, The Client authorizes the Intermediary to debit the Dedicated Account with the amounts to be settled as a consequence of ordered transactions, including with the related fees, charges and other related costs. 4. MEANS OF COMMUNICATION BETWEEN THE CLIENT AND THE INTERMEDIARY The Client may transmit trading orders in writing, by fax, by phone, by (only if the Client has the legal right to use the electronic signature, after prior transmission to the Intermediary of the electronic signature specifications), by accessing the Bloomberg/Reuters applications, or any other secured system used by the Intermediary. The Client chooses to receive from the Intermediary the confirmation of carried out transactions, the statements of account, as well as other documents: By registered letter with acknowledgement of receipt; By fax; By (at the address indicated in the Contact Data). Correspondence language Romanian English 3/8

4 5. INFORMATION REGARDING THE INVESTING KNOWLEDGE AND EXPERIENCE Level of knowledge in the financial field Low Sufficient Good Very good Level of undertaken risk Low Average High Estimated investment period < 1 year 1 3 years > 3 years Estimated investment value < 5,000 5,000 50,000 > 50,000 Total assets < 1,000,000 1,000,000 5,000,000 > 5,000,000 Turnover < 2,000,000 2,000,000 5,000,000 > 5,000,000 Owner s equity < 500, ,000 2,000,000 > 2,000,000 Investment experience No experience Bank deposits Investment funds Other... Investments in shares Investments in bonds Derivative instruments... Investment objectives Speculation Growth Income Speculation: maximizing profits by making investments in the high risk financial instruments Growth: long term appreciation of the assets Income: maximizing the current income mainly by buying bonds and other similar instruments or by buying financial instruments with a high rate of return from dividends List the traded companies in which you hold directly or indirectly, alone or together with other natural or juridical persons with which you act jointly at least 5% of the voting rights or of the shares of the concerned companies: Company Symbol Number of shares Percentage Important: In the case of the operations of buying or selling of shares, as well as in the case of any other operations through which your voting rights reach, exceed or decrease under one of the thresholds of 5%, 10%, 15%, 20%, 25%, 33%, 50%, 75 % or 90% of the total voting rights, the Client shall inform, within maximum 3 business days, at the same time, the company, the National Securities Commission and the regulated market on which the concerned securities have been traded. The voting rights are computed based on all the owned shares with voting rights, even though the use of some or all of the voting rights is suspended. Also, the notification shall be made in reference to all the shares of the same class, with attached voting rights. 4/8

5 Did you or do you have an account opened with other Intermediaries? No Yes (specify)... Do you intend to trade through multiple Intermediaries in Romania at the same time? No Yes On what markets have you traded before (including the external markets)?... What is the main source of the funds invested by means of the account for financial instruments opened with BRD Pieţe de capital? Financial investments (capital earnings, dividends) Other (please specify)... Real estate investments / rents The available funds in the Dedicated Account shall be transferred, according to the Client s orders as per the provisions in this annex, to the Client s account, IBAN code... opened with the bank...branch CLASSIFICATION OF THE CLIENT ACCORDING TO THE MIFID PROVISIONS Value of your current portfolio (money and financial instruments) < 50,000 50, , , , ,000 Your average trading volume < 10 transactions / quarter 10 transactions / quarter Did you operate or have you operated for more than 1 year in the financial field or in another field closely related to the financial one? No Yes I have been informed on the provisions of the Presentation Document regarding the categories of investors and I request to be included in the category: Retail client Professional client In general For the following services/ transactions/ products:... Eligible counterparty If, provided I meet the conditions mentioned in the Presentation Document, I decide to be treated as a professional client, I declare having been informed of the consequences of the loss of the protection rights provided by the legislation for the retail clients, and I undertake to inform BRD on any change which could affect my current classification. To be filled in by the Intermediary The client meets the conditions for being classified as: Retail client Professional client In general For the following services/ transactions/ products:... Eligible counterparty 5/8

6 We hereby inform you that if you refuse to provide any of the information regarding your investment knowledge and experience, it will be impossible for the Intermediary to decide whether the financial instrument or investment service considered is adequate for you. I, the undersigned refuse to provide any information related to the unfilled fields of this form. Date... Client s signature... (To be signed only if the client refuses to provide the minimum information required). 7. REPRESENTATIONS OF THE CLIENT By signing this application, as representative of the Client, I declare that: - I have read and understood this form, I have mentioned my investment objectives and the accepted risk level, and I confirm having been informed by the Intermediary on the investment risks on the capital market, as well as on the fact that the Intermediary does not take any responsibility for the portfolio returns and that the past performance of the securities is not a guarantee for their future performance; - I do not know any reason likely to affect the validity of the transfer of the property right over my own financial instruments or over any attribute of such right. Should such situation occur in the future, I undertake to inform the Intermediary as soon as possible, but not later than 1 business day following the occurrence of such situation; - The juridical person operates legally, holds all the authorisations required by the Romanian law and carries out its business stipulated in its memorandum and articles of association in compliance with the legal norms in force. I also declare that the decision of the statutory body regarding the signing of this Agreement was legally made and that I will notify the Intermediary on the termination of the agreement at the time the decision validity ends; - I am aware of the regulations regarding the prevention and fight against money laundering and the financing of terrorism, and I undertake to inform the Intermediary and to send all documentary evidence whenever there will occur any modification of the identification data, information and documents mentioned in this application for the opening of an account. In addition, I agree to respond immediately, whenever necessary, to the requests of confirmation/revision of my identification data, being aware that the lack of an immediate response to the Intermediary s requests leads to deferred transactions. - The information herein is real, complete and is not subject to any omission, and I will immediately inform the Intermediary regarding any modification of these data and information, and I will duly replace the initially presented documents within 3 business days following the date of such modification. By the date the Intermediary receives these modifications from the Client, the Intermediary is entitled to consider the identification data and information it holds as valid. The Intermediary cannot be held liable for any potential prejudices occurred as a result of the Client s failure to communicate in due time and in safety conditions the modifications/additions occurred, or of the Client s failure to provide any documentary evidence when communicating them to the Intermediary. - I have been informed, understood, and received a copy of the List of rates and fees and a copy of the List of interest rates charged by the bank, these documents being an integrant part of the Agreement signed between the Intermediary and I. - I am aware that an inadequate statement of the above data is sanctioned according to the provisions of the Criminal Code. - As natural person, representative of the Client, I authorise the Intermediary to process my personal data according to the provisions of Law no. 677/2001 on the protection of individuals with regard to the processing of personal data and to the free circulation of such data, in accordance with the clauses of the form Consent of processing by the bank (in capacity of intermediary for financial investment services) of the clients personal data. I give this statutory declaration, subject to legal sanction, that: There is no beneficial owner *); The beneficial owner (s)* of the account and available funds is/are:... *) According to the definitions in the Presentation Document. Source of the funds **)... **) Write as appropriate: own funds/ funds borrowed: from a credit institution/funds borrowed from a legal entity other than a credit institution, funds borrowed from a natural person 6/8

7 Identification data of the beneficial owner 1 Last and first name... Fiscal resident Yes No (in this case, write the name of the country of tax residence)... Type of ID... Series... No... PIN Date of birth (dd/mm/yyyy) / / Citizenship... Place of birth... Sex M F Politically exposed person Yes No Public office held (if applicable)... Occupation... Workplace... Address Type and name of the street... No... Block... Postal code... Country... Identification data of the beneficial owner 2 Last and first name... Fiscal resident Yes No (in this case, write the name of the country of tax residence)... Type of ID... Series... No... PIN Date of birth (dd/mm/yyyy) / / Citizenship... Place of birth... Sex M F Politically exposed person Yes Nu Public office held (if applicable)... Occupation... Workplace... Address Type and name of the street... No... Block... Postal code...country... Identification data of the beneficial owner 3 Last and first name... Fiscal resident Yes No (in this case, write the name of the country of tax residence)... Type of ID... Series... No... PIN Date of birth (dd/mm/yyyy) / / Citizenship... Place of birth... Sex M F Politically exposed person Yes No Public office held (if applicable)... Occupation... Workplace... Address 7/8

8 Type and name of the street... No... Block... Postal code... Country... Name and position of the employee/agent with whom the client will be in contact... Made this day,, in 2 counterparts, one for each party. Name of the Intermediary s representative Daniel POCOREA Signature Client Tudor CERNICA Signature Stamp Signature Stamp Enclosed Documents The Client submitted to the Bank the following documents in original and the Bank kept the original or certified true copies thereof (check where appropriate): Updated tax registration certificate; Photocopy of (up-to-date) incorporating documents of the juridical person (Memorandum and Articles of Association, Memorandum of Association or Articles of Association, as the case may be, Court Decision of incorporation); Photocopy of the registration documents with other relevant authorities (e.g. National Securities Commission, Private Pension System Supervisory Commission, etc.); Confirmation of company details delivered by the Trade Register, no older than 3 months (showing at least: the share capital, the members of the Board of Directors, the term of office, the mandated persons, the legal representatives, the shareholders/partners, etc.) Fund prospectus Identity papers of the representative(s) on the account; Sheet of signature specimens of the representative(s) on the account Documentary evidence of the capacity of Representative(s) on the account (i.e. appointment document + power of attorney from the company; or special mention in the memorandum and articles of association) Special power of attorney authenticated by a notary public in the country of origin, given by non resident juridical persons, whether profit or non-profit, to a natural person to represent them in Romania, together with its notarized translation into Romanian; Other:... Nota bene: The documents delivered by non resident juridical persons and authenticated by a foreign notary public have to be superlegalized (to have the apostille applied by the relevant authorities in the country the documents originate in). 8/8