INDIVIDUAL TRADING ACCOUNT APPLICATION FORM AND TERMS & CONDITIONS FOR SECURITIES TRADING

Transcription

1 AmInvestment Bank Group INDIVIDUAL TRADING ACCOUNT APPLICATION FO AND TES & CONDITIONS FOR SECURITIES TRADING To be completed by AmInvestment Bank Berhad Client Name Account Qualifier CDS Account Number Client Code Dealer/ Remisier Code BBB Code AmInvestment Bank Berhad (23742-V) (Formerly known as AmMerchant Bank Berhad) A member of AmInvestment Bank Group (A Participating Organisation of Bursa Malaysia Securities Berhad) Registered Office : 22 nd Floor, Bangunan AmBank Group, 55 Jalan Raja Chulan, Kuala Lumpur, Malaysia Tel : (603) /99 Fax : (603) Branch Office Batu Pahat : 3 rd Floor, Penggaram Complex, 1 Jalan Abdul Rahman, Batu Pahat, Johor Darul Takzim, malaysia Tel : (607) Fax : (607) Damansara Utama : 4 th Floor, Plaza Damansara Utama, 2 Jalan SS 21/60, Petaling Jaya, Selangor, Malaysia Website : Tel : (603) Fax : (603) Corporate Finance Islamic Markets Treasury & Derivatives Funds Management Private Equity Debt Markets & Structured Finance Equity Markets & Derivatives Stock & Futures Broking Trustee Services Private Banking

2 INDIVIDUAL TRADING ACCOUNT APPLICATION FO (Please complete this form in block letters using black ink pen) A. PERSONAL PARTICULARS For Office Use Only Name of Applicant (As per new NRIC/Passport/Authority Card) Client Type Old NRIC/Passport/Authority Card No. New NRIC No. Client Category - - Date of Birth Race Gender Race Gender Male Female Nationality Marital Status Nationality Marital Status Malaysian Others Single Married Others Registered Address (As per NRIC/Passport/Authority Card) Post Code State Country State Country Correspondence Address (if different from the above) Post Code State Country State Country Home Tel No. Office Tel No. Handphone No. Home Facsimile No. Office Facsimile No. Address B. EMPLOYMENT PARTICULARS Self-Employed Salaried Others Job Code Name of Firm/Employer Address of Firm/Employer Post Code State Country Years employed/ Nature of Business Profession/Designation business commenced C. FINANCIAL PARTICULARS Bank/Branch Account Type Account No. Total Annual Income < 25,000 25,000-60,000 60, ,000 Income Status 100, , , ,000 > 200,000 Assets Net Worth (Stocks and Shares, Cash and Deposit, Landed Property etc.) < 300, ,000 1million > 1million Assets Net Worth Credit/Charge Cards Issued by Credit Limit () AmInvestment/AATC(I)/Jan2007 Page 1 of 19

3 D. COLLATERAL OFFERED (This section must be completed by applicant who applies for margin facility) Credit Limit Applied For: Collateral Offered: (please write on a separate sheet if the space provided below is insufficient) Securities Quantity Securities Quantity E. INVESTMENT EXPERIENCE Investment Objectives: Security Income Capital Growth Others Investment Time Frame: Short Term Long Term Investment Experience: (1) Equities year(s) (2) Futures year(s) Trading Account With Other Participating Organisation (2) F. SPOUSE/NEXT OF KIN PARTICULARS Spouse Next of Kin Name of Spouse/Next of Kin New NRIC/Passport/Authority Card No. Profession/Designation Name of Firm/Employer Address of Firm/Employer Post Code State Country Home Tel No. Office Tel No. Handphone No. G. ELECTRONIC SERVICES (Tick [ ] only if you wish to apply for Electronic Services) YES, I wish to apply for Electronic Services as follows:- OnlineTrading * Online trading with real-time Bursa Malaysia quotes and indices, charts, stock scoreboard, order placement, order status enquiry, intraday stock movement tracker, Bursa Malaysia news and company announcements. Research ideas Extensive research reports database dating back to1996. This section includes market sectoral earnings, macroeconomics indicator and statistical updates. My Account Check your transaction movement, outstanding position, outstanding summary, AMSEC Nominees stock balance (if applicable), margin portfolio valuation and margin trading account position (if applicable). eservices Forms Online request for cash withdrawal, payment notification, rights issue subscription and online request form to update particulars. * Subject to availability and Management's approval. AmInvestment/AATC(I)/Jan2007 Page 2 of 19

4 H. NOMINEE SERVICES* Tick [ ] only if you wish to appoint a custodian to hold securities on your behalf YES, I wish to apply for an account with Nominee Services and declare that I have read and understood the terms and conditions of the Nominee Agreement and hereby agree to comply with them. I understand that my account will be opened in the name of *Amsec Nominees (Tempatan) Sdn Bhd or Amsec Nominees (Asing) Sdn Bhd with me as the beneficial owner. * It is recommended for non-resident applicants or Malaysian residing overseas. I. DECLARATION BY APPLICANT i) DECLARATION PURSUANT TO TES AND CONDITIONS FOR SECURITIES TRADING I hereby declare /agree /undertake that: (a) (b) (c) (d) (e) (f) (g) I have attained the age of eighteen (18) years and all particulars and information furnished by me in this Account Application Form are true and correct and I have not withheld any material fact or information from AmInvestment Bank Berhad ('the Company'); I am not in the employ of another Participating Organisation of the Bursa Malaysia Securities Berhad ( Bursa Securities ); I have not been adjudicated or declared a bankrupt and have not committed an act of bankruptcy and have no knowledge of any bankruptcy petition presented against me in any court of competent jurisdiction and I have not been listed as a defaulter by Bursa Securities or Bursa Malaysia Derivatives Berhad; I have read and understood the contents of the following attachments: Terms and Conditions for Securities Trading Call Warrants Risk Disclosure Statement Memorandum of Deposit of Securities I understand that the Company does not provide any investment advice, suggestions or recommendations; I understand that my application to open an Account and any other services are subject to the Company's approval and the Company is absolutely entitled at it s sole discretion to reject my application; and I enclose herewith the following documents duly certified as true and correct: 1 copy of my New NRIC/Passport/Authority Card 1 copy of my Latest Income Tax Statement/Bank Statement/Payslip/EA Form. ii) DECLARATION PURSUANT TO RULE 404.3(7)(a) OF THE BURSA MALAYSIA SECURITIES BERHAD I hereby declare that the dealings in securities in respect of my trading account shall be carried out for me as principal. iii) I MAKE THIS SOLEMN DECLARATION AS STATED IN I(i) AND I(ii) CONSCIENTIOUSLY BELIEVING THE SAME TO BE TRUE. SUBSCRIBED AND SOLEMNLY ) Declared by the applicant ) This day of 20 ) Signature of Applicant Before me (See note below), Name of Witness ) New NRIC/Passport No: ) Profession/Designation ) Address: ) ) Signature of Witness Official Stamp/Seal Note: Insert name, NRIC/Passport no., profession/designation and address of the witness who must be an Authorised Officer of AmInvestment Bank Berhad or AmBank Group or AmInvestment Bank Berhad s Commissioned Dealer s Representative (Remisier) or AmInvestment Bank Berhad s Salaried Dealer s Representative or a Notary Public or the Officer(s) of the Malaysian Embassy or High Commission/Consulate of the jurisdiction where the form is signed. AmInvestment/AATC(I)/Jan2007 Page 3 of 19

5 J. DECLARATION BY DEALER S REPRESENTATIVE/AUTHORISED OFFICER OF AmBANK GROUP (Tick [ ] whichever applicable) Recommended and/or serviced by Salaried Dealer's Representative ; or Recommended by AmBank Group. Company Name : The Directors, AmInvestment Bank Berhad (the 'Company') I hereby request that you accept the abovenamed applicant as a client of the Company and open a trading account for the said applicant. As a salaried dealer's representative of the Company or an authorised officer of the AmBank Group, I hereby confirm the existence of the applicant and declare that the particulars as given herein by the abovenamed applicant is true, complete and correct to the best of my knowledge. Signature of Salaried Dealer Representative/ Authorised Officer(s) of AmBank Group (Delete whichever inapplicable) Date Dealer Code/Employee no. : Recommended Initial Trading Limit Recommended and/or serviced by Commissioned Dealer's Representative (Remisier) The Directors, AmInvestment Bank Berhad (the 'Company') I hereby request that you accept the abovenamed applicant as a client of the Company and open a trading account for the said applicant. As a commissioned dealer s representative of the Company, I hereby confirm the existence of the applicant and declare that the particulars given herein by the abovenamed applicant is true, complete and correct to the best of my knowledge. I shall be responsible for making good any debts and losses incurred by the abovenamed applicant and shall hereby indemnify the Company for any and all debts and losses incurred by the said applicant including professional fees/solicitors' cost. Signature of Remisier Date Remisier Code : Recommended Initial Trading Limit FOR OFFICE USE ONLY Action Processed/Checked By Account Approved By Client/Remisier/ Dealer Code Allocated Keyed-in By Data Entry Checked By Signature: Date: AmInvestment/AATC(I)/Jan2007 Page 4 of 19