** Foreign retail customers only

Transcription

1 Page 1 ** Foreign retail customers only Service conditions: Payment condition: Prepaid only Commission Rate: 0.15% of total trading value (online), minimum charge baht For more information: SCBS Online Call center at , scbsonline@scb.co.th, or visit our website at Required documents for opening an internet trading account (stocks) 1. Completed Application Form -- sign where marked and fill out all sections in ink as marked. ( ) 2. Two certified copies of the passport 3. One document of financial support, choose only one of the followings: - A certified copy of bank statement (minimum balance of Baht 1 MB) or; - A certified copy of income payment slip (minimum monthly income of Baht 300,000) or; - An investment draft payable to SCB Securities Co., Ltd. for Customers (minimum of Baht 300,000, other currencies will not be accepted) 4. Cash of Baht 30 for duty stamp fee, foreign currencies accepted (please refer to the exchange rate at 5. Three certified copies of SCB savings/ current account s passbook or statement (if any) with clear account owner s full name and the account number. 6. One certified copy of the working permit **Required for a customer choosing SIPS online money transfer) 7. To create user ID and Password, please register for free trial (choose Equity) at Remarks: - Please sign all forms and documents in ink as marked. ( ) SCB Securities Co., Ltd. 20th 21st SCB Park Plaza 3,19 Ratchadapisek Rd., Chatuchak, Chatuchak, Bkk Tel: Fax: scbsonline@scb.co.th

2 ** Thai customers only Page 2 Required documents for opening an internet trading account (stocks) 1. Completed Application Form -- sign where marked and fill out all sections in ink as marked. ( ) 2. Two certified true copies of Identities card or Government identification card or Government enterprise card 3. Two certified true copies of bank passbook (first page only) for ATS with clear account numbers. *** If user chooses PREPAID please use only SCB bank. 4. Financial Verification documents. Prepaid (Please only select one option below if you choose) - Original income payment slip (income >= 30,000 Baht) - Certified true copy of your 3-month bank statement (balance >= 100,000 Baht) - 30,000 Baht Cashier's cheque payable to " SCB Securities Co., Ltd. for Customers " Or Pay in at Bank account Branch Bank Account Type Wittayu road Current Note -- For those who are not in Bangkok, please make a Draft instead. Please write down your name and telephone number on the back of the cheque or draft. - Certified true copy of Platinum credit card (any banks). Credit Line - Certified true copy of your 3-month bank statement (average balance >= 300,000 Baht) or certified true copy copied of your 3-month portfolio statement (market value >= 300,000 Baht). Remarks: - Please sign all forms and documents in ink as marked. ( ) SCB Securities Co., Ltd. 20th 21st SCB Park Plaza 3,19 Ratchadapisek Rd., Chatuchak, Chatuchak, Bkk Tel: Fax: scbsonline@scb.co.th

3 Instruction: How to fill out an Internet trading application form (stocks) Page 3 Application Form For Opening of Securities Account Select payment method for internet trading : Purchase of Stock 1. Cash Balance -- transfer money to increase online purchasing power through SCB bank counters only 2. Cash Balance by transferring money through SIPS -- transfer money through either SCB bank counters or SIPS menu at (available only for SCB bank account holders). Note: For prepaid condition, an investor can trade up to the amount transferred to SCB Securities (SCBS) under account name SCB Securities Co.,Ltd. for customers (Please call to get the account number at SCBS Online call center ). Sale of stock section 1. Cash Balance -- once you sell stocks, the selling balance goes back into your online portfolio with SCBS under the Line Available column. You can promptly place buying orders up to the amount shown. On a T+3 date, the selling amount will consequently be deposit in your Cash Balance column. Signature Cards -- sign two times; left and right, ink as marked. ( ) Agreement for Appointment of Agent and Broker in Connection with Securities Trading form -- sign in ink as marked. ( ) Memorandum of Agreement for the Safe-Keeping of the Customer s Assets form -- sign in ink as marked. ( ) Attached Document of Application for Securities Trading Account Opening Individual Client -- Complete the from, sign at client area, and provide additional document (if any) and -- sign where ink as marked. ( ) Please also note that your signatures have to be identical to the ones given to SCB bank. This form is used by SCB bank to verify the usage of real-time online money transfer services (SIPS-Secured Internet Payment Systems). Power of Attorney (Optional) -- fill out only if you wish to assign the attorney to act on your behalf and also supply relevant evidence i.e. verified copies of National ID or Passport of the attorney. E-Dividend (Optional) -- sign where marked, and the dividend amount from investment will be automatically transferred to your personal bank account. SCB Securities Co., Ltd. 20th 21st SCB Park Plaza 3,19 Ratchadapisek Rd., Chatuchak, Chatuchak, Bkk Tel: Fax: scbsonline@scb.co.th

4 Application Trading Account Opening & Broker And Agent Appointment Agreement For Corporate Customer and Individual Customer (Equity) Version 2012

5 Application form For Opening Of Securities Account Head Office Branch. Account Number. Date. Corporate Customer Information Name of corporation (Thai). (English). Type of business Corporate Tax ID No. Custodian (Please specify (if any)) Individual Customer Information (KYC) Name (Mr., Mrs., Miss) Name (English) Age Years Date of Birth Nationality Passport No. Occupation. Highest education Personal Tax ID No.. Employer/Place of work Nature of Business. Work Permit No. Fixed Monthly Income Position Year of employment Year Political Position (if any) Other Monthly Income Source of Other Monthly Income Marital Status Single Married Divorced Widow/er Child Persons Spouse s Name Age Nationality Spouse s Employer / Place of work Nature of Business Fixed Monthly Income Position Work Permit No. Year of employment Year Political Position (if any) Other Monthly Income Source of Other Monthly Income Family Assets 1. approx. value of free from Encumbrance subject to encumbrance 2. approx. value of free from Encumbrance subject to encumbrance Address Information (KYC) Current Address No. Soi Street Sub District District Province Country Zip code Phone Mobile Phone No. Office Address Building No. Soi Street. Sub District District Province. Country Zip code Phone Facsimile Contact address for document delivery Current Address Office Address Address. 2

6 Payment of Margin Information In case of ATS / Bank deposit, please specify detail of bank account whereas name of account shall be the same as opened with the Company Bank Branch Type of Account Saving Current Account Number Details of the dividend Transfer dividends into a bank account same the ATS,the details a bank account above. Transfer dividends into a bank account details is as follows. (please attach certified true copies of bank passbook (first page only)) Bank Branch Type of Account Saving Current Account Number Information of Other Contacting Financial Institutions Name(s) of other contacting securities companies 1. Cash Internet Credit Balance TFEX SBL Credit Limit Baht 2. Cash Internet Credit Balance TFEX SBL Credit Limit Baht 3. Cash Internet Credit Balance TFEX SBL Credit Limit Baht Name(s) of other banks or financial institutions 1. Bank Branch Type of Account Account No.. 2. Bank Branch Type of Account Account No.. 3. Bank Branch Type of Account Account No.. Beneficiary from Client s Trading (Please specify (if any)) (KYC) Please attach copy of Passport/ Certificate Document 1. Telephone 2. Telephone 2. Telephone 4. Telephone 3. Telephone 4. Telephone Name of Controlling person form Client s Trading (KYC) Name and Last Name ( Please attach copy of Passport/ Certificate Document) Relation or Position (Corporate) Authorized person to undertake any action on Client s behalf (KYC) Name and Last Name ( Please attach copy of Passport/ Certificate Document) Relation or Position (Corporate) History of breaking the anti-money Laundering Law for the last 3 years (KYC) Never Yes (Please specify) year. 3

7 Shareholders (KYC) Shareholders ( 30% up) 1. % of registered share 2. % of registered share If the shareholder are the juristic person and hold the share starting from 30% up please specify or attach the details of shareholding (50% up) Other Information Contacting person in case of emergency Relationship Phone Person introducing me/us to open this account The Company s Officer known Relationship Relationship Investment Experience No experience years of experience Investment Objective Long Term Medium Term Short Term Other Type of Account and Credit Limit Required Cash (placing order through the marketing officer) with the credit limit of Baht Credit Balance (placing order through the marketing officer) with the credit limit of Baht Internet (placing order through the Internet) Credit Limit Baht (supplemental document required) Prepaid An applicant requesting for a cash account opening (placing order through the marketing officer) may also request for access of information via the Internet. Yes,I/we require the provision of services of information access and review via Internet tradeview.scbs.com No,I/we do not require the provision of service of information access and review via Internet General Process for Securities Trading 1. Client may place an order by phone, by visiting our trading room or by internet (only client with internet account) 2. The company will confirm your order by mail on the following working day (Exclude internet trading or other cases as shall be announced by the company ) 3. The company will send a statement of outstanding balance monthly to client with trading activities, every 3 months to client without trading activities or as requested (Exclude internet trading or other cases as shall be announced by the company ) Client hereby declares that the above information given by client is true and correct. Upon the company s approval of the securities account, client agrees to be bound by regulations and conditions set by the company and agrees to sign the agreement in company s format.. Signature 4

8 Broker and Agent Appointment Agreement This Agreement is made on the date of at SCB Securities Company Limited by and between (hereinafter referred to as the Customer ) of the one part, and SCB Securities Company Limited (hereinafter referred to as the Company ) of the other part. Whereas the Customer is desirous to appoint the Company to act as the Customer s broker and agent for the trading of securities, Now, therefore, the parties hereto hereby agree as follows: Section 1 Definition Clause 1. In this Agreement: Securities means securities as specified by law governing securities and exchange. Securities Exchange means the Stock Exchange of Thailand, and/or the Over-the-Counter Center and/or the Future and Options Center and/or any other type of securities trading center. Securities Depository Center means Thailand Securities Depository Company Limited and/or any other person, juristic person or other entity being a center for providing services of taking deposit of Securities and allowing such Securities to be withdrawn, including any other related services provided for settling or clearing in a Securities account. SEC means the Office of the Securities and Exchange Commission and/or the Securities and Exchange Commission. Customer also includes any person expressly or implicitly assigned and authorized by the Customer to perform any acts and things hereunder on behalf of the Customer. Purchase also includes the subscription for purchase of Securities. Section 2 Appointment of Agent and Broker for Trading of Securities Clause 2. The Customer hereby appoints and authorizes the Company to act as the Customer s agent and broker for the trading of the Securities both within and without the Securities Exchange on behalf of the Customer. In consideration therefor, the Customer agrees that it shall pay the Company fee and/or brokerage fee in the manner as set forth herein and pursuant to the rates of fees prescribed by the Securities Exchange and/or the Company in proportion to the amount of Securities purchased and/or sold pursuant to the order, including any taxes, duties, and any other fees and expenses arising from the trading of Securities (hereinafter referred to as the Brokerage Fees ). Section 3 Trading of Securities Clause 3. The placing of order for purchasing and/or selling of the Securities in general shall have to be made directly with the authorized officer of the Company by the Customer itself in accordance with the order form prescribed by the Company, Provided, however, that should there be any other means of communication equipment for placing such an order available; for instances, telephone, telegraph, telex, facsimile, post and etc., the Customer may use such means of communication for placing its order of Securities trading. In such event, the Customer shall always have to contact or communicate with the authorized officer of the Company only and any of such orders placed to such officer shall be deemed as a valid and binding order when the officer has recorded such order. In addition, the Customer may, upon the consent from the Company, place such an order through internet network system ("Internet") or any other system as may be available without having to contact or communicate with the authorized officer of the Company. In any event, it is agreed and accepted by the Customer that it shall comply with the terms and conditions prescribed by the Company and that such an order shall bind the Customer as if it were actually made and signed by the Customer. The Customer also agrees, accepts and undertakes: 3.1 that should the Customer wish to make any changes and/or cancel any of the order for purchasing and/or selling of the Securities previously placed or given, the Customer shall have to inform and request the Company for such change and/or cancellation prior to a complete execution of the previously given order, provided always that the Customer shall also have to obtain a consent therefor from the Company; and 3.2 that any purchasing and/or selling of the Securities executed via the computer system of the Securities Exchange and pursuant to the rules and regulations of the Securities Exchange shall bind the Customer in all respects, that the Customer shall also be bound to the purchase and/or sale of Securities confirmation provided by the Company to the Customer as to the result of such purchase and sale, and that the document evidencing the purchase and/or sale of Securities result prepared by the Company shall always be deemed accurate, regardless of whether the Customer has placed its signature thereon as an evidence of acknowledgement and confirmation for such Securities trading or not. Clause 4. Should a purchasing and/or selling order of Securities be placed by the Customer, the Customer agrees and accepts that the Company may, as it deems appropriate, not accept such an order without having to give any reason to the Customer and the Company shall not have to be bound to the Customer whatsoever to purchase and/or sell all of the Securities pursuant to the order placed by the Customer. Section 4 Securities Trading via Internet Network System, Electronic or Other Means of Communication Clause 5. Should the Customer request for the use of service of Securities trading and/or use of other services of the Company and/or other company being the owner of website as approved by the Company (the Website Owner ) through Interne, the Customer agrees to be bound by and perform in compliance with the terms and conditions for the use of service of Securities trading through Internet as follows: 5.1 In trading of Securities and/or using of any other services of the Company via Internet hereunder, the Customer shall have to make order by using its personal user name (User Name) and personal password (Password) in accordance with the rules and procedures specified by the Company and/or the Website Owner. In light of this, the Password may be changed by the Customer at any time as it deems appropriate, provided, however, that the Customer shall always have to change such Password pursuant to the period of time as may be specified by the Company and/or the Website Owner. In such event of change of Password, the new Password shall be in effect and substitute the previous Password immediately upon such change. 5.2 The Customer agrees and accepts that any order of Securities trading and/or any order for the use of other service of the Company given hereunder shall, if the User Name and the Password of the Customer is correctly used, bind the Customer in all respects. The Customer also agrees to be liable for all such transactions done or made as if they had been done by the Customer regardless of whether such transactions had been done in bad faith and/or by any third person or not, unless such actions result from the Company s negligence. In addition, the Customer accepts and agrees that it shall keep its User Name and Password in confidential and not disclose them to anybody else. 5 Version 2012

9 5.3 In the event that the Customer enters the wrong User Name and Password in excess of the number of time specified by the Company and/or the Website Owner, the Company and/or the Website Owner shall be entitled to immediately terminate and/or suspend the order of trading of Securities made by the said means or the use of the Company s other service. 5.4 The Customer hereby represents, warrants and covenants as follows: The Customer has good knowledge and understanding as to the rules, conditions and procedures in trading of Securities via Internet as prescribed by the SEC and/or the Securities Exchange as well as the risks in trading of Securities via Internet or the use of any other services hereunder which include the risk of lost of information during the communication or transmission of information, the risk of delay of transmission or delivery of information, the risk of being stolen and used of information and any other risks in connection therewith; The Customer shall not, in placing its order, use any set of computer peripheral other than that of the Company and/or the Website Owner or as specified by the Company and/or the Website Owner. In addition, the Customer shall not allow or give consent to any person to link its computer equipment with that of the Customer which may enable such person to record the order of Securities trading directly from the computer system of the Company and/or the Website Owner; The Customer shall have to specify details in the order of trading of Securities and/or the use of other services in accordance with the forms and procedures prescribed by the Company and/or the Website Owner. It is agreed and accepted by the Customer that any and all results in respect of the purchase and/or sale of Securities displayed on the Internet by the Company shall bind the Customer and that it is the Customer s responsibility to examine the results of such trading through the Internet in accordance with the forms and procedures specified by the Company and/or the Website Owner. In the event that the Company and/or the Website Owner is in receipt of the order of Securities trading via Internet within the trading time specified by the Securities Exchange in one day, but the trading of Securities pursuant to such order is not completely achieved within such trading time of that day which the Company and/or the Website Owner is in receipt of the order of Securities trading, such trading order shall be deemed canceled. In the event that the Company and/or the Website Owner is in receipt of the trading order after the trading time of Securities specified by the Securities Exchange in one day, such trading order shall be deemed in effect as the trading order given on the following trading day of Securities, unless the Customer cancels such trading order of Securities in accordance with the forms and procedures specified by the Company and/or the Website Owner prior to the occurrence of Securities trading made pursuant to such order. Provided always that the Company and/or the Website Owner may provide or not provide the service of Securities trading via Internet at any time as it deems appropriate All Password, documents and/or information sent or delivered by the Company and/or the Website Owner to the Customer at the address, address, website, and/or internet address and/or by any other means as the Company and/or the Website Owner deems appropriate, shall be deemed duly served by the Company and/or the Website Owner and received and acknowledged by the Customer. In this regard, the Company and/or the Website Owner does not need to re-deliver such document and/or information to the Customer by post. Should the Customer change the address, address, website and/or internet address, given by the Customer to the Company in the preceding paragraph, the Customer shall notify the Company and/or the Website Owner pursuant to the procedures specified by the Company and/or the Website Owner. In the event that the password is lost and/or destroyed and/or the Customer forgets the password, the Customer shall immediately inform the Company and/or the Website Owner in writing to suspend the use of such password. Should there be any damage incurred thereby prior to a suspension of the use of such password by the Company and/or the Website Owner, the Customer shall be liable solely for such damage, unless such damage is caused by the wilful misconduct of the Company In the event that the computer system or computer hardware of the Company and/or the Website Owner and/or the Securities Exchange or the electrical system or the communication system are out of order or malfunction, resulting that the Customer is unable to make order of Securities trading via the Internet or use any other services hereunder for whatever reason, the Customer shall not raise the said circumstances to refuse any responsibility or to demand or claim for any compensation from the Company and/or the Website Owner. In addition, should there be any damages incurred by the Company and/or the Website Owner as a result of the Customer s use of any services hereunder, the Customer agrees to be liable for any and all of such damages incurred by the Company and/or the Website Owner in full, unless such damages arising from the Company s negligence Any information received by the Company and/or the Website Owner via Internet shall be deemed accurate, valid and binding upon the Customer in all respects The Company and/or the Website Owner may require the Customer to execute, sign and deliver any additional document and/or evidence to the Company and/or the Website Owner in accordance with the conditions and forms and within the time prescribed by the Company and/or the Website Owner In the event that the Customer is desirous to terminate the use of the service of Securities trading via Internet, the Customer shall have to give a prior written notice not less than 7 days to the Company and/or the Website Owner The Company and/or the Website Owner may change any terms and conditions for the use of the service of Securities trading via Internet or any use of other services hereunder and to suspend or terminate the use of any service at any time. 5.5 In the event that the Customer is desirous to purchase or sell Securities and/or use any other services of the Company via electronic or other means of communication other than through Internet network system, the Customer shall have to firstly obtain a consent from the Company and shall perform in compliance with the terms and conditions specified by the Company. In such event, Clause 5.1 to Clause 5.4 shall be applied mutatis mutandis to such use of services of the Company. Section 5 Credit Limit for Securities Trading Clause 6. The Company shall, at it deems appropriate, be entitled to determine or set a credit line or limit for Securities trading as well as to prescribe or set any rules, conditions, procedures and collateral requirements (including the calculation methods for such collateral value) in respect of Securities trading pursuant to the said credit limit amount for the purchase and sale of all types and/or any one type of Securities at each time or at any specified period of time. In this connection, the Company shall also be entitled to change or amend such credit limit, rules, conditions, procedures and collateral requirements as the Company sees fit. Clause 7 In trading of Securities, the Customer shall not trade any Securities in the amount exceeding the credit limit as set forth by the Company. The Customer agrees and accepts that should there be any purchasing or selling order placed by the Customer in excess of such amount of credit limit, it shall be the sole right of the Company to consider and approve such a Securities trading order placed by the Customer and in any event, the Securities traded as a result of such order of the Customer shall always be accepted by the Customer albeit such order is in excess of the credit limit. Section 6 Payment and Delivery of Securities Clause 8. In purchasing of Securities, the Customer shall, at each time of its order, pay the Company all of the purchasing prices therefor pursuant to the amount of the Securities actually purchased together with the Brokerage Fees mentioned in Clause 2, regardless of whether the Company is actually able to purchase all of the Securities pursuant to the order placed or not. Such payment for the purchasing prices and all Brokerage Fees shall have to be made within the time specified by the Securities Exchange and/or the Company, which it may be changed from time to time as announced by the Securities Exchange and/or the Company. 6 Version 2012

10 In addition, in purchasing of Securities for the Customer, the Company may require the Customer to deliver to and place with the Company a certain amount of money as may be specified by the Company for each purchase order prior to placing such order with the Company (given that it must not be a requirement for making cash payments to an officer of the Company). In this connection, should there be any remaining amount payable to the Company by the Customer for the purchase of any items of Securities, the Customer shall have to pay the Company in full for such outstanding amount within the time specified in the first paragraph. Unless the Securities Exchange and/or the Company will specify otherwise (given that it must not be a requirement for making cash payments to an officer of the Company), in paying and/or delivering the money to the Company pursuant to the two preceding paragraphs, the Customer agrees and accepts as follows: 8.1 If the Customer is a natural person, the Customer shall pay and/or deliver the aforesaid money to the Company by the automatic money transfer service system only, whereby the Customer shall make an application for the service of the automatic money transfer service system according to the forms and procedures specified by the Company. 8.2 If the Customer is a juristic person, the Customer may pay and/or deliver the aforesaid money to the Company by the automatic money transfer service system, whereby the Customer shall make an application for the service of the automatic money transfer service system according to the forms and procedures specified by the Company or the Customer may pay and/or deliver the aforesaid money by cheque payable to the Company. In addition, in the event that the Customer pays and/or delivers the aforesaid money by cheque, the Customer must order to pay by a crossed cheque payable to the Company s account only and the payment shall be deemed duly paid to the Company and/or delivered on the date the bank can collect such sum specified in the cheque. In the event that the Customer fails to make any payment within the time specified in the first paragraph, it shall be deemed that the Customer is in debt with the Company and the Customer shall have to pay interest thereon to the Company at the maximum rate prescribed in Clause 28 below computing from the due date of payment until such payment shall have been made by the Customer in full. In addition, the Customer also agrees without any dispute that the Company shall be entitled to sell such Securities on the day following such due date of payment or any other day thereafter as the Company deems appropriate and without having to give any prior notice to the Customer, so that the Company will apply the proceeds received from such sale (after deduction of Brokerage Fees specified in Clause 2) as payment for the aforementioned outstanding debt to the Company together with interest thereon, including any damages incurred by the Company in connection with such purchase of Securities. Should the proceeds received from such sale be insufficient to cover all of the outstanding debt owed to the Company by the Customer, the Customer shall have to be liable in full for the remaining amount together with the interest thereon. Clause 9. In selling of Securities, the Customer shall, prior to its placing of selling order with the Company, have to deliver to the Company the Securities to be sold together with any document and instrument of transfer duly executed and signed and any and all other necessary and relevant documents. In the event that the Customer places its selling order of Securities with the Company while such Securities have not yet been delivered to or deposited with the Company, the Customer shall have to deliver to the Company such Securities to be sold together with the aforesaid documents within the time specified by the Securities Exchange and/or the Company which such time may be subject to changes from time to time as announced by the Securities Exchange and/or the Company. The proceeds received from the sale of Securities (after deduction of Brokerage Fees specified in Clause 2) will then be delivered to the Customer by the Company within the time specified by the Securities Exchange and/or the Company which such time may be subject to changes from time to time as announced by the Securities Exchange and/or the Company. The payment by the Company to the Customer for such sale of Securities may be made either by a crossed cheque specifically payable to an account of the Customer or any other means as may be prescribed by the Securities Exchange and/or the Company. Should the Customer fail to deliver the Securities to be sold to the Company within the time specified in the preceding paragraph, the Company shall, without having to give any prior notice to the Customer, be entitled to purchase the Securities on the business day immediately following the date upon which the delivery of such Securities to the Company is due or on any other day thereafter as the Company deems appropriate, so that the Company shall be able to deliver those purchased Securities to the relevant purchaser instead of the Securities that have not yet been delivered by the Customer to the Company. In this connection, the Customer shall be liable for any damages incurred by the Company in connection with such selling order in full and it shall be deemed that the Customer is in debt with the Company and the Customer shall have to pay interest thereon to the Company at the maximum rate prescribed in Clause 28 below computing from the date the Company incurs such damages until such payment shall have been made by the Customer in full. In the event that the Customer instructs the Company to sell the Securities previously purchased, but the Customer has not yet paid the purchasing prices for such purchased Securities to the Company, the proceeds received from the sale of Securities shall be delivered to the Customer only in the event that all of such purchasing prices pursuant to Clause 8. have been firstly paid to the Company in full and the Customer may not set-off any of the Company's debts owed to the Customer against the said purchasing price unless otherwise specified by the Company. Section 7 Use of Automatic Money Transfer Service Clause 10. In the event of use of automatic money transfer service system by the Customer under the type of ATS and/or SIPS ( Automatic Money Transfer Service ), the Customer hereby accepts and agrees as follows: 10.1 The Customer shall pay the relevant bank all fees in connection with the Automatic Money Transfer Service at the rate and pursuant to the procedures prescribed by such bank unless otherwise specified by the Company The Customer shall prepare and execute a letter of consent allowing the relevant bank to debit the money from the deposit account pursuant to the form specified by such bank and/or the Company and shall perform in compliance with all terms and conditions and procedures set forth by the bank and/or the Company Immediately upon the Customer s deposit account is debited or credited by the bank as stated above, it shall be deemed that the purchasing and/or selling price of Securities (as the case may be) has already been paid and/or received by the Customer. In this regard, the Company does not need to provide any evidence of payment and/or receipt to the Customer In the event that the Company transfers the sum of money to the applicable deposit account specified above more than the amount the Company is actually required to transfer and/or in the event that the Customer is required to return any sum of money to the Company for whatever cause, the Customer agrees and accepts that immediately upon an occurrence of such event, it shall return such sum of money to the Company and/or the bank shall be entitled to debit the money from the said deposit account of the Customer Since the provision of Automatic Money Transfer Service is to be provided due to the Customer s requirement and such service is to be made through the bank s system, the Company shall not have to be liable for any damages incurred by the Customer arising from any errors, Customer s mistake in giving any information in respect thereof, the bank s fault or any other reasons apart from the Company s negligence The Company shall always be entitled to terminate the provision of the Automatic Money Transfer Service at any time In the event that the Customer wishes to terminate the use of the Automatic Money Transfer Service, the Customer shall have to give at least a 15 days prior notice of termination to the Company and the bank in writing. 7 Version 2012

11 Section 8 Custody of the Customer s Properties Clause 11. The Company is hereby assigned by the Customer to safe-keep any and all of the Customer s properties, including money and/or Securities and/or other type of assets placed with or delivered to the Company by the Customer, any Securities or assets purchased by the Company in accordance with the instruction or order of the Customer, and/or any Securities or assets purchased by the Company for the Customer's benefits pursuant to the terms and conditions contained herein, together with any other rights and benefits arising from the aforementioned Securities and/or assets, all of which for the sake of safe-keeping and in order to purchase, sell, borrow, or lend the Securities, and/or to use Securities and/or assets as collateral or security for any purchase, sale, borrowing or lending of the Securities and/or to use Securities and/or assets for any other benefits. In this regard, where the Customer s assets are lost or damaged due to the ignorance of the Company to perform its duties, the Company will be liable for such Customer s assets in full amount if the loss or damage thereof is caused by the obvious negligence or ignorance of the Company to perform its duties. However, if the loss or damage is not caused solely by the negligence or ignorance of the Company to perform its duties, the Company will only be liable to pay in proportionate based on the factual negligence or ignorance of the law. Clause 12. The Company shall, for the Customer s benefits and properties safety, segregate the Customer s properties from those of the Company and shall safe-keep the Customer properties pursuant to the rules and conditions specified by the SEC. Clause 13. The Company may, for the Customer s benefits, use the Customer s money for investments in accordance with the rules conditions, and procedures specified by the SEC. In this regard, it is agreed and accepted by the Customer that the Company may enter into any transactions with the Company s parents, subsidiaries, and affiliates. Clause 14. It is well acknowledged and understood by the Customer that all money of the Customer kept with the Company shall not be protected by the law regarding the Deposit Protection Agency.. However, in case the Company deposits any and all of such money with the bank or the Company uses such money for investments in any promissory notes issued by financial institutions, such portion of money shall then be protected by the law regarding the Deposit Protection Agency pursuant to the rules and conditions for the protection of the law regarding the Deposit Protection Agency (if any). Clause 15. The Customer shall be entitled to the net proceeds received from the Customer s money kept with the Company after deduction of purchasing and selling prices of Securities, Brokerage Fees, and/or any other fees and expenses calculated at the rates and in accordance with the procedures prescribed by the Company where such rates and/or procedures may be subject to changes as the Company may deem appropriate. Clause 16. The Customer shall be entitled to withdraw the Customer s money from the Company in accordance with the following rules and procedures: 16.1 The Customer shall have to give the Company at least 1 business day prior notice in writing for such withdrawal At each time of withdrawal, the Customer shall have to withdraw the money in the amount not less than Baht 10,000 (Ten Thousand Baht), unless the remaining sum is less than such amount. In light of this, the Company shall pay the Customer in accordance with the procedures as it deems appropriate In the event that there is any amount of money payable by the Customer to the Company in respect of any purchasing and/or selling price of Securities and/or any other indebtedness owing to the Company, the Customer may withdraw the sum of the Customer s money only to the extent that such withdrawal shall not cause the money deposited or placed with the Company being insufficient to cover all payments of indebtedness owing to the Company, regardless of whether such indebtedness has already been due and payable or not. In any event, should any request for withdrawal of money result in a devaluation of collateral or security given to the Company for the Customer s payment obligation to the extent that the value of such collateral is lower than the amount Version 2012 specified by the Company, or should the value of such collateral or security be decreased for whatsoever reasons to such extent, the Customer shall not be able to trade any Securities unless and until the Customer has provided additional security or collateral pursuant to the rules, conditions and procedures specified by the Company. Clause 17. It is agreed and accepted by the Customer that the Company may deposit the Securities purchased by the Company for the Customer with any securities depository center. Should the Customer wish to withdraw such Securities deposited with the securities depository center, the Customer shall have to give a written notice to the Company in order for the Company to be able to file an application for withdrawal of Securities with the securities depository center and such Securities will then be delivered to the Customer after withdrawal. It is agreed and accepted by the Customer that the Company may proceed with any acts and things in respect of the Customer's Securities deposited with the securities depository center in order to be in compliance with the rules, conditions and procedures as well as regulations and guidance regarding depository of Securities prescribed by the securities depository center. Clause 18. The Company has informed the Customer and the Customer has fully understood all procedural practices of depositing with and withdrawal from the Company the Customer s properties, and all practices of the Company as to the safe-keeping of the Customer s properties, including the rates of fees as thereto. Section 9 Representations and Covenants Clause 19. The Customer hereby represents and covenants as follows: 19.1 The Customer has good knowledge and understanding in the characteristic of Securities and the risk of investing in Securities traded within and without the Securities Exchange and it is well aware of the fact that there is also a risk that may arise from change of value of Securities or collateral since such change may cause loss to the Customer or cause the Customer to find and place additional collateral pursuant to the amount required by the Company, the Securities Exchange and/or the SEC, together with good knowledge and understanding in the characteristic and detail of derivative warrants traded in the Securities Exchange as well as the condition that the derivative warrants may not be traded after the date of their maturity, and it is well aware of the fact that it may obtain any information in connection with the derivative warrants from the Securities Exchange or securities company or the issuer thereof. In addition, the Customer has duly acknowledged that the investment in and the trading of derivative warrants shall be subject to various types of risks; such as, risk arising from any change of the price of Securities used as reference asset where such Securities price may affect the price of derivative warrants (Price Risk), the risk arising from the fact that the issuer of such Securities may not be able to perform its obligations in accordance with the conditions of derivative warrants when the buyer wishes to exercise right under the derivative warrants (Credit Risk), the risk arising from the fact that the derivative warrants may not be sold at an appropriate price due to the lack of liquidity (Liquidity Risk), the risk arising from the restriction of the term of derivative warrants should the derivative warrants not be exercised or sold by the buyer before the maturity date thereof (Expiry Risk), and etc. In connection with this, the Customer agrees to use its due care and diligence in investing in the derivative warrants, and to accept the results of such investment in all respects The Customer hereby agrees without any conditions to be fully bound to the Company pursuant to the laws, rules, regulations and any notifications of the Company, Securities Exchange, SEC, or any other relevant entities in relation to the trading of Securities and/or the appointment of agent and/or broker for Securities trading as specified hereunder whether such laws, rules, regulations and any notifications are in effect as of the date hereof or to be announced and become in effect in the future. In addition, should there be any amendment to and/or change of the said laws, rules, regulations and any notifications affecting any terms and conditions of this Agreement, the Customer shall still be bound to the Company immediately upon and pursuant to such amendment and/or change, provided that should there be announcement or notice to the 8 Version 2012

12 Customer by the Company stating otherwise, it shall be deemed that the Customer is automatically bound to the Company in accordance with the said announcement or notice for which the Company does not have to obtain a prior consent from the Customer The Customer also covenants that it shall not perform or omit to perform any acts and things in relation to the trading of the Securities performed by the Company hereunder, which cause or may cause the Company, its directors, staffs, employees and/or any other person to be subject to a fine or penalty or be liable for or suffered from any damages pursuant to the regulations of the Securities Exchange regarding the payment and delivery of Securities or pursuant to any other regulations, rules, orders and notifications stipulated or announced by the Securities Exchange, SEC or any other competent entities or persons, which the Company has duties to perform in compliance therewith 19.4 For the payment and/or delivery of any amount of money to the Company, the Customer well acknowledges that the Company will in no event accept the payment from the Customer in cash, and if it appears that the Customer pays and/or delivers the money to the Company in cash, the Customer agrees and accepts to be solely responsible for any damage arising there from by itself. Clause 20. The Customer hereby agrees and accepts as follows: 20.1All of the Customer s properties including the Securities, promissory notes, instruments of rights or any other assets which are in the possession of the Company are collateral or security for payment of any debts payable by the Customer to the Company hereunder and/or under any other agreements. In addition, should the Customer be entitled to subscribe for any Securities and make payment therefor, such Securities received from the subscription shall also be deemed as collateral or security for payment of those debts payable by the Customer to the Company. In this connection, the Customer accepts that the Company shall always be entitled to retain all of the Customer s properties as security for payment of all debts payable by the Customer even if the Company has deposited or placed any of such Customer s properties, whether in whole or in part, with any other person The Company shall be entitled to set-off any or all of the Customer s debts against the Customer s money, properties, or any other assets subject to the Company's possession and the Company may also sell any or all of such assets of the Customer in the Securities Exchange and/or by way of public auction, and may trade such assets with any person, all of which in order for the Company to apply the proceeds received therefrom for payment of all of the Customer's debts owed to the Company for the time being and/or in the future In trading of Securities pursuant to the order of the Customer, the Company may purchase or sell any of the Securities held by the Company and/or purchase or sell any of the Securities while the Company is an agent and/or broker of any person other than the Customer at the same time The Company shall always be entitled to examine or inspect all information relating to the Customer s credit, trustworthiness, financial status and/or payment history available at any credit bureau pursuant to the law governing the operation of business in relation to credit information (Credit Bureau) and/or any person. In this regard, the Customer accepts and agrees that the Credit Bureau and/or any of such other person at which those information of the Customer are available may disclose the said Customer s information to the Company and that the Company may keep and retain such information either by itself or by assigning the Credit Bureau or other person to keep and maintain such information, all of which regardless of whether the Company accepts the appointment as an agent or broker of the Customer for trading of Securities or not. Furthermore, the Customer accepts that the Company, the Credit Bureau and/or such other person may disclose such information of the Customer as it deems appropriate It is accepted by the Customer that the Company may, simply by way of giving a written notice to the Customer, assign or transfer any or all of the Company s rights, obligations, liabilities and/or interests, including any collateral or security provided hereunder, to any person in the event of change in laws, rules, regulations, or announcements prescribed by the Securities Exchange, SEC, or any authorities or in any other event The Company may, by giving information to the Customer at least 7 days in advance, charge fees, service fees and/or related expenses incurred in connection with the provision of services hereunder pursuant to the rates of fees and procedures specified by the Company. Clause 21. In the event that the Customer itself, or any other person authorized by the Customer to give Securities trading order, is an employee of any other securities company, the Customer accepts and agrees that the Company may inform such other securities company as to the entering into this Agreement and/or any other agreements by the Customer and that the Company may deliver copies of Securities trading information and/or other related information of the Customer to such other securities company for monitoring and controlling purpose of such other securities company in respect of the Customer s trading activities. Section 10 Authorization Clause 22. The Customer hereby authorizes the Company to do any or all of the following acts and things on behalf of the Customer in connection with the performance of the Company hereunder and in accordance with the terms herein contained: 22.1 to appoint and remove any sub-agents for doing any acts and things in accordance with the power granted to the Company hereunder; 22.2 to do any acts and things on behalf and under the name of the Customer with the Company, regardless of whether the Company enters into such transaction in it status as the Company itself or as an agent of other third person; 22.3 to execute and/or sign in any related letters, documents or instruments necessary to be done in order to achieve the objectives of granting the power hereunder; 22.4 to manage or perform any acts and things in connection with any and all of the properties of the Customer in order to protect interest of the Customer and/or the Company in the event of death, bankrupt or incompetency of the Customer as specified in Section 828 of the Civil and Commercial Code, and to sell either all or parts of the Securities in order to apply the proceeds received therefrom as payments of all outstanding debts owed by the Customer to the Company. Clause 23. When the Company informs the Customer and the Customer gives instruction to the Company, it shall then be deemed that the Company be assigned and authorized by the Customer to subscribe for or accept any transfer of Securities in the event of increase of capital, issuance of new Securities or otherwise in connection with the Securities held and possessed by the Company on behalf of the Customer, provided that should there be any outstanding debts owed to the Company, the Company shall be entitled to exercise such right for subscription or acceptance of the said Securities on behalf of the Customer without having to obtain such an instruction from the Customer. In this connection, the Customer shall have to pay to the Company for all of the Securities prices, Brokerage Fees, taxes, duties, fees and any other costs and expenses arising from such subscription or transfer within the time specified by the Company. Should the Customer fail to make any of such payments, the Customer shall be deemed as a debtor to the Company and also have to pay interest thereon to the Company at the Maximum Rate as mentioned in Clause 28 below computing from the due date thereof up until such payment shall have been made in full. Section 11 Termination of the Agreement Clause 24. In the event that there has been no Securities trading order made by the Customer to the Company for a period of 6 consecutive months and/or there have been no money or properties placed or deposited with the Company by the Customer as collateral or security as specified by the Company, the Company shall be entitled to terminate this Agreement immediately thereupon. 9 Version 2012

13 Clause 25. This Agreement shall be in full force and effect until terminated by either party, provided always that the Customer shall not be entitled to terminate this Agreement if any or all of the Customer's outstanding debts owed to the Company, including any or all of interests thereon (if any) and any damages or expenses incurred by the Company, have not been paid in full. In the event of termination by the Customer, the Customer shall have to give not less than 7 days prior notice of termination to the Company. Clause 26. Should the Customer fail to perform in accordance herewith and/or when the Company deems appropriate, the Company shall be entitled to immediately terminate this Agreement and the Customer agrees to make payment to the Company for all outstanding debts and any damages or expenses within a time period set forth by the Company together with interest thereon as specified in Clause 28 below until such payment shall have been made in full. Clause 27. In case of termination, the Company shall be entitled to transfer the remaining amount of money to the Customer s deposit account maintained with the bank, or to deliver a cheque representing such remaining amount of money to the Customer in which the Customer s name is specified as the payee thereon, or to deliver such amount of money to the Customer by any other means as the Company may deem appropriate. Section 12 Other Conditions Clause 28. In the event that the Customer fails to make payment for any purchasing price of Securities, Brokerage Fees, charges, any other costs and expenses, damages and/or any other debts payable to the Company under this Agreement, the Customer agrees to pay interest thereon to the Company at the maximum rate as announced by the Company by virtue of an announcement of the Ministry of Finance, Re: Interest Rate Chargeable from the Borrower by Financial Institutions, where such rate may be subject to changes from time to time as announced by the Company (hereinafter referred to as the Maximum Rate ), computing from the date of default up until the Company shall have been paid such amount in full by the Customer. Clause 29. In exercising any rights of the Company hereunder, 29.1 if there is any breach of this Agreement by the Customer and the Company gives a covenant not to exercise any rights specified herein, not to demand the Customer to make any payment payable hereunder, or not to exercise the Company s right of termination under this Agreement, such covenant shall be applied to such particular given time only, and the Company shall not be deprived from its rights to exercise under this Agreement or to terminate this Agreement when the Customer is in default or breach at any later time, or 29.2 if the Company opts for taking or not taking any action whether it is an action of demand for payment or any other action for the Customer s performance at any period of time, it shall not bind the Company to take or not to take the same action for the later time and it shall not be deemed as a waiver of the Company to demand the Customer s payment or other performance where the Company may exercise such right at anytime. Clause 30. In the event that any of the provisions contained herein is found to be contrary to law, invalid, unenforceable or void pursuant to any laws or due to any circumstances or facts, then all other provisions of this Agreement shall remain in full force and effect. Clause 31. Any communication, correspondence and/or notice to the Customer by telephone, telegraph, telex, facsimile transmission, registered post, unregistered post or hand delivery shall be deemed duly served to the Customer should it be sent to or the Company contact with the Customer at the telephone number, address, telex or facsimile number notified to the Company by the Customer. The parties agree that in case of any dispute hereunder, a court to try cases is a court having jurisdiction in Thailand whereby the Company may conduct trial against the Customer in any other courts having jurisdiction over the Customer and the Customer s assets. However, any dispute between Securities agent/broker may be referred to the office of SEC for consideration of arbitration process which is considered a measure to protect the Customer s rights in capital market The Customer hereby represents and warrants that all information and details specified in the Application for Securities Trading Account Opening are true, correct, and accurate and the Customer are bound thereto in all respects. above. In Witness Whereof, the parties hereto hereby affix their signatures in the presence of witnesses as of the date, month and year specified Signed ( ) Customer Signed Witness ( ) Signed Witness (Account Administrator) ( ) The Company hereby accepts the appointment to be the Customers broker and agent for the trading of Securities pursuant to the terms and conditions specified above. Signed (SCB Securities Company Limited) Authorized Person(s) 10 Version 2012

14 (Date). (SIGNATURE CARD) Date (A/C Name) (A/C Code). ( ) (Customers Name) / Customers Signature ( ) (Attorneys Name) / Attorneys Signature / Authorized Signature Requirement / Single / Joint () / Others. ( ) Trader ID / / OPT 003 FOR Trader ID.

15 -Translation- O ATS automatic debit ( ) SCB ( ) KBANK ( ) BBL ( ) UOB ( ) BAY ( ) KTB ( ) SCIB ( ) TMB ( ) TBANK O SIPS automatic debit (SCB) No. 1 For the Bank's UseLetter Requesting for Account Debit At SCB Securities Company Limited Date To: Manager of Bank Head Office/ Branch I/We, the owner of saving account current account, account No., under the name of account of residing at. Trok/Soi Road Tumbon/Kwaeng. Amphoe/Khet Province Post Code Telephone No.. I/We wish to have the Bank debit the money from the aforementioned account as payment of my/our debts and/or obligations owed to SCB Securities Company Limited (hereinafter referred to as the "Company") in the amount as appearing in the invoice and the media or the information contained in the computer communication system, which the Bank has received from the Company, and then transfer such money to the Company's account. It is agreed and accepted by me/us that if it appears in the future that the amount specified in the invoice and the media or the information contained in the computer communication system was errorneously made and sent by the Company to the Bank and the Bank then debits the amount specified in such invoice and the media or the information contained in the computer communication system from my/our account, I/we shall make claim against the Company directly. I/We hereby waive all of my/our rights to claim or to take any legal action against the Bank for the amount debited from my/our account as payment of my/our debts owed to the Company as appearing in the invoice and the media or the information contained in the computer communication system which the Bank has received from the Company. I/We agree and accept that the Bank may debit the money from my/our account only in the event that there is an adequate amount of money in such account to be debited at that time. It is also agreed by me/us that I/we do not require the Bank to specifically inform or notify me/us as to the said debited amount since I/we will normally know such information of the transaction from my/our own passbook, the Bank s statement and/or the Company s receipt. In the event of changes of the account number or other information mentioned above for whatever reason, I/we hereby agree that this account debit request letter shall still be effective and applied to the account to which the number of account is changed in all respects. This request for account debit shall become effective immediately on the date hereof and shall continue to be in effect until it is revoked or cancelled in writing by giving at least 1 month prior notice of such revocation or cancellation to both the Bank and the Company. In case where I/we ask for the Bank s SIPS service, I/we agree to be liable directly to the Bank for any fees and/or costs and expenses incurred in connection with the request for account debit pursuant to the rates and procedures prescribed solely by the Bank. Sincerely yours, Signed For the Company s Use To certify the Requesting Person s Signature Signed ( ) SCB Securities Company Limited Date ( ) (as previously provided to the Bank) Requesting Person For the Bank s Use O the Bank agrees to proceed as requested by the account s owner. O the Bank is unable to proceed because O the account has been closed. O the signature is not correct. O the account number is not correct. O other Signed ( ) Date Branch Manager

16 . OPT 002 FOR/3

17 . OPT 002 FOR/3

18 SCBS.

19

20 Client Suitability Assessment - SCB Securities Name Card / Passport ID Equity Account Derivative Knowledge, experience and investment goal For investors classified as juristic persons, please start at Question No. 1.3) over 60 years What do you see as your level of understanding about your investment? 1) None (2) Fair (3) Good (4) Excellent Your prior experience in investment in securities. ( Securities means investment units,debentures, government bonds, stocks or derivatives.) No experienceless than 1 year1-5 years (4) More than 5 years 1.4 Proportion of investment with SCB Securities compared against your total assets. Please indicate the period of time in which you do not expect to need the funds 1.6 How do you rate your need to use the returns on the funds invested with SCB Securities for your regular expenses? Absolutely necessary Somewhat necessarynot at all Your attitude toward investment Loss of principal is totally unacceptable, even if there is an opportunity to receive a relatively higher return. of principal is acceptable if the investment provides an opportunity to receive a relatively higher return. Loss of principal is acceptable, if the investment provides an opportunity to receive a higher return. limitations 1.8 Investment in highly volatile securities generally provides a higher return in the long run, though at the same time, risk of loss is also higher. Which level of risk is acceptable to you? ) Minimum The investment objective is to generate a steady and secure flow of income despite the return on investment being at the lowest level. Small Small loss is acceptable if return is higher return in the long run. Moderate Some loss is acceptable if the long run will bring a much higher return. High Accept maximum risk so as to get in on a high return in the long run. 1.9 Sometimes, investment focusing on keeping principal safe would generate returns lower than inflation rate and thus actual purchasing power may actually be reduced. When determined in conjunction with your investment goal, which of the following could best describe your situation The investment principal must be secure, even though the return on investment will be lower than the inflation rate Some small losses on the investment principal are acceptable in order to keep the rate of return higher than the inflation rate. The return on investment should noticeably beat the inflation rate and thus it is acceptable to have certain investment risks. It is desirous to have a return on investment that outpaces the inflation rate as much as possible and thus acceptable to take the maxmum investment risks. acceptable in a specified investment period? Cannot take any lossless than 10% of amount invested 10-30% of amount invested of amount investedover 50% of amount invested Through successful derivatives investment, you can have high return. On the other hand, you can lose all of your investment and additional capital may be required. Can you accept this? (a) Not acceptable (b) Slightly acceptable (c) Acceptable Section In addition to investment risks, are you able to accept foreign exchange risk? Not acceptable (b) Moderately acceptable (c) Any amount of risk is acceptable SectionJuristic Person Investors Only -1-