IMPORTANT INFORMATION If you are located in Singapore and to the extent that the Services comprise dealing in securities as defined in the Securities and Futures Act (Cap. 289 of Singapore, the Monetary Authority of Singapore requires the Services to be provided by or through CLSA Singapore Pte Ltd and/or the following entities:- (i CLSA Limited (ii CLSA Limited, Taipei Branch (iii CLSA Securities Korea Limited (iv CLSA India Limited. V.031007 For Office Use Only: NOVA A/C# CLSA Group: Account Application Form Corporate/Institutional Clients Note: Any changes or updates to the information provided in this Account Application Form, together with supporting documents, are to be sent to the Account Opening Team (Client Updates, CLSA Transaction Management Pte Ltd, 6 Temasek Boulevard, #19-01 Suntec Tower Four, Singapore 038986. PLEASE COMPLETE IN BLOCK CAPITALS 1. 2. Address - Registered Tel Fax Email - Business/Mailing (if different from the above 3. Website Address Tel Fax Email 4. Nature of business: (a Exchange company, clearing house, exchange controller, automated trading provider (b Regulated investment services provider (c Authorised financial institution (bank or credit institution (d Regulated Insurance company (e Regulated/Registered Collective investment scheme or the management company/service provider of such schemes (f HK mandatory provident fund registered scheme or its constituent fund or service provider (g Occupational retirement scheme or its administrator (h Government or institution which performs function of central bank/multilateral agency (i Wholly owned subsidiary or holding company which fits the below criteria: (a Wholly owned subsidiary of a regulated investment services provider (b Wholly owned subsidiary of an authorized financial institution (c A holding company which holds all the issued share capital of a regulated investment services provider (d A holding company which holds all the issued share capital of an authorized financial institution (e Wholly owned subsidiary of a holding company which fits criteria (c or (d above (j others: (please specify
5a. We are a regulated entity in our country of incorporation and/or place of business Yes No 5b. of our regulator (if applicable 6. Singapore CDP Securities Account No. (if applicable 7. Korea Investor ID. No. (if applicable 8. Taiwan Investor ID. No. (if applicable 9. China Investor ID. No. (if applicable 10. Nature of Account Proprietary/Principal Non-Proprietary/Agent * 11. Type of Futures/Options Account Speculative Hedge Omnibus 12. Contact person for account related matters Tel Email 13. Contact person for compliance related matters Tel Email 14. List of all directors ** ID/ Passport No. Place of issue 15. Shareholder(s of the account holding more than 5% of company shares *** ID/PassportNo./ Cert of Incorp. No Place of Issue/Incorp. Address Tel No.
16. Ultimate beneficial owner(s of the account ** ID/PassportNo./ Cert of Incorp. No. Place of Issue/Incorp. Address Tel No. 17a.We want to receive monthly statements **** Yes No 17b.We want to receive contract notes **** Yes No 18a.We want to receive statements in electronic form **** Yes No 18b.Electronic email address(es/fax(es to be used for sending contract notes, confirmation notes, daily statements, monthly statements and other advices (if applicable i. ii. iii. 19. For custodial services account, the account may be operated on the instructions of any one / two (delete as appropriate authorised signatories or such other persons CLSA believes in good faith to be duly authorised by us in writing ** Capacity Tel No. Signature 20. For the purposes of the agreement between CLSA and us, our Process Agent (as defined in the CLSA Asia-Pacific Terms of Business shall be: Address 21. Current CLSA contact person 22a. Investment objectives: (Only for non regulated entities Long term investment (investment holding for more than 1 year Short term trading Other, please specify
22b. Investment experience: (Only for non regulated entities Products Years of experience Size & frequency of trades Securities < 2yrs 2 5 yrs > 5 yrs Futures & Options < 2yrs 2 5 yrs > 5 yrs Bonds < 2yrs 2 5 yrs > 5 yrs Structured products < 2yrs 2 5 yrs > 5 yrs Mutual Funds/ Unit Trusts < 2yrs 2 5 yrs > 5 yrs 23. By ticking the box to the right, we instruct CLSA that if based on the information we have provided to you, we are eligible to be treated as a Professional Counterparty (which includes similar terminology adopted in respect of different markets including Professional Investor, Eligible Counterparty, Accredited Investor and Institutional Investor, we do not wish to be so treated (See Professional Counterparty leaflet for more information to the consequences of being so treated. We hereby request member(s of the CLSA Group (the CLSA Group to open account(s in our name for the purposes of provision of the services specified in the Product and Services Annex as and when requested by us, together with any additional services which we may agree with a member of the CLSA Group from time to time (the Services. The Services are to be provided in respect of the financial markets which we may agree with a member of the CLSA Group from time to time (the Markets on the terms and conditions set out in the CLSA Asia-Pacific Terms of Business, the relevant Services Annex(es as set out on the website https://www.clsa.com/public/services/ index.cfm?id=46 and as the same may be amended from time to time ( CLSA Asia-Pacific Terms of Business. We acknowledge that details of the members of the CLSA Group are set out in the Annex to this application and that one (or more of the entities will provide the Services to us. Should our application be accepted, a confirmation will be delivered to us specifying the CLSA Group entity or entities which will provide the Services and specifying the relevant Service Annex(es. In this Account Application Form we refer to the entity or entities which will provide the Services as CLSA. Any terms used in this Account Application Form shall have the meaning given to them in the CLSA Asia-Pacific Terms of Business, the terms and conditions of which we confirm we have read, understood and accepted. Risk Disclosure Statements We confirm that we have read and understood the Risk Disclosure Statements in relation to each of the relevant Services. We acknowledge and confirm that the terms of the Risk Disclosure Statements have been fully explained to us, that we have read, understood and accept them and that we have been invited to ask questions and take independent advice on the terms of the Risk Disclosure Statements if we wish.
Consent to Receive Statements in Electronic Form If we have ticked Yes under item 18a above the following shall apply:- We hereby agree and consent to the provision by CLSA to us of contract notes, confirmation notes, daily statements, monthly statements and other advices (the Statements by electronic means and accept and assume the inherent risks in receiving such Statements. We agree that:- (a (b (c (d (e (f CLSA may deliver the Statements by electronic mail to the following electronic mail address(es as stated in item No. 18b above; delivery of the Statements shall be in lieu of printed Statements, and we will not receive printed versions of these Statements; CLSA will not impose any additional fees or charges in connection with the provision of the Statements by electronic means; we may at any time revoke our consent to the delivery of the Statements by electronic means by written notice to CLSA and, following receipt by CLSA of such written revocation, CLSA shall deliver printed Statements to us by fax or post; the issuance and delivery of the Statements may be effected through any one of the following means:- (i email to the address stated in item No. 18b above; (ii access from the CLSA website (https://www.clsa.com/public/services/index.cfm?id=46; (iiiany other means of issuance and deliverance of the Statements as may be determined by Market Requirements from time to time; and we have no objections to receive the Statements either through post or fax in the event of a systems breakdown. Agent for Underlying Principal We acknowledge and agree that if we have ticked Non-Proprietary/Agent under Item No. 10 above, the additional terms and conditions set out in the Agency Schedule to the CLSA Asia-Pacific Terms of Business will be applicable to us and to our Underlying Principals. Acknowledgement & Authorization We acknowledge that CLSA reserves the right of final approval of our application and, in particular, that our application is subject to the provision by us to CLSA of such documentation as may be requested by CLSA from time to time. We authorize CLSA to contact any banks, referees, credit agencies, brokers or any other source for the purposes of verifying information provided by us to CLSA. In the event that CLSA accepts our application, we agree that the Services will be provided in the Markets which we may wish to trade, in addition to any applicable laws or regulations of any relevant jurisdiction.
Dated this day of Signed by:.. (Print name of Authorised Signatory for and on behalf of: (Please sign within this box.. (Print of Customer Supporting documents Certified true copyof the following documents must be provided to CLSA with this Account Application Form:- 1. For all Corporate & Institutional Clients Certificate of Incorporation/trust deed for trust set up entities Business/Tax Registration Certificate (if applicable Financial institution license or registration certificate issued by relevant authorities/regulatory bodies (if applicable Latest audited financial statements or o Third party confirmation of assets under management in the case of newly incorporated company o Third party confirmation of assets under management in jurisdictions where audited financial statements are not required Certificate of Due Authorisation Investment management agreement/prospectus/placement Memorandum (if applicable Authorised traders list if required (mandatory for investment holding companies Annexure I (mandatory for SEBI registered entities Consent to Provision of Financial Transaction Information (mandatory for clients with Korea Investor ID 2. For clients not regulated and/or not incorporated in a FATF country All documents specified in (1 above Memorandum and Articles of Association Anti-Money Laundering and Counter-Terrorist Financing Representation Letter (applicable if trading in Non-Proprietary/Agent capacity Identity proof (passport or identity card of all individual fund manager(s (if applicable Identity proof (passport or identity card of: o Ultimate beneficiary owners o At least 2 directors including the managing director o All authorized signatories (for custody accounts only Notes: 1. All supporting documents should be certified by a director who is not an authorized signatory on the account, company secretary, certified public accountant, lawyer or notary public. 2. Current FATF members are Argentina, Australia, Austria, Belgium, Brazil, Canada, China, Denmark, Finland, France, Germany, Greece, Hong Kong, Iceland, Ireland, Italy, Japan, Luxembourg, Mexico, The Kingdom of Netherlands, New Zealand, Norway, Portugal, The Russian Federation, Singapore, South Africa, Spain, Sweden, Switzerland, Turkey, United Kingdom and the United States. Two international organizations are also members of the FATF: the European Commission and the Gulf Cooperation Council (source: http://www.fatf-gafi.org
Annex CLSA Group Hong Kong CLSA Limited 18/F, One Pacific Place 88 Queensway Hong Kong Exchange Participant of The Stock Exchange of Hong Kong Limited SFC CE No. AAB893 CLSA Futures Limited 18/F, One Pacific Place 88 Queensway Hong Kong Exchange Participant of the Hong Kong Futures Exchange Limited SFC CE No. AAZ733 Singapore CLSA Singapore Pte Ltd 9 Raffles Place, #19-20/21 Republic Plaza II Singapore 048619 Member of The Singapore Exchange Limited Holder of Capital Markets Services Licence for Dealing in Securities under the Securities and Futures Act, Chapter 289 of Singapore Company Registration Number 198703750W Malaysia CLSA Securities Malaysia Sdn. Bhd. Suite 20-01, Level 20, Menara Dion 27 Jalan Sultan Ismail 50250 Kuala Lumpur Malaysia Participating Organisation of Bursa Malaysia Securities Berhad Company Registration No.: 690921-X Indonesia PT. CLSA Indonesia Suite 1501, Wisma GKBI Jalan Jenderal Sudirman No. 28 Jakarta 10210 Indonesia Licensed Securities Broker in the Republic of Indonesia Korea CLSA Securities Korea Ltd. 15/F, Sean Building 116, 1-Ka, Shinmun-Ro Chongro-Ku Seoul, Korea 110-700 Member of the Korea Stock Exchange FSC License (Brokerage & Dealing Taiwan CLSA Limited, Taipei Branch 27/F, 95 Sec 2, Dunhua S. Rd Taipei 106 Taiwan Licensed Broker TSE/OTC No.: 138-0 India CLSA India Limited 8F Dalamal House Nariman Point Mumbai 400 021 India Member of the Bombay Stock Exchange (Cash Segment: SEBI Registration Number INB010826432; Derivatives Segment: SEBI Registration Number INF010826432; and Member of the National Stock Exchange (Capital Market Segment: SEBI Registration Number INB230826436; Futures and Options Segment: SEBI Registration Number INF230826436 Philippines CLSA Philippines, Inc. 18/F Tower 1, The Enterprise Center 6766 Ayala Avenue corner Paseo de Roxas Makati City Philippines Member of The Philippine Stock Exchange SEC License No.: BD-00030 Registration No.: 01-2004-00035 Thailand CLSA Securities (Thailand Limited 16 th Floor, M.Thai Tower All Seasons Place 87 Wireless Road Lumpini Pathumwan Bangkok 10330 Thailand Member of The Stock Exchange of Thailand SET Membership No.: 45 Member of the Thailand Futures Exchange
Securities Dealing Services PRODUCT & SERVICES ANNEX Securities Dealing Services Direct Market Access Custody Services Hong Kong Korea India Singapore Taiwan Japan Australia Malaysia Philippines Indonesia Thailand PRC New Zealand Pakistan Sri Lanka Provision of the Services to any CLSA client is subject to market restrictions. Futures/Option Trading Services Futures & Options Execution and Clearing Service Futures & Options Give Up Arrangements Stock Options Execution and Clearing Services Stock Options Give Up Arrangements Direct Market Access
PROFESSIONAL COUNTERPARTY Consequences of Treatment as Accredited Investor or Expert Investor (as respectively defined under the Financial Advisers Regulations CLSA Singapore Pte Ltd will be exempt from complying with certain requirements under the Financial Advisers Act, Chapter 110 ( FAA, the Financial Advisers Regulations and the relevant Notices and Guidelines issued thereunder, in respect of any financial advisory service provided to CLSA clients. In particular, CLSA Singapore Pte Ltd will be exempt from:- (a section 25 of the FAA (relating to the disclosure of material information on collective investment schemes; (b section 27 of the FAA (which requires that there must be a reasonable basis for recommendations when making recommendations on investment products to accredited investors, and capital markets products to expert investors; and (c section 36 of the FAA (which requires the disclosure of interests when making recommendations on securities in a circular or other similar written communication when sending a circular or other similar written communication in which a recommendation is made in respect of securities. Consequences of Treatment as Professional Investor (as defined in Schedule 1 to the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong CLSA Limited will be exempt from the following:- (a establishing a client s financial situation, investment experience and investment objectives (except where CLSA is providing to a client advice on corporate finance work; (b ensuring the suitability of any recommendation or solicitation CLSA makes to a client; (c entering into any written agreements with clients or providing to clients risk disclosure statements in relation to CLSA s provision to clients of any Services; (d obtaining from clients written authority for CLSA to enter into transactions in the operation of discretionary accounts or to explain or confirm such authority on an annual basis; (e informing clients about our business and the identity and status of CLSA employees and others acting on CLSA s behalf; (f confirming with clients the essential features of each transaction that CLSA effects for clients; and (g providing to clients documentation on the Nasdaq-Amex Pilot Program before opening a securities trading account for clients for dealing in securities admitted to the Nasdaq-Amex Pilot Program.