VietCapital

Investor Information

* Full name

* Gender

* Nationality

* Date of Birth

Securities Trading Code¹

* ID Type

* ID/Passport No.²

* Issuing Date

* Issuing Place

Tax Code

Country of Taxation

Contact Infomation

* Phone Number

* Email

* Residential address

* Mailing Address

Mailing Address Abroad Within 6 Months¹

Bank Account Information

* Bank Account Name

* Bank Account Number

* Bank Name

* Bank Branch

Other Infomation

Annual Income

FATCA Status

Language For Receiving Notifications

Non-Professional Securities Investor

Professional Securities Investor ⁵

Authorized person

Yes

Thông Tin Người Được Hưởng Lợi

Non-Beneficiary

For Domestic Individual Beneficiary

For Foreign Individual Beneficiary

For Institutional Beneficiary

Attached record

* Identity Card Front Side

Confirmation of Securities Trading Code (for foreign investors only)

* Identity Card Back Side

II. Notice

(*) Required information
(1) For foreign investors
(2) Passport number is applicable to foreign investors only
(3) A US resident is a US citizen or a US resident alien who has passed the green card test or the substantial presence test, which means to be physically present in the US on at least
1. 31 days during the current year, and
2. 183 days during the 3-year period, including current year and 2 years before that, counting (i) All the days you were present in the current year, and (ii) 1/3 of the days you were present in the first year before the current year, and (iii) 1/5 of the days you were present in the second year before the current year.
(4) A non-US resident alien is an individual who is not a US citizen or US national who has not passed the green card test or the substantial presence test.
(5) Individuals considered as professional individual securities investors (according to Article 11 – Law on Securities) are:
1. Securities practice certificate holders; or
2. Individuals holding portfolios of listed securities, securities registered for trading with value of at least VND 2 billion as confirmed by the securities company at the time that individual is identified as a professional securities investor ; or
3. Individuals having taxable income of at least VND 1 billion in the latest year by the time that individual is determined to be a professional securities investor according to the tax return submitted to the tax authority or withholding tax documents of paying organizations and individuals.
The Investor may refer to the regulations on professional securities investors specified in Article 11 - Law on Securities and its detailed guidance documents

II. Investor Acknowledgements

I hereby acknowledge that I have completely received, read, and fully understand and undertake to comply with the documents provided to investors, and agree with the Prospectus, Charter of the respective fund that I register to engage, this Account Opening Application Form and other information, document published on Viet Capital Asset Management JSC ’s (“VCAM”) website and their updates, amendments from time to time.
I hereby declare that all information given in this Account Opening Application Form and all documents provided attached hereto are true and accurate. I am responsible for all information given in this Account Opening Application Form and all documents provided attached hereto. I hereby agree to forward any changes in my personal information as soon as possible.
If the opening of fund certificate trading account is carried out via eKYC method provided by VCAM, I understand and confirm to agree with this account opening request.
I am responsible for my investment decision and accept all the investment risks. I agree unconditionaly and irrevocably that VCAM and its personnel, Distributor, Registered Distributor and other related service providers shall have no responsibility with respect to my investment in the open-ended fund certificate.
I undertake that the sources investing into open-ended fund certificate are legally, transparently, and fully complied with the requirements of laws to be used for the purpose of investing in the open-ended fund certificate.
I hereby agree that my confirmations, commitments and responsibilities stated herein are applied to this Account Opening Application Form, to my trading orders, and other inquiries related to fund certificates and fund certificate transactions.
I confirm to unconditionally and irrevocably accept works and investment results based on any trading order by my Authorized Person who is eligible to make transactions and sign trading orders according to the registration information in this Account Opening Application Form, including changes to such information notified from time to time. Any dispute arises will be my full responsibility at my own expense
I undertake to indemnify for all damages and losses incurred by VCAM, its personnel, Distributor, Registered Distributor and other relevant service providers where there is any breach of my confirmations and/or commitments in this Account Opening Application Form and/or of VCAM’s documents and regulations relating to the fund certificate from time to time.
I understand and agree that VCAM may submit my information and the information related to this account to the governing authority in Vietnam and/or the IRS upon their request in accordance with FATCA compliance regulations.
I, hereinafter, absolve my rights to prevent VCAM in complying with the law and regulation of the Government.
I completely understand and agree that VCAM would be able to adjust or terminate the account terms and conditions if I (or any of the heirs) refuse to provide the information mention aboved, or withdraw or violate the waiver consent mentioned above.

* I agree

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