Trading Guide

GUIDELINES FOR PURCHASING COVERED WARRANT ISSUED BY SSI

Step 1: Investors receive and fill out “Covered Warrant Purchase Application Form”

Step 2: Investors pay in cash or transfer

Investors pay in cash or transfer money to the bank account as follows:

Step 3: Investors submit required documents for PURCHASING covered warrant over SSI Customer service counters

Note: Investors submit DOCUMENTS FOR PURCHASING COVERED WARRANT including:

For individuals:

• 02 original copies of covered warrant purchase application forms
• 01 copy of cash deposit form or standing order
• 01 certified copy of ID card
• 01 authorization document (if any)
• 01 certified copy of confirmation of securities trading code from Vietnam Securities Depository (VSD) and passport (for foreign investors only)
• 01 bank confirmation on opening the Capital Contribution Account (CCA) or the Indirect Investment Capital Account (for foreign investors only)
• 01 certified copy of account opening application form if investors register to deposit covered warrant at other securities firms out of SSI (if any)

For legal person:

• 02 original copies of covered warrant purchase application forms
• 01 certified copy of certificates of company registration
• 01 certified copy of related documents on changing company register information (if any)
• 01 copy of cash deposit form or standing order
• 01 copy of ID card or passport of legal representative
• 01 copy of Authorization document for the representative on behalf of organization
• 01 certified copy of confirmation of securities trading code from Vietnam Securities Depository (VSD) (for foreign investors only)
• 01 bank confirmation on opening the Capital Contribution Account (CCA) or the Indirect Investment Capital Account (for foreign investors only)
• 01 certified copy of account opening application form if investors register to deposit covered warrant at other securities firms out of SSI (if any)