Foreign Individual€¦ · Business Type: Jewelry / Gold Trading (H01) Antique Trading (H02) Used...

Foreign Individual

Required documents for Securities trading account opening

KTZ’s Form

1. Trading Application Form (Please sign 5 places that are hi-lighted in yellow.)

Client’s supporting documents

1. Copy of Passport – to be verified by the holder 2 Sets

2. Copy of Work Permit (if any) 1 Set

3. Copy of Bank Account (First page which name and account number are shown) 2 Sets

4. Copy of Bank Statement for the last 3 months or Payroll Slip 1 Set

5. THB 30.- for Duty Stamp

** Please sign to verify all supporting documents.

Please kindly mail the completed account opening application and supporting documents to us at

address below;

Krungthai Zmico Securities Company Limited

International Markets Department

287 Silom Road, Liberty Square Bldg., 17th Floor

Bangrak district, Bangkok 10500, Thailand

Email: z‐[email protected]

Tel : 0 2695 5959-60

Trading Application Form (Please complete the form and attach the required documents)

Date_____________________ Head Office Branch____________________________________ Trading A/c No. ___________

Individual Client

Client Information

Name & Surname Mr. Mrs. Miss ______________________________________________________________________________________

Date of Birth _____/_____/_______ Age________ Years Country of Birth _________________________________ Nationality ___________________________

Second Nationality (If any)_______________

ID. Card Passport Others (specify)__________________________ No. ____________________________ Issue Date) _____/_____/______

Expiry Date (A.D.) ___/____/______ Mobile Phone____________________Fax No.. ____________________ E-mail address _______________________________

Highest Level of Education Lower than Bachelor Degree Bachelor Degree Higher than Bachelor Degree

Educational Institution ___________________________________________________ Faculty__________________________________________________________

Occupation: Business Owner (910) Individual Employee(920) Bank/Financial Company Staff (920) Government /State Enterprise Employee (930)

Agriculturist / Fishery (990) Student (990) Housewife / Majordomo (990) Unemployment (990) Other (specify)________________________

Business Type: Jewelry / Gold Trading (H01) Antique Trading (H02) Used Car Dealer (H03)

Pawn Shop (H04) Money Exchange Agency (H05) Domestic / International Money Transfer (H06)

Casino / Gambling (H07) Entertainment Business (H08) Armament (H09) Recruitment Agency (H10)

Travel Industry / Travel Agency (H11) Politician (H12) Position___________________ Other (Specify))____________________________

Name of Employer / Educational Institution ______________________________Position ________________________Department ___________________________

Tenure of work ________Year(s)

Monthly Income THB_______________________ Other Income (Monthly) THB __________________ Source of Other Income ______________________________

Source of Fund Own Business Employment Dividend / Interest Savings Inheritance Loan Other (Please specify_______________

Beneficiary of the account opening transaction or person with controlling authority relating to the transaction. For myself

For the other (Please specify): Name & Surname___________________________________________________ ID Card / Passport (if any)___________________

Relationship_________________________________________________________________________________________________________________________

To involve in Perpetration of Anti-Money Laundering act in the past 3 years Never Have been involved in Money Laundering (Specify) ______________________________________________ Year_____________________

Bank account information for settlement and collateral ( Bank account whereas name of account shall be the same as opened with the Company)

Bank Name ______________________Branch_________________________ Type of A/c Savings Current A/c No. __ __ __ - __ __ __ __ __ __- __

Address Information Address Information

1) Workplace Address No. ________ Moo______ Building / Village ____________________________ Floor______ Soi____________________

Road___________________________________ Sub District ________________________________________________

District _____________________________ Province ______________________ Country__________________________

Postal Code __________________ Telephone No. _________________________Fax No. ________________________

2) Current Address No. ________ Moo______ Building / Village ____________________________ Floor ______ Soi____________________

Road___________________________________ Sub District ________________________________________________

District _____________________________ Province ______________________ Country_________________________

Postal Code ___________________ Telephone No. ________________________ Fax No. ________________________

3) Address for Document Dispatch

Current Address Workplace Address (Except PO.box )

No. ____________ Moo______ Building / Village _______________________Floor _____ Soi_______________________

Road___________________________________ Sub District _________________________________________________

District ___________________________ Province ________________________ Country__________________________

Postal Code ______________ Telephone No. ____________________________ Fax No. __________________________

4) 4) House Registration Address

5) ( In case of any difference from

6) ID Card )

Current Address Other Address No. ________ Moo____ Building / Village _______________________ Floor ____

Soi________________________ Road______________________________ Sub District ___________________________

District _____________________ Province ___________________________ Country______________________________

Document Dispatch Sending to the above E-mail address

Mailing to the address for document dispatch

Do not want to receive the document.

( Self check with the Company website: www.ktzmico.com)

Securities Trading Document ( Confirmation and Contract

Note / Tax Invoice / Payment / Receipt )

Monthly Statement : Stock & Cash Movement

Spouse Information Marital Status Single Married Divorced Widowed

Spouse Name & Surname __________________________________________ID Card_________________ Occupation / Position ____________________________

Work place name & address ___________________________________________________________________ Business Type ______________________________

Monthly Income THB_______________________ Other Income (Monthly) THB __________________ Source of Other Income ______________________________

Political Position (If any, please specify) __________________________________________________________Telephone No. _______________________________

Contact Person in case of Emergency

Name & Surname________________________________________________________________Relationship_____________________________________________

Telephone No. __________________________ Fax No. ___________________________ E-mail Address _______________________________________________

Other Information for Unit Trust Account Children who are under 20 and unmarried

1. Name & Surname _____________________________________________________________________________________________________________

ID Card No._________________________________ Other (Specify)____________________________________________________________________

2. Name & Surname _____________________________________________________________________________________________________________

ID Card No._________________________________ Other (Specify)_____________________________________________________________________

3. Name & Surname _____________________________________________________________________________________________________________

ID Card No._________________________________ Other (Specify)_____________________________________________________________________

Purpose of opening an account ( More than one may be selected )

Short-term investments Long-term investments For Savings Retirement Investments

For tax benefits Others(Specify _________________________________________________________________________________

Are you related to any Krungthai Zmico Securities Company Limited’s employee? No Yes (Please Specify) Name & Surname___________________________________________________________________ Relationship__________________________________________

Type of Account & Credit Line Request (Please specify clearly) Cash A/c (C) ( ) Cash Balance ( N ) Credit Line Request THB_________________________ O Via Internet System Internet A/c ( I ) ( ) Cash Balance Credit Line Request THB_________________________ O Via Internet System Margin – Credit Balance ( B ) Credit Line Request THB_________________________ O Via Internet System Derivatives Trading ( TFEX ) Credit Line Request THB _________________________ International Trading ( OFFSHORE ) Credit Line Request THB _________________________ Fixed Income Trading ( DEBT ) Credit Line Request THB _________________________ Unit Trsut ( WEALTH ) Other (Specify) _____________________ Credit Line Request THB__________________________

Part 1 Personal Information Score

1. Age Over 55 years 1

45-55 years 2

35-44 years 3

Under 35 years 4

More than 75% of total incomes 1

Between 50%-75% of total incomes 2

Between 25%-50% of total incomes 3

Less than 25% of total incomes 4

3. Your current financial status. Assets less than liabilities 1

Assets equal liabilities 2

Assets more than liabilities 3

Have confident that there is enough savings or investments for life after retirement. 4

Bank deposit 1

Government Bond or Government Bond Funds 2

Debenture or Fixed Income Funds 3

Stock, Equity Fund, or other high risk assets. 4

Less than 1 year 1

1-3 years 2

3-5 years 3

More than 5 years 4

6. What is the main purpose of your investment? 1

Focus the opportunity to earn consistent returns, but may have some risk of loss of principal. 2

Focus the opportunity to earn higher returns, but the opportunity of loss of initial investment is increased. 3

Focus the highest returns in long term, but the risks of loss of mainly initial investment may be high. 4

1

2

3

4

Anxiety and panic to feel fear of loss 1

Uncomfortable but can understand 2

Understand and accept a certain level of fluctuations. 3

Do not worry about the high loss and expected to get higher returns. 4

5% or less 1

More than 5%-10% 2

More than 10%-20% 3

More than 20% 4

Panics and wants to sell rest of investment. 1

Concern and transfer some investment into low risky assets. 2

Continue holding and wait for yields come back. 3

4

Not acceptable Slightly acceptable AcceptablePart 3 Overseas Investment

Not acceptable Moderately acceptable Total risk is acceptable

9. How many percentage of loss on your investment that will make you feel anxious or unacceptable?

10.If you invest 100,000 Baht in the past year, but this year the value of your investment is dropped to 85,000 Baht. How will you do?

11. Investment in derivatives products, if the investment success, you may get high or more return. On the other hand you may lose all of your investment and may increased the money to invest more. Can you accept this?

Part 2 Investment In Derivatives

12. Beside of investment risks, can you accept foreign exchange rate risks?

Suitability Assessment Form for Individual

Group 3 The opportunity to get maximum return of 15%, but may be a loss of up to 5%.Group 4 The opportunity to get maximum return of 25%, but may be a loss of up to 15%.

8.If you choose to invest in assets with higher risks, but the chances of loss also high too. How do you feel?

7. Considering of your investment from risks and returns, please choose the group of risk tolerance that you prefer?

5. How long do you expect to have no need to spend the money on this investment.?

Group 1 The opportunity to earn a return of 2.5% with no loss at all.

Group 2 The opportunity to get maximum return of 7%, but may be a loss of up to 1%.

2. Currently, you have a financial burden such as housing loan, installment loan for car, and personal expenses etc. How many percentage of total income?

4. Do you have experience or knowledge of investment in the following investment products. (Can choose more than one answer)

Focus the initial investment must be safe but generate consistency returns, although it may be low.

Please provide a genuine answer in order to obtain a proper assessment of the investors’ risk profile.

Still confident, because understand that must be invest in long term, and will increase the same type of investment to average cost.

Total scores

Bank deposit and Short-term debt securities

Government Debt Securities with

maturity more than 1 year

Corporate Debt Securities

Equity

instruments

Alternative investment

(including

commodity/derivatives)

Below 15 scores <20% <10% <5%

15-21 scores <20% <20% <10%

22-29 scores <10% <30% <10%

30-36 scores <10% <40% <20%

Over 37 scores <5% >60% <30%

LowLevel 1

fixed income instruments and equities.

Level 2

Very High

Level 3

Level 4

Suitability Assessment, any related action and information are applied only to the investors in Thailand only. Client has to read and understand the above warning, relevant information and agrees to abide by such warning and relevant obligation.

Moderate to Low Level 7

Money market funds : The investment policy includes a portion invested in foreign securities at no more than 50% of NAV. The funds invest or hold cash deposits, debt securities, or other securities or assets as well as methods of generating returns, as allowed by S.E.C., that are redeemable on call or at maturity or at the end of agreements. The remaining tenures of such debt instrument, securities, or agreement shall not exceed 1 year from the date of investment. The portfolio duration of this type of funds at any time do not exceed 3 months.

Level 8

Fixed Income Funds : The investment policy is to invest in general fixed income instruments.

Government Bond Funds : The investment policy focuses on government securities, amounting to an average of 80% of NAV over the financial year.

• The securities company reserves its right to amend, edit or change suitability test form in order to assess client’s investment risk level and any relevant information without prior notice.

•Securities company, management officer, employee, and company’s officer shall not take any liability, obligation or be in charge of any damages arising from the investment by client.

Alternative Investment Funds : The investment caters to alternative investment schemes or investments that are structurally complex such as commodity/gold fund/derivatives which are not for the purposes of hedging. These include structured products where principle is not protected.

Sector Funds : The investment policy is to invest only in some particular sector(s), amounting to an average of at least 80% of NAV over the financial year.

• Client agrees to provide information to securities company’s officer who will use to conduct Suitability Assessment Client also acknowledges that this questionnaire is used for the benefit of his/her investment risk awareness.

• Client’s investment risk level is assessed from information clarified by himself/herself. However, this does not represent that the securities company shall accept the accuracy, completeness or liability of such information provided by client and the assessment result.

Medium-to-moderate-high-risk investor : This type of investor <60% Fund Risk Level 1-5 and might invest in Fund Risk Levels 6-8 but the unvestment should not exceed 20% of the total investment.

is able to accept investment loss occasionally.

Medium-to-moderate-low-risk investor : This type of investor <70%

Table-level of risk assessment to invest in various investment instrument

Low-risk investor : This type of investor has small tolerance > 60%

Total Scores Type of Investors

Basic Asset Allocation Risk levels of funds

(Wealth)

Fund Risk Level 1-4 and might invest in Fund Risk Levels 5-8 but the unvestment should not exceed 20% of the total investment.

substantial risk and can accept quite high investment loss.

Fund Risk Level 1 and might invest in Fund Risk Levels 2-8 but the unvestment should not exceed 20% of the total investment.

for investment risk. You require an investment return higher

than bank deposit rates and aim to invest over the short term.

Fund Risk Level 1-8<30%

High-risk investor : This type of investor is able to accept high

Level 5

High

Domestic money market funds : The investment policy to investments only within Thailand by investing or holding cash deposits, debt instruments, or the other securities or assets as well as methods of generating returns, as allowed by the S.E.C, that are redeemable on call or at maturity or at the end of agreements. The remaining tenures of such debt instrument, securities, or agreement shall not exceed 1 year from the date of investment. The portfolio duration of this type of funds at any time do not exceed 3 months.

Level 6 Equity Funds : The investment policy focuses mainly on equities, amounting to an average of at least 65% of NAV over the financial year.

• After securities company’s officer finishes the client’s investment risk level assessment (Suitability Assessment ) and informs the assessment result to him/her, the securities company shall assume that client has already realized his investment risk assessment result (which is evaluated from information provided by client) at a certain level.

• Client should study relevant investment information, investment and risk warning as well as requests for investment advice from marketing officer who can provide investment recommendation to client carefully. In addition, client should thoroughly study his/her investment risk assessment result in order to support his decision making to invest in securities, futures, financial instrument or other types of investment suitable to client. Information relevant to investment or other financial instruments received from securities company’s representatives (if any) is only a partial factor to assist in decision making on investment by client.

• Decision making on investment depends on client’s own decision which shall not bind with investment assessment result and may not follow investment risk level assessment under this assessment. Client also agrees to bear risk arising from investment. In case that client decides to invest in higher risk level than the investment risk level assessment, the securities company hereby agrees to assume that client agrees to bear all risk arising from such investment himself/herself. Besides, client accepts that his/her investment may not be in accordance with the assessment result, not in line with his suitability assessment and may change from the assessment result.

Risk Levels and Type of Funds (Wealth)Moderate to High

<40% Fund Risk Level 1-7 and might invest in Fund Risk Levels 8 but the unvestment should not exceed 20% of the total investment.

investment risk, high market volatility and can accept

investment loss with an aim for investment value to grow over the long term

A very-high-risk investor : This type of investor is keen for

opportunities to generate a high return and is able to accept

has rather small investment risk tolerance. You emphasized on capital protection and aim for regular income generated from investment.

Mixed Funds : The investment policy is to invest in both

Self Certification FATCA status Form for Individual Customer

This form is provided to Krungthai Zmico Securities Company Limited and it’s affiliated companies including their financial conglomerate (individually or collectively shall be hereinafter referred as the “Receiver”) for the benefit of the “Receiver” and the third parties referred to in Part 4 of this form and it’s shall be deemed that all of them are also the “Receiver” of this form.

Please answer questionnaire below for check your status, U.S. Person or Non-U.S. Person. Part 1 Status of Customer

If you answer “Yes” in any of the question No. 1 - 3, please complete IRS Form W-9 and no further question is required (skip No. 4 - 8) W-9

1. Are you a U.S. Citizen? ☐ Yes ☐ No

2. Are you a holder of any U.S. Permanent Resident Card (e.g. Green Card)? ☐ Yes ☐ No

3. Are you a U.S. resident for U.S. tax purposes? ☐ Yes ☐ No If you answer “Yes” in any or the question No.4 – 8, please complete IRS Form W-8BEN and please provide supporting documents showing that you are not an American Citizen W-8BEN

☐ A copy of Certificate of Loss of Nationality of The United States. ***For answer “Yes” in the question No. 4***

☐ A copy of Citizen ID Card or Passport in case you are not a U.S. person.

4. Were you born in the U.S. (or U.S. Territory) but have legally surrendered U.S. citizenship? ☐ Yes ☐ No

5. Do you have a current U.S. residence address or U.S. mailing address? ☐ Yes ☐ No

6. Do you have U.S. telephone number for contacting you or another person in relation? ☐ Yes ☐ No

7. Do you have standing instructions to transfer funds from your account to an account maintained in the U.S.? ☐ Yes ☐ No

8. Do you have a power of attorney or signatory authority for your account granted to person with U.S. address? ☐ Yes ☐ No

Part 2 Certification and Change of Status 1. You certificate that the above information is true, correct, accurate and complete. 2. You acknowledge and agree that if you are a U.S. Person but the information provided on this form is false, inaccurate or incomplete, Krungthai Zmico

Securities Co., Ltd. shall be entitled to terminate, at its sole discretion, the entire or part of banking / business relationship with you may be deemed appropriate by the company.

3. You agree to notify and provide relevant documents to Krungthai Zmico Securities Co., Ltd. within 30 days after any change in circumstances that causes the information provided in this form to be incorrect, or after the date that the company has requested for additional document / information / consent.

4. You acknowledge and agree that failure to comply with item 3 above, or your providing of any false, inaccurate or incomplete information as to your status, shall entitle to Krungthai Zmico Securities Co., Ltd. to terminate, at its sole discretion, the entire or part of banking / business relationship with you may be deemed appropriate by to the company.

Part 3 Authorization for information disclosure and account withholding To the extent required by applicable laws and/or any agreements between Krungthai Zmico Securities Co., Ltd. and domestic and/or foreign tax authorities, the Customer hereby irrevocably authorize the company to: 1. Disclose to the group companies of Krungthai Zmico Securities Co., Ltd. for the benefit of FATCA compliance or any other laws, domestic and/or foreign tax

authorities, including the U.S. Internal Revenue Service (IRS) your name, address, taxpayer identification number, account number, FATCA compliance status (compliant or recalcitrant), account balance or value, the payments made with respect to the account during the calendar year, account statements, the amount of money, the type and value of financial products and/or other assets held with the company or account opened through, as well as the amount of revenue and income and any information regarding the banking / business relationship which may be requested or required by the group companies of the company, domestic and/or foreign tax authorities, including the IRS;

2. Withhold from your account opened with/through Krungthai Zmico Securities Co., Ltd. and/or the income you may have or may be entitled to get paid from the company and/or the income derived from such account in the amount as required by the domestic and/or foreign tax authorities, including the IRS, pursuant to the laws and/or regulations, including any agreements between the company and such tax authorities;

3. If you fail to provide the information required to determine whether you are a U.S. person, or to provide the information required to be reported to Krungthai Zmico Securities Co., Ltd., or if you fail to provide a waiver of a law that would prevent reporting, the company shall be entitled to terminate, at its sole discretion, the entire or part of banking /business relationship with you as may be deemed appropriate by the company.

Part 4 Customer’s authorization for the third parties to use this form, information disclosure, consent and agreement in this form. In consideration of the customer’s convenience and to reduce the customer’s burden of having to repetitively submit this same type of document/ information/ consent to each and every company and financial institution that the customer open account/ with through the Receiver; the customer hereby acknowledge and agree that any of following persons(including entity person) (i.e., 1.Any asset management company/Fund/Any financial institution with whom the customer open deposit account or securities trading account or using any financial service directly with or through the Receiver 2.The distributors/Agents/ and Other person(s) related to the aforesaid funds/asset management company/Financial institution 3.Any member of Financial Business Group of the Receiver and 4.The agents or related persons or affiliated company of the all the aforesaid persons) at present or in future to use any documents, information, affirmation, consent related to identification and disclosure or withholding, as mentioned and referred to in this document (hereinafter referred to as the “Document and Information”) in accordance with any applicable laws (FATCA and AML/CTF) as if the customer have provided such Documents and Information to each of those aforesaid person (s) by the customer’s self .The customer further hereby authorize those person (s) to use / provide / share such Document and Information among themselves.

I hereby acknowledge and agree to the terms and conditions specified herein, including the permitting the disclosure of information, account withholding and termination of banking/business relationship.

I hereby agree that the above information are wholly completed and true. In case of any change among my/our information is needed, I/we will advise the Company in written immediately. Thereof, I/we understand, accept and shall abide the rules, regulations and conditions set out herein as well as the stipulations laid down at present or in future by the Securities and Exchange Commission (the “SEC”), the Stock Exchange of Thailand (the “SET”), the Thailand Securities Depository (the “TSD”), the Government Bureau or the Company as well as the customary practices of the SET. Also I/we agree to the Company for any investigation and disclosure of my/our information to the related departments which regulated by the activities as specified in the opened account only when I/we have completely conducted to the conditions and agreements of the Company.

Signature........................................................................................................... Applicant

(....................................................................................................)

I hereby confirmed and verified that the signature and documents concerned are authenticated.

Signature........................................................................................................... Marketing Officer / The Investment Contactor

(.....................................................................................................)

The Company reserves the right not to return the application and all submitted materials.

Z-inter

Highlight

Krungthai Zmico Securities Co., Ltd.

C&I - Instruction for FATCA Form Revise for New Brand - Jan. 2020

How to complete the FATCA Form of Company

Krungthai Zmico Securities Co., Ltd. has the procedure to identify the account holder status of customer who

open new account with the company. Account holder must honestly certify their FATCA status in the following

documents:

1. KTZ’s FATCA Status Form

1.1 Self - Certification FATCA status Form for Individual Customer

1.2 Self - Certification FATCA status Form for Organization / Entity Customer

2. IRS Form : W9, W8BEN, W8BEN-E

*** Applicants must fill the information correctly, completely and appropriately with the account holder

status.

When applicants completed following KTZ’s FATCA Status Form in No.1, please refer to the below guideline

for further completion on IRS Form in case of the needs:

Type of Account

Holder

1. KTZ’s FATCA Status

Form 2. IRS Form

Part 1: Status of Customer Currently used, Please update on IRS’s

website.

• Individual

Customer

� Check “Yes” in any of

the question No. 1 – 3

� Form W-9 (Rev. October 2018)

https://www.irs.gov/pub/irs-

pdf/fw9.pdf



� Form W-8BEN (Rev. July 2017)


pdf/fw8ben.pdf

• Organization /

Entity Customer

� Check “Yes” in the

question No. 1

� Form W-9 (Rev. October 2018)


pdf/fw9.pdf



� Form W-8BEN-E (Rev. July 2017)


pdf/fw8bene.pdf

For more information, please check out on IRS’s website from the link below:

1. Instructions for the Requester of Form W-9 (Rev. October 2018)

https://www.irs.gov/pub/irs-pdf/iw9.pdf

2. Instructions for Form W-8BEN (Rev. July 2017)

https://www.irs.gov/pub/irs-pdf/iw8ben.pdf

3. Instructions for Form W-8BEN-E (Rev. July 2017)

https://www.irs.gov/pub/irs-pdf/iw8bene.pdf

/19

Securities Brokerage Agreement

Execute at: Krungthai Zmico Securities Company Limited Date__________________________________ THIS AGREEMENT is made between “Customer”__________________________________________________________________________________,hereinafter referred to as the “Customer”, of one part; and Krungthai Zmico Securities Company Limited, whose registered office is at 16th Floor, Liberty Square, 287 Silom Road, Bangrak, Bangkok 10500, hereinafter referred to as the “Company”, of the other part. The Customer has agreed to appoint the Company its securities broker/agent under the Securities and Exchange Act B.E. 2535 (1992( as amended (“Securities and Exchange Act”) as well as its derivatives contracts (derivatives) under Derivatives Act B.E. 2546 (2003) as amended (“Derivatives Act”) agent dealing by way of clearing from time to time, and has also agreed to comply with all applicable laws, regulations and notifications, subject to the terms and conditions set out in this Agreement at the present and as announced in the future as follows:

1. DEFINITIONS Unless specified otherwise herein, definitions in the Securities and Exchange Act and the Derivatives Act as well as amendments thereto from time to time, apply in this Agreement.

In this Agreement,

“Securities” means securities of all kinds and any other financial instrument permitted to be traded by relevant Thai authorities, and shall include treasury bills, bonds, bills, shares, debentures, unit trusts which are instruments or evidence representing rights in the assets of a mutual fund, certificates representing rights to purchase shares, certificates representing rights to purchase debentures, certificates representing rights to purchase investment units, certificates representing the rights to derivatives, depository receipt, certificates representing the rights of the custodian, and other instrument as specified by the SEC.

“Derivatives” means derivatives contracts under the Derivatives Act and amendments thereto from time to time.

“Goods” means Goods as defined in the Derivatives Act and amendments thereto from time to time.

“Variables” means Variables as defined in the Derivatives Act and amendments thereto from time to time.

“Stock Exchange” means the Stock Exchange of Thailand (SET), the Market for Alternative Investment (MAI), and other over-the-counter centers.

“Derivatives Exchange” means Derivatives Exchange (Thailand) Public Company Limited.

“Advance” means the money paid by the Company for the purchase of or subscription for the Securities and paid as the fees or any other expenses incurred by the Company in connection with the purchase or sale of the Securities for and on behalf of the Customer, and shall include any expenses incurred as a result of the recovery of debt from the Customer.

“Margin” means collateral or properties stipulated by the Company and requested from Customers as the guarantee for the performance of Derivatives and this Agreement.

“Customer” means any person who has opened a trading account with the Company, and shall include an agent or a person designated by the Customer to execute, order or do anything (e.g., send or receive documents) under this Agreement for and on behalf of the Customer.

“Trading Limit” means the maximum amount at any time with which the Customer may give an order for the purchase of the Securities, or the amount of all debts and obligations the Customer is allowed to owe the Company (not to exceed the trading limit determined by the Company), provided that the Company may change and/or determine the Trading Limit as it sees fit without prior notice to the Customer and that if the Trading Limit is determined on the basis of the Customer’s cash balance, the Trading Limit for that Customer shall be calculated on the basis of the real-time cash balance of the Customer during a business day, with the Customer’s cash balance being adjusted according to the requirements or practices of the Company, or in relation to a Derivatives contract, means the maximum amount at any time with which the Company is allowed by the Company for the purchase or sale of the Derivatives, as determined by the Company’s basis of calculation. The Company may, at its discretion, increase, maintain or reduce the Trading Limit and/or the Maximum Derivatives Position without prior consent of the Customer.

“Trading” means the purchase or sale of the Securities and/or Derivatives in and outside the Exchange, whether as ordered by the Customer or done by the Company as the agent and/or broker of the Customer, or compulsory sale or sale by auction or as determined hereunder, and shall mean the subscription for Securities as well.

“Transaction” means a submission of trading order of Securities and/or Derivatives, change or cancellation of such order, payment for the trading of Securities and/or derivatives contracts, fees, valued added tax, other taxes and expenses, Customer’s deposit or withdrawal of the remaining balance, deposit or arrangement to be deposit the Securities to the trading account, withdrawal or transfer of Securities from trading account or any other transactions between the Customer and the Company as determined herein.

“Electronic System” means any system that applies electrons, electromagnetic waves or other similar methods, and shall include any photo or magnetic applications or any equipment relating to those applications.

“Electronic Transaction” means any transaction made by the Company and/or the Customer, wholly or partly, through the Electronic System and/or FinTech transaction.

“Internet System” means the submission of Electronic Transaction through company system, electronic device connected between the Company’s network, Customer, financial and investment service provider and relevant authorities which can be communicated to trade Securities and/or derivatives contracts and other transactions, including news and information examination and search, duplication of information and the use of service programs provided by other companies under this Agreement.

“Username and Password” means personal username of the Customer set by the Company or the Customer for the purpose of the Trading of Securities and/or Derivatives and/or other transactions with the Company via Internet System and/or any other system subject to the terms and conditions of this Agreement.

“Market Value” means the value of the Derivatives position as calculated on the basis of the market price of each kind of the Derivatives at the Derivatives Exchange and/or as determined by the Company in accordance with the Relevant Regulations, or the value of securities and/or asset in the account of the Customer as calculated on the basis of the market price of each kind of securities and/or asset as determined by the Stock Exchange and/or the Company.

“Initial Margin” means the minimum margin to be provided or paid by the Customer for the purchase or sale of each kind of the Derivatives at the rate determined by the Company in accordance with the applicable laws and regulations.

“Maintenance Margin” means the minimum margin to be maintained by the Customer for the purchase or sale of the Derivatives at the rate determined by the Company in accordance with the Relevant Regulations. / “Additional Margin”……………

/19

“Additional Margin” means a margin other than Initial Margin and Maintenance Margin to be provided by the Customer for the purchase or sale of the Derivatives at the rate determined by the Company in accordance with the applicable Relevant Regulations.

“Network Company” means a Derivatives agent which has arrangements with the Company for the transfer of the Customer’s order upon occurrence of force majeure, emergency or failure in the Company’s computer system.

“Maximum Derivatives Position” means the maximum position of each and/or all kinds of the Derivatives which the Customer is allowed at any time as determined by the Company in accordance with the Relevant Regulations.

“Closing Derivatives Trading Position” means to close all obligations or rights on Derivatives Trading by purchase or sale of new contracts in opposite result or by any other ways under the Relevant Regulations.

“Relevant Regulations” means the Securities Act, Derivatives Act and ministerial regulations, regulations, notifications or orders relating to the Trading and/or Transaction hereunder, as amended or announced in the future.

“Anti-money Laundering and counter Terrorism” means Anti-Money Laundering Act B.E. 2542 (1999), Prevention and Suppression of Terrorism Financing Act B.E. 2556 (2013), including and ministerial regulations, regulations, notifications or orders relating to the Trading and/or Transaction hereunder, as amended or announced in the future.

“Transaction via Financial Technology” or “FinTech Transaction” means any transaction done by the Company and/or the Customer through financial and investment service provider via Electronic System communication technology and/or internet.

“Asset” means Cash, Securities, Derivatives and/or any other asset rights arising in connection with the foregoing assets.

“Cash Balance Account” means a prepaid account which the Customer must deposit full payment to trade Securities with the Company prior to the trading or which the Customer agrees that the Company can debit from the account which the Customer deposited cash in full to purchase the Securities before completion of purchase or which the sales of the Securities will be transferred into. The limit of Securities purchase shall be equivalent to the remaining balance in the account.

“Subsidiary or Affiliates” means majority shareholders or juristic persons who are related to the Company as the parent or subsidiary or associated company.

“Beneficiary from Customer’s Trading” means (1) a person who receives or jointly receives benefits from Trading (2) a person who has controlling power over Trading or (3) a person who provide financial support for the benefits of Trading or debt repayment relating to or as a result of Trading, whether the receipt of benefits, control or financial support is a result of an agreement, understandings or other types of relationships.

“Business Day” means normal working day for Exchange and clearing house

“Exchange” means the Stock Exchange and/or Futures Exchange and/or any other places used as trading center (as the case may be).

“Securities Depository” means Thailand Securities Depository Co., Ltd. and/or any other places which are centers to provide services of deposit and withdrawal of Securities, including any other services for the purpose of clearing as determined by the Relevant Regulations.

“SEC Office” means the Office of Securities and Exchange Commission.

“Clearing House” means Thailand Clearing House Co., Ltd. and/or any other centers for payment of Securities and/or Derivatives.

“Competent Authorities” means the Securities and Exchange Commission, Capital Market Supervisory Board, Office of Securities and Exchange Commission, Securities Depository, Clearing House and/or any other authorities supervising the business operation of Securities and/or Derivatives, including the Bank of Thailand (“BOT”) and other regulatory authorities under the supervision of the BOT.

2. GENERAL TERMS AND CONDITIONS

2.1 The Customer agrees to appoint and authorise the Company as its agent and/or broker to purchase and/or sell the Securities and the derivatives in and outside the Exchange and to have the power to do any and all things relating to the Trading for and on behalf of the Customer and/or to do any other necessary thing in relation to the Securities, Derivatives or Variables as well as to have the power of substitution to its management and employees, with this Agreement operating as a letter of appointment or a power of attorney to that effect.

The authorisation in the foregoing paragraph includes the powers for the Company to keep, transfer, receive transfer, deliver, accept, deposit, withdraw and convert shares; to receive, examine and correct dividends, interest or any other benefit in the Securities; and to examine and amend the Derivatives and the commodity or variables for and on behalf of the Customer. In addition, such authorisation shall include the subscription for Securities or the exercise of rights available to the Customer in the Securities or in the Derivatives and the commodity or variables, if such act is, in the opinion of the Company, to the advantage of the Customer. The Company is also authorised to pay for the purchase price of the Securities, fees and other expenses incurred in connection with the Trading of the Securities, Derivatives, Commodity or Variables; to demand and receive the proceeds of the sale of the Securities, Derivatives, Commodity or Variables; to deduct and remit taxes relating to the Trading, to issue receipt, endorse cheque and/or any other instrument relating to the Trading of Securities and/or Derivatives and /or to complete any transaction relating to Securities and/or Derivatives, to execute any documents or instruments and/or transactions relating to Trading and acquisition and disposal of commodity and/or variables in its capacity as the Customer’s agent or attorney; and to have the power to appoint and/or remove substitutes for any or several acts within the scope of the authorisation.

The Customer also agrees not to terminate this Agreement or to revoke the powers given herein, in whole or in part, unless it has fully complied with the termination clause and paid the debt arising out of the termination of this Agreement or any other amount owing by it to the Company.

2.2 For the authorisation in the foregoing paragraph, this Agreement is deemed a power of attorney authorizing the Company to be the agent and/or broker of the Customer in Trading. The Company agrees to accept such authorization. Any acts performed by the Company for or on behalf of the Customer under this Agreement shall be the responsibility of the Customer as if performed by itself, and the Customer shall not deny such responsibility nor shall it object to or contest such acts.

2.3 The Customer agrees to pay to the Company the fees, commissions, taxes, stamp duties and other expenses (such as bank fees, etc.) relevant to the appointment of agent and/or broker, including Trading under the Agreement, under the times and relevant rules as determined or as agreed between the parties. If there is any change to the rate of fees or any other amount to be paid by the Customer, the Customer completely agrees to pay according to the adjusted fees rate or amount.

2.4 If the Customer defaults or breaches the Agreement or fails to pay the monies and/or fees or any due and payable expenses or as demanded by the Company, the Customer agrees to pay such amount including applicable expenses for demanding, taking legal action, enforcement and lawyers’ fee.

/ The Customer................

/19

The Customer also agrees to pay any interest and/or penalty on any amount outstanding and payable under this Agreement to the Company at the maximum rate determined by the Company, which rate is subject to change as will be announced by the Company from time to time, and subject to the Relevant Regulations.

2.5 This Agreement is binding on the Customer for an infinite period. If any party wishes to terminate this Agreement, that party shall notify the other party in writing of its intention not less than 7 days in advance. The termination of this Agreement shall not prejudice or affect the rights and obligations of the parties which have accrued up to the termination. If the Agreement is deemed terminated, the Customer agrees that the Company may close-out the Customer’s Derivatives position as it deems appropriate, and the provisions of Clause 5 (Closing Derivatives Trading Position) shall apply mutatis mutandis.

2.6 Transactions made on Electronic System

(1) The Customer agrees that by signing this Agreement, the Customer is also applying for the service of completing Transactions with the Company via Internet System. After the Company grants approval for the Customer to complete Transaction via Internet System, the Company will notify the Username and Password to the Customer or request the Customer set its own password according to the steps determined by the Company. The Customer must keep confidential and prevent others from finding out its password, including apply necessary measures to prevent others from finding out its Username and Password.

(2) The Customer agrees and accepts that any use of the Customer’s Username and Password by any person to complete the Transaction, check information in the Internet System or Trading system and/or any actions, it shall be deemed that such Transaction and actions are complete and binding to the Customer. The Customer shall be responsible for any outcome or damages as if performed by itself.

(3) The Customer can complete the Transactions provided by the Company on the Internet System with its Username and Password such as Trading, transfer, deposit, withdrawal, notification of information change, document delivery, etc. However, the Customer acknowledges and agrees that it is the Company’s rights and discretion to provide all or some types of services. The Company is entitled to confirm the Customer’s order via Internet System or any other method that the Company deems appropriate and the Customer agrees to accept the outcome of such transaction.

(4) The Customer understands and acknowledges risks associated with the Transaction via Internet System such as loss of information during transmission, delay or failure of transmission, including failure of network or malfunction of device or equipment, and any error in information due to restriction of use of Internet System. The Customer shall not claim for any damages from the Company from such failures or errors and shall be responsible for such risks by itself.

(5) The Customer agrees and acknowledges that if the Company’s system suspends the use of Username or Password of the Customer, either permanently

or temporarily, due to incorrect provision of Username or Password by the Customer or any other person, causing any Electronic Transaction made or

agreed by the Customer in advance to be suspended, the Customer shall not claim for any damages which may occur due to such suspension from the

Company. If the Customer wishes to terminate any Transaction via Internet System by the Company’s System, the Customer must proceed any

necessary steps as required by the Company.

(6) In case the Customer wishes to terminate services via Internet System, the Customer must proceed any necessary steps as required by the Company

and the Company will terminate the services as indicated by the Customer.

(7) Under the provision of the Relevant Regulations, the Customer agrees that the Company can send documents and/or relevant reports on Transactions via

Internet System, including but not limited to order confirmation, receipt, asset report and/or account statements and any other information to the Customer

by e-mail to the e-mail address of the Customer as appeared in the application and/or this Agreement, or by other electronic means instead of normal

post, and the Customer agree to be bound by such electronic delivery under 2.14.

2.7 The Customer agrees to notify and provide the following information, including preparing any explanation on the details of such information to the Exchange,

Security Depository, Clearing House, Securities registrar, SEC Office, SEC or any other authorities upon their requests for compliance of their regulations:

(1) information which can identify the Customer and all layers of the Beneficiary from Customer’s Trading

(2) objectives of Trading or investment

(3) information relating the Customer’s Trading whether done by the Company or not

(4) in case the Customer orders the Trading for several other individuals or through many layers via omnibus account, the Customer agrees to provide and

prepare explanation relating to the information in (1), (2) and (3) of such other individuals in every layer, or any other information as required by the

Relevant Regulations, where the Customer is aware or should be aware as the person who proceeded such transaction.

2.8 In the event of the following circumstances:

(1) the Customer’s Trading affects or might affect the order of Securities Trading and/or Derivatives in the Exchange or causes or may cause the price of

Securities and/or Derivatives in the Exchange Market to be inconsistent with the normal market condition;

(2) the Customer behaves inappropriately or may violate the Relevant Regulations causing damages to the Company;

(3) the Customer fails to inform, provide information or prepare explanation as required under 2.7 or provides false or significantly misleading information;

(4) there is no activity in the Customer’s account for the period determined by the Company

(5) any other events as required by the rules and procedures of the Company,

the Customer agrees that the Company may suspend the services provided hereunder, whether in whole or in part, temporarily or permanently, such as limiting

the Closing of Trading Position or closing Trading account, reduction or suspension of certain rights relating to the Trading. The Company may consider

proceeding with any other action as deemed appropriate to comply with the laws, orders and/or request of the competent authority or to protect the benefits and

interests of the Company.

/ 2.9 The Customer…….………

/19

2.9 The Customer represents that any information provided by it to the Company is true and correct in all respects. If any such information is found to be false,

which prejudices or affects any significant terms or conditions of this Agreement, the Customer is deemed in breach of the Agreement and all debts owed by the

Customer shall become due and payable immediately and/or the Company can proceed according to Clause 7 of the Agreement.

2.10 In case of any change to the information relating to Customer’s details hereunder, the Customer is responsible to notify such change to the Company as per the

method required by the Company immediately. The Company shall not be responsible for any damages occurred because the Customer fails to comply with

such requirement.

2.11 Under the provision of laws or Relevant Regulations applicable to the Company and/or in case it is necessary and appropriate, the Customer agrees to disclose,

in whole or in part, information relating to the Customer, Securities, Derivatives Trading Position, account, sales and purchases and/or any information relating

to the Customer’s Trading in any form, including but not limited to documents, media record, and/or electronic media, to the government authorities, Competent

Authorities, legal advisors and auditors of the Company, domestically or internationally, and for compliance with the laws and court orders, including verification

of Customer’s information by the Company, compliance with credit information laws and anti-money laundering and counter terrorism laws.

2.12 Subject to the provision of laws or Relevant Regulations, the Customer agrees that the Company use all or part of the information relating to the Customer,

Securities, Derivatives Trading Position, account, sales and purchases, and/or information relating to the Customer’s Trading, retained by the Company in any

form, including but not limited to documents, media record, and/or electronic media, with its affiliates and/or partners for the purpose of business or improvement

of services.

2.13 The Company shall inform the Customer in writing of the purchases or sales, in the form specified by the Company or relevant regulations. In addition, the

Company shall prepare and deliver to customer, with or without cost to the Customer, a report on the Customer ‘s assets and Derivatives position on monthly

basis, in accordance with the rules, conditions and procedures set out by the Company subject to the applicable law and regulations.

2.14 Any statement, notice or demand given in writing by the Company to the Customer at the latter’s specified address or made in the form of an electronic mail or

telephone message to the Customer shall be deemed to be duly delivered to and received by the Customer, whether the Customer acknowledges receipt itself

or any person acknowledges receipt for it. In the case of change of the Customer’s address or telephone number, the Company shall be immediately notified of

such change.

In case the Customer wishes the company to notify and/or send documents, reports by e-mail to the e-mail address or other electronic methods instead of by

post, the Customer agrees and acknowledges that it shall not prejudice the Company’s right to send notice and/or documents to the Customer by other means

as deemed appropriate without any advance notice. Moreover, in any case, the Customer accepts that the receipt of notice and/or documents by electronic

method can be exposed to risks or possible damages such as loss of information during transmission, delay or failure of transmission, including failure or

malfunction of network and any error in information due to restriction of use of Internet System. The Customer shall not claim for any damages from the

Company from such failures or errors and shall be responsible for such risks by itself.

The completion of Customer’s requests by the Company is not a representation or warranty that the Company can prevent all risks or damages that may occur.

It is the Customer’s responsibilities to be ready and keep itself updated with information on the Internet System and access its electronic mail system to check

the information and ensure the correct and updated information.

2.15 Any provision of this Agreement which is invalid or unenforceable does not affect the validity or enforceability of the remaining provisions of the Agreement.

The Customer agrees not to demand, claim or take any action against the Company for any damages resulted from the action, omission or other person out the

Company’s control.

2.16 The Customer agrees that the Company may apply for the membership in the Securities Depository under the law on securities and stock exchange or other

applicable laws and may use any services of the Securities Depository in relation to the Customer’s Securities. The Customer also agrees that the Company

may comply with all rules, conditions, procedures and practices of the Securities Depository, i.e., the disclosure of the name, address and other information of

the Customer to the Securities Depository.

2.17 In case the Customer significantly defaults or breaches the agreement, the Company may terminate the Agreement immediately. For any breach of any

insignificant provision of the Agreement, the Company must notify the Customer of such breach and allow the Customer to rectify it within reasonable time. If the

Customer fails to do so, the Company can terminate the Agreement immediately. In any case, the Company may allow indulgence to the Customer for the

rectification of such default or breach under any period or condition. Any indulgence granted by the Company to the Customer as to the performance of this

Agreement or failure by the Company to exercise its right of termination at any time operates as a waiver only in that particular instance.

2.18 In case of the Customer’s death, incompetence or quasi-incompetence, or if a lawsuit is instituted against the Customer, or if any other circumstance deemed by

the Company as critical for the protection of its interest arises, the Customer agrees and consents that all debts owed by the Customer shall become due and

payable immediately, and the Customer agrees that the Company can sell Securities and/or any Assets of the Customer in the possession of the Company

immediately or the Company can proceed as necessary to comply with the Agreement, such as purchasing Securities to be delivered to any third party,

purchasing Securities to be returned to the Company. It shall not prejudice the Company’s right to close the Customer’s account or proceed under Clause 2.8.

2.19 This Agreement is governed by the laws of Thailand. Unless otherwise agreed hereunder, both parties agree to comply with and apply Relevant Regulations

and trade practices for the Trading of Securities and Derivatives to the parties.

2.20 If the Customer fails to comply with any of the provision herein, the Company may proceed as deemed appropriate to offset or sell Securities or Assets or any

rights of the Customer for the purpose of repayment of debt and/or damages. The Company may transact via the Exchange or sale by auction or sale by any

person or company without advance notice to the Customer and other similar notification or advertisement. The Customer agrees that the Company may use

proceeds from the sale of such Securities or Assets or any rights to pay for debt and any expenses owed by the Customer to the Company, at present or in

/ the future,................

/19

the future, whether such debt is already due and payable or not. The Company is entitled to any setoff against all debts of the Customer as it deems appropriate

and the Customer agrees to repay all debts owed to the Company until such payments are made in full.

3. SALE AND PURCHASE

3.1 The Customer may give an order to purchase and/or to sell any Securities, to purchase and/or to sell Derivatives at any price, either verbally or in writing,

whether by telephone, facsimile transmission, Electronic System, Internet System or any other means as determined by the Company. When an order is

received without doubt by the Company, such order constitutes a lawful order of the Customer, and the Customer shall be bound by the results of the order as if

carried out by the Customer itself.

The Customer may execute transactions via Internet System using Username and Passcode, i.e., submission of an order to purchase Securities, Derivatives

and change or cancellation of such order, payment of the purchase price, fees, value added tax and other expenses, deposit or withdrawal of the Customer’s

cash balance, deposit of the Securities in the trading account, withdrawal or transfer of the Securities from the trading account, or any other transactions. The

Company reserves the right to confirm the Customer’s order through the Internet System or by such other means as it sees fit. The Customer agrees to be bound

by those transactions and to pay the fees for the execution of such transactions through the Internet System at such rate and by such means as determined by

the Company. The Customer acknowledges that the Company may provide only some or all of its services or may not provide any of its services at all through

the Internet System and that it is the responsibility of the Customer to acknowledge or confirm its order to purchase Securities and/or Derivatives, which includes

the name, quantity and price of the Securities, with the Company by way of a written confirmation on the trading date or the succeeding business day or before

the relevant due date, failing which the Customer agrees that the purchase or sale of the Securities is the conclusive evidence of the Customer’s intention.

The Customer agrees that the Company may record any statements between the Customer and the Company made on the telephone, Internet System or other

channels so that the Company can keep as evidence for the purpose of its compliance under the Agreement or Relevant Regulations, including to be used as

evidence in the legal proceedings or arbitration proceedings, dispute resolution between the parties or inspection by the Competent Authorities.

3.2 It is agreed and acknowledged that the Securities and/or Derivatives shall be purchased and/or sold according to the name, type, category, quantity and price specified in the order and regardless of the person from or to whom the Securities and/or Derivatives are purchased or sold or the person who holds the Securities and/or Derivatives so purchased or sold or the specific features of the Securities and/or Derivatives. It is agreed and acknowledged that the Company may receive or deliver from or to the buyer, the seller or the Customer the alternative Securities and/or Derivatives of the same name, type, category and quantity. The Customer also agrees that in carrying out the Customer’s order, the Company may sell to or purchase from its own portfolio.

The parties agree that the Company is under no obligation to accept an order of the Customer if, in the opinion of the Company, such order is against the law or contrary to the rules and regulations of the Company and/or the relevant Stock Exchange, and that the Company may not carry out an order to purchase which exceeds the remaining Trading Limit at any time of the Customer, in which case the Customer will have no claim against the Company.

3.3 If an order to purchase or to sell is found by the Customer to be incorrect or have an error, the Customer shall immediately contest such order which has been confirmed within the trading date; otherwise, it shall be deemed that the Customer accepts such order as correct and valid.

3.4 Unless specified otherwise therein by the Customer, an order to purchase or to sell shall be binding on the Customer at the time the order is given or purported to be given. If the Company is unable to carry out any order of the Customer, in whole or in part, such order or such part of the order that is not carried out shall be deemed cancelled after the lapse of the period of time as specified in the order or as determined by the Relevant Regulations. If, on the other hand, the Company is able to carry out an order of the Customer, in whole or in part, the Customer agrees to be bound by the Trading under such order. The Company is not liable for any loss or damage incurred by the Customer as a result of the Company’s inability to carry out the Customer’s order, in whole or in part. In case the Customer does not receive any confirmation for such order due to whatever reasons, the Customer agrees to be bound by Trading under such order.

3.5 If the Customer wishes to cancel or modify a Trading order, in whole or in part, the Customer shall notify the Company before such order is fulfilled. Any cancellation or modification shall be valid only when the Customer is confirmed by the Company of such cancellation or modification and shall not affect any acts performed by the Company prior to the cancellation or modification.

3.6 If the Derivatives position in the Customer’s account exceeds the Maximum Derivatives Position determined by the Company and/or by the Relevant Regulations, the Customer agrees and acknowledges that if it does not declare its intention to close-out its Derivatives position in person within the time specified by the Company, the Company or the Exchange may proceed with the Closing Derivatives Trading Position until the Customer’s Maximum Derivatives Position is maintained according to the criteria determined by the Company and/or by the Relevant Regulations.

3.7 The Customer acknowledges that any Trading made in pursuance of its intention is the result of its own decision and that the Company is not bound by any information or advice given by any of its employees regarding the Trading and is not to be held responsible in any way.

3.8 If the Customer does not trade through the trading account opened with the Company and does not have Securities and/or a Derivatives position, or if the Customer’s Assets remain in the trading account for a period of time determined by the Company, the Company may charge the Customer for maintaining the account, whereupon the Customer agrees to pay such maintenance fee at the rate determined by the Company, and the Company reserves the right to terminate this Agreement or suspend the services as determined hereunder.

3.9 The transfer or the receipt of transfer of the Customer’s position shall be in accordance with the rules and criteria determined by the Company subject to the Relevant Regulations.

3.10 For the purpose of determining the Trading Limit and the Customer’s Maximum Derivatives Position under this Agreement, the Company may consolidate the accounts of the Customer and its beneficiary and/or any person related to the Customer’s trading which have been opened with the Company.

/ 4. PAYMENT AND DERIVERY OF SECURITIES…………

/19

4. PAYMENT AND DELIVERY OF SECURITIES

4.1 If the Customer authorises the Company to purchase the Securities, the Customer agrees to pay the purchase price of the Securities purchased either at one time or in series, including the Commission and related expenses, not later than the day fixed by the relevant Stock Exchange or the Company. The payment shall be calculated based on the purchase order in the form and substance determined by the Company.

If the payment is made by cheque, the Customer shall be deemed to have made such payment on the day the cheque is honoured.

If the Customer fails to make payment, the Customer shall be liable to pay interest at the rate specified in sub-clause 2.4, and the Customer agrees that the Company may proceed with the compulsory sale of the Customer’s Securities and/or other Assets, which are in possession of the Company, and of the Customer’s rights to subscribe for Securities (if any), without prior notice to the Customer, and penalties at the rate determined by the Exchange and the Company in full, regardless of whether or not the Securities and/or the rights to subscribe for Securities which are the subject of such compulsory sale are the Securities and/or the rights the payment for which is defaulted or which are deposited by the Customer or kept in the Company’s possession for whatever purpose, or regardless of when such compulsory sale will take place.

Under such compulsory sale, even though the Company sold for the price lower than the market price at the time, or the price of such Securities increases after the sale, the Customer agrees not to claim for any compensation or damages from the Company whatsoever.

If there are any shortfalls from the compulsory sale under paragraph four, the Customer agrees to reimburse such shortfalls to the Company in full, and agrees that the Company can exercise its right to take legal action in court to enforce repayment from the Customer immediately. In case there are remaining balance after repayment to the Company, the Company shall remit such amount to the Customer. In addition, the Customer agrees to pay for all damages, interest, penalties, commission, taxes and expenses incurred in connection with the compulsory sale in full, and also agrees to be bound by the results of the compulsory sale as if it were carried out on order of the Customer.

If, prior to the purchase of the Securities, the Customer agrees to deposit its cash balance with the Company for the purpose of determining the Trading Limit, the Customer authorises the Company to withdraw such cash balance and apply the same towards payment of any and all debts owing and payable by the Customer to the Company without any condition or any objection on the part of the Customer. If the Customer orders the Company to purchase any Securities in excess of the agreed Trading Limit, it shall be deemed that the Customer has requested for the additional trading limit, and the Customer shall accept such Trading and shall pay for the purchase price of such Securities.

4.2 Subject to the payment for Securities purchase by the Customer under sub-clause 4.1, the Company shall deliver the Securities to the Customer within the business day following the day the purchase price of the Securities is paid or on any other day fixed by the relevant Stock Exchange or the Company. If the Company transfers the Securities through the account provided by the Securities Depository for the purpose of depositing, withdrawing or transferring Securities for the Customer, or if the Company keeps the Securities in its custody on order of the Customer, it shall be deemed that the Company has already delivered the Securities to the Customer.

4.3 Subject to the second and third paragraphs of this sub-clause, if the Customer authorises the Company to sell the Securities, the Securities shall be delivered to the Company by 12.00 hours of the business day following the selling date or on any other day fixed by the relevant Stock Exchange or the Company. The Company shall, at its absolute discretion, pay the proceeds of the sale of the Securities to the Customer, minus the fees, brokerage fees, commission, taxes and any relevant expenses, only when the Customer has fully paid the purchase price of the Securities, the Advance or any other amount payable to the Company. If the Customer transfers the Securities through the account provided by the Securities Depository for the purpose of depositing, withdrawing or transferring Securities for the Company, or if the Customer orders the Company to deliver the Securities from its portfolio maintained with the Company, it shall be deemed that the Customer has already delivered the Securities to the Company in accordance with the foregoing paragraph.

If the Customer maintains its portfolio of Securities with the Company (this includes the Customer’s Securities the Company has deposited with the Securities Depository), the Customer agrees that the Company may deliver the Securities from such portfolio.

If the Customer fails to deliver the Securities within the time specified in the first paragraph, the Company may purchase the Securities from any person or anywhere and deliver the same instead, either at once or at such time as the Company deems appropriate, and the Customer agrees to be liable to pay the Advance, Commission, taxes, penalties and all damages incurred by the Company as a result of such failure.

If the Customer orders the Company to sell the Securities but has yet to pay the purchase price of such Securities, the Customer is obliged to pay for such Securities, Advance, commissions, fees, taxes and other amounts to the Company in full before the Company, at its absolute discretion, pays the proceeds of the sale of the Securities to the Customer.

4.4 The Company shall pay the proceeds of the sale of the Securities to the Customer on the business day fixed by the relevant Exchange or the Company. If the Customer sells the Securities on the same day of their purchase, the Company shall pay the proceeds of the sale to the Customer on the business day following the day the purchase price of the Securities is paid to the Company or as determined by the relevant Exchange or the Company. If the Customer sells the Securities it has purchased but has yet to pay the purchase price thereof, the Customer shall pay the purchase price, the commissions, fees, taxes and relevant expenses before the Company pays the proceeds of the sale. The purchase price of the Securities shall not be offset against the proceeds of the sale, except in the case of the compulsory sale, the closing of the Customer’s account, or the set-off provided for in sub-clause 4.6

4.5 The proceeds of the sale of the Securities shall be paid by crossed cheque payable to the Customer’s account or by crediting to the Customer’s deposit account or by any other means determined by the relevant Exchange or the Company.

4.6 Subject to sub-clause 4.3, if the Customer has an obligation to pay the purchase price of the Securities to the Company and the Company has an obligation to pay the proceeds of the sale of the Securities to the Customer on the same day, the Company may, without prior consent of or notice to the Customer, offset the purchase price against the proceeds of the sale, provided that the Company or the Customer, as the case may be, must be responsible for the shortfall. The Company is at liberty to suspend or cancel such set-off at any time without prior notice to the Customer.

The Company is at liberty to choose the Securities of certain name, type, quantity or value, whether in whole or in part, to be applied towards the set-off pursuant to this sub-clause, without prior notice to and any objection by the Customer. The Company has the right not to apply the set-off under this sub-clause if it appears that the Customer has no Securities left with the Company or has not delivered the securities to the Company.

4.7 In case of the Customer’s death, incompetence or quasi-incompetence, or if a lawsuit is instituted against the Customer, or if any other circumstance deemed by the Company as critical for the protection of its interest arises, the Customer agrees that the Company may immediately sell, in whole or in part, the Securities or any other assets or rights of the Customer in possession of the Company or purchase the Securities, in whole or in part, to indemnify the Company for the Securities which the Customer has ordered the Company to sell but has yet to deliver to the Company, without prejudice to the rights of the Company to close the Customer’s account.

/ 4.8 In case................

/19

4.8 In case the Customer wishes to trade debt instrument securities, the Customer must pay the price and deliver such Securities within the date and time specified by the relevant Exchange, and the Customer must strictly comply with the Relevant Regulations on the trading of debt instrument securities as determined by the Competent Authorities.

5. OUT-CLOSING DERIVATIVES TRADING POSITION

5.1 Upon occurrence of any of the following events, all debts owed by the Customer in relation to the Trading of Derivatives shall become due and payable immediately, and the Company is entitled to proceed with the Closing Derivatives Trading Position and deductions immediately:

(1) the Customer dies or becomes incompetent or quasi-incompetent, insolvent or bankrupt, or a receiver is appointed in respect of the Customer’s Assets, or an order is given for the acceptance of a petition for the rehabilitation of the Customer’s business;

(2) the Company has reason to believe that the Customer will be unable to provide the Additional Margin or to pay for the purchase price of the Derivatives,

i.e., concealment or disposal of its assets, in whole or in part, or arrangements or compromise with creditors;

(3) the court or any government agency gives a judgment or an order for payment by the Customer of its debt or for seizure or attachment of the Customer’s assets, in whole or in part;

(4) the Customer fails to make any payment under this Agreement when due according to its full or minimum amount;

(5) the Customer fails to perform or observe any of its obligations (other than in (4) above) under this Agreement or any clause or provision under or relating to this Agreement, and, in respect of any such failure which, in the opinion of the Company, is capable of remedy, does not remedy such failure within thirty (30) days from the date of failure;

(6) any representation, warranty or statement made or given (or deemed to be made or given) by the Customer in or pursuant to the Agreement or any other document entered into or delivered by the Customer in relation to this Agreement is or proves to be incorrect, untrue or incomplete in any material respect;

(7) any licenses or permits required for the conduct of the Customer’s business are cancelled, revoked or suspended, or expire without being renewed, which materially and adversely affects the ability of the Customer to perform and observe its obligations under this Agreement;

(8) any other indebtedness of the Customer becomes due and payable prior to its stated maturity and is not paid on the due date, or any guarantee given by the Customer in respect of the liabilities of any other person is not honoured and is demanded against the Customer, or the Customer defaults or breaches any provision or agreement in respect of such other indebtedness, except in the case of trade payable or any agreement relating to such trade payable;

(9) a receiver, executing officer or similar officer is appointed to manage the business or all or major part of the assets of the Customer, or an order is given for the execution of all or major part of the assets of the Customer or of all or major part of the assets of the Customer placed as guarantee for any person;

(10) an action, proceeding or petition is instituted for bankruptcy of the Customer and the Customer is unable to stay such action, proceeding or petition to the satisfaction of the Company within forty-five (45) days from the date of such action, proceeding or petition;

(11) the Customer generally calls a meeting with creditors, enters into arrangements with creditors, or makes assignment for the benefit of creditors; or

(12) any event or series of events, whether or not related to each other, occurs which might materially and adversely affect directly or indirectly the ability of the Customer to perform any of its obligations under this Agreement.

5.2 In addition to repaying the debt under the Derivatives and this Agreement, the Closing Derivatives Trading Position and the deductions shall include the payment of any penalties, fees and expenses incurred in connection with the Trading of Derivatives under this Agreement. If, after the Closing Derivatives Trading Position, it appears that the Customer has yet to pay such penalties, fees and expenses, the Customer is liable to pay the same until complete payment is made to the Company. Any money or assets left after the Closing Derivatives Trading Position and the deductions shall be returned to the Customer with no interest.

5.3 If the Customer conceals or deviates any facts given in this Agreement, in whole or in part, or fails to notify, procure information or prepare explanation as requested by the Competent Authorities as specified in sub-clause 2.7, or fails to perform or observe any material provision of this Agreement, or if the Company deems it advisable for the prevention of any trading of Derivatives which is unusual, inappropriate or likely to violate the Relevant Regulations, or if the Company is obliged to follow the instructions of the Competent Authorities, the Customer agrees that the Company may, without prior consent of the Customer, proceed as follows:

(1) close-out the Derivatives position, offset against or deduct from the Customer’s assets, or enforce payment of debt, in whole or in part, from the Customer’s account opened with the Company, whether such debt becomes due or not;

(2) reduce or limit the Trading Limit or the Maximum Derivatives Position of the Customer;

(3) cancel all purchase or sale orders of the Customer which the Company has yet to carry out;

(4) temporary suspend the Trading of Derivatives;

(5) offset or hold the Margin or any other benefits of the Customer in the Company’s possession and/or deduct or enforce repayment from the Customer’s accounts opened with the Company, regardless of whether such debts already became due or not;

(6) close all accounts of the Customer in order to settle the Customer’s obligations;

(7) terminate the Agreement and demand outstanding balances to become due immediately; or

(8) act or omit any actions as deemed fit by the Competent Authorities.

5.4 If the Company exercises its right under this Agreement or the Relevant Regulations to close-out the Derivatives position and/or to force the sale of the Securities or the reference underlying assets and such exercise of right results in any loss or damage to the Customer, the Customer agrees not to hold the Company responsible for such loss or damage from the Closing of Derivatives Trading Position and/or compulsory sale of such reference underlying assets.

/ 5.5 If the Company...............

/19

5.5 If the Company is unable or fails to carry out the Closing Derivatives Trading Position in accordance with this Agreement or the Relevant Regulations, the Customer agrees that such actions may be carried out by the Competent Authorities or any person designated by the Company.

6. MARGIN

6.1 In the Trading of Securities or Derivatives, the Customer shall provide or cause to be provided its property as Margin for each Trading with the value or at the rate not lower than that specified by the Company. The type and the duration of the Margin to be provided by the Customer shall be in accordance with the rules and criteria determined by the Company subject to the Relevant Regulations. The Customer agrees and acknowledges that the Company may, at its discretion and in accordance with the Relevant Regulations, allow the Customer to purchase or sell the Derivatives without first placing the Margin with the Company.

6.2 The Customer agrees and accepts that all Securities and Assets that the Customer has at the time of execution of this Agreement or in the future which are in the possession of the Company, including any benefit and other rights relating to such Securities and Assets are the Margin for all payments of obligations owed by the Customer to the Company. The Company is entitled to hold such Securities and Assets until it receives full repayment from the Customer. Such Margin shall also include Securities delivered to the Company and purchased under the order of the Customer.

6.3 For the Trading of Derivatives:

(1) The Company shall calculate the value of the Customer’s Derivatives and adjust the value of the Margin with reference to the actual Market Value in accordance with the applicable laws and regulations at least at the end of each business day or as determined by the Company.

(2) The Customer agrees to provide the Maintenance Margin in accordance with the Relevant Regulations and as determined by the Company. If the value or rate of the Customer’s Margin at the end of any business day is lower than the Maintenance Margin, the Customer shall provide the Additional Margin so that the value or rate of the Maintenance Margin will not be lower than the Initial Margin. The provision of the Additional Margin shall be completed within the period of time specified by the Company or by the Relevant Regulations.

(3) The Company may require that the Customer provide the Additional Margin for each type of the Derivatives at such rate or with such value and within such period of time as determined by the Company or by the Relevant Regulations.

(4) The Customer may withdraw the Margin, in accordance with the rules and procedures set out by the Company, if the value or rate of such Margin is higher than the Maintenance Margin.

(5) Without prejudice to any other rights available to the Company under the applicable laws and regulations or under this Agreement, if no Margin is provided by the Customer within the specified time, the Company may:

a. refuse to carry out any order of the Customer, with the exception of an order for Closing Derivatives Trading Position;

b. immediately close-out the Customer’s Derivatives Trading Position, in whole or in part;

c. offset or retain the Margin or any other benefit the Customer has with the Company; or

d. demand from the Customer a penalty on the defaulted amount for its failure to provide the Margin or the fees payable by the Customer and/or other expenses or damages. Such damages shall include any expenses occurred due to the demanding, taking legal actions, enforcement and lawyers’ fees. The Company is also entitled to terminate the Agreement immediately.

7. LIABILITY AND REMEDY

7.1 The Customer shall be liable for any losses, damages and expenses incurred by the Company from or in relation to this Agreement or as a result of an act or omission by the Customer as well as for any losses, damages and expenses incurred by the Company in connection with any litigation or proceeding instituted by any third party for liability of the Company, which liability is not attributable to any wilful act or omission or negligence on the part of the Company or any of its employees.

7.2 In case of force majeure, emergency or failure in the Company’s computer system, the Customer agrees that the Company may process the Customer’s order through a Network Company so that the order to purchase or to sell can be matched further on the Exchange.

7.3 The Customer agrees that the Company shall not be held responsible for any loss and/or damage incurred by the Customer if such loss and/or damage is caused or results from fire, storm, strike, riot, demonstration, war, usurped power, errors in data transmission, interruption in communication network or delay caused by the communication network of any third party or of the Company, failure of electrical equipment, electrical failure or force majeure, which affects the operation of the Company.

8. ASSETS OF CUSTOMER

8.1 The Customer authorises the Company to take care of its Securities and other Assets, including all benefits, rights in such Securities and Assets. The Customer acknowledges that the said authorisation shall not be construed as the Company having custody of the Customer’s money. If the Company ever faces financial problems, the Customer’s money being taken care of by the Company shall not be protected by the laws of Deposit Protection Agency.

In case that the Customer’s Assets in the Company’s possession is lost or damaged due to negligence of the Company’s obligations, the Company shall be responsible in full for such loss or damage.

8.2 The Customer agrees and acknowledges that its Assets which are received by the Company shall be kept separately from the Company’s assets in an Omnibus Account, where there will be no segregation of assets, in accordance with the Relevant Regulations.

8.3 The Customer authorises the Company to deduct and/or withdraw money from the account for:

(1) the Trading of the Derivatives;

(2) cash settlement or physical delivery upon the expiry of the Derivatives term, including refusal to exercise the rights or compulsory exercise of rights under the Customer’s Derivatives

(3) the provision of Margin or the adjustment of the Margin position;

(4) the payment of fees or any other amount payable in relation to the Trading, exercise of rights, refusal to exercise the rights and compulsory exercise of rights in the Securities

/ (5)...............

/19

(5) the payment of debt and penalty in the event of default by the Customer under this Agreement;

(6) the payment of duties or taxes;

(7) any other circumstances as prescribed in the relevant regulations.

8.4 All Securities and Assets of the Customer received or to be received by the Company for the Trading of Securities and/or Derivatives shall be segregated by the Company in accordance with the Relevant Regulations, as follows:

(1) Cash shall be kept in a separate account with the Company or deposited with a commercial bank or kept by such other means as determined by the Relevant Regulations and the Company;

(2) Securities shall be deposited with the Security Depository or such other place as determined by the Relevant Regulations and the Company, or kept by the Company in such a manner that they can be specifically identified as belonging to the Customer;

(3) Other Assets shall be kept in such a manner that they can be specifically identified as belonging to the Customer.

8.5 The Company is authorised to invest the Customer’s Assets in deposits or promissory notes or other kinds of investment, on behalf of the Customer, at the rate not exceeding the return or benefits actually gained by the Company and at such time as will be notified by the Company from time to time. The Customer agrees that the Company may deposit or invest the Customer’s assets with or in a financial institution or the other company which is a parent company or an affiliate or associated company of the Company.

8.6 The Customer agrees to pay commission fees for the keeping of the Securities and the Assets by the Company at such rate and time as will be notified by the Company from time to time.

8.7 The Customer may withdraw its assets by notifying the Company in writing of its intention at least 1 business day in advance. Withdrawal of the Securities shall be notified in advance in accordance with the Security Depository’s regulations for withdrawal of Securities. The Customer may not withdraw in excess of the Securities and the Assets actually remaining after deduction of the Customer’s indebtedness and other expenses. In case of withdrawal of Derivatives, such withdrawal must not cause the value or rate of the Customer’s Margin to be lower than the Initial Margin and subject to the Relevant Regulations.

8.8 The Company is entitled to proceed as necessary to the Customer’s Securities or Assets, or to comply with the laws or order or this Agreement.

9. RISKS INVOLVED

9.1 The Customer has read and familiarized itself with the risks associated with the Trading as attached hereto and fully understands the Trading mechanism and practices relating to the placement of Margin to secure potential risks and damages from the Trading and Relevant Regulations, including the rights, obligations and responsibility of both parties. The Customer was informed that by signing this Agreement, it represents and acknowledges that it reads and understands such risk exposure documents.

9.2 The Customer understands and acknowledges that there are risks to the Trading under this Agreement because the value and returns from such Trading can fluctuate based on the price of the Derivatives and/or Assets or Variables, which can be caused by liquidity of the Exchange or general investment climate, change in the Relevant Regulations and tax laws. Such changes can be unforeseen. Therefore, the Customer may not receive investment or returns in the same amount as its initial investment.

9.3 In addition, the Derivative Trading is a Trading which uses low Initial Margin comparing to the value of the orders. Any slight movements in the price of the Derivatives may affect the Margin or Additional Margin is required in the higher proportion that the movement of Derivatives price, which can be advantageous or disadvantageous to the Customer. Such Derivatives Trading therefore may cause all of the Initial Margin or Additional Margin. In case the Trading moves in the direction negative to the Customer’s position or Additional Margin is required, the Customer may be requested to place Additional Margin to maintain the position of the Derivatives. In case the Customer fails to place Additional Margin within the specified time, the Customer may be subject to Closing Derivatives Trading Position at a loss and must be responsible for such loss.

10. ASSIGNMENT

The Customer may not assign its rights and obligations hereunder to any other person unless written consent is granted by the Company. The Company may transfer or assign its right hereunder to other person by notifying the Customer but no consent from the Customer is required.

11. CONFIDENTIALITY

Subject to the Relevant Regulations, the Company shall keep confidential Customer’s information by applying high security standard.

However, the Company may disclose the Customer’s information in the following cases:

(1) with Customer’s written consent;

(2) to assist the Customer to complete its desired Transaction;

(3) to provide information to any regulatory agency or organization relating to the Transaction hereunder;

(4) if required by laws, regulations or orders of the Competent Authorities;

(5) to disclose to the authorized persons of the Company, its affiliates or partners or any third party who is granted consent by the Customer to access information;

(6) any other cases as permitted by laws or the Agreement.

12. ARBITRATION

The Customer may request civil dispute resolution relating to or as a result of Securities Business and/or Derivatives by the Arbitration Project of the SEC Office, subject to the rules and criteria set out by the SEC Office.

/ 13. ATTACHMENTS..............

/19

13. ATTACHMENTS

The following attachments are deemed an integral part of this Agreement and binding to the parties.

(1) Company Profile

(2) Attachment to the Derivatives Agent Appointment Agreement

(3) Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange

(4) Acknowledgement of the Rules, Conditions and Procedures on Investment Unit Trading on Over- the-Counter Centre

(5) Memorandum of Understanding Attached to the Securities Brokerage Agreement on Offshore Securities Trading

(6) Information Disclosure Consent

(7) Any other documents which the Company notifies the amendments of this Agreement to the Customer after the change of regulations

14. Amendments of the Agreement or Attachments

In case of any change or addition to the Relevant Regulations relating to the performance of this Agreement, or it is necessary for the Company to adjust the rules and procedures of its services accordingly, the Customer agrees and gives advance consent to comply with such amended Relevant Regulations, including any rules and procedures to the Company’s services. It is the Company’s discretion to inform the Customer of such changes individually or generally, or if the Company finds that the Customer must agree or give consent to such change, the Company will determine the method for the Customer to agree to give consent, either electronically or other appropriate means.

/ (Attachment No. 1)..................

/19

(Attachment No. 1) COMPANY PROFILE

To comply with the Notification of the Capital Advisory Board No. TorTor. 35/2556 on the Standard of Business Operation, Management Structure, System and

Service Provision of Securities and Derivatives Business Operators, the Company hereby provides the following information:

Items Details

1. General Information ● Date of Incorporation: 30 May 2000

● Types of licensed businesses

- Securities Brokerage - Equity Trading

- Securities Dealing - Private Fund Management

- Securities Borrowing and Lending - Derivatives Broker

- Financial Advisory - Foreign Currency Trading

2. Nature and Scope of Services ● Brokerage Principal

- Equity Trading / Derivative Trading / Offshore Securities Trading

● Investment Banking

- Financial Advisory / Underwriting

● Private Fund Management

Brokerage for trading of investment units for fund management companies

● Margin Loan for securities trading

Securities Borrowing and Lending

3. Communication channels Telephone number 02-695-5000 Company’s website: www.ktzmico.com

4. Rights, obligations,

responsibilities and conditions

applicable to the Customer to

use the services

● Available on the agreement for the Customer’s respective transaction such as Securities Brokerage Agreement for

Securities/Derivatives Trading, Loan Agreement for Securities trading, Securities Borrowing and Lending agreement

● In case of trading via credit line, the Customer must place margin before purchase at ≥ 20% of the potential purchase

order in full on a business day after the next business day (Day T+2).

● In case of cash balance account, the Customer must pay cash in full prior to purchase and any order at any given

time must not exceed such cash placed in advance. Stocks or DW at SET or ASCO which required to be purchased

by cash balance account can be purchased using cash balance account only.

● In case of credit balance account, the Customer may take loans to purchase Securities at the rate determined by the

Company. If the Margin decreases to Call Margin level, the Customer must place Addition Margin on the next

business day. If the Customer fails to do so within 5 business day, the Company may apply compulsory sale on the

Customer’s Securities.

● In case of Derivatives account, if the Margin decreases to Call Margin level, the Customer must place Addition

Margin on the next business day (T+1). If the Customer fails to do so, the Company may close the Customer’s

Derivatives Trading Position to be not lower than Initial Margin (IM).

● The Company shall send, upon Customer’s first request, the counterpart of the Agreement to the Customer’s address

given to the Company. For the following requests, the Company reserves the right to collect fees as determined by

the Company.

● The Customer will be assessed in Suitability Test for investment or transaction in the products of capital market.

The Company will categorize the investor type for the Customer based on the information and supporting documents

provided by the Customer. However, in case the document is incomplete, the Customer will be categorized as

general investor. ***The Customer who does not go conduct a review of suitability test as required by the SEC

Notifications No. TorTor.35/2556 (every 2 year) cannot submit purchase order (sale order).

5. Documents that the Customer

will receive

● Mail and/or mail to notify User Login and Password (unless they were set by the Customer itself under the

procedures and methods determined by the Company)

● For any purchase of Securities, the Company will send Confirmation Note/Tax for such purchase to the Customer via

the method as notified by the Customer.

● If there is any activity in the account such as purchases/sales/withdrawal of Margin/Securities, the Company shall

send a statement of account on the last business day of every month to the Customer by the 5th of the following

month. In case of no activity in the Securities or Margin, the Company shall send the statement of account by the 5th

business day from the end of December of every year.

6. Compliance with the laws,

notification and regulations of

the Competent Authorities

The Company operates its business under the supervision of SEC Office, Stock Exchange, Derivatives Exchange,

Association of Thai Securities Companies, The Thai Bond Market Association, Thailand Clearing House Co., Ltd., Anti-

Money Laundering Office. The Customer can access relevant regulations and notifications from the websites of the

competent authorities.

The Company reserves the right to amend the above company profile as appropriate without advance notice, subject to the Relevant Regulations. / (Attachment No. 2)............

/19

(Attachment No. 2)

Attachment to the Derivatives Agent Appointment Agreement

1. Definition: In this agreement, the following terms will have the meanings as defined below:

“Customer’s Assets” means (1) assets that the trading agent received or holds as the guarantee for the performance of futures that the customer traded, (2) profits or any other benefits of the customers due to their futures trading, (3) warehouse receipt, bill of lading or other instruments which indicate the rights in the assets that the futures agent holds for the customer in order to deliver or from received from the delivery under the customer’s futures trading agreement, (4) money, securities or other assets that the agent receives from the customer to pay for the goods to be delivered under the customer’s futures trading agreement or received from the delivery under the customer’s futures trading agreement on behalf of the customer and (5) remaining money from the customer’s sales of securities which was transferred to the agent due to the customer’s default of futures trading agreement, including the returns or any other benefits received or incurred upon the customer’s assets mentioned above.

“Cash Balance” means the remaining cash in the account

“Force Close Margin Requirement” means the level of margin prescribed by the Company pursuant to relevant laws and regulations that, if the customer’s Equity Balance is reduced below such a level, a call will be made by the Company for the customer to immediately place additional margin to ensure that the level of his/her/its Equity Balance will be re-adjusted to that of the Maintenance Margin.

“Equity Balance” means value of the customer’s cash-equivalent assets placed with the Company which is equivalent to cash plus Mark-to-Market adjustments of the value of futures contracts at the end of a business day (i.e. Equity Balance = Cash Balance + Mark-to- Market from futures).

“Excess Equity” means value of the Equity Balance, less the level of Initial Margin required on a customer’s futures position(s) (Excess Equity = Equity Balance – Initial Margin Requirement).

2. The Procedures of Margin Call and Force Close At the end of Day T, the Company shall adjust the value of the customer’s collateral on the Mark-to-Market basis.

If the Equity Balance (EB) falls below the Maintenance Margin Rate (MM) ) [ EB < MM ]

A margin call will be made by the Company for an additional margin to be placed 1 hour prior to the closing time of normal trading session of Day T+1.

The customer has the following options to comply in this respect:

(1) Place the entire sum of the margin call in cash.

(2) Close the position(s) of the existing futures contract(s) or newly create the futures position(s) for the effect that the increase of Equity Balance (EB) combined with the decrease of Initial Margin Rate (IM), based on the status on Day T, will not be less than the amount of Margin call.

(3) Close or create the position(s) in parts and place a portion of the amount of margin call. This shall produce the effect that the increase of Equity Balance combined with decrease of Initial Margin Rate (IM), based on the status on Day T, will not be less than the amount of Margin Call.

If the customer fails to perform as per the above methods within the specified timeframe, the Company will not allow the customer to open an additional position and if the customer performs as per the above methods within the specified timeframe, the Company shall authorize the customer to open an additional position(s).

Procedures of Margin Call

Case 1: Equity Balance (EB) becomes lower than Maintenance Margin Rate (MM) but still higher than Force Close Margin Rate (FM) [EB < MM > FM]

During the course of a Business Day

The Company shall make a call for additional margin to be placed by a customer at least to increase his/her/its Equity Balance (EB) to the level above the Maintenance Margin Rate (MM)

At the end of a Business Day (Day T)

After the Company makes a Mark-to-Market adjustment for the day and it is found that the customer’s Equity Balance (EB) is lower than that of the Maintenance Margin Rate (MM), the customer will be called on to place additional margin to level up the Equity Balance (EB) to a point higher or equivalent to that of the Initial Margin Rate (IM) within 1 hour prior to the closing time of normal trading session of Day T+1.

On the next Business Day (Day T+1)

If the customer fails to place additional margin or to close the position(s) or to create the position(s) to level up the value of his/her/its Equity Balance to be higher than the level of the Initial Margin Rate (IM) and not less than the amount of Margin Call within 1 hour prior to the closing time of normal trading session of Day T+1, the Company will not allow the customer to open an additional position.

If, during business hours on Day T+1, after the customer’s margin had been adjusted and it is found that such margin may increase in excess of, or equivalent to, the MM or IM, the Margin Call process will, nevertheless, continue and the customer will still be liable to place additional margin or close or create the position(s) by any of the above means until completion before he/she/it will be authorized by the Company to open an additional position(s).

On a Business Day after the Next Business Day (Day T+2)

Where the customer fails to performed as per the above methods within the specified timeframe, the Company has the rights to close the position(s) of the customer’s holding of futures contract within the morning trading session of futures market at least to the point of ensuring with an effect that the Initial Margin (IM) requirement for the customer shall be reduced or Equity Balance shall be increased in a combined amount equivalent to the margin call amount, based on the status of Day T. Once the position(s) of the customer’s portfolio is closed, the value of his/her/its Equity Balance must not be less than that of the Initial Margin required on the remaining position(s). The Company reserves the right to close all positions of the customer to the extent that the customer’s position(s) held in/her/its portfolio equals to zero.

Case 2 :Equity Balance (EB) is lower than Maintenance Margin Rate (MM) as well as less than the Force Close Margin Rate (FM) during the course of the day.

[ EB < MM < FM ]

/ The case.…………..

/19

The case can be separated into 2 periods of time

First Period Closing time of morning trading session of futures market.

The customer shall place additional margin to level up the value of his/her/its Equity Balance to a point equivalent to that of the Maintenance Margin Rate (MM) within 1 hour prior to the closing time of normal trading session.

* If the customer fails to place additional margin within the specified timeframe, the Company is entitled to close the position(s) to lower MM to the level of EB prior to the closing time of normal trading session.

Second Period Closing time of normal trading session.

The customer shall place additional margin to level up the value of his/her/its Equity Balance to a point equivalent to that of the Maintenance Margin Rate (MM) within 1 hour prior to the closing time of morning trading session of the next Business Day (Day T+1).

* If the customer fails to place additional margin within the specified timeframe, the Company is entitled to close the position(s) to lower MM to the level of EB prior to the closing time of morning trading session of the next Business Day (Day T+1).

If the customer is liable to place additional margin as per the Margin Call notice, the customer will still be liable to place additional margin as per the notice which is in compliance with procedures prescribed in Case 1

If the Company finds, after due consideration, that there are fluctuations in the market or any substantial intraday changes which would have the result of reducing the value of the Equity Balance which will be adjusted in accordance with market prices at any given time to fall below zero, the Company reserves the right to carry out an immediate Intraday Force Close on the customer’s position(s) until the Equity Balance has leveled up to the point equivalent to Maintenance Margin Rate without prior notice. The customer will have to accept that it is the Company’s right to force close such derivatives position(s) albeit the customer will not be deprived of the right to order any closure of the futures position(s) by him/her/itself in any way. Thus, if any damage should be incurred as the result of the Company’s above action or omission, the customer agrees to accept the incident and will not raise any demand for the Company to take responsibilities for them, nor to raise this matter as a legal defense against the Company.

If Cash Balance (CB) is below zero [ CB < 0 ]

At the end of a Business Day

(Day T)

After the Company makes a Mark-to-Market adjustment for the day and it is found that the customer’s Cash Balance is below zero Baht, the Company shall follow the Margin Call procedures in case 1. The customer will be called on to place additional margin and/or close the position in parts to level up the Equity Balance (EB) to a point higher or equivalent to zero within 1 hour prior to the closing time of normal trading session of Day T+1.

On the next Business Day (Day T+1)

If the customer fails to place additional margin or to close the position(s) to level up his/her/its Cash Balance to be higher than the equivalent to zero within 1 hour prior to the closing time of normal trading session of Day T+1, the Company will not allow the customer to open an additional position.

On a Business Day after the Next Business Day (Day T+2)

If the customer fails to place additional margin and/or close the position(s) to level up his/her/its Cash Balance to be higher than the equivalent to zero, the Company shall Force Close on the customer’s position prior to the closing time of morning trading session to level up the Equity Balance (EB) to a point higher or equivalent to zero.

3. Subject to relevant regulations, if there is any necessity, the Company reserves the right, without obligations, to consider making a closure on any type, series and at any amount of a customer’s futures contract. If any loss or damages are incurred to the customer as the result of such an action, the customer agrees not to raise any demand for the Company to take responsibilities for them, nor to raise this matter as a legal defense against the Company.

4. If a customer’s futures position(s) or his/her/its portfolio is closed by the Company and the proceeds thereof are not adequate to repay any debts which may be incurred or if loss has already been incurred leaving the customer with additional liability payable to the Company, the customer agrees to pay the shortfall of this sum to the Company in full and agrees to the Company making a call for payment or to have such debts offset with any of the customer’s assets held in the Company’s possession.

5. If the customer fails to repay debts as mentioned in 4 by 15.30 hrs. of the due date, the Company reserves the right to take Lock Code action on the customer’s all trading accounts and to prohibit the customer to purchases any additional securities in the customer’s all trading accounts. The Sell Only orders will be allowed to be made by the customer.

6. In order for the Excess Equity to be withdrawn by the Customer, notice must be given to the Company by noon of Day T and payment will be made by the Company on Day T+1 for the portion equivalent to the Excess Equity less the amount of accounting net profits of the futures position(s) as at end of Day T.

7. Payment of interests will be computed out of the sum of Equity Balance as at the end of the business day. However, profits/loss as the result of Mark-to-Market adjustments for options trading contracts will not be included in this computation for interest payables.

8 . The customer acknowledges and gives his/her/its consent hereby that the Company may take the following action without prior notice if it should transpire that any trading transaction made by a customer typically breaches or is non-compliant with the Exchange’s regulations, circulars or orders or is likely to cause damages to the trading systems, the Company’s or the Exchange’s operations or trading conditions in the overall:

8.1 Give notice to a customer not to enter any trading order of this nature into the trading system.

2.8 Cancel transactions with such characteristics.

2.3 Suspend trading services to a customer.

9. For Margin Call, notice may be given by the Company via telephone, facsimile, SMS, E-Mail or by any other electronic media as the Company deems appropriate.

Operation as for the procedures of Margin Call and Force Close of future contracts

(1) Adjustments to procedures of Margin Call and Force Close of futures contract shall be made in accordance with minimum standards announced by Futures Industry Club’s Board of Directors. The Company reserves the rights to make any change on the above-mentioned rules and methods without prior notice.

(2) In the case where provisions or any statements contradict with the content of this document, such statements shall be unenforceable (only the contradicting parts) and this document shall prevail.

Note: The customer can find the details at www.ktzmico.com and www.asco.or.th or inquire of your marketing staff.

/ (Attachment No. 3)………….

/19

(Attachment No. 3)

Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange

1. FUTURES 1.1 Nature of Futures

Futures is a contract in which parties are bound to perform their obligations there under. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or a period of time in the future as set out in the contract is paid to the other party (cash settlement).

1.2 Risk of Loss in Trading Futures

In futures trading, buyers (a party with long position) and sellers (a party with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Customer may sustain losses significantly beyond the amount of initial margin deposit it has made or may be called upon by its agent to liquidate its position at a loss should it be unable to provide additional margin funds within a specified period.

2. OPTIONS

2.1 Nature of Options

Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to receive payment from the seller under the conditions specified in the contract. The buyer is required to pay a premium to the seller in exchange for such right to buy or sell.

Options which grants the buyer the right to buy an underlying asset or variable at a fixed price is a call options while options which grants the buyer the right to sell an underlying asset or variable at a fixed price is put options. Such right must be exercised according to the terms and conditions specified in an options contract.

When the buyer exercises his options, the seller may make physical delivery of the underlying asset or make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or a period of time in the future as set out in the contract is paid to the buyer (cash settlement).

2.2 Risk of Loss from Options Trading

A buyer of options may choose to offset his position or exercise the options or can simply allow the options to lapse. If the Customer chooses to exercise the options, he /she will receive a cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or a period of time in the future as set out in the contract is paid to the buyer. Otherwise the Customer may choose to make or take delivery of the underlying asset (physical delivery) where it will receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the buyer’s loss equals the amount of premium.

A seller (writer) of options receives premium from a buyer and is bound to perform his obligation should the buyer exercise the options. The seller is required to make margin deposit. Upon the buyer’s exercise of options, the seller who does not offset his position is required to either make the cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or a period of time in the future as set out in the contract is paid to the buyer (cash settlement), or make or take delivery of the underlying asset (physical delivery) where he will receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the seller’s gain equals the amount of premium.

Due to the fact that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited therefore he is required to make margin deposit with a derivatives agent to secure his/her performance under the options similar to the case of futures trading. With an unfavourable movement in the market against his/her position, a seller of options may sustain a loss well in excess of the amount of margin deposit made within a relatively short period of time.

3. Additional Risks and Other Information Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract

Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions, the Customer should carefully study and understand each category of contract specifications, including, but not limited to, type of underlying assets and variables, contract size/unit/multiplier, last trading day, settlement day, delivery or settlement method, and the delivery or reference price used to determine settlement price and margin requirements. The Customer should consider if the investment is suitable for his/ her investment purpose and financial status or not.

With respect to trading options, the Customer should also understand other relevant terms and conditions, including type of options, e.g. put options or call options, exercise conditions, type of underlying assets and variables, etc. The Customer should consider if the investment is suitable for his/her investment purpose and the risk exposure is acceptable or not. The Customer should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses.

3.2 Fees on Derivatives Trading

Prior to trading, the Customer should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options, e.g. commission, exercise fee, etc. These charges add to the Customer’s investment costs and will affect loss and gain as well as the Customer’s investment decision. Commission may vary depending on type and volume of transactions. The Thailand Futures Exchange and the SEC Office prescribe no regulation on commission rates.

3.3 Risks of Liquidating Position and Liabilities for Resulting Loss

When the Customer establishes certain positions on derivatives, i.e. long futures, short futures and short options, he/she is obliged to perform its obligations under the contract. The Customer’s derivatives contract with such position will be marked to market by its derivative agent at least at the end of business day to

/ reflect.............

/19

reflect a daily gain or loss from the Customer’s position. Should the loss sustained by the Customer’s position in the market cause the balance in its margin account to drop below the maintenance margin, the Customer will be called by his/her derivatives agent to deposit an additional fund to maintain its initial margin within a specified period of time. If the Customer does not provide the required margin within the time required by his/her derivatives agent, the Customer’s position may be liquidated, and the Customer will be liable for any resulting loss from such liquidation.

The derivatives agent may also include a forced closeout as an additional term in a Contract Appointing Derivatives Brokerage or its trading regulation, that is when the Customer’s balance in its margin account drops to the forced closeout point, the derivatives agent will call the Customer to deposit additional margin during trading hours. If the Customer does not provide the required margin within the time set out in the agreement or the regulation, the derivative agent is entitled to close out the Customer’s position, and the Customer will be liable for any resulting loss from such closeout. Such event may occur in case the Customer maintains its Derivatives Trading Position in excess of the amount determined by the Derivatives Exchange and are unable to close such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk.

3.4 Risks Associated with Failure to Close Derivatives Trading Position

Should the Customer be unable to offset its derivatives position before the settlement date due to unfavourable market conditions, e.g. illiquidity, trading halt in the market, and etc, the Customer may sustain a loss due to its outstanding position in derivatives contracts at settlement date.

3.5 Risks Associated with Failure to Execute Stop Loss Order

A derivatives agent may not be able to execute some types of orders, such as ‘stop-loss’ or ‘stop-limit’ orders, placed by the Customer to limit his/her losses, since market conditions at the time the order is placed may make it impossible to match such orders.

3.6 Risks from Position Restriction or Prohibition

The Exchange, the Clearing House or the SEC Office may order derivatives agents to restrict or prohibit the Customer from acquiring further position, to close its trading accounts or to liquidate his/her position if the Customer’s derivatives transactions have or may have affected the integrity of Derivatives Trading in the Exchange, or have or may have caused the price of Derivatives traded in the Exchange to be inconsistent with the normal market condition, or are inappropriate or may violate the law governing Derivatives; or if the Customer fails, upon request of the Exchange, the Clearing House or the SEC Office, to inform or provide information, or gives false or misleading explanation or information to its derivative agent, the Exchange, the Clearing House or the SEC Office. Moreover, the SEC may order the Exchange, Clearing or House to suspend trading or restrict or liquidate position of clients where it is necessary to maintain the stability of the financial and economic system of the country, or to maintain the stability of the trading and settlement system of the derivatives market.

3.7 Risks from request of Additional Margin or Trading Position Close-out

In case of high fluctuation of Derivatives market condition or price or there is a reasonable cause to believe that it will affect the investment condition of the Customer, the Company and/or Clearing House may request the Customer to provide Additional Margin during the business hours of such date more than once or close out the Customer’s Derivatives Trading Position.

3.8 Risks from Trading System

There are risks associated with trading via computer system such as hardware and/or software malfunction which unable the Company to execute Customer’s order in whole or in part.

3.9 Risks from Change of Information and Relevant Regulations

Trading Derivatives is exposed to risks and benefits of the change of the price of commodity or variables due to several factors. The Customer is responsible to keep updated with the change of domestic and international climate that may affect the price of Derivatives. The trading of Derivatives in the Derivatives Exchange is continuously developed in all aspects including risk management for the entire Derivatives Exchange, which will determine or change the rules or regulations to improve efficiency of the trading system. (The Customer can follow and request information and details from the Company, Derivatives Exchange and Competent Authorities.) Should the Customer fail to do so, it may be affected from such change.

3.10 Risks from Non-disclosure

To open a derivatives account, the Customer must disclose its true beneficiary and related person as required by the Competent Authorities. For incomplete disclosure, it may be punished under the provisions specified in such notifications.

This document does not address all associated risks or important issues besides the risks from Derivatives Trading. In consideration of risks, the Customer should enter into transactions only when it fully understands the Derivatives, legal obligations from the investment and level of possible risks. Derivatives trading is not suitable for certain types of investors. The Customer must carefully consider whether the trading is suitable for them by considering investment experience, trading objectives, financial position and other relevant circumstances.

However, if the Customer has any dispute with the Derivatives broker, the Customer can send a complaint to the SEC Office and Stock Exchange to resolve by dispute resolution by arbitration, which is a measure to protect the rights of the investors in the capital market.

/ (Attachment No. 4).............

/19

(Attachment No. 4)

Acknowledgment of the Rules, Conditions and Procedures for Trading of

Investment Units on Over-the-Counter Centre

1. I/we agree to be bound by and to comply with the rules, conditions and procedures for the purchase and/or redemption of investment units on the OTC, as follows.

1.1 I/we agree and acknowledge that I/we shall give an order for the purchase and/or redemption of investment units per such form and in such manner as determined by the Company and that I/we am/are familiar with the trading procedures and the investors’ rights. I/we also acknowledge receipt of an investor manual from the Company.

1.2 In case that an order is made, I/we shall pay for the purchase price within the time specified by the Company, If I/we give an order to purchase the investment units and pay by cheque, the Company shall make payment for those investment units on my/our behalf before knowing the results of the collection under the cheque. If I/we give an order to redeem the investment units, the Company shall receive the proceeds thereof on my/our behalf and deliver the same to me/us in due course.

1.3 If the Customer defaults in payment of the price within the time specified in clause 1.2, the Company shall be entitled to resell those investment units immediately or at any time the Company deems appropriate and to apply the proceeds thereof towards payment for the investment units purchased by me/us on my/our behalf as well as payment of a penalty at the rate determined by the Company. If the proceeds of the redemption are insufficient for such payment, I/we shall be responsible for immediately paying the shortfall and the penalty to the Company. In that case, any document or evidence, including the certificate of rights in investment units given to me/us in consequence of my/our purchase of such investment units, shall be deemed revoked forthwith.

1.4 If the Company and/or any person designated by the Company performs in accordance with the provisions of this Acknowledgment, it shall be deemed that the Company and/or such person has been authorised by me/us to do so, which includes purchasing and/or reselling investment units, receiving the proceeds of the resale, executing documents and/or doing any other thing on my/our behalf.

1.5 If the purchase price or redemption price of the investment units as announced by the management company is not accurate and compensation therefor is allowed under the notification of the SEC Office regarding the rules and procedures to be observed by the management company in case of inaccurate sale price or redemption price of an open fund, I/we agree to be compensated by the Company in respect of the investment units purchased and/or resold by the Company on my/our order, in accordance with the rules and conditions of such notification and/or the rules and conditions deemed appropriate by the Company. I/we also agree to pay additional sum (if any) to the Company as a result of such compensation immediately upon notice by the Company.

1.6 The Company has acquainted me/us with the fact that:

(1) The Company shall hold the investment units on my/our behalf, with the exception of the investment units of certain mutual funds as specified by the Company (e.g., RMF), and I/we shall, through the Company, open a trading account by executing an application for mutual fund services and/or a request to open an omnibus account and/or any other application form as well as any supporting documents as required by the management company and/or the Company;

(2) In acting as broker for the purchase and/or redemption of investment units hereunder, the Company shall receive fees and/or remuneration in return; and

(3) My/our order to purchase and/or resell the investment units which has been carried out by the Company shall be irrevocable without consent of the Company.

1.7 I/we agree to be bound by and to comply with all terms and conditions set out in the prospectus for the offering of the investment units in which I/we have invested hereunder.

2. I/we am/are well aware that in acting as a broker who facilitates the sale and the redemption of investment units hereunder, the Company and/or its officer responsible there for has such responsibilities and obligations as set out in the notifications of the SEC Office and/or the SEC notifications and/or the rules, regulations and orders of any other competent authorities or the applicable laws. I/we agree to do my/our best to cooperate with the Company and/or its officer and shall strictly comply with the rules, conditions and procedures for the brokerage as set out by the Company. I/we also agree to provide my/our personal information and the information for transaction reporting required under the anti-money laundering law and to prepare or execute any document and/or evidence required by such person. I/we confirm that I/we shall not do or omit to do or permit any person to do or omit to do anything that will result in the Company and/or any of its directors, officers and employees being penalised, punished or liable or suffering damage under any notifications of the SEC Office and/or any SEC notifications and/or any rules, regulations and orders of any other competent authorities or the applicable laws. I/we agree to fully indemnify the Company and/or its director, officer and employee for and against such damage immediately upon notice by the Company.

3. If I/we want to cancel this Acknowledgment, I/we shall give at least 7 business days’ prior notice to the Company.

4. If any provision of this Acknowledgment is against the law or unenforceable under any law or does not coincide with the facts or circumstances or is held invalid by operation of law, I/we agree that the other provisions that are enforceable shall continue to apply.

5. I/we agree that this Acknowledgment is an integral part of the Brokerage Agreement and that all terms and conditions set out in the Brokerage Agreement shall apply mutatis mutandis.

6. I/we agree and acknowledge that the Company may at any time cancel and/or refuse to perform in accordance with this Acknowledgment without prior notice to me.

7. I/we agree and acknowledge that the Company may alter the rules, conditions and procedures for acting as a broker for the purchase and/or redemption of investment units on the OTC and/or the rules, conditions and procedures for acting as a broker who facilitates the sale and the redemption of investment units and may charge the fees and/or service fees and/or any other expenses incurred in connection therewith as the Company deems appropriate, in accordance with the terms and conditions set out by the SEC Office or Competent Authorities. The Company shall notify me/us of any material change in those rules, conditions and procedures, and I/we agree to be bound by and to strictly comply with such change or alteration.

/ (Attachment No. 5)…..........

/19

(Attachment No. 5)

Memorandum of Understanding Attached to the Securities Brokerage Agreement on Offshore Securities Trading

1. RISK DISCLOSURE

There are risks involved in investments in offshore securities. Investors may lose all or some of their money. Therefore, investors should carefully examine and

study all the information given in this Risk Disclosure document, where certain risks that might significantly affect the investments are presented. However, as

this document presents only some, not all, risks involved in offshore securities investments, there may be other factors or risks which are unforeseen or at

present considered insignificant but which become essential in the future.

This Risk Disclosure document is not business, legal, tax or accounting advice. Investors should consult their consultants about the various aspects of the

investments in offshore securities and should not make any investment decision unless they thoroughly understand the risks inherent therein, and they should

make an investment decision on the premise that investments in such offshore securities are suitable for them.

1.1 General Risks

Investments in offshore securities are at risk of losing all or some of the investments due to a number of unforeseen factors, including government activities,

economic and political situations both inside and outside the country, force majeure and events beyond control such as war, riot, civil disturbance or terrorism,

all of which might cause the volatility of securities market and prices.

1.2 Market and Price Fluctuation Risks

Offshore securities in which the investors are going to invest may be securities traded or listed in a country whose political, economic, legal and regulatory

concepts and practices differ significantly from those of Thailand. Besides, the stock exchange on which such securities are traded or listed may at its discretion

suspend the trading from time to time. Such exposure to change or volatility may adversely affect the trading volumes and the prices of the securities.

Apart from such internal factors, the trading volumes and the prices of the securities may be affected by external factors such as war or the world or the region’s

economic and/or financial crisis. These factors may affect the trading and price of securities.

1.3 Settlement Risks

Offshore securities investments involve orders, delivery and settlement in foreign stock exchanges whose rules and laws differ from country to country.

Investors may not be as protected in certain transactions as are the investors of that country. The settlement and delivery systems of those stock exchanges

may be of lower standard or, in some cases, less reliable than those of the Stock Exchange of Thailand; or the fees for the settlement and delivery of securities

may be higher than those charged in Thailand or expected by the investors. In addition, as the settlement and delivery systems between Thailand and other

countries or between the Stock Exchange of Thailand and the foreign stock exchanges are not linked systematically, the settlement and delivery of securities

may take more time than anticipated. All the above factors may result in exposures to other risks such as corruption; failure in delivery; confusion about

settlement, delivery and repayment procedures; and other factors that might cause loss, loss of opportunity, delay, extra costs and legal expenses.

1.4 Legal Risks

As offshore securities investments are the investments in securities of the companies whose offices, assets, personnel and interests are in foreign countries

where rules or laws are different from country to country. Therefore, investments may be restricted or controlled to different degree according to those rules or

laws. Such restrictions or controls may include the requirements that approvals or authorisation from government agencies or any other person be obtained

before the investments are made, the restrictions on foreign investors when investing in certain kinds of business, the request for approvals of government

agencies to bring the return on investment or the funds or the proceeds of the sale of offshore securities out of the country, or the taxation in relation to the

investments made by foreign investors. Besides, those rules and laws may be unclear and dependent on the interpretation of the relevant authorities in those

countries, which interpretation may or may not be in favour of the investors, not to mention the fact that those rules or laws may be re-enacted from time to time,

resulting in the uncertainty of their scope and subject matter. All those factors can adversely affect the investments.

In addition to those restrictions and controls, in some countries the rights of the investors, as holders of securities, are given very little protection, including the

right to file suit and to seek execution of judgments. The justice system of each country is also different in terms of its effectiveness. Investors may have

problems with the judicial process of certain countries, and there is no guarantee that a judgment rendered in favour of the investors in one country can be

enforced the same way in the country where the investors have made investments 1.5 Custody Risks

Assets of the customer received or deposited or kept in custody of foreign operators or foreign custodians will be protected and managed under the bankruptcy procedures under foreign laws, including any relevant regulations issued by such respective competent authorities, which may be different from the Securities and Exchange Act B.E.2535 (1992), Derivatives Act B.E.2546 (2003), Bankruptcy Act B.E.2483 (1940) and any other laws or regulations of Thailand. Therefore, in case there is any event affecting the protection of Customer’s assets or in case the Customer demands redemption or transfer of its assets kept offshore, or in case the foreign operators or foreign custodians are subject to financial crisis and become bankrupt, the Customer may be subject to risks in the process, period and costs or may not receive its assets in full in the type, amount or value received or deposited in such countries. The Customers should familiarised themselves with the rules and are able to request the business operators to explain or provide further information relating to risk management procedures before investment.

1.6 Liquidity Risks

Even if the investors make investments in listed securities, in some countries the stock exchange on which those securities are listed is a second position market with lack of liquidity. The liquidity of securities may also depend on other factors such as the nature of securities or the internal or external factors of the country where such stock exchange is situated. Lack of liquidity may result in the investors being prevented from buying or selling those securities or being unable to buy or sell the securities at such price or in such quantity as required.

/ 1.7 Exchange Risks..............

/19

1.7 Exchange Risks

As the investments in offshore securities require payment in foreign currencies, the return on the investments may be significantly affected by the risk of exchange rates. Investors may face such risk if there is a change in value of the relevant foreign currency against the value of Thai baht. Such change may occur either irregularly or permanently. Besides, the investors may suffer from the devaluation of any foreign currency in which they have made investments.

1.8 Reliability Risks

Reliability risk is the risk that the counterparty, which includes the issuer of the offshore securities in which the investors have invested (either in stock exchanges or over-the-counter markets), may not be reliable. Investors may face the risk of losing all or some of their investments if the counterparty or the issuer of such offshore securities becomes bankrupt or insolvent to the extent of being unable to meet its payment or other obligations, including the obligation to make the repayment of the funds or to release the securities in which the investors have invested.

1.9 Compliance Risks

The Company as the agent and/or broker may not be able to comply with the Customer’s orders relating to investment in foreign securities in some cases, which may occur due to factors beyond the Company’s control such as market condition does not facilitate the matching of orders, abnormal trading system and/or restrictions from governmental laws, rules and regulations. The Company’s incapability to comply, in whole or in part, of such Customer’s order may result in loss or effects from investment in foreign securities.

1.10 Investment Risks

Investors make their own investment decisions. The Company does not act as consultant or trustee for the investors. Before making an investment decision, the investors have confirmed that they have thoroughly studied and reviewed all the information regarding the business and financial standing and the results of operation of the issuer of the securities in which they are going to invest, as well as other investment factors such as the political and economic situations and the rules and regulations of the relevant countries. Thus, the investors have to assume the investment risk on their own. The Company is under no obligation to protect the interests of the investors, nor is it held responsible for and against any liability, claim, damage, loss, cost and expenses incurred from the investments made by the investors.

2. RESTRICTIONS ON INVESTMENT

The Customer agrees and acknowledges that in making investments in offshore securities, the Customer shall comply with the following:

2.1 The Customer shall not be allowed to transfer the money or the securities kept in the trading account opened by the Customer with the Company for the purpose of offshore securities investments (the Customer’s Account) to any other trading account the Customer has opened overseas.

2.2 The Customer shall not be allowed to transfer the offshore securities purchased through the Company and/or kept in the Customer’s Account to any other trading account of the Customer, except for the transfer of the offshore securities in the Customer’s Account to the Private Fund account opened by the Customer and managed by the Company or any other securities company in Thailand.

2.3 The investments made by the Customer shall be approved from time to time by the Exchange Control Officer under the laws on exchange control and/or other relevant authorities (if any), provided that the Customer must have first obtained the Company’s approval for the trading limit, the allocation of which has been acknowledged by the Office of the Securities and Exchange Commission.

3. GENERAL CONDITIONS

3.1 The Customer agrees to be responsible for all relevant expenses relating to the trading of offshore securities which occurred or collected from overseas such as clearing fees, stamp duty, custodian fee, which shall be charged by the Company from the Customer on an actual basis.

3.2 If the Customer enters into any hedging transactions on his/her own, the Customer shall immediately notify the Company of each of such transactions.

3.3 The Customer agrees and authorizes the Company to arrange for the fund limit approval or any activities related to the Customer from the Office of the Securities and Exchange Commission (the SEC), the Bank of Thailand (the BOT) or any other departments concerned, all this is under the Company’s consideration.

3.4 Withdrawals from trading accounts shall be in accordance with the rules, conditions and procedures set out by the Company and subject to the relevant rules and regulations, including the rules and regulations of the country where the Customer has made investments.

3.5 The Company may have the Customer’s offshore securities kept in the custody of its agent.

The parties have read and understood the entire substance of Securities Brokerage Agreement, including all attachments thereof, and found that it is in accordance with their intention in every respect. Therefore, the parties have set their hands in the presence of witnesses in evidence hereof.

Signed _________________________________________________________________________Customer

( ________________________________________________________________________)

Signed ____________________________________________________________________________Witness / Marketing Officer

( _________________________________________________________________________)

Signed _________________________________________________________________________ Company

For and on behalf of Krungthai Zmico Securities Company Limited

Signed _________________________________________________________________________Witness

( ________________________________________________________________________)

Z-inter

Highlight

Specimen Signature Card A/c Title___________________________________________________________ A/c No. ___________________

Account Owner’s Signature

Attorney-in-fact Signature (if any)

Authorized Signer who acts on behalf (Juristic Person) – with the Company’s Seal

Remarks: ________________________________________________________________________________

Signature _________________________________ Marketing Officer

Z-inter

Highlight

Z-inter

Highlight

วันท่ี/Date ........................................................

เรียน ผู้จัดการธนาคาร Dear The Manager of (Bank),

.....................……………………………………..………………

ส านักงานใหญ/่สาขา Head Office / Branch ………………….....................................................................................

ข้าพเจ้า I

…………………………………………………………………………………..………

บัตรประชาชน หนังสือเดินทาง เลขท่ี ID. Card Passport No. ......………………………....……………

เจ้าของบัญชีเงินฝากประเภท ออมทรัพย ์ กระแสรายวัน บัญชีเลขท่ี (10 หลัก) ชื่อบัญชี Owner of Savings A/c Current A/c A/c No. (10 digits) ………………………………..…….. A/c Name ………………………………..………....……..…......………

สถานท่ีติดต่อ Contact Address

……………………………………………………………………………………………………………………..……………………..……………………………………………………...…….

รหัสไปรษณีย ์Post Code ………………………………….

โทรศัพท์ Tel. .…………………………………………………………….…..

อีเมล E-mail ...…………………………...…........……….....

มีความประสงค์ให้ธนาคารหักเงินจากบัญชีเงินฝากดังกล่าวของข้าพเจ้า และน าส่งเงินดังกล่าวโอนเข้าบัญชีเงินฝากของบริษัทหลักทรัพย์ กรุงไทย ซีมิโก้ จ ำกัด (ต่อไปน้ีเรียกว่า “บริษัท”) และ/หรือ ตัวแทนของบริษัท และ/หรือ บัญชีอื่นใดซ่ึงบริษัทจะเปล่ียนแปลงหรือก าหนดเพิ่มเติมในอนาคต เพื่อช าระหนี้ และ/หรือ บรรดาภาระผูกพันต่างๆตามจ านวนเงินท่ีปรากฏในใบแจ้งหนี้ หรือระบบส่ือสารข้อมูลคอมพวิเตอร์ หรือแผ่นบันทึกข้อมูล (Diskette) หรือข้อมูลอิเล็คทรอนิกส์ (Electronic data ) หรือค าส่ังท่ีธนาคารได้รับจากบริษัท และ/หรือ ตัวแทนของบริษัท และ/หรือ บุคคลอื่นท่ีได้รับแต่งตั้งหรือมอบหมายจากบริษัทให้กระท าการแทน และ/หรือ ในนามของบริษัท

ท้ังน้ี ข้าพเจ้าตกลงช าระค่าบริการ และ/หรือ ค่าธรรมเนียม และ/หรือ ค่าใช้จ่ายอื่นๆท่ีเก่ียวกับการใช้บริการหักบัญชีดังกล่าวให้แก่ธนาคารตามที่ธนาคารก าหนด โดยยินยอมให้ธนาคารหักเงินจากบัญชีเงินฝากท่ีระบุข้างต้น และ/หรือ บัญชีเงินฝากอื่นใดของข้าพเจ้าท่ีมีอยู่กับธนาคาร เพื่อช าระค่าบริการ และ/หรือ ค่าธรรมเนียม และ/หรือ ค่าใช้จ่ายดังกล่าวได ้

Request the bank to debit my aforesaid account and credit the same amount to the bank

account of KRUNGTHAI ZMICO Securities Company Limited (hereinafter called “The

Company” and/or the agent of company and/or the other account which the company will

change in the future) for the payment of the debt and/or any obligations as the amount

specified in the billing note or the data communication system by computer or Diskette or

Electronic data or the order that the bank receives from the company and/or agent and or the

others that are authorized or assigned from the company to act instead and/or in the name of

the company.

So that, I accept to pay the service charge and/or fee and/or the other expenses about the

ATS deduction service as mentioned above to the bank as the bank specified and I allow the

bank debit the fees from my aforesaid bank account and/or my other accounts that have with

the bank in order to pay the service charge and/or fee and/or those expenses.

ในการหักเงินจากบัญชีเงินฝากของข้าพเจ้าเพื่อช าระหนี้ และ/หรือบรรดาภาระผูกพันต่างๆ ให ้แก่บริษัทดังกล่าว หากปรากฏในภายหลังว่าจ านวนเงินท่ีระบุในค าส่ังตามที่ธนาคารได้รับน้ันไม่ถูกต้อง และธนาคารได้ท าการหักเงินจากบัญชีเงินฝากของข้าพเจ้าตามจ านวนท่ีปรากฏในค าส่ังเรียบร้อยแล้ว ข้าพเจ้าตกลงท่ีจะด าเนินการเรียกร้องเงินจ านวนดังกล่าวจากบริษัทโดยตรง ท้ังน้ี ข้าพเจ้าขอสละสิทธิในการเรียกร้อง หรือฟ้องร้องให้ธนาคารชดใช้ และ/หรือ คืนเงินท่ีธนาคารได้หักและโอนเข้าบัญชีเงินฝากของบริษัท และ/หรือ เงินค่าบริการ และ/หรือ ค่าธรรมเนียม และ/หรือ ค่าใช้จ่ายอื่นๆท่ีหักช าระให้แก่ธนาคาร(ถ้ามี) และข้าพเจ้ายอมรับว่าธนาคารจะหักเงินจากบัญชีของข้าพเจ้าต่อเมื่อเงินในบัญชีมีเพียงพอในการหักบัญชีในขณะน้ันเท่าน้ัน และในการหักบัญชีเงินฝากดังกล่าว ข้าพเจ้าไม่ประสงคจ์ะให้ธนาคารแจ้งการหักบัญชีแต่อย่างใด เน่ืองจากข้าพเจ้าสามารถทราบรายการดังกล่าวน้ันได้จากสมุดคูฝ่าก และ/หรือ STATEMENT ของธนาคาร และ/หรือจากใบรับเงิน และ/หรือ ใบเสร็จรับเงินของบริษัทอยู่แล้ว

For the said debit to my account for payment of the debt and/or any obligations to the

Company, should it appear later that the bank was notified the incorrect amount contained in

the transaction and the Bank has already debited the sum equivalent to the amount stated in

the transaction from my account, I agree to claim such amount from the Company directly.

I hereby waive my right to claim or sue the Bank to reimburse and/or refund the money

including the service charge and/or fee and/or the other expenses (if any) which the Bank

has debited and credited to the account of the Company. I agree that the Bank shall debit

only when the fund in my account is, at the time, available. I also waive notice of such debit

because I will be able to receive all details from the passbook/statement of the bank, and/or

invoice/receipt of the Company.

ในกรณีท่ีเอกสารหลักฐาน เลขท่ีบัญชีเงินฝากท่ีกล่าวในวรรคข้างต้นได้เปล่ียนแปลงไปไมว่่าโดยเหตุใดก็ตาม ข้าพเจ้าตกลงให้หนังสือยินยอมใหห้ักบัญชีเงินฝากฉบับน้ีคงมีผลใช้บังคับส าหรับบัญชีเงินฝากท่ีได้มีการเปล่ียนแปลงเอกสารหลักฐานหรือเลขท่ีบัญชีเงินฝากดังกล่าวได้ดว้ยทุกประการ การขอให้หักบัญชีเงินฝากตามหนังสือน้ีให้มีผลใช้บังคับทันทีนับแต่วันท าหนังสือน้ี และให้มีผลบังคับต่อไปจนกว่าจะได้เพิกถอนโดยท าเป็นลายลักษณ์อักษรให้ธนาคารและบริษัททราบล่วงหน้าไม่น้อยกว่า 2 เดือน

In case of documents of evidence and the account number mentioned above has been

changed for whatever reason, this letter of consent shall be valid and enforceable for such

account. The debit to my account shall be immediately valid upon entering into this letter of

consent and shall be in full force and effect until the cancellation of the service by my written

instruction to revoke this letter of consent is given to the Bank and my notification to the

Company not less than 2 months in advance.

ขอแสดงความนับถือ / Sincerely yours,

ลงลายมือช่ือ Signature

………………………………………………………………….. ( ตามที่ให้ไว้กับธนาคาร / At that given to the bank )

ผู้ให้ความยินยอม Consenting party

หนังสือยินยอมให้หักบัญชีเงินฝำกธนำคำร Letter of Consent for Debit to the Bank Account

[ATS]

รับทราบโดย รับรองความถูกต้องของบัญชีเงินฝาก และลายมือช่ือผู้ให้ความยินยอม ระบุเลขท่ีบัตรพนักงาน

ลงชื่อ ……………………………………………………………………

( ………………………………….........……………………… )

ลงชื่อ ………………………………………………………………

( …………………………………………………………..... )

บริษัทหลักทรัพย์ กรุงไทย ซีมิโก้ จ ากัด / KRUNGTHAI ZMICO Securities Co., Ltd. ลายมือช่ือผู้รับมอบอ านาจสาขา

กรุณาแนบ “ส าเนาสมุดคู่ฝากบัญชีธนาคารหรือส าเนาใบแจ้งรายการบัญชีธนาคาร” (หน้าท่ีมีชื่อและเลขท่ีบัญชี) พร้อมรับรองส าเนาถูกต้อง

Please provide the copy of Passbook / Statement with Name and Bank Account Number (Certified true copy)

Z-inter

Highlight

/19

(Attachment No. 6)

Information Disclosure Consent

1. The customer hereby consents Krungthai Zmico Securities Company Limited (hereinafter referred to as “the Company”) to disclose his/her/its information which includes but not limited to any information, documents in the form of print, copy, photo, electronic or any other form pertaining to investment and/or assets and/or securities and/or futures and/or all kinds of transactions of the customer, including any other existing information related to the customer and/or given to the Company at present or in the future such as identification information, KYC information, contact information, risk appetite information, bank account information, financial status and/or information pertaining to his/her/its investment portfolio and/or assets report and/or FATCA and/or any other documents to Krungthai Bank PCL (hereinafter referred to as “the Bank”) who is the Company’s shareholder, the Company’s affiliate, Thailand Securities Depository (TSD), relevant supervisory authorities, other person whom the Company or the Bank appointed, contractual party and/or business partner for the followings:

1.1 for analysis and to offer products and/or services and/or any other offers to the customer, including any other purposes in the Company’s business as the Company deems appropriate such as to consider approval for other services of the Company for the customer without the customer having to submit additional documents;

1.2 for the benefit of identification verification and/or application of other services pertaining to the investment portfolio (such as automatic transfer service (ATS), real-time transfer such as e-Wallet /e-Transfer fund/real-time direct debit, e-Dividend, TSD Investor Portal);

1.3 for the benefit of consolidated assets report through the Bank’s online channel and/or the Bank’s notification of the customer’s consolidated assets report;

1.4 for the benefit of providing investment analysis and advice on financial products and other services of the Company, the Bank, Conglomerate and/or financial partners of the Company and the Bank to the customer;

1.5 for the benefit of providing product/service and benefit offers in the futures;

1.6 for compliance with laws, regulations, rules or any notifications which the Company is obliged to comply with.

The Company and/or the Bank and/or the organization authorized by the Company shall not be required to request for the customer's consent to disclose and/or use and/or provide and/or deliver any information and/or document each time. The duplicate and copy, photo, electronic information, electronic signature and/or transaction information of the customer verified through electronic or other channels by any forms specified by the Company shall also be deemed an evidence of the customer's consent.

2. In the case where any part in this document is void, invalid or unenforceable, the customer agrees that the remaining parts are valid and enforceable.

Signed _____________________________________________________________________Customer

(____________________________________________________________________)

Information of Attorney-in-fact

Date _________________________

Grantor’s Account Name _________________________________________________Securities Trading Account No____________________ Derivatives Trading Account No. _____________________ Other (specify)______________________________________________________ Information of Attorney-in-fact Name & Surname____________________________________________________________________________________________________ Status : not the employee of Securities Company or Asset Management Company the employee of Securities Company or Asset Management Company (Please specify)_______________________________________

1. To involve in Perpetration of Anti-Money Laundering act in the past 3 year

Never Have been involved in Money Laundering (Specify) ___________________________________________________________

2. Politician Position

No Yes (Specify) __________________________________________________________________________________________

3. Occupation:

Business Owner (910) Individual Employee (920) Bank/Financial Company Staff (920) Government /State Enterprise Employee (930)

Business Type:

Jewelry / Gold Trading (H01) Antique Trading (H02) Used Car Dealer (H30)

Pawn Shop (H04) Money Exchange Agency (H05) Domestic / International Money Transfer (H06)

Casino / Gambling (H07) Entertainment Business (H08) Armament (H09)

Recruitment Agency (H10) Travel Industry / Travel Agency (H11) Other (Specify)_____________________________

4. Name of Employer___________________________________________________________________________________________________

Position_________________________________ Department __________________________________ Tenor of work _____________Year(s)

Office Address ______________________________________________________________________________________________________

_______________________________________________________Post Code____________________ Country_________________________

Telephone No.______________________________ Fax._________________________

Remark Employee of Krungthai Bank / Government Saving Bank / Bank for Agricultural and Agricultural Cooperation / Government Housing Bank /

Export –Import Bank of Thailand / Small and Medium Enterprise Development of Thailand / Islamic Bank of Thailand / Thai Credit Guarantee Corporation /

Secondary Mortgage Corporation State are regarded as State Enterprise employee.

Power of Attorney

Executed at KRUNGTHAI ZMICO Securities Company Limited

Date _____________________________________

By this instrument,I/we__________________________________________________________________________________________________

Age_____________ years, ID Card No. / Passport No. / Juristic Registration No.___________________________________________________

located at____________________________________________________________________________________________________________ ________________________________________________________ Tel. ________________________________ Hereinafter called “Grantor “

hereby authorize______________________________________________________________________________________Age ________years,

ID Card No. / Passport No._______________________________________ Relationship ________________________________ of the Grantor located at____________________________________________________________________________________________________________

__________________________________________________________ Tel. _________________________ Hereinafter called “Attorney-in-fact”

having power to deal with KRUNGTHAI ZMICO Securities Company Limited on my behalf to the following activity :- 1) To purchase, sell, transfer-out, transfer-in, deposit and subscribe for all kinds of securities and/or derivatives listed in the stock exchange or

other trading center, or to accept the trading transactions on behalf of the Grantor together with to receive, to deliver, to acquire the mentioned securities and /or derivatives.

2) To pay for the cost of securities and/or derivatives purchased, commission/ brokerage fees, duty stamp and other expense related to the trading transactions, to request and receive money for the sold securities and/or derivatives, together with dividend, interest or other rights of benefits received from the securities and/or derivatives.

3) To deposit, withdraw cash or other assets placed for collateral in securities and/or derivatives account in order to offset the purchased securities and/or derivatives, share subscriptions and/or other expenses derived from the purchase of securities and/or derivatives, or to exercise for any rights in securities by order of the Grantor or may request from time to time, to deposit, withdraw the outstanding of cash or other assets under my name or other party which can be under the regulations of the Company. 4) To receive any advices together with documents related to the trading transactions on behalf of the grantor.

5) To perform any other acts under the laws, regulations, conditions and terms and other obligations related to the aforementioned

transactions which is necessary or appropriated in the exercise of any of the power granted in this Power of Attorney made with KRUNGTHAI ZMICO Securities Company Limited.

Any acts duty performed by the “Attorney-in-fact” on his/her substitute by virtue hereof shall be the responsibility of the Grantor and shall be binding upon the Grantor in all respects. In witness whereof, I/We have signed my/our name in presence of witness Signature ___________________________________________________________________ The Grantor ( ____________________________________________________________________ )

Signature ______________________________________________________________________ Attorney-in-fact ( _____________________________________________________________________ )

Signature ______________________________________________________________________ Witness / Marketing Officer ( ____________________________________________________________________ )

Signature ______________________________________________________________________ Witness ( ____________________________________________________________________ )

Duty Stamp THB 30.-

Request for Additional Services

Referring to the Customer who has appointed the Company to be the broker/agent by signing the “Securities Brokerage Agreement”, we wish to explain that the mentioned agreement was covered to your appointment.

Securities Trading Derivatives Trading Investment Unit Trading International Securities Trading Other activities of which business license may be obtained in future.

Thereof, the Customer must request in written requirement and process as notified by the Company, as follows :-

After having signed on the Securities Brokerage Agreement and the Company has opened your account already, you are able to do in all business services as specified in the Trading Application Form.

In case, you wish to request for more service after having used any of them, you can send your requirement by completion the “Request of Information Change / Add Form” with supported document (if any) to the Marketing Officer or Customer Services and Credit Control, tel.+66 (0) 2695 5000 Website: http://www.ktzmico.com

Remarks : The Company will provide more business channel to whom requested in written or by electronic system as specified only.

Type of Business Services Needed More Customer’s Accepted Signature Margin Loan Account

Margin Loan Agreement for Securities trading – Credit Balance Notification of Margin Loan on Securities Purchase for Credit Balance Power of Attorney Securities Pledged Agreement Certified true copy of ID Card / Passport (for foreigner only)

Securities Borrowing and Lending

Securities Borrowing and Lending Agreement Memorandum Attached to the Securities Borrowing and Lending Agreement Certified true copy of ID Card / Passport (for foreigner only)

Investment Units

Investor Profile

Foreign Individual€¦ · Business Type: Jewelry / Gold Trading (H01) Antique Trading (H02) Used...

Documents

Transcript of Foreign Individual€¦ · Business Type: Jewelry / Gold Trading (H01) Antique Trading (H02) Used...