Securities Trading Account Application - DBS Bank › iwov-resources › vickers › en › pdf ›...

Co. Reg No. 198600294G

DBS Vickers Securities (Singapore) Pte Ltd12 Marina Boulevard #10-01

Marina Bay Financial Centre Tower 3Singapore 018982

Tel: (65) 6327 2288 www.dbsvickers.com

K27374 365651 DBSV Account Opening_Cover_B3.indd 1 5/8/15 3:32 PM

Securities TradingAccount Application

INDIVIDUAL/JOINT ACCOUNT APPLICATION CHECKLISTYou are required to open your trading account in person at DBS Vickers Customer Centre located on Level 3, 12 Marina Boulevard, Marina Bay Financial Centre Tower 3, Singapore 018982, to have your signature witnessed. Alternatively, your signature may be witnessed by authorised staff at any of our DBS/POSB Bank branches. A copy of our General Trading Agreement may be downloaded from our website at www.dbsvickers.com

1 Supporting Documents Required

For Singaporean/PR: NRIC (both sides)

For Foreigner:

– For Malaysian: Malaysian IC (both sides)

– For Other Nationalities: Passport (at least 6 months to expiry)

–

– Employment Pass (if applicable)

2 Forms Required

DBS Vickers Individual/Joint Application Form

Under Section 2 – Type of Account(s) on the DBS Vickers Individual/Joint Application Form,

– If you choose Option (a), please complete 2 copies

– If you choose Option (b), please complete 1 copy

NOTE: Should you wish to trade in Overseas-listed and/or Specifi ed Investment Products, please log in to your trading account at www.dbsvickers.com and proceed to “My Account” to declare your qualifi cation via a web-based form once you have successfully opened your account with us. Please allow a minimum of 3 working days for processing. Alternatively, you may call our Customer Service Line at (65) 6327 2288 for assistance.

Individual_Joint Application Checklist/GSMC/Jul15

Co. Reg No. 198600294G



Tel: (65) 6327 2288

ZL365651 DBSV Account Opening_Checklist_KS10.indd 1 7/21/15 1:41 PM

Latest Proof of Residence (Bank/CPF/IRAS Statement dated within 3 months)

SGX Apply for/Revoke Linkage Form

SGX Apply for Joint Securities Account

Note: To apply for a SGX Individual Securities Account, please visit www.sgx.com/cdp to apply online.

Self-Certification on Tax Residency Status

Payment Facility -

_ For Offline and Joint Trading Accounts only

Option to choose - GIRO or EPS

- Optimal Cash Account. Please call our Customer Service Line at (65) 6327 2288 to obtain a form

Settlement Account Linkage_ For Individual Online Trading Accounts only

Mandatory to link to an Individual DBS Multi-Currency Account

W-8BEN Form _ Required if you wish to trade US securities

Individual_Joint Application Checklist/Oct2019

INDIVIDUAL / JOINT APPLICATION FORM

1 Account Category (Please tick ONE option only)

Individual Joint

2 Type of Account(s) Required (Please tick ONE option only)

Online Cash Trading Account

* For NEW Applicants, kindly note that in addition to the online cash trading account, a

3 Personal Details

Salutation Mr Miss Mdm Mrs Dr

Name (as in NRIC or Passport)

NRIC/Passport No. Date of Birth Date/Month/Year

Nationality S’porean Others S’pore PR Yes No(please specify)

Home No. Mobile No.

Offi ce No. Email

Residential Address Number, Block & Street

City Postal Code Country

Mailing Address (if different from Residential Address) Number, Block & Street


Tax Residence Singapore Others (please state country)

Residential Status Self-Owned Rented Family Mortgaged

Qualifi cation Diploma Tertiary Others (please specify)

Mother’s Maiden Name (for verifi cation purposes)

Name of Spouse

NRIC/Passport No. Nationality S’porean Others (please specify)

4 Employment Details

Are you self-employed? Yes No Occupation

Name of Employer

Employer’s Address Number, Block & Street


Year(s) of Service Nature of Business

Annual Income

S$50,000 or below S$50,001 – S$100,000 S$100,001 – S$200,000

S$200,001 – S$300,000 S$300,001 – S$500,000

S$500,001 – S$1,000,000 Above S$1,000,000

5 Networth

Source of Wealth

Savings Salary Rental Income Sale of Property/Investment

Inherited Wealth Others (please specify)

Source of Fund

Estimated Liquid Assets

6 Bank Reference

DBS POSB OCBC UOB Others (please specify)

Bank Account No.

7 Custodian Details

CPF Investment Account No.

Agent Bank DBS OCBC UOB

SRS Account No.

Agent Bank DBS OCBC UOB

CDP Securities Account No. 1 6 8 1 – –

A CDP Sub Account maintained with DBS Vickers Securities (Singapore) Pte Ltd. appointing us as the Depository Agent for the safekeeping of SGX-listed securities.

8 Personal Details (For Joint Applicant)

Salutation Mr Miss Mdm Mrs Dr

Name (as in NRIC or Passport)

NRIC/Passport No. Date of Birth Date/Month/Year

Nationality S’porean Others S’pore PR Yes No(please specify)

Home No. Mobile No.

Offi ce No. Email

Residential Address Number, Block & Street


Mailing Address (if different from Residential Address) Number, Block & Street


Tax Residence Singapore Others (please state country)

Residential Status Self-Owned Rented Family Mortgaged

Qualifi cation Diploma Tertiary Others (please specify)

Mother’s Maiden Name (for verifi cation purposes)

Name of Spouse

NRIC/Passport No. Nationality S’porean Others (please specify)

Relationship to First Applicant

9 Employment Details

Are you self-employed? Yes No Occupation

Name of Employer

Employer’s Address Number, Block & Street


Year(s) of Service Nature of Business

Annual Income

S$50,000 or below S$50,001 – S$100,000 S$100,001 – S$200,000

S$200,001 – S$300,000 S$300,001 – S$500,000

S$500,001 – S$1,000,000 Above S$1,000,000

10 Networth

Source of Wealth

Savings Salary Rental Income Sale of Property/Investment

Inherited Wealth Others (please specify)

Source of Fund

Estimated Liquid Assets

11 Bank Reference

DBS POSB OCBC UOB Others (please specify)

Bank Account No.

(a) Online Cash Trading Account with a dealer to service me*

(b) Online Cash Trading Account without a dealer to service me

securities trading account with a dealer will be opened at the same time.

Individual_Joint Application Form/GSMC/Nov16

Co. Reg No. 198600294G



Tel: (65) 6327 2288

16 Customer Declaration

12 Account Relationship Details

Name of other brokerage house(s) currently used for any Securities Trading

UOB Kay Hian OCBC Securities CIMB Securities Phillip Securities

Maybank Kim Eng Others (please specify)

Do you have any existing account with DBS Vickers? Yes No

If Yes, please state your existing account no(s).

Are you related to any employee(s)/Trading Representative(s)/existing client(s) of DBS Vickers? Yes No

If Yes, please provide the following details

Name:

Please circle: Employee / Trading Representative / Existing Client

Trading Account No. (for existing clients)

What is the Relationship?

13 Trading History/Objectives

Do you have previous experience in Securities Trading? Yes No

Please indicate your objectives in trading securities.

Capital Preservation Income Growth

Short Term Trading Profi t Others (please specify)

14 Consent For Marketing Messages

Would you like to receive marketing materials and information relating to services and/or products offered or distributed by DBS Vickers and/or its service and product providers via all forms of mobile messaging (including SMS or MMS), telephone calls, fax, email and/or post?

Yes No

NOTE:All references to “DBS Vickers”, “we” and “us” refer to DBS Vickers Securities (Singapore) Pte Ltd; all references to “you” or “your” refer to the customer named above.(a) This request shall apply to your personal data as recorded with DBS Vickers. We

may take a few days to process your request. You consent to us using your personal data to contact you to process or clarify your instructions.

(b) Your instructions given will replace and supersede all previous instructions given to us, whether written or otherwise.

(c) Your instructions herein DO NOT APPLY to marketing materials and information sent directly by our service and product providers. If you wish to opt out of receiving marketing materials and information from our service and product providers, please contact them directly.

(d) If you have opted to receive marketing materials and information from us via fax, mobile messaging or telephone calls, you will receive faxes, mobile messages or calls from us even if your number is on the National Do-Not-Call Register.

15 Electronic Statements (eStatements)

eStatements are electronic versions of your daily and monthly statements available through www.dbsvickers.com. As part of our ongoing effort to make trading simpler, faster and safer, you will be automatically enrolled to receive eStatements for all your online trading account(s). To opt out, you may call our Customer Service Line at (65) 6327 2288 or via online when you receive your new trading account information.

I have read and agreed to the above

By signing this application, I/we declare, warrant and agree to/with DBS Vickers Securities (Singapore) Pte Ltd (“DBS Vickers”):(a) all information submitted in this application or otherwise in connection with this application are true, accurate and complete in all respects and I/we will, as soon

as possible, provide DBS Vickers with notice in writing of any change in particulars given in this application together with all relevant documents;(b) I/We have read and understood, and agree that this application and the account(s) applied herein shall be construed and governed in accordance with DBS Vickers’

General Trading Agreement (as may be amended from time to time);(c) to the disclosure by DBS Vickers and/or its officers or agents any and all information in respect of this application and the account(s) applied herein in accordance

with the disclosure provisions set out in DBS Vickers General Trading Agreement (as may be amended from time to time);(d) that DBS Vickers has the right not to approve this application at its sole and absolute discretion without any obligation to render any reason or explanation;(e) that I/we agree to abide by the prevailing rules and regulations of the Singapore Exchange Limited and its subsidiaries or any regulatory body or exchange

(whether in or outside Singapore) as may be applicable to me/us and my/our transactions;(f) that I/we am/are the ultimate beneficial owner(s) of the account under this application and that there exist no other beneficial owner(s) in relation to me/us

in respect of this account and application. I/We undertake that the account under this application shall not at anytime have any other undisclosed beneficial owner(s);

(g) by signing this application, l/we (known as “Subscriber” in the New York Stock Exchange (“NYSE’) and the Toronto Stock Exchange (“TSX”) Inc, subscriber agreements), agree:

(1) that I/we have read the NYSE and TSX Inc. subscriber agreements, a copy of which is attached hereto; (2) that l/we undertake and agree to be bound by the NYSE and TSX Inc. subscriber agreements to the same extent as if I/we had signed such agreements with

NYSE and TSX Inc. directly; (3) that TSX Inc, may enforce TSX Inc’s rights pursuant to the TSX Inc. subscriber agreement in its own name directly against me/us; (4) that DBS Vickers is not an agent of NYSE and TSX Inc, and is not authorised to add to or delete from the NYSE and TSX Inc. subscriber agreements and is not

authorised to modify any provision of the NYSE and TSX Inc. subscriber agreements; and (5) that no provision has been added to or deleted from the NYSE and TSX Inc. agreements and that no modifications have been made to them. I/We warrant

that I/we am/are legally able to undertake the obligations set forth the aforesaid agreements;(h) by executing this application, I/we (known as “subscriber” in the NASDAQ subscriber agreement) agree: (1) that I/we have read, and agree to be bound by the NASDAQ subscriber agreement, a copy of which is attached hereto; (2) that DBS Vickers is not an agent of NASDAQ and is not authorised to add to or delete from the NASDAQ subscriber agreement and is not authorised to modify

any provision of the NASDAQ subscriber agreement, and (3) that no provision has been added to or deleted from the NASDAQ agreement and that no modifications have been made to it. I/We am/are legally able to

undertake the obligations set forth;(i) that if l/we choose not to open a Depository Agent Sub-Account with DBS Vickers, l/we will not be able to furnish DBS Vickers with shares as collateral and DBS

Vickers shall not be obliged to accept any shares as collateral. However, if the said Depository Sub-account is opened, I/we agree that there will be monthly maintenance charges imposed by CDP which will be charged to me/us regardless of whether there is any transaction in this account; and

(j) in addition, I/we hereby declare that I/we am/are not an undischarged bankrupt/undischarged bankrupts

I/We confirm that I/we have read, understood and accepted Clause A28 of DBS Vickers’ General Trading Agreement (as may be amended from time to time), the Compliance with Tax Requirements notice and the DBS Vickers Personal Data Protection Policy (available at http://www.dbsvickers.com) relating to the collection, processing, use and disclosure of Customer Data. By signing this account opening application form, I/we hereby consent to the collection, processing, use and disclosure of Customer Data as set out at clause 28 of DBS Vickers’ General Trading Agreement (as may be amended from time to time) and DBS Vickers Personal Data Protection Policy.

Signature of Applicant

Date

Signature verified by DBS Vickers/DBS/POSB Bank staff

Name of Verifying Officer/Date

Remarks

Signature of Joint Applicant

Date

Individual_Joint Application Form/Oct2019

Co. Reg. No. 198600294G

Tel : 65.6327 2288www.dbsvickers.com

DBS Vickers Securities (Singapore) Pte LtdMember of Singapore Exchange Securities Trading Ltd

12 Marina Boulevard #10-01Marina Bay Financial Centre Tower 3

Singapore 018982

Payment Facility Form/Client Svcs/GSMC/July15

Co Reg No 198600294G 1

Payment Facility(Please tick ONE option only)

Name of Client Trading Account No

NRIC / Passport No

GIRO (Direct Debit & Credit Authorisation)

To: The Manager DBS Bank Account No to be credited DBS/POSB 001-026485-0

My/Our DBS/POSB Account Name My/Our DBS/POSB Account No

I/We hereby instruct you to process DBS Vickers Securities (Singapore) Pte Ltd’s instructions to debit/credit my/our account.

i. You are entitled to reject DBS Vickers Securities (Singapore) Pte Ltd’s debit/credit instruction(s) if my/our account does not have sufficient funds and charge me/us a fee on this. You may also at your discretion allow the debit even if this results in an overdraft on the account and charges are imposed accordingly.

ii. This authorisation will remain in force until terminated by your written notice sent to my/our address last known to you or upon receipt of my/our written revocation through DBS Vickers Securities (Singapore) Pte Ltd.

Date Signature of Client(s) per Bank’s specimen records *For thumbprint(s), please go to the branch with your identification

Electronic Payment of Shares (EPS)

I/We hereby request and authorise you:

i. from time to time to pay all sales proceeds and contra gains due to me arising from transactions effected through the above trading account (the "Trading Account") to the bank

ii. to link the designated Bank Account with the Trading Account in order for me to make payment from time to time for purchases or contra losses due to you arising from transactions

Participating Banks (please tick ONE option only)

DBS/POSB Account No

UOB/OCBC/Citibank/Maybank* Account No *please delete accordingly

I agree, acknowledge and undertake:

- that I have read the Terms and Conditions applicable to the EPS service on page 2 and hereby confirm that the same shall be binding on me whenever payments are made to the designated Bank Account by the Member Company or whenever payments are made by me to the Member Company from the designated Bank Account through EPS service.

- that the authorisations herein shall continue to be in force until I expressly revoke them by giving three (3) weeks’ notice in writing delivered to the Member Company or the closure of the designated Bank Account, whichever is the earlier. The Member Company may in its absolute discretion terminate the EPS service by giving me written notice at our last known address; or in the case of closure of the Member Company, the designated Bank may in its absolute discretion terminate the EPS service.

- and consent to the disclosure by the Member Company to the Participating Bank and to any relevant person of all or any of the information in relation to or concerning the transactions effected through the Trading Account such as the contract or contra statement numbers, amounts due there under, the Trading Account number and such information as may be necessary or appropriate or that may arise in order to effect, or as a result of, the payments to the designated Bank Account by the Member Company or the payments by me to the Member Company from the designated Bank Account through the EPS service.

Date Signature of Client(s) per DBSV’s Trading Account

ZL365651 DBS Payment Facility Form_KS8.ai 1 7/13/15 7:03 PM

To: The ManagerDBS Vickers Securities (Singapore) Pte Ltd12 Marina Boulevard #10-01 Marina Bay Financial Centre Tower 3Singapore 018982Attention: Client Services Dept.

(TO BE DETACHED)

DBS Vickers Securities

Date Authorised Signature

Name of Approving Officer: _______________________

Name of Bank: ________________________________

This Application is hereby REJECTED (please tick) for the following reason(s):

Signature/Thumbprint# differs from DBS Bank’s records Wrong account number

remotsuc yb dengisretnuoc ton stnemdnemA#raelcnu/etelpmocni #tnirpbmuhT/erutangiS

:srehtO#tnirpbmuht/erutangis yb detarepo tnuoccA

# Please delete where inapplicable

Payment Facility Form/Client Svcs/GSMC/July15

Co Reg No 198600294G 2

ZL365651 DBS Payment Facility Form_KS8.ai 2 7/13/15 7:03 PM

Trading Account No

Settlement Account Linkage (Applicable only for online individual account)

Name of Client

NRIC / Passport No

MCA Linkage

1. By linking my MCA to my trading account with DBS Vickers (“Trading Account”), I will be able to view certain account information and perform certain transactions with my MCA on the DBS Vickers trading platform, and for the purposes of facilitating this, I consent to:

(i) DBS Bank Ltd (“DBS Bank”) disclosing my MCA information (including my personal data) to DBS Vickers Securities (Singapore) Pte Ltd (“DBS Vickers”) and DBS Vickers processing such information in accordance with the terms and conditions governing my Trading Account; and

(ii) DBS Vickers disclosing my Trading Account information (including personal data) to DBS Bank and DBS Bank processing such information in accordance with the terms and conditions governing my MCA.

2. I may designate another MCA to be linked to my Trading Account. Notwithstanding my re-designation of the MCA to be linked, I agree to be bound by all applicable terms and conditions.

Settling Trading Orders with MCA 3. I am responsible for maintaining sufficient funds in my MCA.

4. I may trade in any foreign currency available under my MCA provided I have funds in the relevant foreign currency in my MCA.

5. Should I opt for “cash upfront” as my settlement mode for my trading order and have insufficient funds in the relevant foreign currency, I may perform a foreign currency conversion at DBS Bank’s prevailing rate using the Singapore Dollars in my MCA and this conversion may be performed on the DBS Vickers trading platform and reflected simultaneously in my DBS Bank transaction records, prior to my trading with my Trading Account. I ACKNOWLEDGE THAT ANY FOREIGN CURRENCY CONVERSION PERFORMED WITH MY MCA WILL NOT BE REVERSED ONCE CONFIRMED, EVEN IF I DECIDE TO AMEND OR CANCEL MY TRADING ORDER OR IF MY TRADING ORDER PLACED IS NOT SETTLED.

6. I acknowledge that in the event I select the option of “cash trading” as the settlement mode for my executed orders and I have insufficient funds in the relevant currency during settlement, DBS Vickers shall be entitled to convert funds in other available currencies to settle my trades and/or force sell my shares.

7. DBS Bank and DBS Vickers may modify or supplement any of the terms and the terms above by giving me notice on the DBS Vickers online trading platform or in a manner they deem fit. Neither DBS Bank nor DBS Vickers shall be responsible to me for any loss (including consequential loss and/or loss of profit), damage, expense or cost that I may incur as a result of me performing the foreign currency conversion and/or not proceeding to trade in the relevant foreign currency.

Declaration I hereby declare, represent, warrant and agree that: 1) All information submitted above or otherwise in connection with this application is true and accurate in all aspects. 2) I shall give DBS Vickers notice of any change in the particulars provided above and submit relevant documentary proof to DBS Vickers for any change of the particulars provided above.

Termination of Existing Payment Facility (Only applicable to customers with existing GIRO/EPS payment mode)

Your existing GIRO/EPS payment mode with DBS Vickers will be terminated and you are required to provide a valid individual DBS Multi-Currency Account ("MCA") for purposes of settlement of all trades and crediting of dividends.

DBS MCA Account No

MCA-E

MCA Linkage/Jan19

Date Signature of Client per DBSV’s Trading Account

Dear Applicant

US Tax Reporting (Documents Required) - Individual

Please be informed that due to US tax reporting requirements for the trading or holding of US securities, DBS Vickers Securities (Singapore) Pte Ltd, as a Qualified Intermediary for US tax purposes, is required to collect documentation from our account holders. Valid tax documentation is also required to allow you to claim benefits or reduced or exempt US withholding tax under certain circumstances.

To assist you in determining which IRS tax form(s) to complete, we have prepared a brief non-exhaustive description of each form (W-8BEN, W-8ECI and W-9) below.

Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding If you are a non-US person and you are claiming that you are the beneficial owner of the

income paid to you in connection with the account(s) for which the Form W-8BEN is being provided, please complete this form.

Form W-8BEN is valid for three calendar years following the year it is signed, unless a change in circumstances makes any information on the form incorrect.

Form W-8ECI Certificate of Foreign Person’s Claim That Income Is Effectively Connected with the Conduct of a Trade or Business in the United States.

If you are a non-US person and beneficial owner of US source income that is effectively connected with the conduct of a trade or business within the US, please complete Form W-8ECI and specify the type(s) of income for which exemption is claimed.

The Form W-8ECI is valid for three calendar years following the year it is signed, unless a change in circumstances makes any information on the form incorrect.

Form W-9 Request for Taxpayer Identification Number and Certification If you are a US person or entity, please use Form W-9 to provide your taxpayer identification

number (TIN), certify that you are not subject to backup withholding, or claim exemption from backup withholding if you are an exempt payee.

Form W-9 is valid indefinitely.

Co. Reg. No. 198600294G




Singapore 018982

For your convenience, we have enclosed the Form W-8BEN on the assumption that you are the ultimate beneficial owner(s) of the individual/joint trading account opened/maintained with DBS Vickers. You should assess and determine whether the Form W-8BEN is appropriate for your status/completion and inform us accordingly. Since the US tax rules and the documentation requirements may be complex, please obtain your own US tax advice to determine your US tax status.

Please refer to IRS website at www.irs.gov for the series of Forms W-8, if the attached Form W-8BEN is not appropriate for your status/completion. Alternatively, please contact our Customer Service Line at 6327 2288 for the appropriate Form W-8 to be sent to you.

Yours faithfully,

DBS Vickers Securities (Singapore) Pte Ltd

Dear Applicant

Safeguarding Singapore’s Financial System From The Laundering Of Proceeds Of Tax Crimes

We wish to inform you that with effect from 1 July 2013, Singapore has implemented the recommendation of the Financial Action Task Force (“FATF”)* to designate serious tax crimes as predicate offences for money laundering. This action demonstrates the Monetary Authority of Singapore’s firm commitment to safeguard the integrity and reputation of Singapore as an international financial centre.

In keeping with this development, all Financial Institutions in Singapore (“FIs”), including DBS Vickers Securities (Singapore) Pte Ltd, are required to have effective measures in place to ensure that FIs are not used to harbour illegitimate assets, including proceeds from tax crimes.

DBS Vickers Securities (Singapore) Pte Ltd takes the issue of financial system integrity seriously and has robust policies and procedures in place to ensure that our clients use our facilities only for legitimate purposes.

We wish to highlight that full compliance with all obligations on your tax matters falls within your personal responsibility.

If you have any questions regarding this development, please contact our Customer Service Line at 6327 2288.

Yours faithfully,

DBS Vickers Securities (Singapore) Pte Ltd

* The FATF is the international body that develops global standards on measures to combat money laundering and terrorist financing.

Co. Reg. No. 198600294G




Singapore 018982

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Attention: Client Services

BUSINESS REPLY SERVICEPERMIT NO. 03135

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