Trading Application Form

Transcription

1 Trading Application Form (Please complete the form and attach the required documents) KT ZMICO Branch Code Trading A/c No. Date Client Information Individual Client Name & Surname ( ) Mr. ( ) Mrs. ( ) Miss Thai English Nationality Country of Residence Date of Birth / / Age Yrs. ( ) ID. Card ( ) Passport ( ) Others ( specify) No. Present Address Post Code. Country Telephone No. Fax. Mobile Address. Highest Level of Education Lower than Bachelor Degree Bachelor Degree Higher than Bachelor Degree Marital Status Single Married Divorced Widow Spouse s Name Occupation / Position Political Position Office Name Telephone No. Nature of Business ( ) Business Owner ( ) Individual Employee ( ) Public Official Service ( ) State Enterprise Employee ( ) Bank/Financial Company Staff ( ) Agriculturalist / Fishery ( ) Housewife / Majordomo ( ) Student ( ) Unemployment ( ) Others Name of Employer Position Department Tenure of work Year (s) Political Position (If any) Please specify type of business : ( ) Antiques Shop ( ) Gold, jewelry Store ( ) Gemstone Business ( ) Money Exchange Agency ( ) Money Transfer Service ( ) Casino and Gambling ( ) Weapons Factory ( ) Weapons Agent ( ) Real Estate Agent / Broker ( ) Informal Loan ( ) Non-Profit Organization ( ) Others (Please spec Office Address Post Code. Country Telephone No. Fax. Monthly Salary THB Other Income THB Source of Other Income Financial Information House with land Value (THB) ( ) Mortgage ( ) Others Land Value (THB) ( ) Mortgage ( ) Others Car Value (THB) ( ) Pledge ( ) Others Promissory Note Value (THB) ( ) Pledge ( ) Others Other Assets Value (THB) ( ) Mortgage/Pledge ( ) Others Settlement for Trading Transaction By ATS Bank Name Branch Bank Account No. Type of A/c Savings Current Please complete the enclosed Letter of consent for Debit to Bank Account Form (ATS) [Bank account whereas name of account shall be the same as opened with the Company.] Settlement for Trading Transaction before ATS Approval Cheque Pay-in Cash Balance Others (Please specify) 1 / 17

2 For Juristic Person Client Information Juristic Name : (Thai) (English) Type of Juristic Person : Company Limited Public Company Ordinary Partnerships Limited Partnerships Juristic Person under Specific Law Fund (Please specify) Asset Management Company s Name Others (Please specify) Business Type Country of Resident Affidavit No. Issued Due / / Tax ID. No. Registered Address : Post Code Country Telephone No. Fax. No. Present Business Address : Post Code Country Telephone No. Fax. No. Address : Authorized Director (s) for Account Opening : List of shareholders who are holding shares higher than 30 % of Registered Capital. 1. % Holding Nationality 2. % Holding Nationality 3. % Holding Nationality In case of juristic persons with 30 % ownership or more, (please indicate or attach details of subsequent shareholding (of 50% or above). 1. % Holding Nationality 2. % Holding Nationality 3. % Holding Nationality Relationship related to the politics (if any) Main Income Financial Information Financial Highlight and Status as of Total Income THB Current Liabilities THB Net Profit (Net Loss) THB Total Liabilities THB Current Assets THB Shareholder s Equity THB Total Assets THB Registered Capital THB Settlement for Trading Transaction By ATS Bank Name Branch Bank Account No. Type of A/c Savings A/c Current A/c Please complete the enclosed Letter of consent for Debit to Bank Account Form (ATS) [Bank account whereas name of account shall be the same as opened with the Company.] Cheque Pay-in with Custodian (Custodian Name) Others (Please specify) 1 / 17

3 For Individual and Juristic Persons 1. Way of Document Dispatch (1 alternative only) By Mail Personal Collection By Messenger Remarks For personal collection, if the documents are not collected within 7 days, we will send them to your contact address. For Securities Trading Account Only Sending of the trading documents - such as Tax Invoice / Payment / Receipt / Confirmation and Contract Note Copy To receive the mentioned documents by sending to the specified address above. Do not want to receive the mentioned documents, I will check my trading transaction to the Company's website: Receiving of Benefits (such as Dividend / Interest and other rights evaluated in cash derived from the securities) To receive via E-dividend system (Please complete and sign on the form) Request the Company to deposit into my Cash Balance (Only for the securities held by the Company upon the type of account which obtained benefit.) 2. Address for Document Dispatch Office Address Present address House Registration Address Present Business Address Others (Please specify) 3. Contact Person in case of Emergency Name & surname Relationship Office Name Position Telephone No. Address 4. Nature of Investment Investment Knowledge Excellent Good Fair Little None Attended the training for investment by Investment Purpose Take Profit Dividend Interest Others (Please specify) Investment Period Long Term (> 1 yr.) Medium Term (6-12mths) Short Term (< 6 mths) Others (Please specify) Acceptable Risk Low Level Medium Level High Level Investment Experience New Investor Ever invested in Thai Stock Market for yrs. Ever invested in Derivatives Market for Yrs. Ever invested in other Markets ;- 1. Name of Market Country For Yrs. 2. Name of Market Country For Yrs. Source of Fund (more than 1 alternative) Owner Business Employment Investment Dividend / Interest Heritage Saving Loan Others (Please specify) 2 / 17

4 5. Other Securities Broker Company which the Client is being maintained account with : 1. Type of A/c Credit Line THB 2. Type of A/c Credit Line THB 3. Type of A/c Credit Line THB 6. Self Declaration According to the SEC Power of attorney acting on your behalf (Sign in the form) No Yes (Please Specify) Name - Surname Relationship Nationality Name of the ultimate beneficiary or Co-beneficiary No Yes (Please Specify) Name - Surname Relationship Nationality ( ) Personal ID Card ( ) Passport No. Name of Controlling Person No Yes (Please Specify) Name - Surname Relationship Nationality ( ) Personal ID Card ( ) Passport No. To involve in Perpetration of Anti-Money Laundering act in the past 3 years Never Have been involved in Money Laundering Activities ( specify) Year 7. Others Are you related to any KT ZMICO Securities Company Limited s employee? No Yes (Please Specify) Name - Surname Relationship Recommendation for Account Opening at company s counter via marketing officer by website by the company s client Others Name - Surname Relationship Tel. 8. Type of Account & Credit Line Request Cash A/c ( ) Cash Balance ( ) Credit Line Request THB Via Internet System Internet A/c ( ) Cash Balance ( ) Credit Line Request THB Margin Credit Balance Derivatives Trading International Trading Unit Trust Credit Line Request THB Via Internet System Credit Line Request THB Credit Line Request THB Others (Specify) Credit Line Request THB I/we 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 law together with the legal consultants and the Company s auditors. All this I/we understand and acknowledge that I/we can do any business 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. 3 / 17

5 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 Company s Seal Remarks : Signature Marketing Officer 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 Company s Seal Remarks : Signature Marketing Officer 4 / 17

6 Securities Brokerage Agreement Execute at : KT ZMICO Securities Company Limited Date THIS AGREEMENT is made between Customer, hereinafter referred to as the Customer, of one part; and KT ZMICO Securities Company Limited, whose registered office is at 16 th 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 as well as its derivatives (futures) 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. 1. DEFINITIONS Unless specified otherwise herein, definitions in the Securities and Exchange Act and the Derivatives Act B.E (2003) as well as amendments thereto from time to time, apply 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, such other instrument as specified by the Securities and Exchange Commission (SEC), and other contracts and instruments, including benefits and interests in those Securities. Derivatives means derivatives contracts under the Derivatives Act B.E (2003) and amendments thereto from time to time. Goods means Goods as defined in the Derivatives Act B.E (2003) and amendments thereto from time to time. Variables means Variables as defined in the Derivatives Act B.E (2003) and amendments thereto from time to time. Stock Exchange centres. means the Stock Exchange of Thailand (SET), the Market for Alternative Investment (MAI), and other over-the-counter Derivatives Exchange means Derivatives Exchange (Thailand) Public Company Limited or any other derivatives centre licensed by the SEC. 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 on the Stock Exchange, and purchase shall mean the subscription for Securities as well. 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, wholly or partly, through the Electronic System. Private Code means personal code given by the Company for entering various activities through the electronic system of the Company under 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 applicable laws and 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 Securities 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 applicable laws and regulations. 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 laws and 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 applicable laws and 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. 5 / 17 / 2. GENERAL TERMS

7 2. GENERAL TERMS AND CONDITIONS 2.1 The Customer agrees to appoint and authorise the Company its agent and/or broker to purchase and/or sell the Securities and the derivatives in and outside the Stock 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, this Agreement, or the Commodity or Variables as well as to have the power of substitution, with this Agreement operating as a letter of appointment or a power of attorney to that effect. 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 paid the debt arising out of this Agreement or any other amount owing by it to the Company. The Customer agrees to pay to the Company, from the execution date hereof, the brokerage fees at the rate specified by the Company, including any taxes, fees and expenses (collectively the Commission). 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 execute any documents or instruments in its capacity as the Customer s attorney; and to have the power to appoint and/or remove substitutes for any or several acts within the scope of the authorisation. 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. 2.2 The Customer agrees to pay interest 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, from the day the Customer defaults in payment of such amount until complete payment is made by the Customer to the Company. 2.3 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 shall apply mutatis mutandis. 2.4 The Customer acknowledges that it has read and familiarised itself with all applicable rules and regulations as well as the Company s requirements and conditions for sale and purchase and that it shall strictly comply with those rules, regulations, requirements and conditions. 2.5 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 terms or conditions of this Agreement, all debts owed by the Customer shall become due and payable immediately and/or the Customer shall be deemed in breach of the Agreement. 2.6 The Company shall inform the Customer in writing of the purchases or sales, in the form and substance determined by the Company or by the applicable laws and regulations, on the business day following the day of such purchases or sales. In addition, the Company shall prepare and deliver to the Customer, with or without cost to the Customer, a report on the Customer s assets and Derivatives position on a monthly basis, in accordance with the rules, conditions and procedures set out by the Company subject to the applicable laws and regulations. 2.7 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. 2.8 Any provision of this Agreement which is invalid or unenforceable does not affect the validity or enforceability of the remaining provisions of the Agreement. 2.9 The Customer agrees that the Company may apply for the membership in the Securities Depository Centre (SDC) under the law on securities and stock exchange or other applicable laws and may use any services of the SDC 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 SDC, i.e., the disclosure of the name, address and other information of the Customer to the SDC 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. 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, or any other means, so that the Company will proceed with such purchase and/or sale of the Securities, Derivatives from time to time. Such an order shall be given by the Customer in the form and substance 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 various Electronic Transactions using the private code, i.e., submission of an order, change or cancellation of 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 transaction. The Company reserves the right to confirm the Customer s order through the Electronic 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 Electronic System at such rate and by such means as determined by the Company and notified to the Customer. 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 Electronic System and that it is the responsibility of the Customer to acknowledge or confirm its order, 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. 6 / 17 / 3.2 It is agreed

8 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 applicable laws and 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 purchase or sale 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. 3.5 If the Customer wishes to cancel or modify an order to purchase or to sell, 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 applicable laws and 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 Derivatives 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 applicable laws and regulations. 3.7 The Customer acknowledges that any purchase or sale 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, except in the case of a wilful act, negligence or default by the Company or a breach of any provisions of the applicable laws or regulations. 3.8 If the Customer does not trade through the trading account opened with the Company and does not have a Derivatives position, or if the Customer s assets remain in the trading account for 6 months or more or for a period of time determined by the Company, the Company may temporarily suspend any Trading by the Customer and/or charge the Customer for maintaining the account, whereupon the Customer agrees to pay such maintenance fee at the rate determined by the Company without further notice to or consent of the Customer. The Customer shall have no defence in such matter against the Company, and the Company reserves the right to terminate this Agreement and close the Customer s account. 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 applicable laws and regulations 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 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 2.2, and the Customer agrees that the Company may proceed with the compulsory sale of the Customer s Securities, which are then in possession of the Company, and of the Customer s rights to subscribe for Securities (if any), without prior notice to the Customer, 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. The Customer agrees to pay for all damages, interest, penalties, commission, taxes and expenses incurred in connection with the Trading, the default and the compulsory sale of the Securities, 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 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 Centre (SDC) 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. 7 / 17 / 4.3 Subject to the

9 4.3 Subject to the second and third paragraphs of this sub-clause 4.3, if the Customer orders the Company to sell the Securities, the Securities shall be delivered to the Company by 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 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 SDC 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 SDC), 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 Advance, Commission or other amounts to the Company, the Customer is obliged to make such payment 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 Stock 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 Stock 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 Commission and related tax 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 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 Stock 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 the case of the purchase or sale of the Securities, assets or any other rights of the Customer as a result of failure by the Customer to comply with any clause of this Agreement, the Company may do whatever it thinks appropriate through the Stock Exchange or by an auction sale or by trading with any person or entity, without prior notice or advertisement or anything of similar nature to the Customer, and the Customer agrees that the Company may apply the proceeds of the sale of such Securities, assets or other rights towards the payment of all kinds of debts and expenses owing and payable by the Customer to the Company, actual or contingent, whether or not due to the Company. The Company may, at its discretion, offset all debts owed by the Customer, and the Customer agrees to repay all debts owing to the Company. 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: (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 licences 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 / 17 / (8) any other

10 (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 defaults in payment or breaches any immaterial clause or provision, the Company may grant indulgence by allowing the Customer to remedy such default or breach within a specified time or subject to any condition, provided that such indulgence will be effective only in the specific instance and for the specific purpose for which it was granted. If the Customer fails to remedy such default or breach within the specified time or in compliance with the condition set out for such indulgence, it shall be deemed that the Customer is in default, whereupon the Company is entitled to terminate this Agreement and immediately demand payment of all debts from the Customer. No indulgence granted under this sub-clause constitutes a waiver of the Company s right to claim against the Customer as a result of such default. 5.4 If the Customer conceals or deviates any facts given in this Agreement, in whole or in part, as specified in clause 2 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 law, or if the Company is obliged to follow the instructions of the Clearing House or the Derivatives Exchange or the SEC, 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; or (4) close all accounts of the Customer in order to settle the Customer s obligations. 5.5 If the Company exercises its right under this Agreement or the applicable laws and 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 or for the repurchase or resale of such Derivatives or any other Derivatives and/or such Securities or any other securities or such reference underlying assets for the Customer. 5.6 If the Company is unable or fails to carry out the Closing Derivatives Trading Position in accordance with this Agreement or the applicable laws and regulations, the Customer agrees that such Avoidance of Derivatives Position may be carried out by the SEC Office, the Derivatives Exchange, the Clearing House or any person designated by the Company. As regards the Avoidance of the Customer s Derivatives Position referred to in this Clause 5, customer means the Customer and the beneficiary under the trading of the Customer s Derivatives and/or any person relating thereto. 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 applicable laws and regulations. The Customer agrees and acknowledges that the Company may, at its discretion and in accordance with the applicable laws and regulations, allow the Customer to purchase or sell the Derivatives without first placing the Margin with the Company. 6.2 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. 6.3 The Customer agrees to provide the Maintenance Margin in accordance with the applicable laws and 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 applicable laws and regulations. 6.4 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 applicable laws and regulations. 6.5 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. 6.6 Without prejudice to any other right 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: (1) refuse to carry out any order of the Customer, with the exception of an order for Avoidance of Derivatives Position; (2) immediately close-out the Customer s Derivatives position, in whole or in part; (3) offset or retain the Margin or any other benefit the Customer has with the Company; or (4) demand from the Customer a penalty on the defaulted amount for its failure to provide the Margin or the Commission payable by the Customer pursuant to sub-clause / 17 / 7. LIABILITY AND

11 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 or its agent 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 Derivatives 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, provided, however, that such loss and/or damage is not attributable to any wilful act or gross negligence on the part of the Company or any of its employees. 8. ASSETS OF CUSTOMER 8.1 The Customer authorises the Company to take care of its Securities and other assets, including all 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 Deposit Protection Agency Act. B.C 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. 8.3 The Customer authorises the Company to deduct and/or withdraw money from the Account for : (1) the Trading of the Customer s Derivatives; or (2) the provision of Margin or the adjustment of the Margin position; or (3) the payment of fees or any other amount payable in relation to the Trading of the Customer s Derivatives; or (4) the payment of debt and penalty in the event of default by the Customer under this Agreement; and (5) any other circumstances as prescribed in the relevant regulations. 8.4 All 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 requirements of the SEC or the SEC Office, 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 SEC Office and the Company; (2) Securities shall be deposited with the SDC or such other place as determined by the SEC Office and the Company, or kept at the Company s office 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, provided that the Company pays the return or benefits thereof to 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 one business day in advance. Withdrawal of the Securities shall be notified in advance in accordance with the SDC 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 or according to the Company s notification under related regulations. 8.8 The Company shall not do anything which might create, modify, transfer, assign, reserve or suspend the Customer s rights in the Securities and the assets without an order to that effect or consent of the Customer, unless such act is required by law. 9. RISKS INVOLVED The Customer has read and familiarised itself with the Risk Exposure in the investment of Securities and/or Derivatives, as attached hereto, which forms an integral part of this Agreement. 10. CONFIDENTIALITY The Customer is at liberty to change its Private Code. The Customer shall keep its PRIVATE CODE confidential and shall not disclose any person. The Company shall assume no responsibility for an unauthorised and illegal use of the Private Code. 11. ARBITRATION The Customer may complain in case of any unsatisfied services of Securities Business and/or Derivatives Trading to the Arbitration Project of the Office of the Securities and Exchange Commission (the SEC), thus should be under the regulations and procedures of the SEC. 12. The following attachments are assumed to be the part of this Agreement :- (1) Attachment to the Derivatives Agent Appointment Agreement. (Attachment No.1) (2) Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange. (Attachment No. 2) (3) Notification of Regulations, Conditions and Procedures on Investment Unit Trading. (Attachment No. 3) (4) Memorandum of Understanding Attached to the Securities Brokerage Agreement on Offshore Securities Trading. (Attachment No. 4) THE CUSTOMER acknowledged and agreed that the Customer can perform on all kinds of business activities and presence of required evidence and will completely comply with the rules, conditions and procedures as specified by the Company and accept that having been explained for all details in whole Attachments by the marketing officer with its risks thoroughly. 10 / 17 / (Attachment No. 1)

12 (Attachment No. 1) Attachment to the Derivatives Agent Appointment Agreement 1. Definition: In this agreement, the following terms will have the meanings as defined below: Force Close Margin Requirement means the level of margin prescribed by the Company pursuant to relevant laws and regulations that, if the client s Equity Balance is reduced below such a level, a call will be made by the Company for the client 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 client 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 client s derivatives position(s) (i.e. Excess Equity = Equity Balance Initial Margin Requirement). 2. Procedure governing Margin Call and Force Close for derivatives instruments is classified for SET 50 Index Futures and SET 50 Index Options. At the end of Day T after the value of the client s margin has been adjusted by the Company on the Mark-to-Market basis, if it is found that the Equity Balance placed by the client is lower than the Maintenance Margin, a margin call will be made by the Company for an additional margin to be placed by the client by hrs of Day T+1. The client has the following options to comply in this respect: 2.1 Place the entire sum of the margin call in cash. 2.2 Close the position(s) of the existing derivatives contract(s), or newly create the derivatives position(s) for the effect that the increase of Equity Balance combined with the decrease of Initial Margin requirement, based on the status on Day T, will not be less than the amount of Margin Call. However, the creation of derivatives position(s) must be for the purpose of risk reduction for the client. After the derivatives position(s) is (are) closed, or after the position(s) is (are) newly created to reduce risks, the value of the client s Equity Balance must not be less than that of the Initial margin required on the remaining derivatives position(s) or the newly created derivatives position(s). 2.3 Close or create the position(s) (as per Clause 2.2), and place a portion of the amount of margin call. This shall produce the effect that the increase of Equity Balance combined with the decrease of Initial Margin requirement, based on the status on Day T, will not be less than the amount of Margin Call. After the derivatives position(s) is (are) closed, or after the position(s) is (are) newly created to reduce risks, and a portion of the amount of margin call has been placed, the value of the client s Equity Balance must not be less than that of the Initial margin required on the remaining derivatives position(s) or the newly created derivatives position (s). Margin Call shall be administered by the Company in accordance with the following procedure: Case 1: Equity Balance becomes lower than Maintenance Margin but still higher than Force Close Margin Requirement during the course of a day. During the course of business days : The Company may make a call for additional margin to be placed by a client for a sum which would increase his/her/its Equity Balance to the level above the Maintenance Margin. At the end of a Business Day (T) : After a Mark-to-Market adjustment has been made by the Company for the day and the client s Equity Balance is lower than that of the Maintenance Margin, the client will be called on to place additional margin by hrs of Day T+1. In this respect, additional margin placed must level up the Equity Balance to a point higher or equivalent to that of the Initial Margin. On the next Business Day (T+1) : The Company reserves the right to issue a Zero Equity Balance Stop Order during the Derivatives Exchange s morning trading session on Day T+1 for the case that after the derivatives positions of the client has already been adjusted at the end of Day T and the client s Equity Balance is found to be lower than that of the Maintenance Margin required. This Zero Equity Balance Stop Order will be cancelled only when additional margin is completely placed by the client or the positions closed or created by any of the above-referenced means by hrs of Day T+1. Remarks : Placement of the Zero Equity Balance Stop Order refers to an order placed for managing risks for the client. This order will be placed to close the derivatives position(s) with the result of leaving an adequate amount of the Client s Equity Balance to cover payment of pertinent fees and expenses incurred by this closure. If the client fails to place additional margin or to close the position(s) or to create the position(s) by any of the above methods thereby causing the value of his/her/its Equity Balance to be higher or equivalent to the level of the Initial Margin required for the remaining outstanding position(s) or the newly-created position(s) by hrs of Day T+1, then the Company will not allow the client to open an additional position and he/she/it will be allowed to close the position(s) only. If, during business hours on Day T+1, after the client s margin had been adjusted and it is found that such margin may increase in excess of, or equivalent to, the Maintenance Margin or Initial Margin, the Call Margin process will, nevertheless, continue and the client 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 client is unable to complete the above procedure by hrs of Day T+1 during the Derivatives Exchange s morning trading session on Day T+2, action will be taken by the Company. The Company will close the position(s) of the client s holding of derivatives contract(s) at least to the point of ensuring with an effect that the Initial Margin requirement for the client 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 client 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). Moreover, the Company reserves the right in the case of the client s failure to take any action once such margin call has been issued, to possibly close all of the client s derivatives position(s) to the extent that the client s derivatives position(s) held in his/her/its portfolio equal to zero. / Case 2 : 11 / 17

13 Case 2 : Equity Balance is lower than Maintenance Margin as well as less than the Force Close Margin Requirement during the course of the day. A. During the course of the day, if the value of Equity Balance is less than the Force Close Margin Requirement, the Company will make an immediate call on the client to place additional margin by hrs of that day to ensure that the Equity Balance will be leveled back to that of the Maintenance Margin. After action has been duly taken by the client either to place additional margin or to close the position(s) or create the position(s) by any of the above means, and then after the adjustment of the daily positions at the end of the day, if his/her/its margin is still lower than the Maintenance Margin, action will be taken as per Case 1 [On Day T, T+1, and/or Day T+2]. Moreover, the Company reserves the right to issue a Zero Equity Balance Stop Order on the client immediately when the Equity Balance falls below the Force Close Margin Requirement. Such Zero Equity Balance Stop Order, however, will be revoked once action has been taken completely by the client to either place additional margin or to close the position(s) or create the position(s) by any of the above means. B. After being notified by the Company (as in Case 2, A), the client must proceed to place an additional margin or close the position(s) or create the position(s) by any of the above means by hrs of that day, otherwise Force Close action will be taken immediately by the Company. And, if less than 1 hour notice is given to the client before the Exchange is closed, the Company reserves the right to make such Force Close immediately for the client without having to receive his/her/its prior approval and/or without having to observe the Equity Balance decreases to zero. Before the end of trading day, the Company shall take action to close the client s derivatives position(s). In effect, the amount of derivatives contract(s) to be closed will render the client s Equity Balance level to be not less than the maintenance margin level required for the client s remaining position(s). C. If the Company finds, after due consideration, that there are fluctuations in the Derivatives Exchange or Referenced Markets 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 the level of the Force Close Margin Requirement, the Company reserves the right to carry out an immediate Intraday Force Close on a client s position(s) in which respect he/she/it will have to accept that it is the Company s right to force close such derivatives position(s) albeit the client will not be deprived of the right to order any closure of the derivatives 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 client 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. Case 3: Equity Balance is less than the Intraday Force Close Margin Requirement but then rebounds to a higher level, albeit still less than the Maintenance Margin. A. Where the margin falls below the Intraday Force Close Margin Requirement at that time, action will be taken by the Company as in Case 2, A, or Case 2, B, whatever the case may be. However, if at the end of the day after the daily position has been adjusted and the client s margin still remains below the level of the Maintenance Margin, action will be taken by the Company as in Case 1 [Day T, T+1, and/or Day T+2 ]. B. If, while the Call Margin is in process and it materializes that the client s margin has rebounded to a higher level than the Intraday Force Close Margin Requirement albeit below that of the Maintenance Margin, action will be taken by the Company to place an additional margin call to ensure that it reverts back to the Maintenance Margin level. However, at the end of the day after adjustment of the daily status, if the client s margin still remains under the level of the Maintenance Margin, action shall be taken as in Case 1 [Day T, T+1, and/or Day T+2 ]. 3. In closing any client s position(s), the Company reserves the right to consider making a closure on any type, series and at any amount of a client s derivatives contract. If any loss or damages are incurred to a client as the result of the Company s action, the client agrees not to raise any claims under any circumstances against the Company; not to demand the Company to take any responsibilities; and not to raise such issues as a legal defense against the Company. 4. As for the Zero Equity Balance Stop Order set in case of high market fluctuations, there shall be events that the derivatives trading volume might be low and/or there might not be any bid or offer available at every price level. Therefore, the contracts might be closed at prices significantly different from the prices intended for which the client will still be held responsible for any loss incurred. 5. If a client s derivatives 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, and/or if loss has already been incurred leaving the client with additional liability payable to the Company, the client 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 client s assets held in the Company s possession. 6. If the client fails to repay debts as mentioned in 5) by hrs of the due date, the Company reserves the right to take Lock Code action on the client s all trading accounts and to prohibit the client to purchases any additional securities in the client s all trading accounts. The Sell Only orders will be allowed to be made by the client. 7. In order for the Excess Equity to be withdrawn by the Client, 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 unrealized profits of the futures position(s) as at end of Day T. 8. 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. 9. The client 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 client typically breaches or is non-compliant with the Derivatives Exchange s regulations, circulars or orders or is likely to cause damages to the trading systems, the Company s or the Derivatives Exchange s operations or trading conditions in the overall: Remarks: 9.1 Give notice to a client not to enter any trading order of this nature into the trading system. 9.2 Cancel transactions with such characteristics. 9.3 Suspend trading services to a client. 1. The Company reserves the right to make any change on these various rules without prior notice. 2. In the case of Call Margin, notice may be given by the Company via telephone, facsimile, SMS, or by any other digital media. 12 / 17 / (Attachment No. 2)

14 (Attachment No. 2) 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 thereunder. 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. 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 Client 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 a 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. 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 Client 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 Client 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, 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. Page 13 / 17 / 3. Additional

15 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 Client 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 Client should consider if the investment is suitable for his/ her investment purpose and financial status or not. With respect to trading options, the Client 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 Client should consider if the investment is suitable for his/her investment purpose and the risk exposure is acceptable or not. The Client 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 Client 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 Client s investment costs and will affect loss and gain as well as the Client s investment decision. Commission may vary depending on type and volume of transactions. The Thailand Futures Exchange Plc and the Office of the Securities and Exchange Commission prescribe no regulation on commission rates. 3.3 Risk of Liquidating Position and Liabilities for Resulting Loss When the Client 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 Client 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 a daily gain or loss from the Client s position. Should the loss sustained by the Client s position in the market cause the balance in its margin account to drop below the maintenance margin, the Client 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 Client does not provide the required margin within the time required by his/her derivatives agent, the Client s position may be liquidated, and the Client 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 Client s balance in its margin account drops to the forced closeout point, the derivatives agent will call the Client to deposit additional margin during trading hours. If the Client 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 Client s position, and the Client will be liable for any resulting loss from such closeout. Clients who maintain a position in derivatives, whether for their own account or through third party, in excess of the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk Associated with Failure to Offset Position Should the client 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 Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk 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 Client 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 Risk from Position Restriction or Prohibition The Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission may order derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client s derivatives transactions have or may have affected the integrity of derivatives trading in the Derivatives Exchange, or have or may have caused the price of derivatives traded in the Derivatives Exchange to be inconsistent with the normal market condition, or are inappropriate or may violate the law governing derivatives; or if the client fails, upon request of the Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission, to inform or provide information, or gives false or misleading explanation or information to its derivative agent, the Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission. The Office of Securities and Exchange Commission may also order the Derivatives Exchange or the Clearing 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. / (Attachment No. 3) Page 14 / 17

16 (Attachment No. 3) 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 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 Company cannot collect the money under the cheque for the investment units so purchased, 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 Office of the Securities and Exchange Commission (SEC) 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 antimoney 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 or relevant 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. Page 15 / 17 / (Attachment No. 4)

17 (Attachment No. 4) 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 Risk 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 Risk 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. 1.3 Settlement Risk 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; or 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 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 Risk 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 Liquidity Risk 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. 1.6 Exchange Risk 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. 1.7 Reliability Risk 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. Page 16 / 17 / 1.8 Investment Risk

18 1.8 Investment Risk 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. 2.4 The Customer confirms that the funds used in this offshore securities investment are the Customer s own money and not the borrowed funds. 3. GENERAL CONDITIONS 3.1 The Customer agrees to pay the exchange and remittance fees by allowing the Company to deduct the same from the security deposit provided by the Customer, and the Company may use the exchange and remittance services of any commercial bank. 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 Customer has read and understood the entire contents of these Attachments and executed this Agreement in the presence of the witnesses. Signed Customer ( ) Signed Witness / Marketing Officer ( ) Signed Company For and on behalf of KT ZMICO Securities Company Limited Signed Witness ( ) Page 17 / 17

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20 KT ZMICO SECURITIES COMPANY LIMITED BUSINESS INFORMATION To comply with the notification, tortor 35/2556 of the Capital Market Supervisory Board regarding the standard of business operating, management structure, system and services of securities business person, KTZMICO would like to the client of KTZMICO business information as following details. Subject Detail 1. General Information Company registered date : May 30,2000 Authorized share capital and Issued and paid-up share capital - Authorized share capital : 2,137,799,400 THB - Issued and paid-up share capital : 1,837,799,700 THB Business Types - Securities Brokerage - Securities Dealing - Securities Underwriting - Private Fund Management - Securities Borrowing and Lending - Derivatives Broker - Agricultural Futures Trading - Financial Advisory 2. Scope of Services Brokerage Principal - Securities Brokerage - Derivatives Broker - International Securities Brokerage - Agricultural Futures Broker Investment Banking - Financial Advisory - Securities Underwriting Private Fund Management Unit Trust Selling Agent 3. Service Channel and Phone : (662) Contact Website : 4. Right, Duty, Responsibility Client can follow the right, duty, responsibility and condition in the agreement of which the transaction client intend to do and Condition, for the Client with the company such as Securities Brokerage Agreement, Derivatives Agent Appointment Agreement, Margin Loan to follow. Agreement, Securities Borrowing and Lending Agreement, etc. Securities trading in cash account : The client has to deposit asset as collateral in the cash account before purchasing the securities at rate not less than 20% of the purchasable amount of securities and has to pay the purchasing price of the securities purchased, including the commission and related expense, not later than the day fixed by the Company, T+3. The company shall pay the proceeds of the sale of the securities to clients on the business day, T+3. Securities trading in cash balance account : The client has to deposit cash in full amount before purchase securities. Purchasing amount shall not exceed the cash deposit at a time. Securities and derivative warrants fixed by SET or ASCO have to be purchased in cash balance account only. Securities trading in credit balance account : The client can borrow money from the company to purchase securities with the margin rate fixed by the company. In case of the value of the equity is less than the maintenance margin required, call margin, the client has to deposit additional assets on the next business day. If the client fail to deposit the additional assets within 5 business days from the date of notice, the company shall be entitled to force sell of client's securities. Derivatives trading account : In case of the client's equity balance is lower than the maintenance margin, the client will be called on to placed additional margin on T+1. If the client fail to deposit the additional margin, the company will force sale of client's assets for the margin rate is not less than maintenance margin rate (MM). In case the client requests for the copy of agreement, the company will send it to client' by mail to the client's address. The company reserves the right to collect the charges from the client for the next request of this document.

21 The client will be assessed for suitability investment or doing the transaction of product in capital market. The company will classify the investor type due to the client's information and documents. In case the client's information or documents are not complete, the company will classify the client as the general investor type. 5. Documents for the Client Letter to notify password Confirmation note : The company will send the confirmation note of the purchases or sales to the client on the business day following the day of such purchases or sales. Monthly statement of account : In case the client has any transaction of purchases / sales, securities or collateral deposit / withdrawal, the company will send the statement of account to client within 7 days following the month ending date. In case there are not any transaction, the company will send the statement of account to the client only in June 6. Compliance with Rules and Regulations. and December. The company business operating is regulated by the Securities and Exchange Commission, Thailand, Stock Exchange of Thailand, Thailand Futures Exchange, Association of Thai Securities Companies, Thai Bond Market Association, Thailand Clearing House Co., Ltd, Anti-Money Laundering Office, The office of the Agricultural Futures Trading Commission, The Exclusive Agricultural Futures Exchange. Therefore, the client can follow up the rules, regulations and announcements from the websites of these regulators. Investor Type Classification The marketing officer has already considered the client's information and documents for trading application, and then classified the client as the investor type. General Investor High Net Worth Investor ( ) Juristic Person (1) ( ) Individual Person (2) Institutional Investor 1. For the institutional investor and the high net worth investor (juristic person), the client has the privilege that not to be assessed for suitability investment or doing the transaction of financial product in capital market, in order that the institutional investor and the high net worth investor are able to accept the investment risk (Sophisticated Investor) rather than the general investor. 2. For the general investor type, the client shall acknowledge the limitation that the client is not able to invest in high-risk. financial instruments, compared to the institutional investor and the high net worth investor. For example, the general investor is not able to invest in the financial instrument which is issued and offered only for the institutional and high net worth investor, and some of the complicated or high-risk financial instruments. Remarks Definition of the High Net Worth Investor 1) Juristic Person who have any following items. a) The amount of shares holding is equal to or more than 100 million baht, as shown in the latest audited financial statement. b) The amount of direct investment in securities or derivatives is equal to or more than 20 million baht, as shown in the latest audited financial statement. 2) Individual Person including the spouse who have any following items. a) The value of net asset, excluding the real estate for regular resident, is equal to or more than 50 million baht. b) The annual income is equal to or more than 4 million baht. c) The amount of direct investment in securities or derivatives is equal to or more than 10 million baht. Sign... The Client Sign... The Marketing Officer ( ) ( ) Date... Date... CS 23/04/2014

22 Power of Attorney Duty Stamp THB 30.- Executed at KT 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 the Grantor hereby authorize Age years, ID Card No. / Passport No. Relationship of the Grantor located at Tel. Hereinafter called the Attorney-in-fact having power to deal with KT 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 expenses 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 KT ZMICO Securities Company Limited. Any acts duly 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 the presence of witness. Signature The Grantor ( ) Signature Attorney-in-fact ( ) Signature Witness / Marketing Officer ( ) Signature Witness ( )

23 I/We POWER OF ATTORNEY Duty Stamp 30 Baht Executed at KT ZMICO Securities Company Limited Date.... age years. ID Card / Passport No.. address... (hereinafter called the Grantor ) By this instrument hereby appoint KT ZMICO SECURITIES COMPANY LIMITED (hereinafter called the Attorney-in-fact ) to be the Grantor s attorney-in-fact and having power to act on the Grantor s behalf to the following activity :- (1) SECURITIES AND BENEFIT MANAGEMENT on behalf :- To execute trade transactions of purchase/sell, transfer, take a transfer as well as to cancel, amend of all types of securities in and outside the Stock Exchange of Thailand. Including to receive shares both in scripless and/or physical form for deposit, to deliver/transfer shares in scripless form, to withdraw shares in physical form, to convert shares, to subscribe, to exercise, to have tender offering and other securities activities. In addition, to authorize for any dealing and/or performing for any legal transaction made with any third party and/or the authorized agent under the Grantor s name and on the Grantor s behalf. (2) FUND AND BENEFIT MANAGEMENT on behalf :- To pay for securities purchased, to receive monies from selling of securities, to transfer or to remit the fund maintained in my account, to accept to pay for brokerage fee, taxes, stamp duty, withholding tax and other expenses related to the securities trading, to accept and legally perform under the Grantor s the instructions according to pay, receive, accept, amend, correct, endorse, keep and deposit of dividend distributions, and other book closing of financial benefits, interest and any right arising from such securities together with withholding tax and/or income tax and to submit the same to the revenue department, and, in addition, to make payment for any debt incurred in the purchases and/or sale of the said shares in the Grantor s name and on the Grantor s behalf regardless of whether the payments are made to a third party or to the authorizes agent itself, and, in this connection, to be empowered to issue receipts, to endorse cheques and/or other instruments used in the purchase and/or sale and/or to enter into any legal transaction relating to the shares and/or securities. (3) DOCUMENTATION MANAGEMENT SUPPORTS on behalf :- To sign on the Grantor s behalf in any legal transaction and/or any instrument including letter, document or agreement used in the purchase and/or sale and/or transfer and/or share conversion and/or share subscription and/or tender offering and/or acceptance of transfer of the shares and/or securities and/or those pledged by the Grantor with the authorized agent itself and/or other party, and/or to give a notice revoking the pledge. In addition, to sign in the proxy and/or attend and/or have any voting under the Grantor s instruction and to receive any official notice and certify true copy for the supporting document. (4) OTHER REQUIREMENTS on behalf :- To perform any other activity under the laws, conditions and terms, and other obligations related to the aforementioned transaction which is necessary or appropriated in the exercise of any of the power granted in this Power of Attorney made with KT ZMICO Securities Company Limited. Any act duly 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 hereunto. Signature. The Grantor (.) Signature. The Attorney-in-fact ( KT ZMICO SECURITIES COMPANY LIMITED ) Signature. Witness (.) cs 06/11/2013 Signature. Witness (.)

24 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 Company s Seal Remarks : Signature Marketing Officer 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 Company s Seal Remarks : Signature Marketing Officer

25 บร ษ ทหล กทร พย เคท ซ ม โก จ าก ด KT ZMICO SECURITIES COMPANY LIMITED ช น 21 อาคารล เบอร ต สแควร เลขท 287 ถนนส ลม เขตบางร ก กร งเทพฯ th Floor, Liberty Square, 287 Silom Road, Bangrak, Bangkok Tel. +66 (0) Fax : +66 (0) หน งส อขอให ห กบ ญช เง นฝากธนาคาร Letter of Consent for Debit to the Bank Account (ATS) ว นท / Date เร ยน ผ จ ดการ ธนาคาร ส าน กงานใหญ / สาขา To The Manager of (Bank) Head Office / Branch ข าพเจ า เจ าของบ ญช เง นฝากประเภท ออมทร พย กระแสรายว น I Owner of Savings A/c Current A/c บ ญช เลขท (10 หล ก) ช อบ ญช A/c No. (10 digits) A/c Name สถานท ต ดต อ Contact Address No. รห สไปรษณ ย โทรศ พท Post Code Tel. ม ความประสงค ให ธนาคารห กเง นจากบ ญช เง นฝากด งกล าวของข าพเจ าเพ อช าระหน และ/หร อบรรดาภาระผ กพ นต าง ๆ ให แก บร ษ ทหล กทร พย เคท ซ ม โก จ าก ด (ต อไปน เร ยกว า บร ษ ท ) ตามจ านวนท ปรากฏในใบแจ งหน หร อแผ นบ นท กข อม ล (Diskette) หร อข อม ลอ เล คทรอน ค (Electronic data โดยการ Upload) ท ทางธนาคารได ร บจากบร ษ ท และน าเง นด งกล าว โอนเข าบ ญช ของบร ษ ท Request the Bank to debit my aforesaid account and credit the same amount to the bank account of KT ZMICO Securities Company Limited (hereinafter called the Company in accordance with the amount as shown in the transaction which the bank receives from the Company via Internet System for the payment of the debt and/or any obligations due to the Company. ในการห กเง นจากบ ญช เง นฝากของข าพเจ าเพ อช าระหน และ/หร อบรรดาภาระผ กพ นต าง ๆ ให แก บร ษ ทด งกล าว หากปรากฏในภายหล งว าจ านวนเง นท บร ษ ทแจ งแก ธนาคารน นไม ถ กต อง และธนาคารได ท าการห กเง นจากบ ญช เง นฝากของข าพเจ าตามจ านวนท ปรากฏในใบแจ งหน หร อแผ นบ นท กข อม ล (Diskette) หร อข อม ลอ เล คทรอน ค (Electronic Data โดยการ Upload) เร ยบร อยแล ว ข าพเจ าตกลงท จะด าเน นการเร ยกร องเง นจ านวนด งกล าวจากบร ษ ทโดยตรง โดยท งน ข าพเจ าขอสละส ทธ ในการเร ยกร องหร อฟ องร องให ธนาคารชดใช เง นท ธนาคารได ห กโอนจากบ ญช เง นฝากของข าพเจ าเพ อช าระหน แก บร ษ ทตามใบแจ งหน หร อแผ นบ นท กข อม ล (Diskette) หร อข อม ลอ เล คทรอน ค (Electronic Data โดยการ Upload) ท ธนาคารได ร บจากบร ษ ทและข าพเจ ายอมร บว าธนาคารจะห กเง นจากบ ญช ของข าพเจ าได ต อเม อเง นในบ ญช ม เพ ยงพอในการห กบ ญช ในขณะน นเท าน น และในการห กบ ญช เง นฝากด งกล าว ข าพเจ าไม ประสงค จะให ธนาคารแจ งการห กบ ญช แต อย างใด เน องจากข าพเจ าสามารถทราบรายการด งกล าวน นได จากสม ดเง นฝากของ ธนาคาร และ/หร อจากใบร บเง น และ/หร อ ใบเสร จร บเง นของบร ษ ทอย แล ว 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 amount contained in the transaction which the Company notifies the Bank is incorrect and that 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 me the sum 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 or invoice/receipt of the Company. ในกรณ ท เอกสารหล กฐาน เลขท บ ญช เง นฝากท กล าวในวรรคข างต นได เปล ยนแปลงไปไม ว าโดยเหต ใดก ตาม หน งส อขอให ห กบ ญช เง นฝากฉบ บน คงม ผลใช บ งค บส าหร บบ ญช เง น ฝากหมายเลขท ได เปล ยนแปลงน น ๆ ได ด วยท กประการ การให ห กบ ญช เง นฝากด งกล าวข างต น ให ม ผลใช บ งค บท นท น บแต ว นท าหน งส อน และให ม ผลบ งค บต อไปจนกว าจะได เพ กถอนโดยท าเป นลายล กษณ อ กษรให ธนาคารและบร ษ ททราบอย างน อยล วงหน า 30 ว น 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 the Bank or my written instruction to revoke this letter of consent is given to the Bank and the Company not less than 30 days in advance. ขอแสดงความน บถ อ / Sincerely yours, ลงลายม อช อ ผ ให ความย นยอม Signature Consenting party (ตามท ให ไว ก บธนาคาร / As that given to the bank) ร บรองลายม อช อผ ให ความย นยอม Certified as authenticated signature of the consenting party. ลงช อ/Signed บร ษ ทหล กทร พย เคท ซ ม โก จ าก ด KT ZMICO Securities Company Limited ตรวจสอบแล วถ กต อง Certified correct account and true of the consenting party signature. ลงช อ /Signed ลายม อช อผ ร บมอบอ านาจธนาคาร Authorized Signature of the Bank กร ณาแนบ ส าเนาสม ดค ฝากบ ญช ธนาคารหร อส าเนาใบแจ งรายการบ ญช ธนาคาร (หน าท ม ช อและเลขท บ ญช ) พร อมร บรองส าเนาถ กต อง Please provide the copy of Passbook / Statement with Name and Bank Account No. (Certified true copy)

26 Name - Surname : Part 1 Personal Information 1. Age Over 55 years years years 3 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? 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 4. Do you have experience or knowledge of investment in the following investment products. (Can choose more than one answer) 5. How long do you expect to have no need to spend the money on this investment.? 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 years years 3 More than 5 years 4 6. What is the main purpose of your investment? Focus the initial investment must be safe but generate consistency returns, although it may be low Considering of your investment from risks and returns, please choose the group of risk tolerance that you prefer? 8.If you choose to invest in assets with higher risks, but the chances of loss also high too. How do you feel? 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? Part 2 Investment In Derivatives money to invest more. Can you accept this? Part 3 Overseas Investment Suitability Assessment Form for Individual 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 Group 1 The opportunity to earn a return of 2.5% with no loss at all. 1 Group 2 The opportunity to get maximum return of 7%, but may be a loss of up to 1%. 2 Group 3 The opportunity to get maximum return of 15%, but may be a loss of up to 5%. 3 Group 4 The opportunity to get maximum return of 25%, but may be a loss of up to 15%. 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 Still confident, because understand that must be invest in long term, and will increase the same type of 4 investment to average cost. 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 12. Beside of investment risks, can you accept foreign exchange rate risks? KT-ZMICO Public Company Limited hereby would like to request for your kind cooperation to provide a genuine answer in order to obtain a proper assessment of the investors risk profile. Not acceptable Slightly acceptable Acceptable Total scores Not acceptable Moderately acceptable Total risk is acceptable Score C&I*Suitability Test Form#1/2016 Effective 28/3/2016 Page1/2

27 Total Scores Below 15 scores scores scores Type of Investors Low-risk investor : This type of investor has small tolerance for investment risk. You require an investment return higher than bank deposit rates and aim to invest over the short term. Bank deposit and Shortterm debt securities Government Debt Securities with maturity more than 1 year Corporate Debt Securities Equity instruments Alternative investment (including commodity/derivatives) <20% <10% <5% Medium-to-moderate-low-risk investor : This type of investor <20% <70% <20% <10% has rather small investment risk tolerance. You emphasized on capital protection and aim for regular income generated from investment. Table-level of risk assessment to invest in various investment instrument Medium-to-moderate-high-risk investor : This type of investor <10% <60% <30% <10% is able to accept investment loss occasionally. > 60% Basic Asset Allocation Type of Financial Intrusments that can be invested and Risk Spectrum Should invest in: a little equities / debt instruments and fund level 1 / can invest in fund level 2-8 < 20% of total investment Should invest in: some equities / debt instruments and fund level 1-4 / can be invest fund level 5-8 < 20% of total investment Should invest in: moderate equities / debt instruments and fund level 1-5 / can be invest fund level 6-8 < 20% of total investment scores Over 37 scores High-risk investor : This type of investor is able to accept high 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 <10% <40% <40% <20% <5% <30% >60% <30% Should invest in: quite large equities and a little derivatives / debt instruments and fund level 1-7 / can be invest fund level 8 < 20% of total investment Should invest in: equities/ some derivatives / debt instruments level 1-8 substantial risk and can accept quite high investment loss. Risk Levels and Type of Funds (Wealth) Low Level 1 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 Moderate to High Level 5 High Level 6 Mixed Funds : The investment policy is to invest in both fixed income instruments and equities. Equity Funds : The investment policy focuses mainly on equities, amounting to an average of at least 65% of NAV over the financial year. Moderate to Low Level 2 Level 3 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. Government Bond Funds : The investment policy focuses on government securities, amounting to an average of 80% of NAV over the financial year. Very High Level 7 Level 8 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 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. Level 4 Fixed Income Funds : The investment policy is to invest in general fixed income instruments. 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. 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. 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. 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. 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. Signature ( ) Please sign as the same as you give sighature to company For Marketing Officer Investor For Credit Control Office Signature Signature Signature Marketing Officer / / Signature Examiner Recorder C&I*Suitability Test Form#1/2016 Effective 28/3/2016 Page2/2

28 How to complete the FATCA Form of Company 1. All applicants who open new account both of Individual (since 1 Jul. 14) and Organization /Entity (since 1 Jan. 15) are required to answer all questions on FATCA Form of company. This is to presence whether you are U.S. person or U.S. Entity. 2. When applicants completed following FATCA form no.1, please refer to the below guideline for further completion on IRS Form in case of the needs. 2.1 FATCA Form for Individual Customer Part 1: Status of Customer If answer in FATCA Form Complete Form U.S. Person Check Yes in any one question W-9 Non-U.S. Person Check Yes in any one question, Have some U.S. Indicia W-8BEN Check No in every question 2.2 FATCA Form for Organization / Entity Customer Not required to complete W-8BEN Part 1: Status of Applicant If answer in FATCA Form Complete Form U.S. Entity Check Yes in the question W-9 Non-U.S. Entity Check Yes in any one question W-8BEN-E Check No in every question Not required to complete W-8BEN-E For more information, please check out from the link below: 1. Instructions for the Requester of Form W-9 (Rev. December 2014) 2. Instructions for Form W-8BEN (Rev. February 2014) 3. Instructions for Form W-8BEN-E (June 2014) C&I - Instruction for KT Zmico s FATCA Form_revise

29 แบบฟอร ม FATCA ส าหร บล กค าประเภทบ คคลธรรมดา FATCA Form for Individual Customer หน งส อฉบ บน มอบให แก บร ษ ทหล กทร พย เคท ซ ม โก จ าก ด และบร ษ ทในเคร อรวมถ งกล มธ รก จการเง นของ บร ษ ทหล กทร พย เคท ซ ม โก จ าก ด (ไม ว าแต ละรายหร อรวมก นในหน งส อฉบ บน รวมเร ยกว า ผ ร บ ) เพ อประโยชน ของผ ร บและบ คคลท สาม ตามท กล าวถ ง ในส วนท 4 ของหน งส อฉบ บน โดยให ถ อว าบ คคลด งกล าวท งหมดเป นผ ร บหน งส อฉบ บน เช นก น This form is provided to KT 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 arealso the Receiver of this form. ข อม ล / ค าย นย น / และข อตกลงของล กค า Customer s Information / representation / and agreement ว นท /Date ผ เป ดบ ญช (ค าน าหน า / ช อ / นามสก ล) / / Applicant Name (Title / Name / Last name) ส ญชาต ไทย อ นๆ (โปรดระบ ท กส ญชาต ท ท านถ อ) Nationality (ies) Thai Other (Please specify all nationalities that you hold.) ล กค าเลขท Customer No. เลขท บ ตรประชาชน (ส าหร บคนไทย) Thai Citizen ID Card No. เลขท หน งส อเด นทาง (เฉพาะคนต างชาต ) Passport No. (Non-Thai only) ส วนท 1 Part 1 สถานะของล กค า Status of Customer บ คคลอเมร ก น / U.S. Person หากท านท าเคร องหมายในช อง ใช ช องใดช องหน ง โปรดกรอก แบบฟอร ม W-9 และข ามค าถามในส วน ไม เป นบ คคลอเมร ก น ข างท ายน If you check Yes in any one box, please complete IRS Form W-9 and skip the Non-U.S. Person questionnaire below. 1. ท านเป นบ คคลอเมร ก นใช หร อไม โปรดตอบ ใช หากท านเป นพลเม องอเมร ก น แม ว าท านอาศ ยอย นอกสหร ฐ โปรดตอบ ใช หากท านม สถานะเป นพลเม องของหลายประเทศ และหน งในน นค อเป นพลเม อง อเมร ก น โปรดตอบ ใช หากท านเก ดในสหร ฐ (หร อด นแดนท เป นของสหร ฐ) และย งไม ได สละความเป น พลเม องของสหร ฐตามกฎหมาย 1. Are you a U.S. Citizen? You must answer Yes if you are U.S. citizen even though you reside outside of the U.S. You must answer Yes if you hold multiple citizenships, one of which is U.S. citizenship. You must answer Yes if you were born in the U.S. (or U.S. Territory) and have not legally surrendered U.S. citizenship. ใช Yes ไม ใช No C&I - FATCA FORM # 2/2015 (Effective 13/05/2015) Page 1/5

30 บ คคลอเมร ก น (ต อ) / U.S. Person (continue) 2. ท านเป นผ ถ อบ ตรประจ าต วผ ม ถ นท อย ถาวรอย างถ กกฎหมายในสหร ฐ อเมร การ (เช น กร นการ ด) ใช หร อไม โปรดตอบ ใช หากส าน กงานตรวจคนเข าเม องและส ญชาต ของสหร ฐอเมร กาได ออกบ ตร ประจ าต วผ ม ถ นท อย ถาวรอย างถ กต องตามกฎหมายในสหร ฐอเมร กาให แก ท านไม ว าบ ตรด งกล าว ของท านจะหมดอาย แล วหร อไม ณ ว นท ท านกรอกและลงลายม อช อในแบบฟอร มน ควรตอบ ไม ใช หากบ ตรด งกล าวของท านได ถ กสละยกเล ก หร อถอดถอนอย างเป นทางการ แล ว ณ ว นท ท านกรอกและลงลายม อช อในแบบฟอร มน 2. Are you a holder of any U.S. Permanent Resident Card (e.g. Green Card)? You must answer Yes if the U.S. Citizenship and Immigration Service (USCIS) has issued a U.S. Permanent Resident Card to you, regardless of whether or not such card has expired on the date you complete and sign this form. You should answer "No" if such card has been officially abandoned, revoked, or relinquished as of the date you sign and complete this form. ใช Yes ไม ใช No 3. ท านม สถานะเป นผ ม ถ นท อย ในสหร ฐเพ อว ตถ ประสงค ในการเก บภาษ อากรของสหร ฐใช หร อไม ท านอาจถ กพ จารณาว าเป นผ ม ถ นท อย ในสหร ฐหากเป นไปตามเกณฑ Substantial Physical Presence Test ต วอย างท ท านจะถ อว าเป นไปตามเกณฑ น ในป ป จจ บ น ท านอย ในสหร ฐอย างน อย 183 ว น เป น ต น และหากต องการรายละเอ ยดเพ มเต ม โปรดศ กษาข อม ลใน website ของหน วยงานจ ดเก บภาษ อากร ของสหร ฐ ด งน 3. Are you a U.S. resident for U.S. tax purposes? You may considered a U.S. resident if you meet the Substantial Physical Presence Test. You will meet this test if, for instance, during the current year, you were present in the U.S. for at least 183 days. For more details, please refer to the information on the IRS website ไม เป นบ คคลอเมร ก น / Non-U.S. Person หากท านตอบว า ใช ในข อใดข อหน ง โปรดกรอกแบบฟอร ม W-8BEN พร อมท งส งเอกสารประกอบ (1) ส าเนาบ ตรประชาชนส าหร บคนไทย หร อ (2) ส าเนาหน งส อเด นทางส าหร บคนต างชาต ท แสดงว าไม ใช คนอเมร ก น If you check Yes in any one box, please complete IRS Form, W-8BEN and provide supporting document(s): (1) A copy of Thai Citizen ID card or (2) A copy of passport in case you are not a Thai citizen which indicate that you are not a US Person 1. ท านเก ดในสหร ฐอเมร กา (หร อด นแดนท เป นของสหร ฐอเมร กา) แต ได สละความเป นพลเม องอเมร ก น อย างสมบ รณ ตามกฎหมายแล ว ใช หร อไม กรณ ท ตอบ ใช โปรดให ส าเนาหน งส อร บรองการเส ยส ญชาต อเมร ก น เป นเอกสารประกอบ 1. Were you born in the U.S. (or U.S. Territory) but have legally surrendered U.S. citizenship? In case you answer Yes, please provide supporting document; A copy of Certificate of Loss of Nationality of the United States. C&I - FATCA FORM # 2/2015 (Effective 13/05/2015) Page 2/5 ใช Yes ใช Yes ไม ใช No ไม ใช No

31 ไม เป นบ คคลอเมร ก น (ต อ) / Non-U.S. Person (continue) 2. ท านม ท อย อาศ ยในป จจ บ นหร อท อย เพ อการต ดต อในสหร ฐอเมร กา ส าหร บบ ญช ท เป ดไว ก บ / ผ าน ผ ร บ ใช หร อไม Do you have a current U.S. residence address or U.S. mailing address for the account opened with/through the Receiver? 3. ท านม หมายเลขโทรศ พท ในสหร ฐอเมร กาเพ อการต ดต อท าน หร อบ คคลอ นท เก ยวข องก บบ ญช ท เป ดไว ก บ / ผ าน / หร อม อย ก บ ผ ร บ หร อไม Do you have U.S. telephone number for contacting you or another person in relation to the account opened with or through or maintained with the Receiver? 4. ท านม ค าส งท ารายการโอนเง นเป นประจ าโดยอ ตโนม ต จากบ ญช ท เป ดไว ก บ/ผ าน/หร อม อย ก บ ผ ร บ ไป ย งบ ญช ในสหร ฐอเมร กา ใช หร อไม Do you have standing instructions to transfer funds from the account opened with or through or held with the Receiver to an account maintained in the U.S.? 05. ท านม การมอบอ านาจ หร อให อ านาจการลงลายม อช อแก บ คคลท ม ท อย ในสหร ฐอเมร กา เพ อการใดๆ ท เก ยวข องก บบ ญช ท เป ดไว ก บ / ผ าน / หร อม อย ก บ ผ ร บ ใช หร อไม Do you have a power of attorney or signatory authority for the account opened with or through or held with the Receiver granted to person with U.S. address? ใช /Yes ใช /Yes ใช /Yes ใช /Yes ไม ใช /No ไม ใช /No ไม ใช /No ไม ใช /No ส วนท 2 Part 2 การย นย นและการเปล ยนแปลงสถานะ Confirmation and Change of Status 1. ท านย นย นว า ข อความข างต นเป นความจร ง ถ กต อง และครบถ วนสมบ รณ You confirm that the above information is true, correct, accurate and complete. 2. ท านร บทราบและตกลงว าหากท านม สถานะเป นบ คคลอเมร ก น แต ข อม ลท ให ตามแบบฟอร มน หร อตามแบบฟอร ม W-9 เป นข อม ลอ นเป นเท จ ไม ถ กต อง หร อไม ครบถ วนสมบ รณ ผ ร บม ส ทธ ใช ด ลยพ น จแต เพ ยงฝ ายเด ยว ท จะย ต ความส มพ นธ ทางการเง น / ทางธ รก จก บท านไม ว าท งหมดหร อ บางส วนตามท ผ ร บเห นสมควร You acknowledge and agree that if you are a U.S. Person but the information provided on this form or Form W-9 is false, inaccurate or incomplete, the Receiver 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 Receiver. 3. ท านตกลงท จะแจ งให ผ ร บได ทราบ และน าส งเอกสารประกอบให แก ผ ร บภายใน 30 ว น หล งจากม เหต การณ เปล ยนแปลงอ นท าให ข อม ลของท านท ระบ ในแบบฟอร มน ไม ถ กต อง และในกรณ ท ผ ร บม การร องขอเอกสาร / ข อม ล / ค าย นยอมเพ มเต ม ท านตกลงท จะด าเน นการให แล วเสร จตามท ได ร บ การร องขอภายในเวลาท ผ ร บก าหนด You agree to notify and provide relevant documents to the Receiver 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 Receiver has requested for additional document / information / consent. 4. ท านร บทราบและตกลงว าในกรณ ท ท านไม ได ด าเน นการตามข อ 3 ข างต น หร อม การน าส งข อม ลอ นเป นเท จไม ถ กต อง หร อไม ครบถ วนสมบ รณ เก ยวก บสถานะของท านผ ร บม ส ทธ ใช ด ลยพ น จแต เพ ยงฝ ายเด ยวท จะย ต ความส มพ นธ ทางการเง น / ทางธ รก จก บท านไม ว าท งหมดหร อบางส วนตามท ผ ร บเห นสมควร 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 the Receiver to terminate, at its sole discretion, the entireor part of banking / business relationship with you may be deemed appropriate by to the Receiver. C&I - FATCA FORM # 2/2015 (Effective 13/05/2015) Page 3/5

32 ส วนท 3 Part 3 การย นยอมให เป ดเผยข อม ลและการห กบ ญช Authorization for information disclosure and account withholding ภายใต ขอบเขตของกฎหมายท เก ยวข อง และ / หร อ ข อตกลงใดๆ ระหว าง ผ ร บ และหน วยงานภาษ อากรในประเทศ และ / หร อ ต างประเทศ ท านตกลงให ความย นยอม และตกลงท จะไม เพ กถอนการให ความย นยอมด งกล าวแก ผ ร บ ในการด าเน นการด งต อไปน To the extent required by applicable laws and/or any agreements between the Receiver and domestic and/or foreign tax authorities, the Customer hereby irrevocably authorize the Receiver to: 1. เป ดเผยข อม ลต างๆ ของท านให แก บร ษ ทในกล มของผ ร บ เพ อประโยชน ในการปฏ บ ต ตาม FATCA หร อกฏหมายใดๆ หน วยงานจ ดเก บภาษ อากรใน ประเทศ และ/หร อต างประเทศ ซ งรวมถ งหน วยงานจ ดเก บภาษ อากรของสหร ฐ (Internal Revenue Service: IRS) ข อม ลด งกล าว ได แก ช อ ท อย เลข ประจ าต วผ เส ยภาษ หมายเลขบ ญช สถานะตามหล กเกณฑ เร อง FATCA (ค อ เป นผ ปฏ บ ต ตาม หร อผ ไม ให ความร วมม อ) จ านวนเง นหร อม ลค า คงเหล อในบ ญช การจ ายเง นเข าออกในบ ญช ในระหว างป ปฏ ท นท ผ านมา รายการเคล อนไหวทางบ ญช จ านวนเง น ประเภทและม ลค าของผล ตภ ณฑ ทางการเง น และ/หร อทร พย ส นอ นๆ ท ม อย ก บผ ร บ และ/หร อเป ดผ านผ ร บ ตลอดจนจ านวนรายได และข อม ลอ นๆ ท เก ยวก บความส มพ นธ ทาง การเง น/ทางธ รก จท อาจถ กร องขอโดยบร ษ ทในกล มของผ ร บ หน วยงานทางภาษ อากรในประเทศ และ/หร อต างประเทศ ซ งรวมถ ง IRS ด วย Disclose to the group companies of the Receiver 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 Receiver 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 Receiver, domestic and/or foreign tax authorities, including the IRS; 2. ห กเง นจากบ ญช ของท านท ม ก บผ ร บหร อเป ดผ านผ ร บ และ/หร อ เง นท ท านอาจม หร อม ส ทธ ได ร บจากผ ร บ รวมถ งเง นได ท ท านได ร บจากบ ญช ด งกล าว ในจ านวนท ก าหนดโดยหน วยงานจ ดเก บภาษ อากรในประเทศ และ/หร อต างประเทศ ซ งรวมถ ง IRS ด วย ภายในบ งค บของกฎหมาย และ/หร อ กฎเกณฑ ต างๆ รวมถ งความตกลงใดๆ ระหว างบร ษ ท และหน วยงานจ ดเก บภาษ อากรด งกล าว Withhold from your account opened with/through the Receiver and/or the income you may have or may be entitled to get paid from the Receiver and/or the income derived from such accont 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. หากท านไม ให ข อม ลท จ าเป นต อการพ จารณาสถานะความเป นบ คคลอเมร ก น (U.S. person) หร อข อม ลท จ าเป นต องรายงานให แก ผ ร บ หร อไม ให ค า ย นยอมให ผ ร บด าเน นการอ นใด รวมถ งการเป ดเผยข อม ลและการห ก ณ ท จ าย ตามท ระบ ในหน งส อฉบ บน ผ ร บม ส ทธ ใช ด ลยพ น จแต เพ ยงฝ ายเด ยวท จะย ต ความส มพ นธ ทางการเง น/ทางธ รก จก บท านไม ว าท งหมดหร อบางส วนตามท ผ ร บเห นสมควร 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 tothe Receiver, or if you fail to provide a waiver of a law that would prevent reporting, the Receivershall be entitled to terminate, at its sole discretion, the entire or part ofbanking/business relationship with you as may be deemed appropriate by the Receiver. ส วนท 4 Part 4 การอน ญาตให บ คคลท สามใช ประโยชน และข อตกลงในเอกสารน Customer s authorization for the third parties to use this form, information disclosure, consent and agreement in this form เพ อความสะดวกของท าน (ล กค า/ผ ขอใช บร การ ) และเป นการลดภาระความซ าซ อนของท าน ในการน าส งเอกสาร/ข อม ล/ค าย นยอมให ก บบร ษ ท และ สถาบ นการเง นต างๆ ท เป นเจ าของผล ตภ ณฑ ท ผ ร บ เป นต วแทนขาย (หร อเป นผ จ ดจ าหน าย) เป นรายๆ ไป รวมท งกรณ ท ท านเป ดบ ญช ก บบร ษ ท/สถาบ น การเง นใดๆ ผ าน ผ ร บ โดยหน งส อฉบ บน ท านร บทราบและย นยอมให บ คคล (รวมน ต บ คคล) ด งต อไปน ท งหมด (อ นได แก 1.บร ษ ทจ ดการ/กองท น/สถาบ น การเง นใดๆ ท ท านท าธ รกรรมทางการเง นผ าน หร อเป ดบ ญช เง นฝาก หร อ บ ญช ซ อขายหล กทร พย หร อใช บร การทางการเง นอ นใดท งโดยตรงหร อผ าน ผ ร บ 2. ผ สน บสน นการขายฯ รายอ น และผ เก ยวข องก บบร ษ ทจ ดการ /กองท น/สถาบ นการเง นด งกล าวข างต น 3. สมาช กของกล มธ รก จทางการเง นของ ผ ร บ และ 4. ต วแทน หร อผ ท เก ยวข อง หร อบร ษ ทในเคร อของบ คคลด งกล าวข างต นท งหมด ) ท งในป จจ บ นและอนาคต ม ส ทธ ใช เอกสาร /ข อม ล/ค าย นย น และค า ย นยอมใดๆ เก ยวก บการแสดงตนและการเป ดเผยข อม ล หร อห ก ณ ท จ าย ตามเอกสารฉบ บน และเอกสาร /ข อม ลท อ างถ ง (ซ งต อไปน จะรวมเร ยกว า เอกสารและข อม ล ) ตามกฎหมายท เก ยวข องท งในและต างประเทศ (รวมถ งกฎหมาย FATCA และกฎหมายป องก นและปราบปรามการฟอกเง นและการ สน บสน นทางการเง นแก การก อการร าย) เสม อนหน งว า ท านได มอบเอกสารและข อม ลน น และได ให ค าย นย น/ค าย นยอมก บบ คคลด งกล าวข างต นท กราย C&I - FATCA FORM # 2/2015 (Effective 13/05/2015) Page 4/5

33 และให บ คคลด งกล าวข างต นรวมถ งหน วยงานราชการท งในและต างประเทศและบ คคลท เก ยวข องท กรายสามารถน าส ง/ใช เอกสาร และข อม ลใดๆ ของท าน ระหว างก นได ไม ว าจะอย ในร ปส าเนา หร อเอกสารฉบ บจร ง ก ให ม ผลผ กพ นก บท านท กประการ 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. ข าพเจ าร บทราบและตกลงปฎ บ ต ตามข อก าหนด ข อตกลง และเง อนไขต างๆ ในเอกสารฉบ บน ซ งรวมถ งตกลงย นยอมให ม การ เป ดเผยข อม ล การห กบ ญช และการย ต ความส มพ นธ ทางการเง น/ทางธ รก จก บข าพเจ า เพ อเป นหล กฐานแห งการน จ งได ลงลายม อช อ ไว เป นส าค ญ By signing in the space below, 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. ลายม อช อของล กค าผ เป ดบ ญช Signature of Applicant ว นท Date.... /..../... ส าหร บเจ าหน าท บร ษ ทฯ เท าน น / For company Use Only เจ าหน าท การตลาด Marketing Officer ผ ม อ านาจลงนาม Authorized Person ว นท Date.... /..../... ว นท Date.... /..../... ส วนบร การล กค าและควบค มวงเง น / Customer Services & Credit Control ผ ตรวจสอบลายเซ น Checked by ว นท Date.... /..../... ผ อน ม ต Approved by ว นท Date.... /..../... ผ บ นท ก Input by ว นท Date.... /..../... C&I - FATCA FORM # 2/2015 (Effective 13/05/2015) Page 5/5

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