Asia s Financial Gateway. Fund Unit

Transcription

1 Asia s Financial Gateway Fund Unit

2 Supporting Documents for Fund Unit Trading Application for Opening Fund Unit Trading Account Please insert information in printed letters and attach fully the documents specified. Client Code: Name of Investment Consultant..... [ ] Head Office [ ].... Branch Date: To: Chief Executive Officer CGS-CIMB Securities (Thailand) Co., Ltd. I hereby desire to become a client trading fund units with CGS-CIMB Securities (Thailand) Co., Ltd. For this purpose, I provide such details and information as set out in this document, and I warrant and confirm that they are complete and true to fact in every respect. In the event of a subsequent change in any of such information, I will so notify the Company in writing immediately. General Information In the Event of a Juristic Person: [ ] Limited Company [ ] Public Limited Company [ ] Limited Partnership [ ] Registered Ordinary Partnership [ ] Other:.. Juristic Person Name: (In Thai).... (In English)... Certificate of Registration from: [ ] Ministry of Commerce [ ] Ministry of Interior, No..., Date of Registration: Province/Country of Registration:.Specific Business License (if any) no. Type of Business: Taxpayer s ID no. Place of Contact/Location:. Telephone:.. Fax: Website ... Names of Authorized Directors Signing to Open the Account: 1... Nationality: Nationality:. Names of Shareholders Representing 20 or More Percent of Registered Capital: 1. Holding Percent Shares, Nationality: 2. Holding Percent Shares, Nationality: Names of Shareholders with 50 Percent Shares of Juristic Person above: 1.. Holding Percent Shares, Nationality: 2. Holding Percent Shares, Nationality: Has the enterprise information about a report on a transaction with a reasonable ground to suspect? [ ] Yes, that is..... [ ] No Relationship with a Politician: [ ] Yes (Please specify) [ ] No Name of Contact Person: Mobile Phone: F M _ F U T ( E N G )

3 Supporting Documents for Fund Unit Trading In the Event of a Natural Person: [ ] Mr. [ ] Mrs. [ ] Miss [ ] Other: Specify.. Name: (In Thai).. (In English).... Date of Birth: Age: Years, Nationality: Country of Residence: [ ] Identification Card [ ] Public Servant s ID card [ ] Passport [ ] Other:..No.. Issued by Date of Issue: Expiry Date:. Taxpayer s ID No.. Record of Change of Name over the 3-Year Period: [ ] Yes (Please attach evidence.) [ ] No Marital Status: [ ] Single [ ] Married [ ] Widowed [ ] Divorced, Name of Spouse:. Occupation:.Position:.... Place of Work: Telephone:.. House Registration Address: Postcode:... Present Address (if different from house registration): Postcode:... Home Phone:. Mobile Phone:. Fax: Highest Education:.... Major:.. Institute:... Country:.. Your and / or Your Spouse s Political Position: [ ] Yes (Please specify)... [ ] No Purpose of Investment: [ ] Speculation [ ] Dividend [ ] Other : (Please specify).. Source of Funds/Income: [ ] Personal Business [ ] Salary/Wages [ ] Dividend/Interest [ ] Savings [ ] Borrowing [ ] Inheritance [ ] Other:.. Work Information: [ ] Business Owner [ ] Public Servant / State Enterprise Employee [ ] Company Employee [ ] Bank / Financial Institution Employee [ ] Securities Company Employee [ ] Other: Place of Work:...Type of Business:.. Position:...Working Life:.. Years Workplace Location: Postcode:. Telephone: Fax:. Monthly Income: Baht Other Incomes per Month: Baht Source of Other Incomes:... Property: 1...Value:.. Baht [ ] Unencumbered [ ] Encumbered 2...Value:.. Baht [ ] Unencumbered [ ] Encumbered Credit Line(s) Maintained with Bank(s)/Financial Institution(s): 1. Sum Limit: Baht 2. Sum Limit: Baht Other Securities Companies Contacted: 1. Company:..Account Type: Sum Limit: Baht 2. Company:..Account Type: Sum Limit: Baht Form of Identification of Applicant Record of Offenses Committed under the Money Laundering Law over the Past 3 years: [ ] Never [ ] Yes (Please specify).. Beneficiary of the Final Stage of Transaction (Please specify): Name:.... Relationship:.. Person Having Control over the Final Stage of Transaction (Please specify): Name: Relationship:.. Person Authorized to Act on Applicant s Behalf (if any) (Please specify): Name: Relationship:.. (Please specify details in the power of attorney.) 2 F M _ F U T ( E N G )

4 Supporting Documents for Fund Unit Trading Methods of Receiving/Making Payment and Receipt of Privileges 1. Methods of Receiving/Making Payment Natural Person [ ] Debit/Transfer to ATS account of Bank.. Branch. Account Type: No.. (Please insert details in the request for bank deposit account debit (ATS), provided the bank account name is the same as one used for the opening of the account with the Company, and attach a copy of the page specifying the account name and number of the account book.) [ ] Debit/Transfer to ATS, the same account as my securities trading account CSG - CIMB Securities (Thailand) Co., Ltd. account of Bank... Branch. Account Type: No.. Juristic Person [ ] Debit/Transfer to ATS account of Bank.. Branch. Account Type: No.. (Please insert details in the request for bank deposit account debit (ATS), provided the bank account name is the same as one used for the opening of the account with the Company, and attach a copy of the page specifying the account name and number of the account book.) [ ] Transfer via Bank... Branch. Account Type: No.. [ ] Payment received/made by cheque to be collected by a collector at [ ] registered [ ] present [ ] workplace address [ ] Other:.. 2. Receipt of Privileges (i.e. dividend, interest, including rights in money derived from securities) [ ] Money transfer into the ATS system as specified in 1 above [ ] Transfer into the account of Bank.... Branch. Account Type: No.. (Please attach a copy of the page specifying the account name and number of the account book.) Note: In the event no account details are specified, the Client allows the payment to be credited to the deposit account specified under the Methods of Receiving/Making Payment. Place of Contact / Document Delivery Place of Contact: [ ] Workplace [ ] House Registration Address [ ] Contact Address Needed for Trading (State):... Telephone:.. Place of Document Delivery: [ ] Workplace [ ] House Registration Address [ ] Contact Address Needed for Document Delivery (State):... Telephone:.. Specimen Signature of Owner of Natural Person Account 1 2 Specimen Signature of Owner of Juristic Person Account (Person Authorized to Act on Juristic Person s Behalf) Director No. 1 Director No. 2 Specimen Seal of Juristic Person Specimen Signature of Attorney Acting for Account Owner (if any) 1 2 I agree that the Company is allowed to examine information on my creditability, financial position and debt payment records against any other persons; and that any other persons having my information as aforesaid is allowed to disclose it to the Company; and that the Company is allowed to keep such information, whether or not I am accepted as a client and whether such information is kept by the Company itself or transmitted for storage at the Credit Bureau; and that the Company is allowed to disclose such information as it thinks fit. I hereby certify that the details above are true, correct and complete in every respect and that I have not opened the fund unit trading account for other persons. Client s Signature.. 3 F M _ F U T ( E N G ) (....) Seal of Juristic Person

5 Supporting Documents for Fund Unit Trading Documents Accompanying Fund Unit Trading (Copies to Be Certified True and Correct) Note: The Company reserves the right not to return the supporting documents to the Client at all events. Account Owner - Natural Person ( ) A copy of the identification card/public servant s card/passport ( ) A copy of the house registration ( ) A copy of a bank account for the last 6 months and/or other documents indicating financial position ( ) 30-Baht revenue stamps Account Owner - Juristic Person ( ) A copy of the identification card(s) of the director(s) or partner(s) ( ) A copy of the house registration(s) of the director(s) or partner(s) ( ) A copy of the Memorandum of Association ( ) Specimen signature(s) of person(s) authorized to sign on juristic person s behalf ( ) Financial statements of the last 2 years at least ( ) Minutes of a meeting for the opening of a fund unit trading account ( ) Other power of attorney (if any) ( ) A copy of the certificate of registration or a copy of the business license ( ) 30-Baht revenue stamps Attorney-in-Fact (in the event of authorization) ( ) A power of attorney ( ) A copy of the identification card/public servant s card/passport ( ) A copy of the house registration ( ) 30-Baht revenue stamps For Company Staff Use Investment Consultant s Opinion Investment Background, Knowledge and Understanding:.. Limitations of Investment:.. Objective of Investment: ( ) Short-term ( ) Medium-term ( ) Long-term ( ) Other:.. Other Opinion:.. Signed.. Investment Consultant (..)../../. Chief of Dept. / Chief of Sec. / Team Leader../../. Branch Manager / Chief of Marketing Dept.../../ 4 F M _ F U T ( E N G )

6 Fund Unit Trading Agency/Brokerage Agreement Date:... This Agreement is made and entered into at CGS-CIMB Securities (Thailand) Co., Ltd., between CGS-CIMB Securities (Thailand) Co., Ltd., with its office located at No , Sinthorn Tower 2, 2 nd, 3 rd Floors, and Sinthorn Tower 3, 12 th Floor, Wireless Road, Lumpini, Pathumwan, Bangkok Thailand, hereinafter referred to as the Company on the one part, and..., hereinafter referred to as the Client on the other part. WHEREAS the Company carries on securities business, being granted a license to carry on securities business in the category of agency or brokerage for the sale and purchase of securities, the trading of securities or the distribution of securities which are fund units and being granted approval from the Office of the Securities and Exchange Commission for the performance of its duty as an agent to provide sale support, take redemptions and switch fund units according to law, as well as to give advice on investment and provide services regarding sales and purchases of fund units or any other related transactions; NOW, THEREFORE, the parties agree upon the terms and conditions as set forth as follows: Clause 1 Unless otherwise expressly specified in this Agreement, the terms as hereafter set out shall have the following meanings: Units means Mutual Fund units issued by a Mutual Fund under the Securities and Exchange Act B.E and shall include equity instruments, Fixed income instruments, securities in a money market or such other products as may be specified in future by the Mutual Fund and/or the Office; Mutual Fund means a program of investment by collecting money of Unit buyers and managing it via a Management Company for the purpose of generating returns for the Fund; Management Company means an asset management company which has entered into a contract or has an agreement with the Company to act as agent providing sale support, taking redemptions and switching Units of a Mutual Fund in accordance with the conditions stipulated; Unit Switching means a redemption of Units of a Mutual Fund (Switching-out Fund) so that the proceeds thereof are applied to a purchase of Units of another Mutual Fund (Switching-in Fund); provided, however, that the Switching-out Fund and the Switching-in Fund may be under the management of the same Management Company or a different Management Company; Securities Exchange means the Stock Exchange of Thailand, including exchange markets for foreign securities; Office means the Securities and Exchange Commission, the Office of the Securities and Exchange Commission, The Thailand Clearing House Co., Ltd., The Thailand Securities Depository Co., Ltd. or any other agencies under the securities business laws; Company means CGS-CIMB Securities (Thailand) Co., Ltd., and shall include persons authorized to act on behalf of the Company, attorneys-in-fact, employees or persons entrusted by the Company under this Agreement; Service Provider means a juristic person whose agreement with the Company involves the receipt and transmission of trading orders or transactions of the Client via the internet network system of the service provider for the purpose of achieving the objectives under this Agreement; Internet System means the performance of electronic transactions with the use of computers or electronic equipment interconnected among the networks of the Company, the Client, the Securities Exchange, the Office, the Management Company, and the Service Provider, which are able to communicate with one another for the purpose of buying, selling and switching Units, and shall include the performance of transactions related to the Agreement, searches of data or information, copying of data files and use of any other programs under this Agreement; Electronic Transactions means steps, procedures, actions and transactions caused by the Company and/or the Client or by both parties with the use of electronic procedures in whole or in part, according to the Electronic Transactions Act B.E or any other pertinent rules; Transactions relating to the Agreement means transfers, taking of transfers, taking of delivery, delivery, or any other actions relating to the trading or switching of Units, including transactions related to the Securities Exchange, the Office and the Management Company; User Name means the name of a service user, who is a client authorized to gain access to the Internet System(s) of the Company and/or the Service Provider under this Agreement; Password means the password specific to a client, to be used to confirm that he/she is a person authorized to gain access to the Internet System(s) of the Company and/or the Service Provider under this Agreement. Clause 2 The Client agrees to appoint and authorize the Company as his/her agent and/or broker to trade in or switch Units, and the Company is also authorized to carry out transactions relating to the trading of Units on behalf of the Client under this Agreement. To this, the Client agrees and consents to be responsible for binding himself/herself to his/her Unit trading or switching orders in every respect. The Client may place verbal or written orders or issue orders via telephone, facsimile, computer or any other electronic communication equipment, the Internet System, or any other customary procedures for Unit trading, which are generally adhered to. When the Company has received a clear order without doubt, such order shall be deemed one duly issued by the Client and the Client accepts the consequence of such order as if it had been issued by the Client in person. Clause 3 In the event the Client desires to trade in or switch Units and/or to request the use of services via the Internet System, the Client shall consent to and comply with the conditions and procedures notified by the Company in its electronic media or on its website, which electronic media and website are either now present or would be amended in future, and the Company and the Client agree that they shall be deemed to constitute a part of this Agreement. The Client agrees to request the following services: (1) trading in Units via the Internet System; (2) receipt of documents via the Internet System; and (3) receipt/making of payments from/to the Company via an automatic system (ATS). 5 F M _ F U T ( E N G )

7 Fund Unit Trading Agency/Brokerage Agreement Clause 4 The Client agrees to record any order in person by a computer or communication devices or electronic equipment and transmit his/her order via the Internet System to the Internet System of the Company. The Client accepts and understands well that trading or a transaction via the Internet System is deemed to constitute an exclusive right with the use of his/her User Name, Password and/or such other methods as specified by the Company, and that such trading or transaction shall be binding upon him/her in every respect. The Client agrees and consents to be responsible for those acts as if they had been performed by the Client in person. The Client warrants and confirms that he/she has knowledge and understanding of the rules and procedures for trading and/or transactions via the Internet System and has good knowledge and understanding of risks that may occur in the Internet System. Clause 5 The Client is aware that it is the right of the Company to reject a Unit purchase order of the Client in the case where the Client incurs outstanding debts resulting from securities trading or where he/she owes any other debts to the Company or in any other event of necessity for the purpose of protection against damage that may be caused to the Company. In this connection, the Client agrees to waive all rights to be brought up as defenses against the Company in every respect. Clause 6 The Client agrees to pay to the Company for the purchase of Units, including such fees, value-added tax and other expenses as required by the Company in every respect. In the event the Client has failed to pay for the purchase of the Units, the brokerage, the fees or any other moneys in the amounts or within the time specified by the Company, the Client shall be deemed to owe debts to the Company and the Client consents to pay interest at the rate of 15 (fifteen) percent per annum calculated from the due date until completion of the payment by the Client. Notwithstanding, the interest rate is subject to change as may be notified from time to time by the Company without notice required to be given to the Client. Clause 7 The Client allows the Company to foreclose on his/her Units and apply the proceeds of the sale thereof or a withdrawal of the balance in his/her Unit trading account to the payment of the debts owed by the Client to the Company either now or in the future until the Company exercises the right to terminate this Agreement, whereupon the Client agrees that he/she will not raise a dispute or objection in any way. Clause 8 The Client agrees to authorize the Company to perform any of the following acts under the conditions of this Agreement: (1) To buy, sell, switch, transfer, take transfers of, take delivery of, deliver, and possess the Units; (2) To appoint and remove subagents for the performance of any acts under the conditions of this Agreement; (3) To sign any relevant letters, records, documents or instruments or to perform such other acts as necessary or reasonable so as to achieve the objective(s) under the conditions of this Agreement; (4) In the event the Client pass away or is placed in absolute receivership or becomes a bankrupt or incompetent or quasi-incompetent person, the Client allows the Company the right to manage or perform any acts against the Units, securities, moneys, properties, rights of claim or any benefits of the Client so as to protect the interests of the Clients and/or of the Company. For this purpose, the Client agrees to allow the Company the right to sell his/her Units in whole or in part immediately so as to apply the proceeds thereof to the payment of all debts owed by the Client to the Company without notice required to be given to the Client. (5) The Client allows all the Units of the Client to be treated as collateral for the payment of his/her debts under this Agreement and/or all other debts due by the Client to the Company. Clause 9 The Client agrees to entrust the Company with the duty to take care of and keep the Units, securities, moneys or any other properties of the Client, including any of his/her privileges. For this purpose, the Client agrees to bind himself/herself and warrant to the Company as follows: (1) The Client agrees and accepts that the Company may invest and exploit the Client s funds for a specific client and/or for collective clients of the Company in one or more manners, such as (1) by depositing the funds with a commercial bank or other banks established by a specific law; (2) by making investments in any other forms as stipulated by the Office; provided, however, that for the abovementioned investments the Client agrees to allow the Company to deposit the funds and/or make investments with such persons related either directly or indirectly to the Company as specified by the Office. In the event properties (Units, moneys, securities, any other properties) of the Client are lost or damaged as a result of the Company s negligence to perform its duty, the Company will be responsible for the Client s properties in full. (2) The Company has the right to charge a fee for the care of the Units, securities, moneys or any other properties of the Client at the rate and in accordance with the procedure stipulated by the Company without having to obtain the Client s consent; (3) The Client warrants and confirms that, before entering into this Agreement, the Client has acknowledged and understood well the Client s practices and the Company s procedure for depositing or withdrawing moneys, Units, securities and/or any other properties of the Client. (4) The Client acknowledges that his/her moneys will not be subject to the criteria and conditions for granting protection of the Financial Institutions Development Fund. Therefore, the Financial Institutions Development Fund in no way stands surety for the repayment of principal and interest on the Client s moneys. (5) The Company will submit a statement of assets to the Client monthly, except in any month during which the Client has no active transaction or change to the properties of which the Company has been assigned to take care under this Agreement, the Company has the right to submit no statement of assets for that month. And in the event the Client has no transaction of such nature for 6 (six) or more consecutive months, the Company has the right to submit a 6 (six) month statement of assets to the Client instead. 6 F M _ F U T ( E N G )

8 Fund Unit Trading Agency/Brokerage Agreement (6) The Client agrees to comply with the Company s rules and procedures relating to the deposit and withdrawal of the Client s properties from the Company or the care and maintenance of the Client s properties as well as the fee for the care and maintenance thereof, which rules and procedures are present prior to or at the time of the execution of this Agreement. To withdraw his/her properties each time, the Client shall so notify the Company in writing or take action in accordance with such other procedure as stipulated by the Company, including that for signing, provided such withdrawal does not exceed the actual number of properties after deduction of various debts of the Client. In addition, in the event of a change to the rules and procedures mentioned above, the Company will so notify the Client in accordance with the method stipulated by the Company. Clause 10 This Agreement is effective in perpetuity until terminated by either party, who shall so notify the other in writing not less than 15 (fifteen) days counting from the date the termination of this Agreement shall become effective. Notwithstanding, the Company has the right to terminate the Agreement immediately if the Client has failed to pay his/her debts to the Company within the time specified or has breached any provision of the Agreement. Clause 11 In the event of changes to the laws, regulations and notifications of the Office, the Securities Exchange or relevant agencies or where the Company desires to notify any other requirements or conditions that affect the conditions under this Agreement, the Company reserves the right to make such modifications to any terms under this Agreement as the Company thinks fit so that they become consistent with and conform to such laws, regulations and notifications. On the Company s having so notified the Client in writing or via its website, the Client agrees and consents to be bound to comply strictly therewith without consent being required of him/her. Clause 12 The Client agrees to allow the Company to assign to any other individual or juristic person the rights, obligations, liabilities, interests, properties and sureties he/she has given, either in whole or in part, under this Agreement, provided the Company so notifies the Client in writing. Clause 13 Notices, notifications, letters, memorandums, documents and announcements under this Agreement, if sent by the Company by messenger or by post or to the address notified by the Client, or posted at the Company s office or published in a newspaper or given otherwise to the Client, irrespective of whether they have been received or acknowledged by the Client or have been received by other person on the Client s behalf, shall be deemed duly served on the Client. If the Client has changed his/her address, place of contact, telephone number or address, the Client must so notify the Company in writing immediately. Clause 14 The Client allows the Company to disclose all or part of the information relating to the Client under this Agreement or any other transactions related to securities business operation, which are kept by the Company in all formats, and he/she agrees and consents to provide information required for the purposes of supervision the consolidation members within the same group of juristic persons, the parent company, subsidiaries or affiliates or supervision under the laws, rules, regulations, notifications and orders of the Securities Exchange, the Office, the Anti-Money Laundering Office, supervisory agencies, or government units. Clause 15 This Application has been prepared in both Thai and English. In the event of any inconsistency, the Thai version shall apply and be binding upon the parties. IN WITNESS WHEREOF, the Client, having read and understood thoroughly the terms hereof and seen that they are consistent with their intentions in every respect, subscribed his/her name and seal (if any) in presence of witnesses. Seal of Juristic person Signed...the Client (...) Signed...the Company (...) Signed...Witness Signed...Witness (...) (...) Investment Consultant Checker / Recorder 7 F M _ F U T ( E N G )

9 Letter of Acknowledgement of Rules, Conditions and Procedures For Over-the-Counter the Stock Exchange of Thailand Date:.. WHEREAS I,, herein referred to as the Client, entered into an agreement and appoint CGS-CIMB Securities (Thailand) Co., Ltd., herein referred to as the Company, to perform the duty as an agent/broker for securities trading both on the Stock Exchange of Thailand and over the counter, according to the Agency/Brokerage Agreement dated., herein referred to as the Brokerage Agreement ; AND WHEREAS the Client desires to invest in units of a mutual fund by buying and/or selling the fund units over the counter; AND WHEREAS the Company has been appointed to perform its duty as an agent providing sale support and taking redemptions of mutual fund units from the Management Company; NOW, THEREFORE, the Client makes this Letter in favor of the Company in accordance with the following conditions: Clause 1 The Client agrees to bind himself/herself to and comply with the rules, conditions and procedures for buying and/or redeeming the fund units over the counter as follows: 1.1 The Client agrees and accepts that he/she will prepare a fund unit purchase and/or redemption order in accordance with the form and procedure determined by the Company in every respect. 1.2 In the event the Client places a purchase order for fund units and pays the Company for the purchase thereof by cheque, the Company will advance on the Client s behalf the payment for the purchase of those fund units prior to the time of his/her awareness of the result of the collection of the payment under the cheque. And in the event the Client places a redemption order for fund units, the Company will receive on the Client s behalf the payment for the fund unit redemption so that it will be later handed over to the Client. 1.3 In the event the Company cannot collect the payment under the cheque the Client has paid for the purchase of the fund units, the Company has the right to place an order for the redemption of the fund units received as a result of such purchase order immediately at such other time as the Company thinks fit and the Company has the right to receive the payment for the redemption of those fund units so as to apply it to the repayment of the advance the Company has paid on the Client s behalf for the purchase of the fund units, together with a penalty at the rate fixed by the Company. However, if the proceeds of the redemption of the fund units are not sufficient for the amount to be repaid to the Company, the Client shall repay to the Company the difference together with a penalty (if any) immediately and any document or evidence, including the certificate of rights to the fund units the Client receives as a result of the redemption of those fund units shall be deemed cancelled immediately. 1.4 In the event the Company and/or a person designated by the Company takes any action under this Letter, the Client shall be deemed to have granted to the Company and/or the person designated by the Company the power to take such action, that is, to prepare a fund unit purchase and/or redemption order; to receive the payment for the redemption of the fund units; and to sign his/her/its name and/or perform any other acts on the Client s behalf in every respect. 1.5 Where the purchase price and/or the redemption price of the fund units as notified by the Management Company is/are not correct and the price(s) is/are offset in accordance with the notification of the Office of the Securities and Exchange Commission ( SEC ) governing rules and procedures to be carried out by the management company in the event the sale price and/or the redemption price of units of an open-end fund is/are not correct, the Client agrees and consents to the offset against the fund units the Company has purchased and/or redeemed pursuant to the Client s order in accordance with the criteria and conditions of such notification in every respect and/or with such criteria and conditions as the Company sees fit and the Client consents to pay any additional amount (if any) to the Company as a result of such price offset immediately upon being so notified by the Company. 1.6 The Client accepts and acknowledges that: (1) The Company will hold on the Client s behalf the fund units, except some mutual funds as determined by the Company, such as a retirement mutual fund (RMF), etc. For this purpose, the Client shall open an account for the sale of units of those mutual funds via the Company by signing an application for use of services of a mutual fund and/or an application for opening of a fund account and/or any other form together with such accompanying documents as determined by the Management Company and/or the Company. (2) To perform its duty as an agent/broker for the purchase and/or redemption of the fund units under this Letter, the Company also has the right to receive from the Management Company a fee and/or remuneration for the performance of its duty as a supporter to the sale of the fund units. (3) If the Company purchases and/or redeems the fund units pursuant to the Client s order, the Client has no right to cancel his/her order for the purchase and/or redemption of the fund units unless the Client has obtained the Company s consent. 1.7 The Client agrees and consents to bind himself/herself to and comply in every respect with such details and conditions as stipulated in the prospectus for the redemption of the fund units in which the Client has invested under this Letter. 8 F M _ F U T ( E N G )

10 Letter of Acknowledgement of Rules, Conditions and Procedures For Over-the-Counter the Stock Exchange of Thailand Clause 2 The Client is well aware that, to perform the duty as an agent supporting sales and/or taking redemptions of fund units under this Letter, the Company and/or its staff performing the duty to sell and/or take redemptions of the fund units have the duty and commitment to comply with notifications of the SEC and/or notifications of the SEC Office and/or regulations, rules or instructions of any other competent government agencies, or with pertinent laws. Therefore, the Client agrees and consents to cooperate, to his/her full capacity, with the Company and/or its staff performing the duty to sell and/or take redemptions of the fund units and to comply in every respect with such rules, conditions and procedures for performing the duty as an agent supporting sales and/or redemptions of fund units as stipulated by the Company; and he/she consents to provide his/her personal information and information for reporting on transactions under the law governing money laundering prevention and suppression, such as Know Your Customer (KYC), Customer Due Diligence (CDD), etc., and to prepare or sign such documents or evidence as required; and the Client warrants to the Company that he/she will not perform or omit, or allow other persons to perform or omit, any acts to such an extent that the Company, directors, staff and employees of the Company are fined, undergo punishments, become liable or sustain damage under the SEC s notifications and the SEC Office s notifications and/or the regulations, rules or instructions of any other competent government agencies or any other pertinent laws. If the Client violates or fails to comply with such warranty, he/she agrees and consents to indemnify the Company and its directors, staff and employees immediately upon being so notified by the Company. Clause 3 In the event the Client desires to cancel this Letter, he/she shall so notify the Company in writing not less than 15 (fifteen) business days in advance. Clause 4 Where a provision in this Letter is inconsistent with the law or inapplicable according to law or fact or any circumstance or becomes null and void by operation of any law, the Client agrees that the lawfully applicable provisions shall be deemed to continue to be in force. Clause 5 The Client agrees that the Letter shall be deemed to constitute a part of the Agency/Brokerage Agreement. All terms and conditions stipulated in the Agency/Brokerage Agreement shall also apply mutatis mutandis hereto. Clause 6 The Client agrees and accepts that the Company has the right to cancel and/or refuse compliance with the Letter immediately at any time without prior notice required to be given to the Client in any way. Clause 7 The Client agrees and accepts that the Company has the right to alter, update or change the rules, conditions and procedures for performing the duty as an agent or broker for the purchase and/or redemption of fund units over the counter and/or the rules, conditions and procedures for performing the duty as an agent supporting sales and/or taking redemptions of fund units, as well as to charge fees and/or service fees and/or such other relevant expenses as the Company thinks fit. To this, the Company agrees to so notify the Client and the Client agrees and binds himself/herself to comply strictly in every respect with such alterations, updates or changes so made by the Company. IN WITNESS WHEREOF, the Client has subscribed his/her name hereunto. Seal of Juristic person Signed...the Client (...) Signed... Investment Consultant / Witness (...) 9 F M _ F U T ( E N G )

11 Investor s Manual (Omnibus) Rights of Investor 1. The Company can sell fund units to more than 1 management company. Therefore, the Investor should exercise the right to request information on the names of all management companies to which the Company sells the fund units. 2. For convenience of communication, the Investor should exercise the right to request information on the names and addresses of the management companies and the Company, including the names, addresses and identification numbers of the staff performing the duty to sell or take redemptions of fund units. 3. To substantiate a decision to invest, the Investor should exercise the right to request information on risks of a mutual fund which he/she has been recommended to buy, as well as information on warnings and explanations regarding risks of investment in mutual funds (when compared to other types of investment). 4. In order to become fully aware of information of a mutual fund, which shall be used to substantiate a decision to invest, the Investor should exercise the right to request information on the current status of the mutual fund, for example, the mutual fund in which he/she will invest is operating normally, not being in the process of merging with another fund in which he/she does not want to invest, etc. To do this is for maximum benefit of the Investor. 5. Since the Company can sell fund units to more than 1 management company and may receive unequal fees or returns from the respective management companies, the Investor should exercise the right to request information on the rates of the fees or returns received by the Company so as to make a comparison. 6. If you are an investor who is contacted without a request or notice given to the seller, you can refuse to receive any communication for a sale of fund units. 7. If you are an investor who is contacted without a request or notice given to the seller and has decided to invest, in such a case you can exercise the right to cancel the purchase or redemption of the fund units during a period of time prescribed by law. Filing of Complaint about Investment in Mutual Fund A unit holder can file a complaint via any of the following channels: 1. Person as Agent (Company) The unit holder can complain about the fund unit trading as well as any other issues relating to investment in a mutual fund. To this, he/she can complain orally or file a written complaint with an individual who is an agent of the Company. If you complain orally, you can have the Company s agent record your complaint in writing, provided you make a review and subscribe your name at all times to confirm the accuracy thereof. The individual who can act as agent of the Company can initially solve the problem about which you have complained and he/she has the duty to collect complaints and solutions to problems and forward them to the management companies for acknowledgement within 7 (seven) days counting from the date of the conclusion. 2. Management Company The unit holder can complain about the fund unit trading as well as any other issues relating to investment in a mutual fund. To this, he/she can complain orally or file a written complaint with the management company. If you complain orally, you can have the management company record your complaint in writing, provided you make a review and subscribe your name at all times to confirm the accuracy thereof. The management company has the duty to resolve problems or complaints of unit holders and to collect complaints and solutions to problems quarterly for the SEC Office within 15 (fifteen) days counting from the ending date of the relevant quarter. 3. Office of the Securities and Exchange Commission (SEC Office) The unit holder can complain to the SEC Office about the fund unit trading as well as any other issues relating to investment of a mutual fund. On having acknowledged such complaint, the Office will forward it to the management company in order that it take steps to resolve the complaint, whereupon the management company shall prepare a report for filing with the Office within 30 (thirty) days counting from the date of receipt of the complaint. If the management company does not complete the action, it shall report the progress to the Office every 30 (thirty) days until completion. When a conclusion has been reached about the case, the management company or the person who is an agent of the company, as the case may be, has the duty to so notify the unit holder within 7 (seven) days counting from the date of the conclusion. 10 F M _ F U T ( E N G )

12 Investment Suitability Assessment Form Completing this form is to provide the client s awareness of their risk profile that suits their investment. The fact and truthful information provided by the client would affect the service and advice received from the company. So, the company would need the client s cooperation to complete this form to know the appropriate investment. Individual Client name: Juristic Person name: Major corporate clients can inform no desire to complete the form by performing the following conditions. Name of respondent: Having shareholder s equities of the latest financial statement from 100 million baht and up. Having direct investment in securities or futures contracts from 20 million baht and up. Questions Relationship: 1. How old are you now? Over 55 years years years Below 35 years 2. What is the current proportion of your financial burdens and regular expenses, such as house and car purchase installments, personal expenses, family support? More than 75 percent of total income More than50 percent to 75 percent of total income 25 percent to 50 percent of total income Less than 25 percent of total income 3. What is your current financial status? Assets being lower than liabilities Assets being equal to liabilities Assets being greater than liabilities Being confident that your savings or investments are sufficient for living after your retirement 4. What is your previous experience in or knowledge of investment in any of the following group of assets? (Can answer be more than 1 choice? If there are many answers, the answer with the highest points shall be selected as the score calculation basis.) Bank deposits Debentures or fixed income fund Government bonds or government bond funds Natural shares or equity funds or other high-risk assets งส ง 5. How long that you expectedl not require to use the fund allocated for investment? Less than 1 year 1 to 3 years 3 to 5 years More than 5 years 6. Your main objective of investing is: Emphasize on secure investment yielding regular income despite its low return; Emphasize regular income with fairly risk to loss some principal; Emphasize regular income with higher risk to loss more principal; Emphasize on the highest income in long term, with risk to loss majority of principal; 7. Having considered the figure showing returns on the possible portfolios below, in which portfolio are you most willing to invest? No. 1: with the possibility of receiving 2.5% returns without any loss. No. 2: with the possibility of receiving 7% returns with a possible loss 1% No. 3: with the possibility of receiving 15% returns with a possible loss 5% No. 4: with the possibility of receiving 25% returns with a possible loss 15% Score 8. What is your opinion, If you choose to invest in assets with the possibility of receiving high reture despite high risk to loss? Are worried and anxious; afraid of losses Feel uncomfortable, but understandable Understand and accept a certain level of volatility Do not worry about the possibility of high loss and expect highter return. 9. What proportion of decrease in the value of your investments that makes you feel worried or unacceptable? 5% or less Over 5% to 10% Over 10% to 20% Over 20% 10. If last year you invested 100,000 THB but this year you found that the value of your investments decreased to 85,000 THB, what will you do? Are frightened and want to sell off the remainder of your investment; Worry and will adjust part of your investment to lower-risk assets Continue holding them patiently and wait for a self-adjustment of the returns to their former status. Remain confident and understand long-term investment and will add funds in the same manner for cost distribution Scoring base answer = 1 score answer = 2 score answer = 3 score answer = 4 score Total Score 11 F M _ F U T ( E N G )

13 Investment Suitability Assessment Form Questions are additional information for guidance the investment Derivative and ELN and Cross border trading only (no include score). 11. If the investment in derivatives and equity-linked notes becomes successful, you will receive returns at a very high rate. But if the investment fails, you may lose all of your investments and may be required to make a partly investment in compensation. Can you accept this risk? Not acceptable Slightly acceptable Acceptable 12. In addition to the investment risk, can you accept foreign exchange risk? Not acceptable Slightly acceptable Acceptable Terms and conditions for Investment Suitability Assessment 1. The Client consents to provide information to the Company staff to support the preparation of a Suitability Test form for the Client, and the Client acknowledges that this questionnaire has been prepared for the purposes of acknowledgement of investment risks acceptable to him/her/it. 2. The assessment of the level of investment risks of the Client is based only on information provided by the Client to the Company staff. However, this does not indicate that the Company accepts the accuracy, truthfulness, completeness or reliability of the information so provided by the Client and of the result of such assessment. 3. When the Company staff has assessed the investment risk of the Client and notified the Client of the result of the assessment of the level of his/her/its investment risk, the Client is deemed to acknowledge the result of his/her/its assessment (which has been processed from the information provided by the Client to the Company), and the Client has acknowledged the level of his/her/its investment risk. 4. The Client should study investment-related information (including warnings about investment and investment risks, and should seek investment advice from those who are able to provide investment advice to you) carefully and thoroughly, concurrently with studying the result of the investment risk assessment, so as to use them to support his/her/its decision to invest in securities, derivatives, instruments or other types of investment that are appropriate for him/her/it, before deciding to invest. Notwithstanding, information about investment or instruments, which has been received from an agent of the Company (if any) is merely a part of the information supporting the Client s decision for investment. 5. Investment depends on a decision of the Client himself/herself/itself and is not tied to the result of the Client s assessment, and it may not conform to the level of investment risks so received under this Test Form. In addition, the Client consents to accept a risk resulting from his/her/its investment in the event he/she/it has decided to invest at a higher level of risk than that based on the assessment result. The Client is deemed to agree and consent to take such investment risk himself/herself/itself. The Client accepts that his/her/its investment may not be in accordance with the assessment result and can deviate from it. 6. The Company, including its employees and officers, assumes no liability, obligations or duties for any damage resulting from the Client s investment. 7. The Company reserves the right to alter, update or change the Form of Risk Assessment for the Client s investment, assessment results and relevant information without having to give prior notice in any way. The Suitability Test Form including relevant information is available for service only for investors in Thailand. The client, having read the warnings and relevant information above, understood and agreed and consented to the warnings and relevant terms of agreement. Signed.. The Client Signed.. Investment Consultant Branch/ Team.. Date of answer suitability test Score Level Type of Investor Below 15 1 Low Risk Medium-to-moderate low risk Medium to moderate high risk High Risk up to 37 5 Very High Risk Basic Asset Allocation % of investment Type of Investor Bank saving and Long term Equity Corporate Equity instrument Optional* short term fixed Fund Bond income fund Low risk > 60% < 20% < 10% < 5% Medium-to-moderate low risk < 20% < 70% < 20% < 10% Medium to moderate high risk < 10% < 60% < 30% < 10% High risk < 10% < 40% < 40% < 20% Very high risk < 5% < 30% < 60% < 30% *Including commodities and future contract 12 F M _ F U T ( E N G )

14 Client s Name Name of whom answer self-assessment form (For Juristic Person) Identification Card / Registration No. Telephone No. Self-Assessment Form For The Investment in Highly Complex and Risky Products Suggestion The Client who desires to invest in Highly Complex and Risky products shall provide the answers in this Self-Assessment Form with the truthful, up-to-date and complete information, as well as corresponding with your risk appetite. Our services or advice shall be based on your self-assessment results provided herein. Section 1 For every client Section 2 For the client who obtains less than 15 points from Section 1 Or an individual client whose age is greater than 60 years old Or a vulnerable client. Highly Complex and Risky Products Investment units in mutual fund Debt instruments Hedge fund Investing in complex derivatives Complex Return Fund embedded feature Investing in derivatives in commodity products Subordinated debt securities for Basel III capital Investing in Non-Investment Grade debt securities requirement Perpetual Bond Non-Investment Grade Bond / Unrated Bond Section 1: Question 1-6 for every client 1. Please provide your educational background. (Can be more than 1 answer, the answer with maximum point will be used in evaluation) Lower than the Bachelor Degree Bachelor Degree or higher in non-finance or investment areas (i.e. Law, Arts, Education, Medicine, Engineer, Humanities, and etc.) Bachelor Degree or higher in finance or investment areas (i.e. Accounting, Management, Financial Engineering, Computer, Applied Computer for Financial Management, Math for Insurance, Commerce, Economics, Financial Planning, and etc.) Hybrid securities Structured notes or other debt securities with derivatives Obtain or or above, and possess the certification in finance or investment areas (i.e. CFA, CISA, CFP, FRM, CAIA, IP, IC, and etc) Remark: Chartered Financial Analyst (CFA), Certified Investment and Securities Analyst Program (CISA), Certified Financial Planner (CFP), Financial Risk Manager (FRM), Chartered Alternative Investment Analyst (CAIA), Investment Planner (IP), Investment Consultant (IC) 2. Do you have any experience in securities investment, e.g. stock, debenture, unit trust, bill of exchange, Treasury bill, Treasury bond? If any, how long have you been investing? Never (have only bank deposits) < 1Year 1-5 Years > 5 Years 3. How often do you follow news on economic, debt, capital, and commodity, for both local and foreign, markets? Rarely Less frequent 2-4 times a week Continuously follow news every day 4. Do you have any working experience with or ever been investing in highly complex and risky products (either directly or indirectly) mentioned above? No experience in working with or investing in highly complex and risky products. Have < 1 year working or investing experience in highly complex and risky products. Having 1-3 years working or investing experience in highly complex and risky products. Having > 5 years working or investing experience in highly complex and risky products. 5. At the present, how much do you invest in highly complex and risky products or alternative investment (i.e. real estate, gold, etc.), in percentage, compare to the total investment? < 10% 10-30% 30-60% > 60% Total points from Section 1 (only question 1-5) Point 13 F M _ F U T ( E N G )

15 Self-Assessment Form For The Investment in Highly Complex and Risky Products The following questions are for additional information. (This question doesn t count) 6. Do you have any of the following limitations? Reading, hearing, visualizing, or understanding of transaction or product information documents No Yes (Pleas clarify)... Health problem or disabilities conditions that require substantial amount of money for treatment No Yes (Pleas clarify)... For the purpose of providing appropriate investment advice and risks. Client who meet the following conditions. Please complete Part 2 Assessment Form. For the client who obtains less than 15 points from Section 1 Or The Client is aged 60 or over, Or the Client answer "yes" to one of the questions in clause 6. Section 2: For the client who obtains less than 15 points from Section 1 Or an individual client whose age is greater than 60 years old Or the vulnerable clients. 1. Which factors do you concern when making investment decision (can be more than 1 answer)? Get higher return than bank deposits Acceptable principal protection level Suitable portfolio diversification Advice provided by the others Acceptable risk level Creditability of the securities/unit trust Liquidity of the securities/ unit trust Investment tenure that align with your target Others (Please specify) How much investment do you plan to allocate to highly complex and risky products, in percentage of total assets? Answer There is a risk of losing principal or the actual return is lower than the investment proceeds, but also an opportunity to earn higher returns from investing in highly complex and risky products. Example Equity linked note (ELN) Supposing that you were investing in the ELN linked with performance of CPF shares. CPF share on Trade Date was THB30.00 and its Strike Price was also THB In case the ELN was settled by the underlying share (CPF), you would receive CPF shares at THB30.00, but the market price of CPF was THB In such the case, your market value of CPF was substantially lower than the initial investment. Example - Unit trust in a mutual fund that invests in non-investment grade debt securities Supposing that you were investing in mutual fund A. This mutual fund invests in non-investment grade debt securities issued by a listed company B. Thereafter, the listed company B was suffer from financial distress and unable to service its obligation. This, in turn, resulted in a loss of your investment in mutual fund A as the redemption value was substantially lower than the initial investment. Could you be able to take the risks as provided in the examples? Please provide the reasons. Answer F M _ F U T ( E N G )

16 Self-Assessment Form For The Investment in Highly Complex and Risky Products The Client endorses for Acknowledge Self-Assessment for the Investment in Highly Complex and Risky Products For investment in highly complex and risky products through CGS-CIMB securities (Thailand) Co., Ltd. ( the Company ) I hereby consent the Company disclose my information or provide information, whether my personal information, investment information or I have provided to the Company for the purpose of my non-retail investor qualification verification. Client Signature To affix company seal (if any) Signature...Client (...) Investment Consultant Comment CGS-CIMB Securities (Thailand) Co., Ltd. Investment Consultant *Provide additional comments in case of the Client request to evaluate section 2 Manager / Head of Team *Provide additional comments in case of the Client request to evaluate section Signature Signature... (...) Trader ID....Staff ID... Branch/Team... Date... (...) Trader ID....Staff ID... Branch/Team... Date F M _ F U T ( E N G )

17 Form for Declaration of Status as U.S. Person or Non-U.S. Person Applicant Name For Individual Client Account No. Nationality (Please specify all nationalities that you hold.) ID Card No. Passport No. Part 1 Status of Client Please check the appropriate boxes corresponding to your status. If you check yes in any one box, please complete Form W-9) and ending the question. 1 Are you a U.S. Citizen? Yes No You must answer Yes if you are a 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. 2 Are you a holder of any U.S. Permanent Resident Card (e.g. Green Card)? Yes No 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. 3 Are you a U.S. resident for U.S. tax purposes? Yes No You may be considered a U.S. resident if you meet the Substantial Physical Presence Test, 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: If you check yes in any one box, please complete Form W-8BEN and provide supporting Additional Questions document(s) 1 Were you born in the U.S. (or U.S. Territory) but have legally surrendered U.S. citizenship? Yes No 2 Do you have standing instructions to transfer funds from the account opened or held with CGS-CIMB Financial Group* to Yes No an account maintained in the U.S.? 3 Do you have a power of attorney or signatory authority for the account opened or held with CGS-CIMB Financial Group Yes No granted to person with U.S. address? 4 Do you have a hold mail or in care of address as the sole address for the account opened or held with CGS-CIMB Yes No Financial Group? 5 Do you have a current U.S. residence address or U.S. mailing address for the account opened or held with CGS-CIMB Yes No Financial Group? 6 Do you have U.S. telephone number for contacting you or another person in relation to the account opened or held with Yes No CGS-CIMB Financial Group? Part 2 Confirmation and Change of Status 1. You confirm that the above information is true, correct, accurate and complete. 2. You acknowledge and agree that if you are a U.S. Person but the information provided on this form or Form W-9/ W-8BEN is false, inaccurate or incomplete, CGS-CIMB Financial Group shall be entitled to terminate, at its sole discretion, the entire banking/business relationship with you or part of such relationship as CGS-CIMB Financial Group may deem appropriate. 3. You agree to notify and provide relevant documents to CGS-CIMB Financial Group within 30 days after any change in circumstances that causes the information provided in this form to be incorrect. 4. You acknowledge and agree that failure to comply with item 3 above, or provision of any false, inaccurate or incomplete information as to your status, shall entitle CGS-CIMB Financial Group to terminate, at its sole discretion, the entire banking/business relationship with you or part of such relationship as CGS-CIMB Financial Group may deem appropriate. Part 3 Authorization for information disclosure and account withholding You hereby irrevocably authorize CGS-CIMB Financial Group to; 1. disclose to the companies under CGS-CIMB Financial Group (for the benefit of FATCA compliance), 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 into or from the account, account statements, the amount of money, the type and value of financial products and/or other assets held with CGS-CIMB Financial Group, as well as the amount of revenue and income and any other information regarding the banking/business relationship which may be requested or required by the companies under CGS-CIMB Financial Group, domestic and/or foreign tax authorities, including the IRS; and 2. withhold from your account and/or the income derived from or though CGS-CIMB Financial Group in the amount as required by the domestic and/or foreign tax authorities, including the IRS, pursuant to the laws and/or regulations, and any agreements between CGS-CIMB Financial Group and such tax authorities. 3. If you fail to provide the information required to determine whether you are a U.S. person, or to provide the information required to be reported to CGS-CIMB Financial Group, or if you fail to provide a waiver of a law that would prevent reporting, CGS-CIMB Financial Group shall be entitled to terminate, at its sole discretion, the entire banking/business relationship with you or part of such relationship as CGS- CIMB Financial Group may deem appropriate. * CGS-CIMB Financial Group shall include CGI Affiliates (China Galaxy International Financial Holdings Limited) and CIMB Group Sdn Bhd Affiliates This letter is given to CGS-CIMB Securities (Thailand) Co., Ltd., by signing in the space below, I hereby acknowledge and agree to the terms and conditions specified herein, which include permitting the disclosure of information, account withholding and termination of banking/business relationship. Given on... Signed...Applicant 16 F M _ F U T ( E N G ) (...)

18 Form for Declaration of Status as U.S. Person or Non-U.S. Person For Entity / Juristic Person Name of Organization/Entity of Applicant: Account No. For financial institutions under the definition of FATCA that have a GIIN Client GIIN: Sponsored Entity If the client is Sponsored Entity, please provide the name and GIIN of Sponsoring Entity Name on Sponsoring Entity: GIIN of Sponsoring Entity: Part 1 Status of Applicant Please check the appropriate boxes corresponding to your status / Country of Incorporation /Registration or Organization: Entity Registration Number: Thai Tax ID: Foreign Tax Identification Number(s) (please outline all if any) ID: Country: ID: Country: ID: Country: US Person status If you check Yes, please complete Form W-9. If you check No, please complete the next section. 1 Is the client a U.S. entity (an entity that has registered or has been incorporated in the U.S.)? Yes No Foreign Financial Institution / Passive Non-Financial Foreign Entity ( Passive NFFE) If you check Yes in any one box, please complete Form W-8BEN-E. 2 Is the client a financial institution under the definition of FATCA? Yes No Yes No 3 Is the client a Passive NFFE, i.e, an entity who either, has earned passive income (income from holding financial Securities and deposits, and etc. Please see the definition in Glossary of key terms ) equal to or more than 50% of total gross income, or held asset that generate passive income equal to or more than 50% of total asset, in the preceding fiscal calendar year? You should answer No if you are an entity that falls within the definitions provided in items below. 3.1 An Exempt Beneficial Owner under FATCA, e.g., Governmental Entity, International Organization or Central Bank. 3.2 An entity that is Excepted Non-Financial Foreign Entity under FATCA e.g., a publicly traded entity and its affiliates, a non-profit organization, association, foundation, or an entity that is a non-financial start-up company that has been organized less than 24 months Part 2 Confirmation and Change of Status 1. The Client confirms that the information provided by the client in this form is true, correct, accurate and complete. 2. The Client acknowledges and agrees that if the client is a U.S. person but the information provided on this form or Form W-9/W-8BEN-E is false, incorrect, or incomplete, CGS-CIMB Financial Group* shall be entitled to terminate, at its sole discretion, the entire or part of banking/business relationship with the client or part of such relationship as CGS-CIMB Financial Group may deem appropriate. 3. The Client agree to notify and provide relevant documents to CGS-CIMB Financial Group within 30 days after any change in circumstances that causes the information provided in this form to be incorrect, or after the date that CGS-CIMB Financial Group has requested for additional document/ information/ consent. 4. The Client acknowledge and agrees that failure to comply with item 3 above, or provision of any false, incorrect or incomplete information as to the client s status, shall entitle CGS-CIMB Financial Group to terminate, at its sole discretion, the entire banking/business relationship with the client or part of such relationship as CGS-CIMB Financial Group may deem appropriate. Part 3 Authorization for information disclosure and account withholding You hereby irrevocably authorize CGS-CIMB Financial Group to; 1. disclose to the companies under CGS-CIMB Financial Group (for the benefit of FATCA compliance), 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 into or from the account, account statements, the amount of money, the type and value of financial products and/or other assets held with CGS-CIMB Financial Group, as well as the amount of revenue and income and any other information regarding the banking/business relationship which may be requested or required by the companies under CGS-CIMB Financial Group, domestic and/or foreign tax authorities, including the IRS; and 2. withhold from your account and/or the income derived from or though CGS-CIMB Financial Group in the amount as required by the domestic and/or foreign tax authorities, including the IRS, pursuant to the laws and/or regulations, and any agreements between CGS-CIMB Financial Group and such tax authorities. 3. If you fail to provide the information required to determine whether you are a U.S. person, or to provide the information required to be reported to CGS-CIMB Financial Group, or if you fail to provide a waiver of a law that would prevent reporting, CGS-CIMB Financial Group shall be entitled to terminate, at its sole discretion, the entire banking/business relationship with you or part of such relationship as CGS- CIMB Financial Group may deem appropriate. * CGS-CIMB Financial Group shall include CGI Affiliates (China Galaxy International Financial Holdings Limited) and CIMB Group Sdn Bhd Affiliates This letter is given to CGS-CIMB Securities (Thailand) Co., Ltd., by signing in the space below, I hereby acknowledge and agree to the terms and conditions specified herein, which include permitting the disclosure of information, account withholding and termination of banking/business relationship. 17 F M _ F U T ( E N G ) Given on... Signed...Applicant (...) Seal of Juristic person

19 Power of Attorney Written at.. Date: I,.., holder of Identification Card / Passport / Juristic Person Certificate /.., No..., who am a client and have entered into an agency/brokerage agreement for the trading of fund units and/or the opening of a mutual fund account, as well as for the performance of transactions relating to the fund unit trading, with CGS-CIMB Securities (Thailand) Co., Ltd. (herein referred to as the Company ), do hereby authorize: *, of. nationality, holder of Identification Card / Passport No.*.., dated of issue:., expiry date:., Marital Status:* [ ] Single [ ] Married [ ] Divorced [ ] Widowed Spouse s Name:. Present Address:*., Village No., Lane/Alley,.Road,.. Sub-district,.District,.. Province, Postcode:...Country:...., Home Phone:, Fax:, Mobile Phone: . Occupation:*. Place of Work:* Workplace Phone:*.. Being related as (herein referred to as the Attorney ) For this purpose, the Attorney shall have the lawful powers to perform the following acts on my and the Company s behalf: (1) To place orders for fund unit purchases, sales or switching; as well as to certify and confirm the orders for fund unit purchases, sales or switching or carry out any other transactions and sign relevant documents; (2) To pay for the purchases or switching of fund units, receive cheques for the sales or switching thereof, receive dividends/interest or any other rights resulting from the fund units, receive a cheque following a withdrawal of any other surety; (3) To sign his/her name to transfer, take a transfer of, take delivery of, delivery or possess the fund units; as well as to sign relevant documents; (4) To give notice of the application of the proceeds of a sale or a withdrawal of security money or a bank account debit to the payment for a purchase of fund units; as well as to give notice of the credit of the proceeds of a sale or a withdrawal of security money to my account maintained with a bank, provided such notification shall be in accordance with the procedure stipulated by the Company as well as with any other procedure I have requested from the Company for the use of the services. Any acts and things performed by the Attorney within the extent of this Power of Attorney shall be deemed to be binding upon me and I am responsible for them and they shall be deemed as if had been performed by me in person in every respect until a notice of cancellation has been issued. IN TESTIMONY WHEREOF, I have subscribed my name and seal (if any) in the presence of witnesses. Signature..Client/Grantor (..) Seal of Juristic person Signature Attorney ( ) Signature Witness ( ) Signature Witness ( ) Note: - Unwanted statements shall be crossed out and signed by the Grantor. - *Minimum information which must be made available fully in accordance with the government notification - Please attach copies of the Attorney s identification card and house registration, which copies have been certified true and correct. 18 F M _ F U T ( E N G )

20 Letter of Consent to debit from the deposit bank account (ATS) Letter of Consent to debit from the deposit bank account (ATS) 19 F M _ F U T ( E N G )