Account Opening Form Specifically juristic persons/entities

Transcription

1 Account Opening Form Specifically juristic persons/entities KASIKORNBANK Pcl. Branch... Date... Fund Account Number (For Officer s Use) To Kasikorn Asset Management Co., Ltd. I wish to open a fund account for trading investment units of mutual funds managed by Kasikorn Asset Management Co., Ltd. and I hereby provide information as follows: Information of Unitholder 0 0 Name of Unitholder. Nationality.. Country of Incorporation... Date of Incoporation/Registration.... Corporate Registration No Nature of Business Money Transfer Agent (Inbound and Outbound) Foreign exchange/transfer business Law/Accounting office Weaponry/Casino business Tourism Business / Travel Agency Recruitment agent (aliens/overseas employment) Jewelry/Gold Trader Private lending/unofficial loan business Entertainment Complex Antique Trading Other, please specify. Tax ID No. Registered Address : No.... Moo... Building/Village Trok/Soi... Road... Sub district...district... Province... Post Code Contact Address : No.... Moo... Building/Village Trok/Soi... Road... Sub district...district... Province... Post Code Contact Person... Title... Telephone No.... Mobile Phone No.... Facsimile No The purpose of deduction of tax. In case of dividend payment (In the case that the intention above is not indicated, I understand that withholding tax will be deducted.) (0) Do not give my consent to have tax withheld at source. (1) Do give my consent to have tax withheld at source. Source of Revenue :... Estimated Revenue per Annum Less than 10 MB From 10 MB but less than 50 MB From 50 MB but less than 400 MB From 400 MB but less than 800 MB From 50 MB but less than 400 MB From 5,000 MB and higher Expense, Mortgage and Financial Obligation Mortgage Value. Baht Financial Obligation (i.e. Debt obligations, other than mortgages) Value. Baht Expense and Obligations (per Year) Value. Baht Authorized Signature for Mutual Fund Account The Following persons are authorized from the Investor to deal with the Mutual Fund Account of the Investor (Please attach the Power of Attorney) 1. Name Surname Contact Address Same as

2 2. Name Surname Contact Address Same as 3. Name Surname Contact Address Same as 4. Name Surname Contact Address Same as AUTHORIZED DIRECTOR TO ACT ON BEHALF OF CLIENT (as stated in the certificate of registration ) Name/Surname ID / Passport No. Designation/Title Telephone *one of the authorized director shall be a managing director or other title equivalent to a managing director Please attach the certificate of registration /company affidavit

3 I would like to receive the redemption proceeds and / or dividend payment By credit to a deposit account at Kasikorn Bank Public Company Limited Account Name... Account No.. Objective of account opening (You can answer more than 1 question). Seeking Profit Others (please specify)... How long do you intend to invest? : Less than 6 months 6 months - 1 year 1-5 years More than 5 years The objective of this account is : for the Investor s benefit. for benefit of other person. In which case, the Investor hereby declares and submits the information of the person receiving benefits from the last tier transaction according to the details in the notification of the information of the person receiving benefits in the last tier/person having control over the last tier transaction. The person having control over the last tier transaction under the account opened by the Investor is : the Investor other person. In which case, the Investor hereby declares and submits the information of the person having control over the last tier transaction according to the details in the notification of the information of the person receiving benefits in the last tier/person having control over the last tier transaction. I Ever Never have been rejected to open the account from the other asset management company. I Ever Never have the money laundering record for the last 3 years. I hereby certify that the above information is true and correct, and I have duly received and read the Investor Guide and agree to be bound by and comply with the Terms and Conditions stipulated on the reverse side of this Account Opening Form including such other terms and conditions as may be prescribed and announced by the Management Company in the future in all respects. The purpose of this transaction is not for money laundering or financial support to terrorism. In the case of changing in any information, I will inform the asset management company to update the data immediately. I received Consumer Basic Rights Table and know information about the rights of consumers that I will receive from investing. The Bank will not hold customer passbooks of any type Signature & Company Stamp (if any)... ( ) Warning 1. Investment in Mutual Fund is not a bank deposit and carries investment risks. Investor may receive the investment capital more or less than the initial investment capital, and may not receive the redemption proceeds within specified time or may not be able to redeem the investment units as instructed. 2. Past performance of a mutual fund is not a guarantee for its future performance. 3. Investor should study the prospectus. Any investor who wishes to obtain information or details in addition to those provided in this simplified prospectus can examine or request the prospectus from the Management Company or its agent. 4. Investor can examine information which may affect an investment decision, such as the transaction with connected person and the investment ratio stipulated in the investment objective, at the Office of the SEC or via the internet network of the Office of SEC ( For Officer Only Investor Contacted Person and/or Application Authorized Person 1. Please inform the customer to fill in the application s details Please submit the documents to the registrars within 7 days since the application date. No The customer recommender (if any)...

4 Requirements and Terms The Company hereby reserves the rights as follows : 1. The Management Company reserves the right to accept or refuse an account opening form of any applicant without giving any reason to the applicant. 2. The Management Company reserves the right to decline the subscription or purchase of investment units according to a subscription order, redemption order or any other instruction of a person placing such subscription or redemption order, either wholly or partially, without giving any reason. The Management Company shall have the right to set or omit to set towards the objectives and policies of the funds and the rights and duties of the Management Company as specified in the investment scheme and the prospectus of mutual funds established by the Management Company. Announcements and/or terms as may be additionally prescribed by the Company. 3. In the event that there is no credit balance in a fund account and such account has been inactive for more than 1 year consecutively, the Management Company reserves the right to close such account without advance notice to investor. 4. The Management Company and/or trustee of mutual fund do not guarantee the rate of returns of any mutual fund to investor and investor should not use the past performance of the Management Company as the basis for forecasting or determining its future performance. 5. The Management Company reserves the right to refuse the transfer of investment units according to the investor s request, in case of a retirement mutual fund. Terms and Conditions 1. The Fund Distributor shall perform his duties to advice on the investment provisions, to recieve of subscription orders and/or redemption orders. It is the duty of the Management Company to allot investment units according to subscription and/or redemption orders. 2. In the event that the investor places a redemption and, as a result of which, the value of investment units held by the investor according to the register of unitholders is lower than the required minimun outstanding units in an fund account of the fund, the Management Company may redeem all of the remaining investment units of the investor. 3. The Management Company may serve or send all communications, correspondences and/or notices and/or any other document to investors by telephone, facsimile, or non-registered or registered post, or by any other means. If the Management Company has sent its communications to the address provided in this form, it shall be deemed that the Management Company has duly notified or sent the information to investors. If the investor changes contact address, a written notification must be made together with the supporting document required by the registrar. 4. For an investor who receives the redemption proceeds by credit to a deposit account at Kasikorn Bank Public Company Limited and such account is assigned with a pin code for use with an ATM or any other card to be available in the future, if the investor is desires to use the telebanking service or any other electronic banking service for trading investment units through an electronic channel, the investor can use such account number/card number and pin code to subscribe or redeem. 5. The investor who trades investment units through an electronic acknowledges and agrees to be bound by the prospectus of each fund which is now in force or might be amended and modified in the future, and acknowledges and agrees to comply with the rules, terms and conditions of the use of telebanking service or any other electronic banking service of the bank or other electronic banking service of the bank or other service providers appointed by the company. 6. In case of using an electronic transaction for subscribing or redeeming investment units, the investor agrees and accepts that if the use of such service for subscription and redemption of investment units is transacted with the correct pin code, the subscription or redemption of such investment units shall bind the investor who is an owner of such pin code in all respects. Any damage or error without any fault of the Bank or the Management Company or other service providers shall be the responsibility of the investor solely. 7. The unitholder who trades investment units through an channel accepts that a document or slip issued by electronic channel is not an evidence to show or confirm that the subscription or redemption of investment units is valid until the Management Company has taken action according to the prospectus. A subscription or redemption transactions executed through such electronic channel shall be deemed correct only when such information is identical to the information recorded in the register of unitholders. 8. In the case that the investor allows the Company to send proceeding monies/dividend cheque to the investor by means of registered mail or to deposit such cheque into the investor's account with banks other than KBank, the investor acknowledges and agrees that any cheque would be mailed to the investor s address as shown in the registrar; or the cheque would be deposited to the investor's account within the Fund settlement date/dividend payment date stipulated in the Fund's prospectus. In case that force majeure has occurred; the company is unable to send the proceeding monies/dividend cheque to the investor or to deposit cheque into the investor's account within the fund settlement date, the investor agrees not to claim for any damage from the company. 9. The investors who open fund account through KBank must open the bank account at KBank for redemption proceeds and/or dividend payment only but the investors can not receive the redemption proceeds and/or dividend payment by cheque or paying to the any other bank. 10. The investor who open fund account through KBank (from now on called "Bank") or Asset Management Company allows Bank and the companies listed in Kasikornbank group to retrieve.

5 Consumer Basic Rights for products related to securities. Consumer Rights Products/ personnel/process 1. Rights to receive correct information Consumers shall be provided with clear clarifications for difference between core products and products related to securities. Consumers shall be provided with details of products, risks, returns such as the APR (Annual Percentage Rate) or IRR (Internal Rate of Return) and related assumptions. Consumers shall be provided with accurate and appropriate marketing, promotional, and advertisement materials and information. Consumers shall be provided with fact sheet of products related to securities which contains any special characteristics and risks of products described in concise and simple wording in compliance with the format determined by the Securities and Exchange Commission (SEC) and Office of Insurance Commission (OIC) for consideration and making purchase decision. 2. Rights to choose and purchase financial products and service with Consumers are entitled to the freedom of making investments. It is freedom within their right to decline any purchases of products related to securities. Consumers are entitled to decline purchases of cross-selling of products related to securities which are to respect the consumer right to choose whether or not to purchase such products. Consumers are entitled to either consent or decline disclosure of information as described in the letter of consent, which is separate from product purchase agreement. 3. Rights to claim for fair treatment Consumers are entitled to file claims against any commercial bank branches which are point of sale of products related to securities and they shall be provided with evidence that such claims are acknowledged by commercial banks. Consumers may inquire information to ensure product understanding from selling bank s call center. 4. Rights to receive compensation in case of damages Consumers are entitled to compensation as deemed appropriate, provided that it is proven that commercial banks fail, deliberately or negligently, to comply with the guideline for product selling governance to the extent that consumers suffer damages.

6 Questionnaire for Customer Risk Profile Assessment Score Risk Level Name...Surname... Less than15 Level Level 4 Mobile Phone No Level 5 ID Card Number and higher Level 7 Level 8 Choose only 1 best answer for investor I. For General Investment 1. How old are you? (1) Over 60 years (2) years (3) years (4) less than 35 years 2. Your education level (1) Lower than bachelor degree (2) Bachelor degree or higher For Official Currency Risk Appetite Yes / No Assessor Signature... Branch Code... Risk Level calculation method Combine answering numbers of question 1-8 and compare with risk level table above / the last question is the answer of Currency Risk Appetite 3. Your investment experience in securities (Securities means investment units or debt instrument or stock or government bonds or derivatives) (1) No (2) less than 1 years (3) 1-5 years (4) More than 5 years for question 4 6 * the money you intend to invest means the money that you plan to invest in all KAsset funds by mainly considering on the part of money that you can tolerate the highest risk 4. The estimated period that you will not need to use the money you intend to invest* (1) Less than 1 year (2) 1-3 years (3) 3-7 years (4) less than 7 years 5. Do you need returns from the money you intend to invest* to use for your regular expenditures? (1) Need most (2) Need some (3) Minimal need (4) No need 6. ratio of the money you intend to invest* to your total assets (1) More than 60 % (2) % (3) % (4) Less than 10 % 7. Your attitude about investment (1) Cannot tolerate any principal loss, even though there is a chance of some higher returns (2) Can tolerate minimal principal loss in order to get a chance of some higher returns (3) Can tolerate principal loss in order to get a chance of higher returns (4) Want to get high returns without any investment limits 8. Investment in highly-volatile securities often generates high returns in the long term but there is a risk of incurring huge losses. What level of investment risk can you accept? (1) The least. I prefer investment that generates regular cash flow and ultimate security in investment, even though the returns will be the lowest. (2) A certain level. I can accept some risk from investment loss in order to increase the chance of high returns in the long term. (3) Moderate. I can accept reasonable risk in order to create a chance for higher returns in the long term. (4) High. I can accept the highest risk in order to create a chance for the highest returns in the long term. 9. Sometimes, investments that focus on securing investment principal will generate lower-than-inflation returns which could reduce your spending power. Considering your investment objectives, which idea fits you the most? (1) Investment principal must be secured, even though the returns will be lower than the inflation rate. (2) Can accept some investment principal loss in order to maintain investment returns at higher-than-inflation level (3) Focus on generating returns that are higher than inflation rate by a certain level and can accept investment risk (4) Would like to get maximum returns that are higher than inflation rate and can fully accept investment risk 10. How much loss can you accept from investment in mutual funds? (1) Less than 10 % (2) 10 to 20 % (3) 20 to 50 % (4) More than 50 % II. For investment in mutual funds with a policy of foreign investment by 20 percent of NAV or higher (Not include in Risk Level Calculation) Could you accept currency risk? (ก) Yes (ข) No Signature of questionnaire respondent... Date... /... /...

7 หน งส อย นย นผ ได ร บผลประโยชน ท แท จร ง Letter of Ultimate Beneficiary Owner เร ยน To บร ษ ทหล กทร พย จ ดการกองท นกส กรไทย จ าก ด Kasikorn Asset Management Co,Ltd. น ต บ คคล (ระบ ช อเต ม)... Company Name เลขทะเบ ยนพาณ ชย /เลขประจ าต วผ เส ยภาษ... Company registration number/tax Identification number ข าพเจ าขอย นย นข อม ลผ ได ร บผลประโยชน ท แท จร ง ด งน I hereby certify that Ultimate Beneficiary Owner is as follow; โปรดระบ ข อม ลอย างใดอย างหน ง (As provided, any information below) ช อ-นามสก ล First name-surname เลขท ประจ าต วประชาชน ID Number ท อย Address ส ญชาต Nationality ข อม ลอ น Others ข าพเจ าจะแจ งให บร ษ ทหล กทร พย จ ดการกองท นกส กรไทย จ าก ด ทราบท นท เม อม การเปล ยนแปลงข อม ลผ ได ร บผลประโยชน ท แท จร ง I certify that the above information is true and correct. In any change from this letter will immediate notify to the company from time to time. ลงนาม... Signed by (กรรมการผ ม อ านาจ/ผ บร หารส งส ด) Authorized Director/President/Managing Director ช อ-นามสก ล... First name-surname ว นท... Date