User Guide

Step 1: Opening the account

- Customers bring the original ID card to Shinhan Securities (SSV), fills-in information and signs the Securities trading account opening contract.

Step 2: Opening the securities settlement account (cash account) at a bank

- Customers open the securities settlement account at Shinhanbank Vietnam or BIDV bank.

- Inform SSV of the settlement account number to connect this account to the securities trading account.

Note:

• The deposit, withdrawal, transfer of money on the securities settlement account will be conducted in accordance with instructions and regulations of the banks.
• In case Customers do not use the securities settlement account at the banks but settle securities transactions through the general account of SSV, Customers do not have to do this step 2. The deposit, withdrawal, transfer of money on the general account will be conducted in accordance with instructions of SSV.

In case Customers do not use the securities settlement account at the banks but settle securities transactions through the general account of SSV, Customers do not have to do this step 2. The deposit, withdrawal, transfer of money on the general account will be conducted in accordance with instructions of SSV.

1. Customers visit Shinhanbank Vietnam to open the securities settlement account (cash account) as instructions in Step 2;

2. Call 028 6299 8000 for Teller to receive forms and be instructed to sign the Securities trading account opening contract;

3. Send two copies of the signed Account opening contract, a notarized copy of ID card and the securities settlement account number opened at Shinhanbank Vietnam to SSV by EMS.

1. Customer may come to Office of Shinhan Securities Vietnam

2. Or the nearest branches of Shinhan Bank to your location

Step 1: Opening the account

Method 1: Open an account at the counter

- Customers (not registered securities trading code) need to bring Passport and 02 notarized copies of passport to SSV; fill-in forms and sign:

• Power of Attorney for SSV
• Application trading code registration
• Securities trading account opening contract

- Customers (registered securities trading code) need to bring Passport and 01 copy of Securities trading code registration certificate to SSV; fill-in forms and sign the securities trading account opening contract.

Method 2: Open an account by registering online

Customers using mobile phones register information here. Then SSV staff will contact you to provide instructions.

Step 2: Opening the securities settlement account (cash account) at a bank

- Customers open the Indirect Investment Capital account at Shinhanbank Vietnam or BIDV bank.

- Inform SSV of the settlement account number to connect this account to the securities trading account.

Note:

• The deposit, withdrawal, transfer of money on the Indirect Investment Capital account will be conducted in accordance with instructions and regulations of the banks.

1. Customer may come to Office of Shinhan Securities Vietnam

2. Or the nearest branches of Shinhan Bank to your location

Step 1: Opening the account

- The account holder, who is the legal representative (“Representative”), prepares legal documents; fills in information of the organization, the account holder signs and seals 2 copies of the Securities trading account opening contract.

- Legal documents of dosmetic organization include:

1. Notarized of Business registration certificate (within 6 months)

2. Notarized of Charter (if any): to determine the scope of authority of the representative (within 6 months)

3. Notarized of Letter of appointment of the legal representative

4. Notarized of ID card / Passport of  the legal representative (within 6 months)

5. The original legal authorization document of the representative for the authorized person (if any)

5. Notarized of ID card / Passport of the authorized person (if any)

Step 2: Opening the securities settlement account (cash account) at a bank

- Customers open the securities settlement account at Shinhanbank Vietnam or BIDV bank.

- Inform SSV of the settlement account number to connect this account to the securities trading account.

Note:

• The deposit, withdrawal, transfer of money on the securities settlement account will be conducted in accordance with instructions and regulations of the banks.
• In case Customers do not use the securities settlement account at the banks but settle securities transactions through the general account of SSV, Customers do not have to do this step 2. The deposit, withdrawal, transfer of money on the general account will be conducted in accordance with instructions of SSV

Step 1: Opening the account

• The account holder, who is the legal representative (“Representative”), prepares legal documents; fills in information of the organization, the account holder, signs and seals 2 copies of the Securities trading account opening contract attach legal documents as below:

The legal documents of Foreign organization includes:

1. Notarized copies of Certificate for business registration/ Certificate of investment fund establishment (for securities investment fund)
2. Institutions investor’s Certificate of Tax registration in the home country.
3. Letter of appoiment to Legal representative
4. Notarized copy of passport of the Legal representative (within 6 months)
5. If the Institution Investor is Hedge Fund, notarized and legalized copy of fund charter/ or others document of institution’s investment strategy in details must be supplemented
6. Approval for securities trading code

If the investor has a trading representative, must be added:

1. Letter of appointment to trading representative
2. Information of the trading representative
3. A valid copy certificate of Securities business of the trading representative
4. Notarized copy of ID Card/ passport of Securities business practice

Note:

• Documents from item 1 to 5 must (i) be notarized, translated in English by an authorized agency in home country and consular legalization by VN consulate.
• Notarized or authenticated copies of documents by Vietnamese issued by a competent organization in Vietnam in accordance with Vietnamese laws.
• Legal documents is notarized or certified within (06) months.
• In case Customers have the Approval for securities trading code, the number of required documents is 01 set; if there is not the Approval for securities trading code, the number of required documents is 02 sets for registering the securities trading code.

Step 2: Opening the securities settlement account (cash account) at a bank

- Customers open the Indirect Investment Capital account at Shinhanbank Vietnam or BIDV bank.

- Inform SSV of the settlement account number to connect this account to the securities trading account.

Note:

• The deposit, withdrawal, transfer of money on the Indirect Investment Capital account will be conducted in accordance with instructions and regulations of the banks.
• In case Customers do not use the Indirect Investment Capital account at the banks but settle securities transactions through the general account of SSV, Customers do not have to do this step 2. The deposit, withdrawal, transfer of money on the general account will be conducted in accordance with instructions of SSV.