User Guide

1. Conditions for purchasing CW issued by SSV

• Have a securities trading account at SSV.
• Registered ID/Passport with SSV is still valid.

2. Required documents for purchasing CW:

• For the individual investor, the documents include:
  • 02 original copies of Registration for Covered Warrant Purchase (Form attached);
  • 01 valid copy of ID/Passport;
  • 01 Power of Attorney (if any); 01 valid copy of ID/Passport of the authorized person;
  • 01 copy of the Cash Deposit Receipt or Payment Order;
  • Disclosure documents as per the regulations for Insider/Insider’s related person (if any).
• For the institutional investor, the documents include:
  • Original copies of Registration for Covered Warrant Purchase (Form attached);
  • 01 valid copy of the Enterprise Registration Certificate;
  • 01 valid copy of documents related to changing enterprise registration information (if any);
  • 01 valid copy of the ID/Passport of the legal representative;
  • 01 valid copy of the Power of Attorney for the person who will be on behalf of the institution (if any); 01 valid copy of ID/Passport of the authorized person;
  • 01 copy of the Cash Deposit Receipt or Payment Order;
  • Disclosure documents as per the regulations for Insider/Insider’s related person (if any).

3. Transfer money for purchasing CW

 

3.1 For online purchase registration: Clients must ensure that the securities trading account has sufficient balance in the regular sub-account (00) at the time SSV executes to transfer.

3.2 For purchase registration via other methods:

• Beneficiary Name: Công ty TNHH Chứng khoán Shinhan Việt Nam
• Beneficiary Account: Refer to the prospectus for beneficiary account information corresponding to the CW code.
• Transfer Description: <Securities trading account No. > <Full name> Buy <Code of Covered Warrant> <Quantity
• The amount paid must be 100% of the value of the purchased registered covered warrants.
• In case the client want to authorize SSV to debit/transfer money from your securities trading account opened at SSV to register for covered warrant purchase, the client must ensure that the securities trading account has sufficient balance in the regular sub-account (00) at the time SSV executes to transfer.

4. Methods to register for purchasing cover warrants

The client register for purchasing covered warrants by one of the following methods:

1.  

4.1. Online registration via Web trading: https://online.shinhansec.com.vn

• Step 1: Log in to your securities account on Web trading.
• Step 2: In the Stock Transaction section, select Warrants IPO to proceed with the registration.
• Step 3: Enter the desired quantity of covered warrants, tick the checkbox to confirm that you have read and understood the prospectus, then verify with OTP to complete the registration.
•  

4.2. Visit directly at the SSV transaction counter

4.3. Send the registration documents to the SSV Branch/Head Office at the following address

• Shinhan Vietnam Securities Co., Ltd. – Client Service Department (Documents of Registration for purchasing covered warrant)
• Head Office: 18th Floor, The Mett Tower, 15 Tran Bach Dang, An Khanh Ward, Ho Chi Minh City, Vietnam
• Branch: 2nd Floor, Leadvisors Building, No. 41A Ly Thai To, Hoan Kiem Ward, Hanoi, Vietnam
• Tel: (84-28) 6299 8000           Fax: (84-28) 6299 4232

Note:

• The documents must be sent to SSV before the deadline for CW purchase registration as stated in the announcement and confirmed by SSV.
• After sending the mail, please inform your account manager or call the SSV hotline at 028 6299 8000 to notify SSV about the submission of the registration documents to ensure their receipt and prevent any loss.

1.  

4.4. Send the registration documents via email to SSV.

* Email sample:

 

SUBJECT: REGISTRATION FOR PURCHASING COVERED WARRANTS

To: Shinhan Vietnam Securities Co., Ltd

 

I/We hereby register to purchase covered warrants with the following details:

Full Name:.............................................................................................................................

Securities Account Number: .................................................................................................

Covered Warrant Code:.........................................................................................................

Quantity: ………………………. (By words : ....................................................................... )

Price:…………………../CW. (By words: ............................................................................. )

Registered Date: ....................................................................................................................

Best Regards,

 Note:

• Please use the email registered with SSV to send an email to: cs_ssv@shinhan.com     
• Attach the documents as specified in Section 2. Required documents for purchasing CW and the Payment Order or a picture of the successful money transfer to execute the purchasing CW.
• Send the original registration documents to SSV by post.
• After sending the email and documents by post, please inform your account manager or call the SSV hotline at 028 6299 8000 to notify SSV about about the submission of the registration documents to ensure their receipt and prevent any loss.

5. Inform the result

• SSV shall inform the Client about the result of purchase registration via the email address registered with SSV.
• Estimated time: As per the Issuance Announcement

6. Refund:

• SSV will refund the money for customers whose purchase quantity was unsuccessful, based on the information provided in the "Registration for Covered Warrant Purchase" or through online channels.
• Estimated time: As per the Issuance Announcement

7. Distribution Completed:

SSV will process the listing procedures so that the covered warrants can officially be traded on the Stock Exchange. The covered warrants will also be automatically deposited into the investor's account.