GUIDELINES FOR REGISTERING A SECURITIES TRADING CODE AT VNDIRECT

GUIDELINES FOR REGISTERING A SECURITIES TRADING CODE AT VNDIRECT

To open a securities trading account at VNDIRECT, Foreign investors (FIs) (including both individuals and organizations) are required to register a securities trading code (TC) with the Vietnam Securities Depository and Clearing Corporation (VSDC). Please prepare the application dossier as guided below and submit it to the nearest VNDIRECT transaction location.

Dossier for application of TC for FIs includes:

1. Application form for securities trading code:

- For individual FIs: Form No. 41 – individual

- For institutional FIs: Form No.  41– organization

2. Power of Attorney authorizing the depository member to carry out the application for securities trading code.

3. List of documents for Investor identification:

- For individual FIs: Valid passport or equivalent personal identification documents.

- For institutional FIs:

• Establishment and operation license or business registration certificate or equivalent documents issued by the competent foreign authority; branch establishment license of a foreign organizations in Vietnam, or

• Establishment and operation license of fund/organization or equivalent documents issued by the competent foreign authority (if any) or a confirmation of establishment registration; or

• Extracts from the website of the competent authority or the fund charter, prospectus, etc. of the country where the organization is established or registered.

(*) The investor shall provide 01 copy notarized/certified in Vietnam or legalized in accordance with the law, dated no more than 12 months prior to prior to VNDIRECT’s receipt of the above-mentioned dossier.