GUIDELINES ON SECURITIES TRADING AT JAPAN SECURITIES CO., LTD

Clients can trade securities at Japan Securities Co., Ltd (JSI) by following methods:

• • Place orders directly at JSI Trading Counter
  • Place orders via Phone
  • Place orders via Online Trading Interface

I. REGULATIONS ON STOCKS & MONEY BALANCES

For Buying orders, Clients must deposit sufficient money balance to cover 100% of the total buying amount plus incurred transaction fees.

For Selling orders, Clients must ensure sufficient stocks’ balance in securities trading accounts to execute orders.

II. GUIDELINES ON TRADING AT JSI’S COUNTER

Step 1: Clients check balance in securities trading account in accordance with The Regulations On Stocks & Money Balances.

Step 2: Clients fill in Orders Slip and hand over it to trading staff at the counter, together with original & valid ID card/passport.

The Order Slip includes the following information:

– Type of order (buy/sell/adjust/cancel order)

– Stock code

– Volume

– Price

– Full name of account holder / authorized person for transaction

– Account number

– Identification number / passport number of account holder / authorized person

– Date of trading

– Signature & full name of client

Note: The order slip can not be erased, modified and must be accurately recorded following the requirements.

Step 3: Clients hand over the order slip to JSI’s staff at the counter. After checking the validity of the order slip, JSI’s staff will input orders into the trading system, the system will automatically transfer orders to Ho Chi Minh Stock Exchange or Hanoi Stock Exchange.

III. GUIDELINES ON TRADING VIA PHONE

Please call to JSI’s telephone number at +84 24.3791.1818

Please note that all calls are recorded for orders-storing purpose in accordance with regulations of the Stock Exchange.

Note: In case clients place orders via telephone, please use the phone number that is registered with JSI when clients opened securities trading account. JSI may not accept orders placed by unregistered phone number.

In case clients change their phone numbers, please kindly contact us by phone at +84 24.3791.1818 or by email at jsi@japan-sec.vn for guidelines on changing information procedure.

Guidelines in details:

Step 1: Clients register their telephone numbers which are used for trading via phone at JSI.

Step 2: Clients check their own money and stocks’ balance at securities-trading account at JSI before placing orders.

Step 3: Please call to JSI at phone number: +84 24 3791 1818.

Step 4: Please provide JSI’s staff with the following required information: Trading account number, Full name, ID number, transaction password; name of securities Clients want to buy or sell, quantity and price.

JSI’s staff will check balance of clients’ account and confirm the information of the order with clients. (All orders placed over the phone are recorded and stored in the company’s system for checking purpose)

Step 5: After receiving clients’ orders, JSI’s staff will input orders into system and transfer them to Ho Chi Minh Stock Exchange or Hanoi Stock Exchange quickly and accurately.

IV. GUIDELINES ON TRADING VIA ONLINE TRADING

Step 1: Please register for online trading service at JSI.

Step 2: Please visit www.japan-sec.vn and download our Online Trading Manual for more detailed guidelines.

V. METHODS OF RECEIVING TRADING RESULTS

The followings are the methods that Clients can use to receive trading results:

1. 1. Via Message: The result will be sent via automatic message to the mobile phone number that Clients registered with JSI.
   2. Via Phone: Clients may call to +84 24 3791 1818.
   3. At the Counter: Clients can go directly to JSI’s office (7th floor, Tower 1, Capital Place Building, 29 Lieu Giai, Ngoc Khanh Ward, Ba Dinh District, Hanoi) to receive trading results from trading team.
   4. Via Trading Online Interface: Applied to Clients who already registered online trading service with JSI.

 

– JAPAN SECURITIES CO., LTD. –