Client Guideline

a.    Vietnamese Investors

Conditions: 

• Have contact address
• Have Securities Trading Account
• Have authorization in cases the individual or the legal representative of the institution does not participate directly. 

Registration dossier of documents including:

• Registration Form for participation in the Offering
• Money transfer / Deposit slip
• ID / Passport/Business Registration Certificate
• Authorization (if any)
• Authorize an individual: ID / Passport of the authorized individual
• Authorize an institution: 

          1) Business Registration Certificate of the authorized institution

          2) ID/Passport of the legal representative of the authorized institution

b.    Foreign Investors

Conditions: 

• Foreign Indirect Investment Account in VND
• Securities Trading Code granted by VSDC ("STC")
• Securities Trading Account at local brokerage firm

Registration dossier of documents including:

• Registration Form for participation in the Offering
• Money transfer / Deposit slip
• Passport / Business Registration Certificate
• Foreign Indirect Investment Account ("FIIA") - Certificate of FIIA account
• Securites Trading Code ("STC") - STC issues by VSDC
• Authorization
• Authorize an individual: ID / Passport of the authorized individual
• Authorize an institution: 

          1) Business Registration Certificate of the authorized institution

          2) ID/Passport of the legal representative of the authorized institution

* Note: For investors who register in the Competitive Offering, the name of the Investor under the FIIA, STC (for foreign investors) and Securities Trading Account (for all investors) and the name on the Registration Form must be the same. 

Deposit is 10% of the total number of subscribed shares multiplied by the initial price (10% x number of registered shares x initial price). 

Timeframe for deposit: within the registration timeframe.

Deposit amount will be deducted from the total payment amount if the investors wins the bid. 

Procedure: All investors mus transfer the deposit in VND to HSC's bank account.  

- Money transfer 

• Bank account name: CTY CP CHUNG KHOAN TPHCM
• Bank account number: 1190051817
• At BIDV – Nam Ky Khoi Nghia, District 1, HCMC Branch
• Wire transfer note: Payment of deposit for....shares of.... - Name / Organization name - ID number / Business registration number 

Ex: Payment of deposit for 20,000 shares of Vietnam Airlines - Nguyễn Văn A - 023565843

Each investor, after submitting eligible registration dossier, shall be granted 01 official Bidding Form by HSC, with HSC's stamping. 

Compele information sufficiently and accurately on the Bidding Form as follows: 

- Bidding price: 

• Is the price per share
• The price should not be lower than the initial price

- Bid quantity: must be equal to the quantity registered by the investor 

- The Bidding Form needs to be put in an envelope and sealed with investor's signatures. 

Eligible Bidding Form is: The form issued by HSC, with HSC's stamp on the upper left and included: information is filled in sufficiently and accurately. The form is not erased, cancelled or torn. In case the Bidding Form is filled in by hand, color ink shall be uniformedly with only 01 corlor. 

Reissuance of the Bidding Form: In case the Bidding Form is erased, torn or lost, the investor can file an application to the Agent for Registration to get a new Bidding Form. The old Bidding Form then will be deemed invalid. 

The Bidding Form is directly submitted at HSC offices before the deadline. Submitted Bidding Form cannot be withdrawn or revised. 

Time and place for holding the bidding will be announced in the Regulations for Competitve Offering issued by HOSE or HNX. 

HSC will inform the offering results following the information disclosed by HOSE or HNX.

Payment amount will be determined by the total amount payable by the winning bidder in accordance with the bidding result after deducting the deposit amount. 

Procedures:

• The investor transfer the payment amount the HSC's account

• Payment note: Payment for ...shares... - Name / Organization name - ID number / Business Registration Number 

Ex: Payment for 20,000 shares of Vietnam Airlines - Nguyễn Văn A - 023565843