Equity

Securities depository means the act of receiving, depositing, safely preserving, transferring and recording securities ownership of clients on the depository account system in order to ensure the rights and interests related to securities of owners.

Steps for registering securities depository at KIS:

You can submit depository application in the following ways:

Option 1: Go to KIS Vietnam’s head office directly:

Option 2: Send by registered mail to KIS Vietnam’s head office:

Receiver’s information:

• Name: Customer service
• Address: 3rd Floor, 180-192 Nguyen Cong Tru, Nguyen Thai Binh Ward, District 1, Ho Chi Minh City
• Tel: (84-28) 3914 8585

If a client wants to withdraw securities from a securities account and convert it into a Shareholder Book / Share ownership certificate, the client will:

Clients who opened a securities account at KIS wishing to transfer their securities to their account at another depository member, please follow the instructions below:

Transfer fee: VND 0.5 / 1 share (Maximum: VND 500,000)

1. Blockade Securities:
   In case clients mortgage assets in securities accounts for mortgage at credit institutions, as the request of them, KIS will confirm blockade of securities at KIS and at the same time, carry out procedures for blockade of securities of Clients at Vietnam Security Depository (VSD)
   Bank records must be prepared:
   – Form 32 – LK (3 copies)
   – Form 33 – LK (3 copies)
   – Contract mortgage (Provided by Bank) (1 copies)
   – Blockade Request (Provided by Bank) (3 copies)
   – Authorization to sign contracts (if any) (1 copies)
   After confirming the blockade, the number of mortgaged securities will not be allowed to be traded until there is a written release from the credit institution and confirmed by VSD
2. Release Securities
   Credit institutions wishing to release the amount of securities that have been blocked by clients at KIS must prepare:
   – Form 34-LK (3 copies)
   – Form 35 -LK(3 copies)
   – Release Request (Provided by Bank)(3 copies)
   – Authorization to sign contracts (if any)(1 copies)

Blockade /release fee: 0.005% * contract value (maximum VND500,000)

Documents about transfer of ownership by giving, donating include:

♦ Proposal of KIS for processing documents

♦ Request for ownership transfer (1 among 3 forms 16ALK, 16BLK, 16CLK)

♦ Valid copy of the Contract for giving, donating securities certified by a notary office

♦ Copies of documents proving payment of personal income tax from giving, donating securities (in case the recipient is an individual) in accordance with Circular 111/2013 / TT-BTC dated August 15th, 2013 of the Minister of Finance and Circular No. 92/2015 / TT-BTC dated June 15th, 2015 of the Minister of Finance (Declaration / Notice of personal income tax payment certified by the tax authorities and documents written confirmation of payment into the national budget)

♦ Request for securities transfer and HSC’s Document sent to VSD to confirm the balance of depository securities of the transferor and commitment to blockade during the process of transferring ownership.

♦ Documents proving the disclosure of information as prescribed to entities subject to disclosure when transferring securities in accordance with the Securities Law.

♦ Other relevant documents (if any)

Procedures for Securities inheritance

Documents of transfer of ownership due to inheritance include:

♦ Written request for transfer of securities ownership of the heirs or representatives of the heirs (Form 16B / ĐKCK) attached with a copy of papers showing information of the heirs and Valid copies of Death Certificate of the people leaving inheritance.

♦ Copies of documents proving that personal income tax has been paid from inheritance (in case the heir is an individual) under the provisions of Circular 111/2013 / TT-BTC of August 15th, 2013 of the Ministry of Finance. and Circular 92/2015 / TT-BTC dated June 15th, 2015 of the Minister of Finance (Personal Income Tax Declaration / Notice certified by the tax authority and written confirmation of payment into the national budget).

In case of inheritance according to wills:

♦ Valid copy of Legal Will in accordance with the law, Written declaration of acceptance or refusal of inheritance of the beneficiaries regardless of the content of the Will;

♦ Valid copy of the document on division of inheritance in case the will does not specify the number of securities.

In case of inheritance according to law:

♦ A statement of the heir on the personal relationship of people leaving inheritance., which fully listing information about the inheritance layer of people leaving inheritance (spouse, biological parents, adoptive parents, biological children, adopted children …) and commitment to the accuracy of the information declared in the report, and at the same time take full responsibility according to the law if a dispute arises;

♦ Valid copy of written agreement on the division of inheritance (in case there are many people in the inheritance area) / written declaration of inheritance (in case only one person in the inheritance area is accepted) inheritance) certified by a notary office or competent authority;

♦ Valid copy of written refusal to receive inheritance (in case the person in inheritance refuses to receive inheritance) / power of attorney in the name of ownership of inheritance management (in case those persons in the position of inheritance authorize others) certified by a notary office or competent authority;

♦ Request for securities transfer in accordance with Form 22 / LK Regulation on securities depository operations issued by General Director of VSD (03 copies) and Document of TVLK where the person leaving inheritance opened an account to send VSD for confirmation balance of depository securities and commitment to blockade during the process of ownership transfer (in case of deposited securities).

♦ Other relevant documents (if any).