Securities depository

1. Securities depository file

For individual customers:

• Book / Share ownership certificate (original)
• Valid ID card / CCCD (01 copy and original for comparison)
• Securities deposit slip (form 08A / LK)

For institutional customers:

• Book / Share ownership certificate (original)
• Business registration certificate (01 notarized copy)
• A letter of recommendation of an authorized person to do depository procedures
• ID / CCCD of the person authorized to do depository procedures (01 copy)
• Securities deposit slip must be signed by authorized person & seal of the organization ((form 08A / LK)

Note: In case there is a discrepancy in information about the date of issuance of the ID card / Business registration certificate between the identifying information of the investor registered at the VSD by the issuer and the investor's identification As TVLK updates into VSD's system, customers use stock deposit slip (form 08B / LK) to attach a copy of ID card / Certificate of business registration.

2. Conducting securities depository

Customers bring the securities depository file set to the PSI's Branches / Transaction Offices to perform their securities depository.

Note: The client's depository is only successful when the information (full name, number and date of issue of ID card / business registration certificate) of the customer on the securities ownership book / certificate matches the information on the ID card / business registration matches with customer information registered at PSI. In case there is any information discrepancy, customers should contact PSI for detailed instructions.

Customers wishing to withdraw their deposited securities can go to PSI's Branch / Transaction Office to withdraw their deposited securities.

• Only withdraw securities from ordinary securities trading accounts;
• Customers can withdraw part or all of their existing securities.

1. Securities withdrawal documents include:

• Client's securities withdrawal request (form 16 / LK)
• ID / CCCD / Passport (original valid) for individual customers;
• Certificate of Business Registration (notarized copies) and Power of Attorney for the person to withdraw securities with institutional customers.

2. Steps to be performed:

• Customers come directly to the branches / transaction offices of PSI for procedures;
• When the VSD approves the application for securities withdrawal, PSI notifies the customer of the receipt of the Securities Ownership Book / Certificate issued by the issuing organization.

Customers who have opened securities trading accounts at PSI wishing to transfer securities or transfer a part or finalize their accounts to their own accounts at other depository members, please follow the instructions below. .

1. Settlement transfer:

• Valid ID card / CCCD of the Account holder (01 copy and original for comparison) with individual customers;
• Certificate of Business Registration (notarized copy) and Letter of introduction of the Organization for the person to go to the procedure together with the ID card / CCCD of the account holder with Institutional customers
• Application for finalization (form 24 / LK)

Implementation: If the application is valid, PSI will make a payment transfer and send it to VSD. After being approved by VSD, PSI will cut securities on customer accounts according to VSD's validity.

2. Securities transfer according to customer requirements:

• Valid ID card / CCCD of the Account holder (01 copy and original for comparison) with individual customers;
• Certificate of Business Registration (notarized copy) and Letter of introduction of the Organization for the person to go to the procedure together with the ID card / CCCD of the account holder with Institutional customers
• Application for transfer of all securities and rights (form 25 / LK)
• Application for transfer of a part of securities (form 26 / LK)

Implementation: If the application is valid, PSI will make a transfer application and send it to the VSD. After being approved by VSD, PSI will cut securities on customer accounts according to VSD's validity

3. Transfer of ownership of unlisted public securities:

•  Application for transfer of securities ownership (BM.01 / CQSH)
• Valid copy of ID card / CCCD of related parties with individual customers;
• Certificate of Business Registration or Establishment Decision (notarized copy) for Institutional customers. Authorization case must have authorization documents in accordance with the law.

Implementation: If the application is valid, PSI will make a transfer application and send it to the VSD. After being approved by VSD, PSI will cut securities on customer accounts according to VSD's validity.

4. Transfer of ownership due to inheritance:

• A written request for transfer of securities ownership of the heir or heir's representative (Form 16B / DKCK), enclosed with a valid copy of the heir's papers (notarized ID card / CCCD of the heir) inheritance) and death certificate of the party leaving the inheritance;
• Documents evidencing the payment of personal income tax according to regulations (Sample personal income tax payment notice certified by the tax agency and a written confirmation of payment to the State budget) (in case the receiver is inheritance is individual);
• In case of inheritance by will:
  • A valid copy of the legal Will in accordance with the law;
  • Document of inheritance division in case the will does not specify the number of securities of the heir: 01 notarized copy;
• In case of inheritance according to law:
  • A statement of the heir of the heir's kinship relationship, which fully lists information about the inheritance line of the heir (wife, husband, natural parents, father). adoptive mother, natural child, adopted child ...) and commit to the accuracy of the information declared in the report, at the same time take full responsibility before the law if any dispute arises;
  • Valid copies of documents proving the personal relationship mentioned in the above report (marriage certificate, birth certificate, household registration book, death certificate ...);
  • Valid copy of written agreement on the division of the inheritance (in case there are more than one inheritor) / refusal to accept the inheritance (in case the person who is part of the inheritance refuses to accept the inheritance) inheritance) / authorize in the name of the owner to manage the inheritance (in case those who are in the category of inheritance authorize 1 person) certified by notary public or competent state agency
  • In case the heir is a minor, there must be a written certification of the guardian or legal representative;
• Request for securities transfer and Document of TVLK where the inheritor opens an account and send VSD a confirmation of the deposited securities balance and commitment to blockade during the process of transferring ownership. In case the securities have not been deposited, the issuer shall revoke the securities ownership book / certificate of the inheritor;
• Other relevant documents (if any).

Perform:

If the record is valid, PSI will transfer all records to VSD to perform the transfer of inheritance.

(The inheritance is only valid when there is VSD's approval. After being approved, PSI will send a notice to the Customer on the completion of the inheritance process).