Depository

Securities depository

Securities Depository Documents including: 

• 03 Securities Depository Form (Form 08A/LK or Form 08B/LK in case that adjust date of issue);
• The original of Stock Ownership Certificate;
• Valid ID/Passport and Authorisation Agreement (for institution).

Step-by-step process:

• Customer please fills out the Securities Depository Form completely and accurately, then returns it and relevant papers to the Customer Service Department.
• After receiving the document, Pinetree will check and return 01 Securities Depository Form, then announces to Customer when stocks are confirmed depository successfully.

Register for additional issued securities

Customers may make additional subscriptions for securities issued in the following forms:

1. Register via Pinetree Pro Trading

Customers can register to order additional securities issued through Pinetree Pro Trading follow these steps:

(NOTE: You can only register once to order additional issued securities).

Step 1: On the FUNCTION select Utility Service / Exercise Purchase Rights

Step 2: In the form of exercising the right to buy, customers choose Account Number, Ticker is exercised, purchase status status, and click Get Data.

Step 3: Select Register / Agree, enter the number of securities you wish to subscribe to and click Apply.

As soon as you register to order additional securities successfully. Pinetree will proceed to deduct money from your account to exercise the right to buy securities as required.

2. Subscription is not made via Pinetree Pro Trading

Step 1: For customers who wish to subscribe for additional securities, please fill in the registration form (02 copies) and return it to the Pinetree staff together with valid ID / Passport. And Paper / Power of Attorney (for organizations) ..

Step 2:

– Pinetree staff will check whether the amount of money spent to buy additional securities of your customers is enough or not.

– If there is not enough money in the account, please ask the customer to add the remaining amount to their accounts under the “Deposit Transaction Guide” of Pinetree.

Step 3: After determining your securities trading account has enough money, Pinetree will deduct money from your account to exercise the right to buy securities as required.

Securities withdrawal

In order to withdraw deposited securities, please fills out Request of Securities Withdrawal paper (Form 16/LK) fully and exactly, then returns Pinetree with valid ID/Passport (individual), Authorisation Agreement (institution).

As soon as receives customer’s documentation, Pinetree will withdraw securities and notify customer after confirmation of securities withdrawal.

Securities transferring

Securities transferring documentation including:

• 03 Request for transferring all securities/Request for partially transferring securities (Form 25, 26/LK) or Account closing request (Form 24/LK) in case of closing account;
• Valid ID/Passport and Authorisation Agreement (institution).

Step-by-step process:

Step 1: Customer please:

• Bring ID and Authorisation Agreement (institution) to Pinetree to transfer securities or close account.
• Fill Request for transferring all securities/Request for partially transferring securities (for transferring securities) or Account closing request (for transferring securities to close account).

Step 2: As soon as receive securities transferring documentation, Pinetree will transfer securities and notify customer after transfer securities successfully.

Transfer of rights to purchase additional issued shares

The dossier of transfer of the right to purchase additional issued securities includes:

• 03 copies of the application for transfer of securities purchase rights (Form 18 / THQ);
• ID card (for individuals) or business registration (notarized photocopies) and legal authorization paper / contract (for organizations).

Steps to follow:

If you wish to transfer the right to buy securities, please fill in the Request Form (Form 18 / THQ) (03 copies) and return it to Pinetree staff. Include ID card (for individuals) or Business Registration (notarized photocopy) and Legal Authorization Document (for organizations).

Immediately after receiving the request for the transfer of securities, Pinetree will check and request customers to pay tax on the transfer of right to buy securities (if any). If all valid documents, Pinetree will transfer the right to buy at the request of customers.