Professional Investor Status Confirmation - Pinetree Securities
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    Customer Service

    Professional Investor Status Confirmation

    FAQ

    Professional Investor Status Confirmation

    For Customers to be identified as a professional investor at Pinetree, please follow the below steps:

    Step 1: Customer can apply for the professional investor status at Pinetree through one of the 02 following ways:

    • Visiting Pinetree and submitting the documents directly at the counter.
    • Sending the hard-copy documents to the Customer Service Department of Pinetree.

    The required documents include:

    • Application Form for Identification of a Professional Securities Investor (02 originals). Find the form here

    EN_Professional Securities Investor_Application formDownload
    • Related documents for each case as below:
    No.ObjectivesRequired documents
    1Commercial banks, foreign bank branches, financial companies, insurance business organizations, securities companies, securities investment fund management companies, securities investment companies, investment funds, international financial institutions, and off-budget state financial funds and state financial institutions, which might purchase securities following relevant laws.Certificate of Business Registration or License for Establishment and Operation or other equivalent documents.
    2Companies with charter capital contributed over 100 billion VND; or Listed Organization or Transaction Registration Organization.For other organizations which are not listed or not registered for transactions: Certificate of business registration or other equivalent documents; Audited annual financial statements or reviewed semi-annual financial statements of the most recent reporting period.

    For listed or registered for transaction organizations: Decision on approval of listing or registration of transactions.
    3Holders of securities practice certificates.– Valid securities practice certificate;
    – Valid identity card or citizen identity card.
    4Individuals holding a list of listed securities, registered for trading with a minimum value of VND 02 billion as certified by the securities company at the time of confirmation, which is determined by the daily average market value of the securities portfolio for at least 180 consecutive days before the date of determination of professional investor status, excluding the value of margin loans and the value of securities for resale transactions– Statement/Report from Pinetree and/or at other securities companies of the individual’s account registered for trading with a minimum value of VND 02 billion.
    – Valid identity card or citizen identity card.
    5Individuals with a taxable income of at least VND 01 billion in the latest year by the time that the individual is determined to be a professional securities investor.– Tax declaration dossiers submitted to tax authorities or tax withholding documents of paying organizations or individuals in the latest year before the time of determination of status as professional securities investors.
    – Valid identity card or citizen identity card.

    Step 2: Pinetree checks the edaquacy and the validity of the dossier provided by the customer. If any documents are incorrect, missing and/or invalid, Pinetree will inform the customer and provide instructions for resubmission.

    Step 3: Pinetree confirms the professional investor status for the customer once the dossier is enough and correct.

    Step 4: Pinetree sends the Confirmation Form to the customer.

    Note:

    Unless otherwise stipulated by law and/or the competent State agency, this confirmation of Pinetree shall have validity period as follows:

    • For investors verified by subject 1,2,3,4 of the Application Form: 01 year from the validated date.
    • For investors verified by subject 5 of the Application Form: 03 months from the validated date.
    • For investors verified by subject 6 of the Application Form: from the validated date to December 31 of the same year.

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