A&A Securities, Inc. Customer Account Information Form (CAIF) Individual and Joint

CUSTOMER ACCOUNT INFORMATION FORM (CAIF)
Account Type

IndividualJoint
Number of Person

2345

Do you want to trade Real Estate Investment Trust (REIT)?*

YesNo
PRIVACY STATEMENT ON REIT

In compliance with the regulatory requirements in investing and trading in Real Estate Investment Trust (REIT) securities, I hereby agree and authorize A & A Securities, Inc. (“AASI”) to share my Personal Information, including my name, trading transactions and securities, holdings to the Philippine Depository and Trust Corporation (“PDTC”). Compliance shall mean the processing and retention of my Personal Information by the PDTC, including but not limited to the creation of a sub-account under my own name through its Name-On Central Depository (NoCD) Facility and the effective management of the NoCD sub-account in holding my assets. Further, the protection and disposal of my Personal Information and the exercise of my rights as a Data Subject with regard to this activity shall be subject to applicable guidelines based on the Implementing Rules and Regulations of R.A. 10173 or the Data Privacy Act of 2012 and as indicated in the Data Privacy Policies of AASI and PDTC.
Signature*

Clear

Do you want to trade online?*

YesNo
Online Trading*

Desktop OnlyDesktop with Mobile (P60.00 auto-debited monthly to account ledger.)
PSE Tradex monthly fees per active account: There is no monthly fee for desktop or laptop users. However, a monthly fee of P60.00 will be charged per account for those who opt to use the mobile platform.
Please input your desired user ID*
Input 8-14 characters only
A&A SECURITIES INC.
ONLINE TRADING AGREEMENT

This confirms my/our application to open an Online Trading Account (“Account”) with A & A Securities (“A&A”), a duly licensed broker of the Philippine Stock Exchange (“PSE”),with office address at Unit 2608, Jollibee Plaza Condominium, 10 F. Ortigas Jr. Road, Ortigas Center Brgy. San Antonio, Pasig City 1605. Accordingly I/we(“Client”) shall be governed and bound by the terms and conditions of A&A as follows:
I. ROLES OF CLIENT & A&A
Client appoints A&A as designated stockbroker to purchase and sell Philippine securities. Client shall directly place his own securities orders through A&A’s PSE TradeX platform subject to the rules and regulations of the PSE, Capital Markets Integrity Corporation (“CMIC”), Securities and Exchange Commission (SEC), the Securities Clearing Corporation of the Philippines (“SCCP”), and other entities which exercise supervisory and regulatory authorities over the stockbrokerage industry.
Client shall use his own investment discretion and strategy in selecting which and how much stocks to buy or sell, and thus, shall assume full risk and responsibility for his personal trading decisions.
It is understood that A&A is only a securities broker, and does not provide legal, tax, or accounting advice regarding the suitability or profitability of any investment, including the fact that certain securities may grant rights subject to expiration if no positive action is taken by the client, the monitoring of events and occurrences like corporate reorganizations of the companies whose stocks Client purchased and similar factors which might affect their value, and other investor concerns.
II. REQUIREMENTS FOR OPENING ACCOUNT
A. Submission of duly filled out required documents;
B. Minimum deposit to open an online account is P50,000.00 before any purchase may be made, and the account must have enough cleared funds to cover the total value of the intended purchase order of stocks, inclusive of all charges.
III. TRADING POLICIES & PROCEDURES
A. Upon approval of Client’s application by A&A, a private Identification Code (“IC”) and Log-In ID shall be assigned to the Client.
B. Account must have sufficient available funds PRIOR to placement of a purchase order.
C. Security and privacy of Log-In credentials shall be the sole responsibility of Client. Transactions in Client’s Account are deemed to have been done through Client with his full knowledge and consent.
D. Account will be automatically deactivated in the absence of transaction activity over a period of three (3) consecutive months. All inactive accounts shall be inaccessible and ineligible to trade and will not be subject to the monthly PSE TradeX mobile fees, if applicable.
E. Account opened jointly shall be specified as “AND” or “OR” but not “AND/OR”.
F. The primary account holder designated in a joint account shall prevail over any conflicting instructions of other account holder/s directed to A&A.
G. Stock certificates submitted to A&A for lodging with the Philippine Depository and Trust Corporation (PDTC) may be traded/sold only after these certificates have been cleared by PDTC.
H. Short selling, or selling any security not existing in the Account at the time the selling order is placed is strictly prohibited. In a short selling transaction, A&A shall on its discretion repurchase for Client’s account the oversold securities whenever Account is not properly secured.
I. Confirmation of transactions shall be transmitted within the day of execution via email to Client's designated email address. A&A shall not be held liable for failure to transmit confirmations to Client due to failure of communication systems beyond the control of A&A. All communication sent by email shall constitute personal delivery to Client.
J. Purchase and Sales Confirmations are deemed accurate and final unless advice of discrepancy is received by A&A not later than 12noon of the next trading day after confirmation was emailed to Client. Statements of Account are deemed accurate and final unless advice of discrepancy is received by A&A not later than 5 trading days after Statement of Account was emailed to Client.
K. Client’s securities shall be lodged with PDTC under the name of A&A in the absence of any written instruction to register them in registered name of Client.
IV. SETTLEMENT POLICIES
A. SCCP credits stockbrokers the proceeds of selling transactions on the 3nd trading day after sales transaction date; hence, sales proceeds are available for withdrawal or for trading only on the day funds are credited to A&A by SCCP.
B. Fund remittance to A&A shall be done either by delivery of the funds to A&A’s office address or by direct deposit to A&A’s designated bank account.
BANK DETAILS FOR DIRECT DEPOSIT:
Account Name: A&A SECURITIES, INC.
Savings Account Number: 003-600-000-165
Depository Bank/Branch: BANCO DE ORO Ayala Triangle Branch Makati City 1226
C. To confirm payment, the photocopy of the validated bank deposit slip with written name of depositor/account name must be transmitted to A&A through email or fax.
D. Check payments to A&A are subject to clearing by A&A depository bank prior to stock purchase by Client.
E. Fund withdrawals from Account are paid in check by A&A issued to the registered name.
F. Payments to Client shall be in the form of check and remitted through direct deposit to Client’s designated bank account. The photocopy of the validated bank deposit slip shall be emailed to Client.
V. FEES AND CHARGES
A. Broker’s commission equivalent to ¼ of 1% (0.25%) of gross trade amount (shares x unit price) or P100 per transaction, whichever is higher;
B. Value Added Tax (VAT) on commission fees;
C. SCCP fees equivalent to .01% of gross traded amount
D. Sales Tax: No. of shares x Price/share x.006 (applicable only for SELLING transactions)
E. PSE Tradex monthly fees per active account: There is no monthly fee for desktop or laptop users. However, a monthly fee of P60.00 will be charged per account for those who opt to use the mobile platform.
VI. OTHER TERMS & CONDITIONS
A. This Agreement shall be supplementary to whatever agreements have been executed with A&A and should be interpreted in harmony therewith. Declaration of invalidity or unenforceability of any provision herein or in such other agreement shall not affect the validity of the remaining provisions of this Agreement;
B. A&A may upon notice modify the terms of this Agreement. Continued use of A&A’sonline trading services following receipt of notice of modification of terms without objection from Client shall be equivalent to acceptance thereof and shall be bound thereby;
C. A&A has the right to suspend or discontinue the online services provided herein without prior notice for the following or analogous reasons including but not limited to system maintenance, website upgrade, enhancement or modification or for other just causes as determined by A&A;
D. Breach or default by Client shall entitle A&A to exercise possessory lien on Client’s securities and other assets held with A&A, in addition to other rights and remedies available to a secured and preferred creditor;
E. A&A is a government-regulated entity and as such, may disclose information pertaining to Client’s Account when requested by the duly constituted authorities.
F. The entire understanding and agreement with A&A shall not be assigned to a third party without prior written consent of A&A. Upon A&A’s consent, the entire terms of this agreement shall be binding upon such heirs, executors, administrators, personal representatives and assignees of the Client.
G. A&A, its officers, directors, and employees shall not be responsible for any damages arising from security breaches and unexecuted orders due to delay, trading halt or failure of the PSE Tradex System, poor transmission quality, system and website maintenance upgrade, computer software or hardware malfunction, electronic or mechanical failure, inter-connection problems with service provider, technical glitches and other causes beyond the control of A&A. In such unexpected cases mentioned above, Client shall contact A&A’s personnel at the office during trading hours as an alternative means to place, modify or cancel their orders.
Signature*

Clear

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To help the government fight money laundering activities, the Anti-Money Laundering Act, as amended, requires all covered institutions to obtain, verify and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of your birth, business, TIN, SSS or GSIS Nos. and other information that will allow us to identify you. We may also ask to see your driver's license, passport or other competent evidence of identity bearing your photograph and signature.
This confirms my/our application to open a Securities Trading Account (“account”) with A& A Securities, Inc.(“A&A”), a duly licensed broker of the Philippine Stock Exchange (“PSE”),with office address at Unit 2608, Jollibee Plaza Condominium, 10 F. Ortigas Jr. Road, Ortigas Center Brgy. San Antonio, Pasig City 1605. Accordingly I/we (“Client”) shall be governed and bound by A&A’s terms and conditions as follows:

SECURITIES TRADING AGREEMENT

I. ROLES OF CLIENT & A&A
Client appoints A&A as designated stockbroker to purchase and sell Philippine securities. A&A shall facilitate Client’s securities orders through its PSE Tradex Expert platform subject to the rules and regulations of the PSE, the Securities and Exchange Commission, the Securities Clearing Corporation of the Philippines (“SCCP”), and other entities which exercise supervisory and regulatory authorities over the stockbrokerage industry.
II. REQUIREMENTS FOR OPENING ACCOUNT
A. Submission of duly filled out required documents
B. Initial minimum deposit of P50,000 or amount of the total value of intended purchase order inclusive of all charges, whichever is higher.
III. TRADING PROCEDURES & POLICIES
A. Trading account must have sufficient available funds or stockholdings with at least equivalent market value when purchase order is placed.
B. Purchase transactions which are not sufficiently funded in Client’s account must be settled not later than 12 noon of the immediate following trading day. Failure to settle the obligation automatically authorizes A&A to use its sole discretion to sell the purchased securities or undertake other remedies deemed necessary to secure Client’s account.
C. Client’s securities shall be lodged with the Philippine Depository and Trust Corporation (“PDTC”) under the name of A&A in the absence of any written instruction to register them in registered name of Client.
D. Account opened jointly shall be specified as “AND” or “OR” but not “AND/OR”.
E. The Primary account holder designated in a joint account shall prevail over any conflicting instructions of other account holder/s directed to A&A.
F. Stock certificates submitted to A&A for lodging with PDTC may be traded/sold only after these certificates have been cleared by PDTC.
G. Short selling, or selling any security not existing in the Account at the time the selling order is placed is strictly prohibited. In a short selling transaction, A&A shall on its discretion repurchase for Client’s account the oversold securities whenever account is not properly secured.
H. Confirmation of transactions shall be transmitted to Client within the day of execution by telephone or mobile text communication followed by email or fax of official confirmation within twenty-four (24) hours from transaction date. A&A shall not be held liable for failure to transmit confirmations to Client due to failure of communication systems beyond the control of A&A. All communication sent by mail, email, telegraph, telephone, fax, or messenger shall constitute personal delivery to Client.
I. Invoice Confirmations are deemed accurate and final unless advice of discrepancy is received by A&A not later than 12 noon of the immediate following trading day after confirmation was remitted to Client.
Statements of Account are deemed accurate and final unless advice of discrepancy is received by A&A not later than 5 trading days after Statement of Account was remitted to Client.
IV. SETTLEMENT POLICIES
A. SCCP credits stockbrokers the proceeds of selling transactions on the 3nd trading day after sales transaction date; hence, sales proceeds are available for withdrawal or for trading only on the day funds are received from SCCP.
B. Fund remittance to A&A shall be done either by delivery of the funds to A&A’s office address or by direct deposit to A&A’s designated bank account.
BANK DETAILS FOR DIRECT DEPOSIT:
Account Name: A&A SECURITIES, INC.
Savings Account Number: 003-600-000-165
BANCO DE ORO Ayala Triangle Branch Makati City 1226
C. To confirm payment, the photocopy of the validated bank deposit slip with written name of depositor/account name must be transmitted to A&A either through email or fax.
D. Check payments to A&A are subject to clearing by A&A depository bank prior to stock purchase by Client.
E. Withdrawal from trading account shall be paid in check by A&A issued to the name as registered in the account.
F. Payments to Client shall be remitted through direct deposit to Client’s bank account as designated in his CAIF. The photocopy of the validated bank deposit slip shall be faxed or emailed to Client or texted to Client’s mobile contact where Client does not have internet or fax facilities.
V. FEES AND CHARGES
A. Broker’s commission fees, or minimum commission of P200 per transaction, whichever is higher;
B. Value Added Tax (VAT) on commission fees;
C. SCCP fees equivalent to .01% of gross trade amount;
D. Sales Tax: No. of shares x Price/share x.006 (applicable only for SELLING transactions)
VI. OTHER TERMS & CONDITIONS
A. This Agreement shall be supplementary to whatever agreements have been executed with A&A and should be interpreted in harmony therewith. Declaration of invalidity or unenforceability of any provision herein or in such other agreement shall not affect the validity of the remaining provisions of this Agreement;
B. A&A may upon notice modify the terms of this Agreement. Continued use of A&A’s stockbrokerage services following receipt of notice of modification of terms without objection from Client shall be equivalent to acceptance thereof and Client shall be bound thereby;
C. Breach or default by Client shall entitle A&A to exercise possessory lien on Client’s securities and other assets held with A&A, in addition to other rights and remedies available to a secured and preferred creditor;
D. A&A is a government-regulated entity and as such, may disclose information pertaining to Client’s account when requested by the duly constituted authorities.
E. The entire understanding and agreement with A&A shall not be assigned to a third party without prior written consent of A&A. Upon A&A’s consent, the entire terms of this agreement shall be binding upon such heirs, executors, administrators, personal representatives and assignees of the Client.
F. A&A, its officers, directors, and employees shall not be responsible for any damage arising from security breaches or delay, trading halt or failure of execution due to technical glitches and other causes beyond the control of A&A.
Date*

MonthDayYear
CONFORME AND SPECIMEN SIGNATURES:
Special instruction for accounts with more than one authorized signatory*
Name*

First NameLast Name
Signature*

Clear
Please provide your 1st signature here
Signature*

Clear
Please Provide your 2
Name*

First NameLast Name
Signature*

Clear
Please provide your first signature here
Signature*

Clear
Please provide your second signature here
Name*

First NameLast Name
Signature*

Clear
Please provide your first signature here
Signature*

Clear
Please provide your second signature here
FOR MANAGEMENT USE ONLY
Account verified by:
________________________
Account Officer
_____________
Date Signed

Approved by:
________________________
President
_____________
Date Signed

Account Executive: ____________________
Commission Rate: _____________________

Short Code: _______________________
Account Number: ______________________________
Account Type : __________________________

Account Name: ________________________________
PSE Account ID: ________________________

Sanction Screening: _________________
AMLA Risk Rating : __________________________

REIT: ______________________________________
Referred by: ________________________________

Please make sure to complete the requirements to avoid the delay of application. Siguraduhin magpasa ng kumpletong requirements ng maiwasan ang pag tagal ng application.

Requirements for Individual Account
1. Please attach a copy of (2) valid IDs with 3 specimen signatures as shown below. (make sure the ID is not expired and the details are clear and readable.)

2.Please attach a selfie holding your (2) valid IDs

3. Please attach Billing statement / Public utility bill copy
(This is only a proof of mailing address; No need to be under your name, as long as it's the same address as your declared residence. Ito ay patunay lamang na tama ang iyong address na diniklara sa form. Hindi nangangailangan nakapangalan sa inyo ang bill ng address na ito. Lazada & Shopee Delivery sticker is also accepted)

Requirements for Joint Account
1. Please attach a copy of (2) valid IDs with 3 specimen signatures as shown below. (make sure the ID is not expired and the details are clear and readable.)

2.Please attach a selfie holding your (2) valid IDs

3. Please attach Billing statement / Public utility bill copy
(This is only a proof of mailing address; No need to be under your name, as long as it's the same address as your declared residence. Ito ay patunay lamang na tama ang iyong address na diniklara sa form. Hindi nangangailangan nakapangalan sa inyo ang bill ng address na ito. Lazada & Shopee Delivery sticker is also accepted)

Please send all attachment to our official Email Address aasec.caif@gmail.com
Should be Empty:

CUSTOMER ACCOUNT INFORMATION FORM (CAIF)

INVESTORS PROFILE

Foreign Account Tax Compliance Act (FATCA) Questionaire

Kindly provide the required information below if any of the answers to the questions stated above is YES