To trade securities at Japan Securities Co., Ltd. (JSI), client can choose the following methods:

• • Place orders directly at JSI Trading Counter
  • Place orders via Online Trading Interface: Trading via website or via JSI One application
  • Place orders via Phone

I. REGULATIONS ON STOCKS & MONEY BALANCES

For Buying orders, Clients must deposit sufficient funds to cover the payment for the transaction and any related transaction fees.

For Selling orders, Clients must ensure sufficient stocks’ balance in securities trading accounts, that the securities are available for trading, are owned by the client, and are free from any disputes.

II. GUIDELINES ON TRADING AT JSI’S COUNTER

Step 1: Clients check cash and securities balance in securities trading account in accordance with the regulations on trading.

Step 2: Clients fill in Orders Slip and hand over it to trading staff at the counter, together with original & valid ID card/passport.

The Order Slip includes the following information:

– Type of order (buy/sell/adjust/cancel order)

– Stock code

– Volume

– Price

– Full name of account holder / authorized person for transaction

– Account number

– Identification number / passport number of account holder / authorized person

– Date of trading

– Signature & full name of client

Note: The order slip can not be erased, modified and must be accurately recorded following the requirements.

Step 3: Clients hand over order slip to JSI’s staff at the counter. After checking the validity of order slip, JSI’s staff will input orders into the trading system, the system will automatically transfer orders to Ho Chi Minh Stock Exchange or Hanoi Stock Exchange.

III. GUIDELINES ON TRADING VIA ONLINE TRADING, PHONE, JSI ONE

1. Place order via phone

Customers call to JSI’s hotline at +84 24.3791.1818, please kindly note that the line is equipped with a recording function to record the entire content of the client’s order.

Note: JSI only accepts transaction orders when the client calls from the phone number registered with JSI.

In case clients change their phone numbers, please contact a JSI’s staff to update the information before conducting any transactions.

Guidelines in details:

Step 1: Clients register their telephone numbers which are used for trading via phone at JSI.

Step 2: Clients check their own money and stocks’ balance at securities-trading account ensure compliance with trading regulations.

Step 3: To place orders, customers use registered phone number to call JSI at +8424.3791.1818 to reach Brokerage Trading Department.

Step 4: Please provide JSI’s staff with the following required information: Trading account number, Full name, PIN code via phone trading. After that, Customer specifies securities code they wish to buy or sell, quantity, and order price. JSI’s staff will verify the account balance in cash or securities and confirm the order details with customer. All information provided over the phone will be recorded and stored by JSI for future reference.

Step 5: After receiving clients’ orders, JSI’s staff will input orders into system and transfer them to Ho Chi Minh Stock Exchange or Hanoi Stock Exchange promptly and accurately

2. Place order via online trading

Step 1: Please register for online trading service at JSI.

Step 2: Please access user guide here.

Step 3: Please access web-trading interface here or download JSI One application on App Store/ Google Play to execute transactions

V. METHODS OF RECEIVING TRADING RESULTS

Customers can receive trade result notifications through the following methods:

1. 1. Via SMS: Matched order results will be automatically sent to the mobile phone number registered by the customer (for customers who have registered SMS notification service).
   2. Via Phone: Customers may call to +84 24 3791 1818 and contact the Brokerage Trading Department to check their trade results.
   3. At the Counter: Customers may visit Japan Securities Co., Ltd. (7th Floor, Tower 1, Capital Place Building, 29 Lieu Giai Street, Ngoc Ha Ward, Hanoi) to check trade result.
   4. Via the JSI One mobile application or web-trading interface: Applied to Clients who already registered online trading service with JSI.

– JAPAN SECURITIES CO., LTD. –