GUIDELINES FOR OPENING A OPEN-END FUND CERTIFICATE TRANSACTION ACCOUNT AT PHS

1. Conditions for opening an open-end fund certificate trading account (CCQ) at PHS

  • Individuals: from 18 years or older; have full capacity for civil acts; Valid Identity card/Citizen Identity Card/Passport.
  • Organization: has legal status, not in the process of dissolution.
  • Foreign investors: have been granted a securities trading code by the Vietnam Securities Depository (VSD).
  • Economic organizations with foreign investors owning more than 50% of charter capital: have been granted a securities trading code by VSD.

2. Client's register application for opening an open-end fund certificate account

2.1 For individual investors:

  • Contract/Registration form for opening an open-end fund certificate trading account.
  • Provide identifying investor information documents as follows::

For domestic investors:

  • Original Identity card/Citizen Identity Card.
  • Notarized copy of Identity card/Citizen Identity Card and related papers of the authorizer and the authorized person (in case the investor has a legal proxy).

For foreign investors:

  • A notarized copy of the competent authority/notarized copy, translated into Vietnamese / English and consular legalized the investor's passport is still valid.
  • Notarized true copies of competent/notarized agencies, translated into Vietnamese/ English and consular legalized passports or related papers of the authorizer and the authorized person (in case if the investor has a legal proxy).
  • A copy of the certificate of securities trading code from the Securities Depository Center.
  • A copy of the confirmation from the bank about the opening of an indirect investment capital account.
  • Notarized authorization contract or power of attorney certified by the local government (in case the investor has a legal proxy).
  • FATCA and AML-related forms (if any).

Form of opening personal fund certificate account

2.2. For institutional investors:

  • Contract/Registration form for opening an open-end fund certificate trading account.
  • An additional form of account opening information for institutional investors (according to the provisions of the Prospectus corresponding to each Fund).
    • For domestic investors:
  • Original letter confirming the foreign ownership ratio is equal to or less than 50% of charter capital.
  • Provide identifying investor information documents as follows:
  • A notarized copy of the establishment and operation license or the business registration certificate or the license for the establishment of the organization as prescribed.
  • A notarized copy of the Identity card/Citizen Identity Card/valid passport of the legal representative or authorized individual at law.
  • A notarized copy of the company rules charter (if any).
  • A copy of the decision on the appointment of the director with the organization's seal.
  • A copy of the Decision on Appointment of Chief Accountant (if any) with the organization's seal.
  • Notarized copy of Identity card/Citizen Identity Card and authorized personal related papers (if any).
    • For foreign investors:
  • Provide identifying investor information documents as follows:
  • Notarized copy, translated into Vietnamese/ English, and consular legalized Establishment and operation license or valid Business Registration Certificate.
  • Notarized copy of the competent authority/notarized copy, translated into Vietnamese/ English and consular legalized the passport of the legal representative or authorized individual at law.
  • A notarized copy of the company's charter (if any).
  • A copy of the decision on the appointment of the director with the organization's seal.
  • A copy of the Decision on Appointment of Chief Accountant (if any) with the organization's seal.
  • A copy of the certificate of securities trading code from the Securities Depository Center.
  • Notarized true copy of the competent authority / notarized copy, translated into Vietnamese / English, and consular legalized the passport and related documents of the authorized person, the representative (if any).
  • A copy of the confirmation from the bank about the opening of an indirect investment capital account.
  • The original of the power of attorney appointing the participants to sign and transact on the account at the distribution agent.
  • FATCA and AML-related forms (if any).

Form of opening institutional fund certificate account: Opening account form & Request of Adding Account Opening Information for Institutional Investor

3. Open account trading the open-end fund certificate

  • Step 1: Customers go to PHS's branches/transaction offices and bring documents identifying investor information in section 2.
  • Step 2: PHS's tellers will guide to complete the account opening documents and register for services at the request of customers.

For any questions, please contact the Customer Service Center via: