Securities services

1. Trading Fee / Services

No.

Type of Service

Charge rate

1.1

Trading fee of Shares/fund certificates/Covered Warrant listed via trading online channels

0.1%

1.2

Trading fee of Shares/fund certificates/Covered Warrant listed via Call-center (T-stock)

0.5%

1.3

Trading fee for normal orders of Government bonds/Corporate bonds via trading online channels

0.1%

1.4

Trading fee for put-through orders Shares/Government bonds/Corporate bonds via Call-center

0.1%

1.5

Trading fee for normal orders, put-through orders of Shares/fund certificates/Covered Warrant listed/Government bonds/Corporate bonds at the counter

0.5%

1.6

PIA fee

13%/ year (Calculated on the total PIA amount)

Additional surcharge of 15,000 VND/transaction

1.7

Cash Dividend Advance fee

(Advance loan term is not over 90 days)

14%/ year (Min VND 50,000)

Additional surcharge of 15,000 VND/transaction

2. Custody fee

No.

Type of Service

Charge rate

2.1

Close account and transfer to other securities company

Under 10,000 shares

VND 50,000/time

From 10,000 shares to up

Collection fee is VND 1.3/share and the minimum collection fee is VND 200,000/time and the maximum is VND 800,000/securities code

2.2

Account balances confirmation (cash or securities)

Send transaction statement via customer email

Free

Print transaction statement at the counter

First copy: VND 15,000

From the second copies: VND 6,000/each copy

Transaction statement and confirmation of account balance

First copy: VND 68,000

Additional copies: VND 27,000/each copy

Confirmation of professional securities investor

Clients have securities trading account at PHS: VND100.000/dossier

Clients do not have securities accounts at PHS:

•   Individual client: VND 405,000 /each copy

•   Institution client: VND 675,000 /each copy

Cash Statement at IVB Bank (collect for IVB)

VND 11,000/1 A4 page

2.3

Securities consignment

Free

2.4

Withdraw consigned securities

VND 100,000/time

2.5

Depository securities (stocks, fund certificates, warrants, corporate bonds and government bonds as defined in the Law on Public Debt Management

(Collect for VSD)

VND 0.27/share, fund certificate, Covered Warrant/month

VND 0.18/corporate bond/month; Max VND 2,000,000/corporate bond/month

VND 0.14 /government bond/month,

Max VND 1,400,000/government bonds/month.

2.6

Securities mortgage management

0.1% of the market value and the minimum collection fee is VND 200,000

per transaction

2.7

Securities mortgage confirmation

VND 100,000/time

2.8

Register the right issue

VND 15,000/transaction

2.9

Right issue transfer

The same company

VND 100,000/time

The different company

VND 200,000/time

2.10

Fees for transferring ownership of securities outside the trading system of the Stock Exchange

(PHS will be charged accordingly to the transferor or owner who is a customer of PHS)

The transfer of shares of the founding shareholders during the limited transfer period as prescribed by

law.

0.25% of ownership transfer value

Transfer of ownership of securities centrally registered at VSD is approved by the State Securities Commission.

+ 0.25% of ownership transfer value for stocks, fund certificates, warranties

+ 0.155% of ownership transfer value for corporate bonds and debt

instruments as prescribed in the Law on Public Debt Management

Transfer of ownership of privately-issued corporate bonds registered for securities at VSD but not yet traded on the Stock Exchange.

0.155% of ownership transfer value

Transfer of ownership of securities due to division, separation, consolidation or merger of enterprises; contribute capital by shares to enterprises in accordance with the provisions of the Civil Law, the Law on Enterprises and the Law on Securities

0.17% of ownership transfer value

Transfer of ownership of securities due to handling of security assets that are registered securities and blockade at VSD

+ 0.17% of ownership transfer value for stocks, fund certificates, covered warrants

+ 0.155% of ownership transfer value for corporate bonds and debt

instruments as prescribed in the Law on Public Debt Management

Giving, inheriting securities in accordance with the law

+ 0.25% of ownership transfer value for stocks, fund certificates, covered warrants

+ 0.155% of ownership transfer value for corporate bonds and debt instruments as prescribed in the Law on Public Debt Management

(collect the parties to transfer ownership)

Transfer of ownership due to public offering

0.18% of the value of ownership transfer

Transfer of ownership of securities in swaps of ETF certificates, exercise of covered warrants

0.2% of the value of the underlying securities to be swapped based on the par value of the ETF, the value of the underlying securities to transfer ownership at the par value to exercise covered warrants

(collected from Investors performing swaps (buying, reselling ETF certificates) with ETFs, investors requesting to exercise covered warrants)

Transfer of share ownership between foreign investors in the event that the maximum foreign ownership ratio for such shares has been reached and the price agreed upon by the parties is higher than the ceiling price of such shares of the securities trading system at the time of trading

0.25% of ownership transfer value

Transfer of ownership of securities to serve the issuance or cancellation of depository certificates in transactions between investors and foreign depository certificate issuers

0.2% of the value of the underlying securities transferred ownership at par value

(collecting the licensor in the transaction of transferring ownership of securities serving the issuance of depository certificates or the transferee in the transfer of ownership for the cancellation of depository certificates)

Tax for stock transfer (just collecting for transfer party)

0.1%/value of ownership transfer (Collect for Tax Agencies)

2.11

Blocking securities at the request of investors

Fees for blocking securities at the request of investors at VSD

+ 0.1% of the value of blocked securities for stocks, fund certificates, covered warrants, up to 10 million VND/stock code

+ 0.01% of the value of blocked securities for corporate bonds and debt instruments as prescribed in the Law on Public Debt Management, up to 10 million VND/stock code

(Collecting the VSD)

0.05% total value at par value (Min VND 200,000/dossier, Max VND

2,000,000/dossier)

Fees for blocking securities at the request of investors at PHS

0.05% total value at par value (Min VND 200,000/dossier, Max VND

2,000,000/dossier)

Fees for clearing securities of securities freezing services at the request of investors

VND 200,000/dossier

2.12

Price of security interest registration service for securities registered at VSD

Register for the first secured transaction and block the securities

VND 100,000/dossier

Register to change the registered security transaction content

VND 100,000/dossier

Register for a written notice on the disposal of collateral

VND 50,000/dossier

Delete secured transaction registration

VND 50,000/dossier

Issuance of a copy of the written certification of secured transaction registration contents

VND 50,000/dossier

Price provides information about secured transactions

VND 50,000/dossier

No.

Type of service

Charge rate

1

Renew fee (Calculated on the total renewed outstanding)

Free of charge

2

Margin interest

13% /year

3

Overdue interest

150% interest in drought

4

PIA interest

13%/ year (*)

No.

Services

Fee

1

VN30 Index Futures Contract Trading Fee

Quantity of contract in a day

1 ~ 99 contracts

VND 7.000/ contract

100 ~ 199 contracts

VND 6.000/ contract

200 ~ 299 contracts

VND 5.000/ contract

300 ~ 499 contracts

VND 4.000/ contract

From 500 contracts

VND 3.000/ contract

Government Bond Futures Contract Trading

VND 7.000/ contract

Trading fee for VN30 Index Futures Contract via online channel/Mobile App

VND 4.000/ contract

Trading fee for VN30 Index Futures Contract via online Call-Center (T-stock)

VND 7.000/ contract

Note: the above fees does not includes trading tax and fee paid to HNX, VSDC

2

Late payment fee

13.5%/year (*)

3

Statement of account fee, confirm balance fee

First copy: VND 55,000

Additional copies: VND 22,000/each copy

No.

Services

Fee

1

Derivatives trading service fees pay HNX

VN30 Index Futures Contract

VND 2,700/contract/transaction

Government Bond Futures Contract

VND 4,500/contract/transaction

2

Derivatives clearing fee pay VSDC

VND 2,550/contract/transaction

3

Collateral management fee pay VSDC

0.0024% Accumulated Equity Balance (money and par value based on securities value) /account/month (Maximum VND 1,600,000/account/month, Minimum  VND 100,000/account/month)

4

Deposit/ withdrawal fee to pay Vietinbank

VND 5,500 per transaction (included VAT)

5

Transfer fee

In accordance with the applicable fee schedule of each Bank

No.

Services

Fee

1

Interest rate on deposit amounts for derivative account at PHS

0.1%/year (*)

2

Interest rate on margin deposit amounts for derivative account at VSDC

0.2%/year  (*)