'S0Taikhodn giz dich pha sinh P VND IRECT S6TAIknodn ky auy \VNDIRECT SECURITIES JOINT STOCK COMPANY Customer service: 1900-5454-09 Website: www.vndirect.com.vn HOP DONG M6 TAI KHOAN GIAO DICH CHUNG KHOAN PHAI SINH Hap déng nay duge lap ngay. thang, nam. bi va gita cae ben: GP RA Ae Meal Naa a oa Bla ch ty sé: $61 Nguyén Thuong ign, phuding Nguyén Du, quan Hai Ba Trung, thanh phé Ha Noi Gidy ohép hoat dong 86: 227UBCK-GPHDKD Noay ed: 16/11/2008 ‘Bien thoal: (84-24) 98 724 568, Fax: (84-24) 39 410 500 ‘Bla chl email: dvkhavndirect.com.vn Ngudl dat dign Chae wy ‘Theo van ban dy quyén 36) Naay: Benue) Ten khach hang: Giay CMND/CCCOIDKKO: Noay o€: Nol cap: Dia chi thug tray 88 ia chien ac Bien thoal Fax Ma 6 thue: Dai ien hue ws 6 OMND/OGCDIMG: “Theo van ban dy quyén 86 aay Hai Bén déng y ky két Hop déng Mé tai khodn giao dich chting khodn phai sinh (“Hop déng”) nay véi cac noi dung sau day Diéu 1. Gidl Thich Thuat Ng ‘rong Hop déng nay, céc thuat nga dust day duce hiéu nhy sau: 1. “Gbng ty” duce hiéu la Cong ty GP Chung khoan VNDIRECT. 2. “Hap déng MTKGDCK” duge hiéula Hop déng mé tai hoan giao dich chung khoan duge ky gida Khach hang va Cong ty dé mé tai knoan giao dich chung khoan thong thuéng eva Khach hang tai Cong ty. rai Khon” hoac “Tai khean giao dich chting khean” duce hiéu theo quy dinh tai Hop déng MTKGDCK. i Khon phai sinh” duce hiéu la bao gém tai khodn giao dich chung khoan phai sinh, tai Khoa tién gut ky quy vvalhoae tai khodn ching khoan ky quy ca Khach hang duge mé tai Céng ty dé thuc ign cc hoat dong lien quan dén giao ojch chung knoan phai sinh. 5. "Hep déng tudng lai” duce hiéu bao gém hgp déng tueng lai chi s6 chung khoan, hyp déng tuong lata phiéu chinh pha (‘HOTLTPCP”) vafhoae cac loai hop déng tuong lai khéc theo quy dinh c¥a phap luat vé chung knoan phai sinh, 6. “Tai khedn giao dich phai sinh” duge niéu la tai knodn giao dich chung khoan phai sinh do Khach hang mé tai Cong ty dé thuc hien giao dich chung khoan phai sinh. 7. “Tal khoan ky quy” duge hiéu a tai khoan tin gui ky quy vashoac tai khoan chung khodn ky quy cua Khach hang dé thye hien cac hoat dong len quan dén ky quy tai sn, thanh toan bu tru giao dich chung khoan phai sinh tai Cong ty 8. “Co quan c6 thm quyén” dugc hiéu la Chinh phi, Bo tai chinh, Uy ban ching khoan Nha nue, $6 giao dich chung kevoan hoac Trung tam liu ky enung khoan Viet Nam. 9. “Biéu kign va Diéu khedn Giao dich chting khoan phal sinh” hoac “Diéu kign va Biéu khodn GDCKPS" duce hiéu la ‘van ban do Cong ty ban hanh phu hap vei quy dinh cua Ca quan cé thém quyén dé quy dinh cae van dé lien quan dén hhoat dong giao dich chung khoan phai sinh eda Khach hang ‘ai Cong ty. Bidu kign va Di6u khoan GDCKPS s¢ duge Cong ty cong bs cong khai ron trang thong tin dign ty va co thé duce Cong ty sua déi, 66 sung theo tung thoi ky.10. “Ky quy ban du" duce hiéu la gla tr) ky quy t6thiéu ma Khach hang phal nop dol véi céc vi thé chung khoan phai sinh ma Knach hang di kién mé truae kh thuc hin giao ich, 11. “Ky quy dam bio thy hign HDTLTPCP” cugc hiéu la gia tr ky quy ma Khach hang phai ngp ty sau ngay giao dich cusi ccung eda Hop dong tuang lai cho dén ngay thanh toan cusi cng dé dam bao nghia vu thuc hien hop dong, 12. “Ky quy bién dé” la gia tr duce xac dih theo quy dirh cua Trung tam Iuu ky chung khoan Viet Nam va duge tinh vao gia ty sy Quy duy "yeu cau trong truéng hgp lai 6 viths cua danh mye déutu tron Tai khoan phal sinh cla Khach hang 6 trang thai 6. 18. “Ky quy duy tri yeu e&u” duce hiéu la téng gla tr ky guy ma Khach hang phai nop dé duy tcc vi thé dung ten Khach hang «dU tinh toa trong pion giao dich cho dann muc vith tron Tai knoan phai sinh, bao gém Ky quy ban dau, Ky quy dam bao the hien HDTLTPCP va Ky quy bien di 14, “TY1g sir dung tai sn ky quy” dugc hidu a ty le gta gia ti Ky quy duy tn yeu cau so vol téng gia tri tai san Ky quy hop Io cua Kindch hang theo Digu kien va Diéu khoan GDCKPS, 18. “TW/Ig sit dung Tal khodn phai sinh” duoc hidu la tye giva gia tr Ky quy duy tn you cau so vai téng gia tr tai san rang hop le ‘cua Khach hang theo Diu kien va Digu khoan GDCKPS, 16. “Nguéng canh bao” duge hisula cac mie Ty Ie st dung tai san ky quy vayhoac Ty Ip st dung tai Khon duge nou tai Didu kion va Biéu khoan GDCKPS, 17. “Phi dich vu" dugc higu la tat c& cac khoan phi moi giéi, phi giae dich, phi ky quy, phi vi th6, phi tha chi, chi phi than toan, pphi chuyén khodn va ca chi phi khac lién quan ma Khach hang pha tr theo Diéu kién va Diéu khoan GOCKPS vathoac quy dinh cua Co quan co thém auyén, ‘Digu 2, DSi Tugng Ciia Hep Déng 1. Khach hang dé nghi va Cong ty déng y mé Tal khoan phai sinh che Khach hang dé Khach hang thuc hien cac hoat dong giao dich chung khoan phai sinh theo quy dinh cua phap Wal, 2. Dich wy chung khoan phai sinh do Cong ty cung cap cho Khach hang bao gém, nhung khong gidi han é: (2) moi gisi chung oan phai sinh; (ji) bu ru, thanh toan chcng khoan phai sinh; (i) van dau ty chang khoan phai sinh; va (iv) cae dich vu Kae vé chung khoan phai sinh phi hop véi quy dinh cda phap Iuat va théa thuan gida hai ben 3, BE duge Cong ly cung céip cae dich wu ching khoan ohal sinh th Khach hang co nghia vu than loan cho Cong ty cae khan Phi dich vu va thué lien quan theo quy dinh cua phap luat va/noac Biéu khoan va Biéu kien GDCKPS. Cac noi dung lién quan don Phi dich vy va thu duge thy hien theo quy din’ tai Diéu kion va Di¢u khoan GDCKPS, Hop déng MTKGDCK va/hoae van ban thea thuan khac ky gida hal ben, ‘Biéu 3. Phusng Thue Thy Hign Giao Dich Phuong thuc thyc hign dat len giao dich giga Khach hang vai Cong ty va phuong the ma Cong ty thy hign lenh giao dich ‘oda Khach hang duge thu hign theo quy dint tai Dieu kion va Dieu knoan GDCKPS va Hop déng MTKGDCK. ‘Bigu 4. Ky Quy, B6 Sung Ky Quy 1. Khach hang co nghia wy thye hign 4y quy (bao gém nhung khong gid’ han & Ky quy ban dau, Ky quy duy ti yeu c@u, Ky aug bao dam thyc hien HBTLTPCP, Ky quy bién dé) theo quy dinh tai Biéu kien va Biéu khaan GDCKPS, 2, Tye ky quy ban dau, Ty le ky quy duy tl yeu céu, Ty Ie ky quy bang tién sé duce Khach hang thuc hién theo Diéu kien va Diu khoan GDCKPS. Khach hang dong y rang, can cu theo quy dinhithong bao cua Co quan c6 thm quyén hoac khi thay can thiot, Cong ty 66 quyén thay déipxac din lai Ty 16 ky quy ban dau, Ty le ky quy duy tr you cau, TY Ip ky quy bang tién ma khong can phal c6 y kién cua Knach hang 3. Tai san ky quy ban dau hoa tai san bd sung ky quy la bang t'6n hoac chung khoan duge Cong ty quy dinh cu thé tal Diéu kien va Diéy khoan GDCKPS. Khach hang déng y rang Céng ty c6 quyén cha dong quy dinh valhoac thay d6i/diéu chinh ty le by quy bang tién vahoac chung knoan duge chdp nhan lam tai sén ky quy trong pham vi pha hop véi quy dinh cua Go quan co tham quyén, 4, Vige dinh gia tai san ky quy vaihoae xac dinh ty le chiet khau chung khan ky auy duce thuc hien theo Biéu kien va Bigu khodn GDCKPS va phu hop quy dinh cua Co quan co thém quyén. 5. Khach hang déng y rang Céng ty 66 toan quyén yeu eau Khach hang &é sung ky quy dé dm bao céc tye ky quy cla Khach hang dap ung cae yeu cau tai Didu kien va Dieu khoan GDCKPS hoae dé dam bao tuan thu quy din cla Co quan co thdm ‘quyén. Khach hang cam kat thy hign bé sung ky quy theo dung cac guy dinh va yéu cau cua Cong ty. ‘igu 5. Giéi Han Vj The 1. Khéch hang cé nghla vu tuan thi c@c quy dinh vé Giai han vi thé doi vai méi loai chung Khoan phal sinh do Go quan 66 tham quy6n cong bs trong tung thai ky hoac theo Didu kien va Diéu khoan GDCKPS. 2. Céngty 06 quyén cha dong thist lap cae nguéng canh bao Gis nan vi thé dé giém sat Gi’ han vi thé trén Tai khodn phai sin ‘cua Khach hang khi thay can thet ‘Bigu 6. Xi Ly Tai Khoan Phai Sinh, Déng Vi ThE 1. Khach hang déng y va dy quyén cho Cong ty duge toan quyén va chu dong thay mat Khach hang thuc hign viée dong mot pphan hoac toan bo vi thé hien c6 cua Khach hang (ma khéng cén phai thong bao hoac héi ykién cua Khach hang) trong trueng hop Khach hang khong bé sung ky quy (hoae bé sung khong ding, khong day du) theo dang quy dinhiyeu cau ca Cong ty. Khach hang cam kat ty chiu moi thiet hai, tin that eGng nhy cae chi hi (név C6) phat sinh td viée dong vi thé giao dich,2. Kihdch hang déng y/va uy auyén cho Cong ty duge toan quyén thay mat Khach hang thuc hién cac cong viéc dusi day trong trugng hop Knach hang vi pham nghia vy di véi Cong ty hoac khi ¢6 you eau cua Co quan cé tham quyén 1, Bong mot phan hoa toan 66 cac vi thé mé cua Khach hang, 'b. Phong tda, giaitéa, su dung, ban, chuyén giao, nde, rut tai sén cua Khach hang (bao gém nhung khong gidi han &: tién va chung khoan tren Tai Khoa phai sinh, tidn ky quy trén Tai Khoa tién gui ky quy, chung khoain ky quy tren Tai khoan chung khoain ky aug, tién vayhoae chung knodn hop le trén Tai khodn giao dich chung khoan khac cua Khach hang) dé thanh toan cho ‘cae vj thé md trén Tai khoan phai sinh cua Khach hang vajhoac bu tt cae thiét hai phat sinh ty vi thé mé ova Khach hang vafnoac thanh toan cho cdc nghia vy cua Khach hang vai Cong ty; ©. Cac cong viee kie theo iéu kien va Diu khoan GDCKPS hoae quy dinh cua phap luat dé khae phuc hoae cham dct vi pham cua Khach hang. Kihach hang déng y rang khi Cong ty thu hign céc cong vige néu tai Khoan 1 va Khoan 2 Diéu nay thi: (i) Cong ty co auyén cha dong quyett dinh va thuc hien eae cong viee dé ma khong ean phai thong baaindi y kién cua Khach hang; (i) Cong ty ¢6 auyén ‘quyét dinh va iva chon loai tal sn, phuong thie va thél gian xy, gia tl thuc hien va cae van dé lien quan. 4. Khach hang cam ket rang sau khi déng vi thé va xi tai hod theo auy dinh tai Hap déng nay ma cae khoan tin thu duge van khong du dé than toan cae nghia vy cua Khach hang doi véi Cong ty vavhoac Co quan co tham quyén th Khach hang tip tye dung cac tai sén khac dé than toan cac khoan ng con phi tré cho Cong ly valhoac Co quan co tham quyén. ‘Digu 7. Quyén, Nghia Vy va Xée Nhan Ciia Khéch Hang 1. Khach hang 6 quyén 86 hau toan b¢ vi thé ching Khoa phai sinh tren Tai khodn pha sinh va chiu mai tach nhiom, nghia va pphat sinh tw cae vi thé chang khoan hai sinh dé, 2. Kihdch hang cam ket tuan thu va thye hign dung, day du eae quy dinh eda Hop déng nay, Bidu kign va Diéu khon GDCKPS, Hop dong MTKGDGK, cac van banithda thuan ky gida hai ben. 3.__Khach hang ¢6 nghia vu duy tdi ty le ky quy theo Didu kien va Diéu khodn GDCKPS vavhoac quy dinh cua Co quan ¢6 thm quyén, 4. Kihdch hang chap thuan két qua giao ach ma Cong ty thuc hien theo lenh/yeu cau cua Khach hang. Sau khilenh giao dich da kop, Khach hang duge col la da mé va nam git vi thé giao dich chung khoén phai sinh, c6 cae quyén va nghia vu phat sinh tu ccac vi thé ma Khach hang ném gid phi hop véi Diéu kién va Biéu khoan GDCKPS vayhoac Co quan oé thém quyén, 5. Trong thdi gian ky quy. Khach hang duge huéng cae quyén va la ich phat sinh len quan dén tai san ky quy pha hop voi quy inh cua Co quan o6 thém quyén. 6. Khach hang c6 quyén rut ai sén ky quy tren Tal khoan phai sinh khi vige rut ta sén ky quy dé dap Ung cae digy kien neu tal Biéu kien va Dieu khoan GOCKPS va quy dinh cua Co quan c6 thé quyén. Tuy nhién, Cong ty ¢6 quyén tu ch6i cho Knach hang rut tai san ky quy néu Khach hang dang con cé khoan ng chua thanh toan che Cang ty hoac Ben thu ba ma Cong ty duce ‘uy quyén thu. 7. Kihdch hang déng y Uy quyén cho Cong ty duge thay mat Khach hang thye hign vie chuyén, rut, nop tién vayhoae chung hon, phong t6a, gial téa tai sén tren Tal khodn hai sinh dé: () thue hién bu try, than toa lat 16 vi thé cho cae vi thé chung khoan phai sinh nam gid cua Knach hang, () thanh toan cac khoan phi va nghla wy tai chinh khac cua Khach hang dai voi Cong ty vanoae Ca quan 6 tham quyén 8. Kihdch hang co nghia vu theng bao cho Cong ty cac thay di vé thong tin co ban cua Khach hang da néu tai Hop dong nay. Khach hang co cae quyén va nghla vu knéc theo quy dinh tai Hop déng nay, Hop déng MTKGDCK, Biéu kien va Biéu khodn GDCKPS va quy dina cua Ca quan ¢4 tham quyén. ‘Digu 8. Quyén, Nghia Vu va Xée Nhan Cia Cong ty 1. Cong ty cung cap cae dich vu ching khodn pha sinh cho Khach hang tren co s6 cae yeu cau/lenh hop Ie cua Khach hang va trong pham vi phu hop vai cac quy dinh cua Hop déng nay, Biéu kién va Biéu khoan GDCKPS, Hop dong MTKGDCK, cac théa nuan khac giua Khach hang voi Cong ty va quy dinh cua Co quan ¢6 thém quyéin 2. Cong ty 66 quyén tu choi thyc hign Ignh giao dich ca Khach hang trong cac trutng hyp sau 1. Khach hang vi pham, khong thuc hién dang quy dinhiyéu cau cua Cong ty vavhoac cua Co quan 06 thém quyén lién quan dn giao dich ching kroan phai sinh 'b. Len giao cich khong phu hop vai quy dinh tai Dieu kign va Biéu khoan GDCKPS hoac cua C¢ quan o6 thém quyén cc. Lenh giao dich ma néu thy hien 6 thé dn dén vi thé ching khoan phai sinh nm glu cua Khach hang wuot qua Gisi han vi thé cho phép 4d. Lenh giao dich vust qua git’ han lenh giao dich: lenh giao dich ma cung vel cae len dang che thue bien Tai khoan phai sinh vugt qua gidi han lenh tich lay theo quy dinh cua Co quan 6 thém quyén: nhe thong cua «. Khach hang chua thu hien xong viee kine phuc cae vi pham vé Gidi han vi thé, Ty le sti dung tal san ky quy, Ty le su dung tai khodn hai sinh va/ hoae vi pham knac lién quan dén Tai khoan phai sinh f. Len giao dich vi pham quy dinh khae cua Cong ty valhoae Co quan c6 thém quyén.3. Cong ty 66 quyén chuyén, rit, su dung tién, ching khoan trén Tai Khodn phai sinh dé thy hign céc hoat dong bi tr, than toan cho vige md, duy ti, déng, dao han vi thé giao dich chung xhoan pai sinh cua Khach hang hoae dé thanh toan cae khoan phi va nghia vu tai chinh cua Khach hang dol véi Cong ty. 4. Cong ty 66 quyén quyét dinh, thuc hien cae cong vige sau day trong pham vi phi hop véi quy dinh cua Co quan oo thdm quyen: () yeu cau Khach hang noo cac khoan Ay quy theo quy dinh i) xe dinh cde muc ky quy, te tién mat ky qUy tong {6ng gia tr tai sén ky quy tay thuoe vao tinh chat, quy md giao dich chung khodn phai sinh cua Khdch hang; (i) iva chon loa ching khoan cho ky quy trong dann myc tai san due chap nhan ky qug; iv) yeu cau thay thé ai sn ky quy; va (v) xae dink pphugng thue, thei han nop, bé sung ky quy, thay d6i ching khoan Ky quy. chuyén giao tai sn ky aus. 5. Cong ty 66 quyén xt yt sn, xj Tai Khoan pha sinh trong cae truong hop duge quy dinh tai Hap déng nay, Didu kien va Biéu khoan GDCKPS hose theo quy dinhiyeu cu cua Co quan 6 thém quyén ma khéng én phal thong baolhdiy kién Knach hang, 6. Cong ty co nghta wy duy tn trong he theng eva Cong ty daieu ghi nan viee hach toan ttn, chung khoan, vi thé mé va cae nghia wy ng c¥a Khach hang. Khach hang chap nhan noi dung du leu vé s6 tn, chung khoan, vi thé mé tren Tai khoan pha sinh va céc nghia vu ng cia Khach hang dice ghi nhan trong he thong cia Cong ty 7. Cong ty c6 cae quyén vainghia vu kha theo auy dinh tai Hop dng nay, Hop déng MTKGDCK, iéu kién va Diu khoan GDCKPS, quy dinh cua Co quan c6 tham quyén va phap lat fu 9. Biéu Khoan Ap Dung 1. Khach hang déng y rang cae van dé chua duce quy dinh cu thé trong Hop déng nay (bao gém nhung khéng gid han &: nopirat tal san ky quy, b6 sung tai san ky quy, thay thé ta san ky quy, giam sat si dung tai sén ky quy, thanh toan lai 6 v thé, thong bao cla Cong ty cho Khach hang, va cao van dé kha lin quan dé giao dich phai sinh) se duge thy hien theo quy dinh ta Digu kien va Diéu khoan GDCKPS, 2. Khach hang déng y rang Diéu kien va Dieu khoan GDCKPS va cdc van ban stia ddl 66 sung Diu kien va Digu khoan GOCKPS: 88 duge Cong ly cong b6 cong khal trén trang thong tin dign ty cua Cong ty itnhat 01 ngay trude khi ap dung, Ja Hop dong MTKGDCK, 3. Doi voi nhng thuat nga khong duge gi thich ta Hop ding nay thi s6 dice hiéu va Ap dung theo quy din ‘iéukien va Biéukhoan GOCKPS, quy dinh cua phap luat hoac auy dinh cua Ca quan co thém quyén. 4. Dol vei nhang van dé khong duge quy dinh cu thé trong Hop dong nay th se duge hidu va ap dung theo auy inh cua Hap déng MTKGDCK, Bigu kien va Bigu khodn GDCKPS, quy dinh cua phap luat hoae auy dinh cla Ca quan co tham quyén. 5. Cong ty 66 quyén chuyén Tai khoan phai sinh cua Khach hang sang Cong ty chung khodn kha khi Cong ty khong thé cung cp duge dich vu mei gidi ching khoan phi sinh cho Khach hang. iéu 10. Digu Khoan Thi Hanh 1. Hop déng nay co hiew Wve ké ttingay ky ghitai phan dau Hop déng, 2. Hop déng nay se cham dut trong cde truang hap sau day: a. Khach hang c6 yeu cau cham dit Hop déng va da thc hién xong moi nghfa vw d6i vai Cong ty b. Cong ty £6 quyén don phuong cham dit Hop déng do Khach hang vi pham Hep déng nay, vi pham Biéu kien va Diéu khoan GDCKPS hoe vi phar phap luat «. Khach hang la ca nan bi chet, bi mat nang le han vi dan su, bi ket an la phar ti; Khach hang lat che bi gi thé, pha sn 4. Cong ty bi gid thé, bj pha sn, 0 dinh chi hoat dong, bi thu hoi giay phép hoat dong: €. Cac rung hgp kha theo ouy dinh cua phap luat hoae theo théa thuan cia hai bén 8. Khach hang xéc nhan da doc, duge gid thich, hiéu ro va ty nguyen dong y Al ca cae nd! dung auy din tai Hop déng nay. 4. Hop déng nay duge lap thanh hai ban, ¢6 git phap ly nnunhau, mi Ben gia mot oan KHACH HANG BAI DIEN CONG TY i, gh hp tn, déng du (néu 66) (ky, dong ou)