YSI Saving Individual PAMM Account Application

個人 PAMM 管理帳戶申請

PRODUCT EXPERIENCE ( please check the appropriate boxes, all these fields are mandatory )
投資經歷 ( 請在相應的框中作出標記，所有這些選項為必填 )

Nr. of Years Forex CFD Commodities Futures / Options Bonds / Shares Funds
大概年限 外匯 差價合約 商品 期貨 / 期權 債券 / 股票 基金
None / 無 □ □ □ □ □ □
less than 1 / 少於一年 □ □ □ □ □ □
1-3 years / 1-3 年 □ □ □ □ □ □
more than 3 / 超過 3 年 □ □ □ □ □ □

DO YOU ALREADY HAVE AN ACCOUNT AT YSI® CORP.? / 你已經有了 YSI® CORP. 的帳號嗎？

□ No/ □ Yes, account number /

DID YOU OPEN A DEMO ACCOUNT WITH YSI® CORP.? 你有沒有在 YSI® CORP. 開立模擬帳戶？

□ No/ □ Yes, account number /

WERE YOU CONTACTED BY A MEMBER OF YSI® CORP.'S TEAM ? 之前是否有 YSI® CORP. 團隊成員聯繫過您？

□ No/ □ Yes, by Mr./Mrs. /

HAVE YOU BEEN INTRODUCED TO YSI® CORP. BY SOMEBODY ? 曾經有人將您介紹到 YSI® CORP. 嗎？

□ No/ □ Yes, by Mr./Mrs. /

CLIENT FINANCIAL INFORMATION / 客戶財務資訊

Origin of money to invest ( Select as many as apply, min. 1 choice ) /

□ Savings 儲蓄 □ Earned income/pension 工作收入/退休金 □ Inheritance 繼承財產 □ Gift 獲贈

□ Financial markets earnings 金融市場收益 □ Other ( please specify ) 其他 ( 請詳細說明 ) ：

DO YOU HAVE AN IMPORTANT PUBLIC FUNCTION ? / 您擔任重要公職嗎？

Do you hold any prominent public office ( e.g. head of state or government; senior politician, high-ranking official in the public administration,
the judiciary, the armed forces or political party; senior executive officer of a state-owned enterprise of national importance )? Or do you have close family,
or personal or business relations with any such person? Or does any person likely to be involved in the client relationship or anyone close to them hold such office?
您是否擔任重要的公職（如國家和政府的主要領導、高級政府官員、公共管理機構的高級官員、法官、軍隊官員或政黨領導、大型國有企業的高級管 理人員等）？
或者您和這些擔任重要公職的人員有緊密的家庭、個人或商業關係嗎？或者任何人可能介入客戶關係嗎？或者任何接近他們的人擔任這樣的職位嗎？
□ No/沒有 □ Yes, please describe / 是的，請描述：

GENERAL CONDITIONS AND CONTRACT DOCUMENTS / 一般條款和合同檔

By signing below, you hereby agree that you have read, understood, consented and accepted any and all of the General Business Conditions and Safe Custody Regulations.
You confirm you have read, understood, consented and accepted the “Special risks in securities trading” .
下方簽名表明您確認，您已經閱讀、理解、贊同並接受所有的一般商業條款和安全保管制度。
您確認已經閱讀、理解、贊同並接受《證券交易的特別風險》。

Place / 地點 Signature / 簽名

Date / 時間

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YSI Saving Individual PAMM Account Application
個人 PAMM 管理帳戶申請

Please note that this form will not be accepted if it contains any alterations
請注意，本表格塗改無效

VERIFICATION OF THE BENEFICIAL OWNER /

According to the ( CAYMAN ) regulation the Bank must identify the economical beneficial owner(s) of the assets deposited on the account.
If you are the beneficial owner of the assets, please check the first box to confirm that you are the beneficial owner and then sign at the bottom of the page.
If you are not the beneficial owner, please check the second box and fill in all the requested information.
Please also provide us with a notarized copy of the passport or company documents of this person(s) or company(ies).
根據(英屬開曼)法律，銀行必須確認PAMM帳戶資產的經濟受益所有人。
如果您是資產的受益所有人，請在第一個框內作出標記，確認您 是受益所有人，並在頁面下方簽字。
如果您不是財產的受益所有人，請在第二個框內作出標記，並按需求填寫資訊。
另外還請您提供一份這個(這些)人的護照副本。

The contracting partner hereby declares / 簽約人於此聲明

□ That the contracting partner is the beneficial owner of the assets deposited with YSI® CORP.
簽約人即在 YSI® CORP.所存資產的受益所有人
OR / 或
□ That the beneficial owner(s) of the assets deposited with YSI® CORP. is(are) (write below)
在 YSI® CORP.存款資產的受益所有人是(下方填寫)

Family name / Date of birth or Nationality

First name or Company name incorporation 國籍或企業創建所在國 Address 地址 Country 國家
姓/名或企業名稱 出生 / 企業創建日期

The contracting partner(s) undertake(s) to automatically inform YSI® CORP.

of any changes. It is a criminal offence to deliberately provide false information on this item
簽約人承諾，如果資訊有任何更改，將主動通知 YSI® CORP.
在本表格上蓄意提供虛假資訊是犯罪行為

Translation of documents is provided for the added convenience of the Client.

In the event of conflict between the original English text and any translation or any other agreement between the Bank and the Client, the English version shall take precedence.
翻譯檔供客戶方便之用。若英文原文與任何翻譯之內容存在衝突，或者與本行和客戶之間的其他協定存在衝突，均應以英文版本為准。

Place / 地點 Signature / 簽名

Date / 時間

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YSI Saving Individual PAMM Account Application
個人 PAMM 管理帳戶申請

SIGNATURE SPECIMEN / 簽名樣卡

Family name / 姓*：

First name / 名*：
Nationality / 國籍*：
Date of Birth ( Day / Month / Year ) / 出生日期 ( 日 / 月 / 年 ) *：

Please sign in both boxes below / 請在下面兩個框中簽名

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YSI CORPORATION ANTI-MONEY LAUNDERING POLICY (AML)

POLICY STATEMENT AND PRINCIPLES
In compliance with the The Financial Intelligence and Anti-Money Laundering Act 2002 (FIAMLA 2002), the Prevention of
Corruption Act 2002 (POCA 2002) and the Prevention of Terrorism Act 2002 (POTA 2002), YSI CORPORATION have adopted
an Anti-Money Laundering (AML) compliance policy ("Policy") as set forth in the Board minutes.

SCOPE OF POLICY
This policy applies to all YSI CORPORATION officers, employees, appointed producers and products and services offered by
YSI CORPORATION. All business units and locations within YSI CORPORATION will cooperate to create a cohesive effort in the
fight against money laundering. Each business unit and location have implemented risk-based procedures reasonably
expected to prevent, detect and cause the reporting of transactions required under the FIAMLA. All efforts exerted will be
documented and retained in accordance with the FIAMLA. The AML Compliance Committee is responsible for initiating
Suspicious Activity Reports ("SARs") or other required reporting to the appropriate law enforcement or regulatory
agencies. Any contacts by law enforcement or regulatory agencies related to the Policy shall be directed to the AML
Compliance Committee.

POLICY
It is the policy of YSI CORPORATION to prohibit and actively pursure the prevention of money laundering and any activity that
facilitates money laundering or the funding of terrorist or criminal activities. YSI CORPORATION is committed to AML
compliance in accordance with applicable law and requires its officers, employees and appointed producers to adhere to
these standards in preventing the use of its products and services for money laundering purposes. For the purposes of the
Policy, money laundering is generally defined as engaging in acts designed to conceal or disguise the true origins of
criminally derived proceeds so that the unlawful proceeds appear to have been derived from legitimate origins or
constitute legitimate assets.
Generally, money laundering occurs in three stages. Cash first enters the financial system at the "placement" stage, where
the cash generated from criminal activities is converted into monetary instruments, such as money orders or traveler's
checks, or deposited into accounts at financial institutions. At the "layering" stage, the funds are transferred or moved into
other accounts or other financial institutions to further separate the money from its criminal origin. At the "integration"
stage, the funds are reintroduced into the economy and used to purchase legitimate assets or to fund other criminal
activities or legitimate businesses. Terrorist financing may not involve the proceeds of criminal conduct, but rather an
attempt to conceal the origin or intended use of the funds, which will later be used for criminal purposes.

AML COMPLIANCE COMMITTEE

The AML Compliance Committee, with full responsibility for the Policy shall be comprised of the General Counsel; Chief
Compliance Officer, YSI CORPORATION; Deputy Compliance Officer, YSI CORPORATION; Assistant Vice President-Internal
Audit, and Corporate Attorney. The Chief Compliance Officer shall also hold the title Chief AML Officer, and shall have
authority to sign as such. The duties of the AML Compliance Committee with respect to the Policy shall include, but are not
limited to, the design and implementation of as well as updating the Policy as required; dissemination of information to
officers, employees and appointed producers of YSI CORPORATION, training of officers, employees and appointed
producers; monitoring the compliance of YSI CORPORATION operating units and appointed producers, maintaining
necessary and appropriate records, filing of SARs when warranted; and independent testing of the operation of the Policy.
Each YSI CORPORATION business unit shall appoint a contact person to interact directly with the AML Compliance
Committee to assist the Committee with investigations, monitoring and as otherwise requested.

CUSTOMER IDENTIFICATION PROGRAM

YSI CORPORATION has adopted a Customer Identification Program (CIP). YSI CORPORATION will provide notice that they will
seek identification information; collect certain minimum customer identification information from each customer, record
such information and the verification methods and results; and compare customer identification information with OFAC.

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NOTICE TO CUSTOMERS
YSI CORPORATION will provide notice to customers that it is requesting information from them to verify their identities, as
required by applicable law.

VERIFYING INFORMATION
Based on the risk, and to the extent reasonable and practicable, YSI CORPORATION will ensure that it has a reasonable belief
of the true identity of its customers. In verifying customer identity, appointed producers shall review photo identification
YSI CORPORATION shall not attempt to determine whether the document that the customer has provided for identification
has been validly issued. For verification purposes, YSI CORPORATION shall rely on a government-issued identification to
establish a customer's identity. YSI CORPORATION, however, will analyze the information provided to determine if there are
any logical inconsistencies in the information obtained. YSI CORPORATION will document its verification, including all
identifying information provided by the customer, the methods used and results of the verification, including but not limited
to sign-off by the appointed producer of matching photo identification.

CUSTOMERS WHO REFUSE TO PROVIDE INFORMATION

If a customer either refuses to provide the information described above when requested, or appears to have intentionally
provided misleading information, the appointed agent shall notify their New Business team. The YSI CORPORATION New
Business team will decline the application and notify the AML Compliance Committee.

CHECKING THE OFFICE OF FOREIGN ASSETS CONTROL ("OFAC") LIST

For all (1) new applications received and on an ongoing basis, (2) disbursements (3) new producers appointed or (4) new
employees, YSI CORPORATION will check to ensure that a person or entity does not appear on Treasury's OFAC "Specifically
Designated Nationals and Blocked Persons" List (SDN List) and is not from, or engaging in transactions with people or
entities from, embargoed countries and regions listed on the OFAC Web Site. YSI CORPORATION shall contract with
World-Check to ensure speed and accuracy in the checks. YSI CORPORATION will also review existing policyholders,
producers and employees against these lists on a periodic basis. The frequency of the reviews will be documented and
retained. In the event of a match to the SDN List or other OFAC List, the business unit will conduct a review of the
circumstances where such match has been identified. If the business unit is unable to confirm that the match is a false
positive, the AML Committee shall be notified.

MONITORING AND REPORTING

Transaction based monitoring will occur with in the appropriate business units of YSI CORPORATION. Monitoring of specific
transactions will include but is not limited to transactions aggregating $5,000 or more and those with respect to which
YSI CORPORATION has a reason to suspect suspicious activity. All reports will be documented and retained in accordance
with the FIAMLA requirements.

There are signs of suspicious activity that suggest money laundering. These are commonly referred to as "red flags". If a
red flag is detected, additional due diligence will be performed before proceeding with the transaction. If a reasonable
explanation is not determined, the suspicious activity shall be reported to the AML Compliance Committee. Examples of
red flags are:

˙The information provided by the customer that identifies a legitimate source for funds is false, misleading, or substantially
incorrect.
˙Upon request, the customer refuses to identify or fails to indicate any legitimate source for his or her funds and other
assets.
˙The customer (or a person publicly associated with the customer) has a questionable background or is the subject of news
reports indicating possible criminal, ivil, or regulatory violations.
˙The customer exhibits a lack of concern regarding risks, commissions, or other transaction costs
˙The customer appears to be acting as an agent for an undisclosed principal, but declines or is reluctant, without legitimate
commercial reasons, to provide information or is otherwise evasive regarding that person or entity.
˙The customer attempts to make frequent or large deposits of currency, insists on dealing only in cash equivalents, or asks
for exemptions from the firm's policies relating to the deposit of cash and cash equivalents.

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˙For no apparent reason, the customer has multiple accounts under a single name or multiple names, with a large number
of inter-account or third-party transfers.
˙The customer is from, or has accounts in, a country identified as a non-cooperative country or territory by the Financial
Action Task Force.
˙The customer's account shows numerous currency or cashiers check transactions aggregating to significant sums.
˙The customer's account has a large number of wire transfers to unrelated third parties inconsistent with the customer's
legitimate business purpose.
˙The customer's account has wire transfers that have no apparent business purpose to or from a country identified as
money laundering risk or a bank secrecy haven.
˙The customer's account indicates large or frequent wire transfers, immediately withdrawn by check or debit card without
any apparent business purpose.
˙The customer makes a funds deposit followed by an immediate request that the money be wired out or transferred to a
third party, or to another firm, without any apparent business purpose.
˙The customer makes a funds deposit for the purpose of purchasing a long-term investment followed shortly thereafter by
a request to liquidate the position and transfer of the proceeds out of the account.
˙The customer requests that a transaction be processed in such a manner to avoid the firm's normal documentation
requirements.

INVESTIGATION
Upon notification to the AML Compliance Committee of a match to the OFACSDN List or possible suspicious activity, an
investigation will be commenced to determine if a report should be made to appropriate law enforcement or regulatory
agencies. The investigation will include, but not necessarily be limited to, review of all available information, such as
payment history, birth dates, and address. If the results of the investigation warrant, a recommendation will be made to the
AML Compliance Committee to file a blocked assets and/or a SAR with the appropriate law enforcement or regulatory
agency. The AML Compliance Committee is responsible for any notice or filing with law enforcement or regulatory agency.
Investigation results will not be disclosed or discussed with anyone other that those who have a legitimate need to know.
Under no circumstances shall any officer, employee or appointed agent disclose or discuss any AML concern, investigation,
notice or SAR filing with the person or persons subject of such, or any other person, including members of the officer's
employee's or appointed agent's family.

RECORDKEEPING
The AML Compliance Committee will be responsible to ensure that AML records are maintained properly and that SARs
and Blocked Property Reports are filed as required. YSI CORPORATION will maintain AML records for at least five years.

TRAINING
YSI CORPORATION shall provide general AML training to its officers, employees and appointed producers to ensure
awareness of requirements under the FIAMLA. The training will include, at a minimum: how to identify red flags and signs
of money laundering; what roles the officers, employees and appointed producers have in the YSI CORPORATION
compliance efforts and how to perform such duties and responsibilities; what to do once a red flag or suspicious activity is
detected; YSI CORPORATION record retention policy; and the disciplinary consequences for non-compliance with the Act
and this Policy. In addition, each affected area will provide enhanced training in accordance with the procedures developed
in each area for officers and employees reasonably expected to handle money, requests, or processing that may bring them
into contact with information designated above. Training will be conduted on an annual basis. YSI CORPORATION AML
Compliance Committee will determine the ongoing training requirements and ensure written procedures are updated to
reflect any changes required in such training. YSI CORPORATION will maintain records to document that training has
occurred.

The testing of the Policy will be conducted by an outside independent third party annually. Any findings will be reported to
the AML Compliance Committee, SFG Audit Committee and Senior Management for appropriate action.

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