Fee schedule and customer policy

 I. FEE SCHEDULE

SERVICE FEE
BROKERAGE (Stocks, fund certificates, warrants and bonds listed on an exchange; Calculated by total trading value in a day)
Transactions via (Mobile Trading, Hometrading, Webtrading) 0.15%
Transactions via other channels  
1 Under 100 million VND 0.30%
2 From 100 million VND to under 500 million VND 0.25%
3 From 500 million VND to under 1 billion VND 0.20%
4 1 billion VND or more 0.15%
Bond transactions 0.10%
DEPOSITORY (Stocks, fund certificates, warrants and bonds listed on an exchange)
1 Depository fee for stocks, fund certificates, warrants 0.30 VND/share, fund certificate, warrant/month
2 Depository fee for bonds 0.20 VND/bond/month
3 Fee for transferring securities within a depository account Free
4 Fee for transferring to other custodians (including account settlement if requested) 1 VND/share/1 time/1 symbol (max 1,000,000 VND/1 time/1 symbol)
5 Deposited securities withdrawal fee 100,000 VND/file
6 Account closure fee 50,000 VND/account
7 Fee for transferring right to buy (made during transfer period)

0.10% value calculated by par value

(min: 50,000 VND/file, max: 500,000 VND/file)

8

Fee for transferring ownership (from FNS to other custodians, through VSD):

  • Transfer preferred stocks ownership to be revoked/redeemed by the issuer from employees upon termination of labor contracts
  • Transfer ownership of unlisted public company securities
  • Give/Donate/Inherit
0.20% value calculated by par value (min: 50,000 VND/file)
  • Transfer ownership due to division, splitting, merger, consolidation, capital contribution by stocks
0.30% value calculated by par value (min: 100,000 VND/file)
9 Fee for transferring ownership (from other custodians to FNS, through VSD) 0.10% value calculated by par value
PAYMENT
1 Dividend payment Free
2 Cash withdrawal to bank Comply with fee schedule of the bank
OTHER SERVICES (Stocks, fund certificates, warrants and bonds listed on an exchange)
1 Fee for confirming account balance (securities or cash) Free
2 Fee for confirming restriction/release of mortgaged stocks/repo

0.10% value calculated by par value

(min: 100,000 VND/time; max: 10,000,000 VND/time)

3 Fee for giving/inheriting

0.20% value calculated by par value

(min: 50,000 VND/file)

4 SMS fee 8,800 VND/month (including VAT)
FINANCIAL SERVICES (Stocks, fund certificates, warrants and bonds listed on an exchange)
1 Cash advance fee 0.036%/day (min: 30,000 VND/contract, min fee is not applied for automatic cash advance)
Notes: The actual number of charged days is from the day customer requests cash advance to the day FNS receives money from selling securities (including Saturday, Sunday and public holidays). For customers requesting cash advance to withdraw money at the day of selling securities payment, FNS will charge a cash advance fee for 1 day and won’t charge this fee in case of purchase
2 Interest rate for Margin trading 0.036%/day
3 Fee for extending Margin loan 0.10% value of extended loan
DEPOSIT INTEREST RATE FOR SECURITIES TRADING
Specialized account: comply with demand deposit interest rate of the bank
SHAREHOLDER MANAGEMENT(Not yet listed stocks)
Shareholders who own shares of issuers under the Ho Chi Minh City Tax Department may authorize FNS to receive files and tax file results.
1 Fee for transferring shares
Under 500 million VND 0.20% Min: 200,000 VND
500 million VND or more 0.18% Max: 10,000,000 VND
2 Fee for issuing new share certificate 50,000 VND
3 Fee for restricting/releasing shares 50,000 VND
Shareholders who self-fulfilled their income tax obligations or fulfilled through Tax Agents before registering services relating to Shareholder Management at FNS.
1 Fee for transferring shares

0.15%/par value

(Min:100,000 VND; max: 10,000,000 VND)

2 Fee for issuing new share certificate 50,000 VND
3 Fee for restricting/releasing shares 50,000 VND

II. CUSTOMER POLICIES

1.   Customer classification criteria:

No. Customer classification Average trading value/month (VND)

Initial NAV

(VND)

1 Copper    
2 Silver 2,000,000,000 300,000,000
3 Gold 5,000,000,000 1,000,000,000
4 Diamond 8,000,000,000 2,000,000,000

2.  Customer policies:

No. Services Customer classification
Copper Silver Gold Diamond
I Basic services        
1 Transaction fee (%) (*) Fee schedule Fee schedule -  0.3 Fee schedule -  0.3 Fee schedule -  0.3
2 Depository fee Fee schedule Fee schedule Fee schedule Fee schedule
II Additional financial services        
1 Cash-advance fee (%/year) Fee schedule 12 11 10.5
2 Margin transaction fee (%/year) Fee schedule 12 11 10.5
3 Number of interest-free days on margin account T1 T1 T1 T1
III Investment advisory services        
1 Seminar of market update/investment method
2 Daily/weekly report
3 Quarterly/yearly report
4 Company report
5 VIP Bulletin    
6 24/7 Advisory    
IV Other favors        
1 Birthday present Follow the Company regulations issued on specific events
2 Gift on Holidays (Mid-Autum Festival, New Year, Lunar New Year,…)
3 Customer conference