1. I. GENERAL INTRODUCTION:

1. 1. Service introduction:

-  Securities trading service via Bloomberg Fix Gateway (“BVS@Bloomberg”) is a morden tool of which main function is in order to receive trading orders directly via Bloomberg channel based on standard connection with EMSX of Bloomberg.

-  With this function, foreign investors especially foreign institutions/funds that are investing in Việt Nam stock market in particular and in other countries in general can make multiple trading at different stock markets in the world and place orders directly to BVSC, proactively cancel/correct orders on EMSX without contacting BVSC broker to place orders indirectly as before.

2. 2. Utility services:

- Use only one Bloomberg tool to trade in many stock markets in the world and place order directly to BVSC.

- Proactively cancel, correct orders on the EMSX.

- NReceive Report of trading orders instantly and directly via Bloomberg system.

- Automatically receive trading result in fast and accuracy manner, support management tasks and save cost for Clients.

- Receive huge quantity orders, of which Clients place order directly to Broker via Bloomberg and also authorize broker to handle the order under specific instruction on securities quantity and price.

3. 3. Condition on using BVS@Bloomberg service:

• -  - Clients who open securities trading account at BVSC.
• -  - Clients who register to use BVS@Bloomberg services.
•  

2. II. REGULATION AND INSTRUCTION ON USING BVS@BLOOMBERG SERVICES
   1. 1. Definition:
      1. a. A “Bloomberg UUID” uniquely identifies a user’s logon and is numeric. To obtain your UUID follow 2 following methods:
         • - Contact Bloomberg; or
         • - Type IAM while logged on to your Bloomberg terminal. The UUID will be listed in the top right hand corner of the Bloomberg window.
      2. b. “Bloomberg Permissioned Account” is a unique code which is selected by Client and defined for each securities trading Sub-Account. The stipulation of Bloomberg Permissioned Account include 19 characters (xxxxxxxx-yyyyyyyyy), in which 8 first ones is selected by Client, a dash (-), 10 last ones is securities trading sub-account number of Client appropriate for that Permissioned Account. Client must register the Permissioned Account with BVSC. BVSC supports Client to declare Permissioned Account on Bloomberg. When placing order, Client chooses Permissioned Account instead of respective securities trading Sub-Account and broker as BVSM, orders will be sent to sub-account opened at BVSC and put through to the Exchange system.
      3. c. “Securities trading service via Bloomberg Fix Gateway/BVS@Bloomberg” is one provided to Clients by BVSC in order to trade via Bloomberg and BVSC system legally.
      4. d. “Securities trading via Bloomberg FIX Gateway” refers to transactions relating to securities, rights, deposits on: (i) Client’s securities trading account at BVSC; and/or (ii) Indirectly-invested capital account opened by a Client in a commercial banks and branches of foreign banks licensed to trade and supply foreign exchange service and connected to Client’s securities trading account at BVSC; or (iii) Client’s custody and transaction payment management account at Bank that is connected to Client’s securities trading account at BVSC, which (i) are carried out in accordance with the terms of registered services and (ii) are sent from the registered Bloomberg UUID and respective Permissioned Account to sub-account opened at BVSC inconnecting devices between Bloomberg and BVSC securities trading system.
      5. e. "Auto Executed Order (AUTO)" is a trading order through Bloomberg Fix Gateway, Client’s orders will be transmitted to BVSC order management system via Bloomberg FIX Gateway as soon as the account balance meets order requirement, orders will be automatically sent to the Stock Exchanges.).
      6. f. "Place orders indirectly to brokers to perform specific order directions (MNL)" is a trading order through Bloomberg Fix Gateway, Client’s orders will be transmitted to BVSC order management system via - Bloomberg FIX Gateway and will be transferred to Client’s account manager. The account manager will base on the specific order direction of Client to monitor the market and place orders in line with the order. All the orders will be actively placed and managed in compliance with Client’s specific order directions by the account manager depending on the market situation.
      7. g. "Place orders with feartures of Automation Executed order public, Broker Intervention OK” (ANY)" is a trading order via Bloomberg Fix Gateway, Client’s orders will be transmitted to BVSC order management system via - Bloomberg FIX Gateway and will be transferred to Client’s account manager. The account manager will base on the specific order direction of Client to monitor the market and place orders in line with the ANY order. All the orders will be actively placed and managed in compliance with Client’s specific order directions by the account manager depending on the market situation. After 30 minutes from placing ANY order, all the non-executed and remained vomlume of orders will be transferred into AUTO method and sent to exchange systems of the bourse at the price level determined by Client. After the above regulated period of time, the validation of authorization of Client permissing account manager to execute the order will be concurrently terminated, therefore Client has to inform to account manager or directly place the cancellation or substitution order whenever Client would like to have cancellation or substitution for remained volume ANY order which has been sent to the exchange system of the bourse.
      8. h. “All the above methods” means that Client can registers to place order under any of the above methods.
      9. i. “Electronic record”: are information relating to Client’s securities and money transactions that have been made, sent, received and saved when Client uses the service of securities trading via Bloomberg FIX Gateway.
      10. j. “Broker house” means Bao Viet Securities JSC and has the broker code as BVSM.
      11. k. "Force Majeure Event" refers to any of the following events, which makes any Party or the Parties unable to perform their obligations under this Agreement, such as the prohibition or actions of government or public authorities, riot, war, strikes, labor disputes and other work suspensions, public utilities are deactivated or obstructed, epidemics, fires, floods, earthquakes, tsunamis or other natural disasters, and other events beyond the reasonable control of the Parties.
   2. 2. Register BVS@Bloomberg servies:
      1. a. Client must sign this Application form cum Agreement on securities trading service via Bloomberg FIX Gateway , and complete and sign corresponding to their registered service of securities trading via Bloomberg FIX Gateway such as:
         • (i) Place orders directly to exchange (AUTO); and/or
         • (ii) Place orders indirectly to brokers to perform specific order directions (MNL); and/or
         • (iii) Automation executed order public, Broker Intervention OK (ANY); and/or
         • (iv) All above methods.
      2. b. Client must declare and register Bloomberg UUID and Permissioned Account corresponding to securities trading Sub-Account number. Bloomberg UUID is an official address to place orders and (or) request services to BVSC trading system for securities trading Sub-Account which is appropriate to Bloomberg Permissioned Account. Client commits that the registered Bloomberg UUID is under Client's legal ownership and takes full responsibilities in any falsification. Client can declare only one permissioned account and/or many Bloomberg UUID for each Sub-Account opened at BVSC. In case, Client wants to change, add, cancel Bloomberg UUID, HandInst, Client must re-register with BVSC.
   3. 3. Terms of service:
      1. a. All securities trading orders placed via Bloomberg FIX Gateway is acceptable or automatically transferred into securities trading system of the Stock Exchanges only when orders are put from correct Bloomberg UUID and Permissioned Account to respective sub-account that Client registered with BVS and sent to broker BVSM, at the same time the trading account balance of Client at BVSC or balance confirmation from Custodian Bank where Client opened custody account guarantee eligibility payment of Client’s orders and meets requirement for trading time and types of trading order as well as Vietnamese trading regulations.
      2. b. Before placing securities trading orders, Client is responsible for coordinating with the Bank where Client opens custody account to provide information about securities balance (for Clients who do not use custody service at BVSC) and/or money balance and on Client’s custody account for BVSC at the beginning of each trading day to meet the requirements for updating account balance for the purpose of automatically checking securities balance when placing trading orders. Client should be aware that the failure to submit or not submit timely the securities/money balances that leads to no account balance updates into the trading system of BVSC means that the placing orders of Client shall not be accepted or shall not be automatically transmitted to the trading system of the Stock Exchanges. In this case, BVSC will be fully exempted from all liability and damages (if any) caused to Client and/or third party.
   4. 4. Notes:

       

      1. a. Registration for the use of Securities Trading Services via Bloomberg FIX Gateway does not eliminate Client’s right to execute securities transactions through other services that Client has registered with BVSC.
      2. b. In case Client uses the Securities Trading Services via Bloomberg FIX Gateway and shows signs of violation of Anti-money laundering Law, BVSC has full right to refuse to provide the Securites Trading Services via Bloomberg FIX Gateway, as well as to blockade the Client’s deposite account at BVSC in accordance to the current Vietnamese Law (if applicable), or the request of governmental authorities.
      3. c. If, for any reason, Client happens to own illegal securities, cash and/or other assets in Client’s account and other sub-accounts and he/she is unable to prove legal possession of these items, Client will be immediately responsible for refund to BVSC. The use of securities, cash or other assets that are not legally owned is considered to be an appropriation, as well as an illegal use of others’ assets, and Client will be responsible for the action according to Vietnamese Law.
      4. d. BVSC fully reserves the right to immediately perform the settlement of assets in order to revoke all of Client’s debts, interests, and other debt obligations that arise according to BVSC’s regulation without being dependent on wills or agreement regarding Client’s responsibilities with any other third party when one of these circumstances occurs: (i) Client deceases or (ii) receives a death sentence, is reported missing, losses his/her civil act capacity, and/or is responsible for obligations as adjudicated by a competent authority. After BVSC has revoked all of Client’s debts, interests, and other debt obligations, the remaining assets of the Client in the transaction account and sub-accounts will be solved in accordance to the Vietnamese Law.

--------------------------------o0o-----------------------------

For any further information or inquiries relating to BVS@Bloomberg services (service advisory, trading support, technical support…) Clients please contact with your account manager or to BVSC head office/ branch office, telephone number : (+84 24) 3928 8080 – (+84 28) 3914 6888.

BVSC would like to send our grateful for your choice of using our services!