Precaution

Precaution- SCBS

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  Prevention of Possible Damage to Client Properties
  SCBS would like to thank everyone for their kind consideration and use of our services. The Securities and Exchange Commission has provided practical guidelines on how to prevent damage to client properties from any act of fraud by securities company officials. Complying with the proposed guidelines will benefit clients. Therefore, SCBS would like to summarize the SEC's practical guidelines and define roles and accountabilities for internal working units with which clients come in contact with as follows:
   
 
1. When clients receive approval for opening trading accounts and the company opens them completely, it will submit a letter of confirmation to clients the following working day.

 
2. When clients receive approval for opening accounts and begin trading, they will receive the following documents:
Purchase / Sale Order Confirmation / Copy of Receipt
  Upon the purchase/sale of securities, clients will receive a purchase/sale order confirmation, a receipt, a payment voucher, and a tax invoice. The company will send them one day after the transaction.
Statement on Securities Remaining in Account
  Should clients trade securities in a particular month, they will receive a statement showing securities remaining as at the end of the month, whether or not there are securities in the account. In case clients do not trade but have securities in the account, the company will submit quarterly statements in March, June, September, and December. Half-year statements will be also submitted to all clients in June and December. Statements will be sent to clients within 7 days of the end of the month, the quarter, and the half-year period.
Statement on Balance in Account
  Clients depositing money in the cash balance system will receive a statement showing a balance as at the end of the month if there was any movement in the account, whether or not there is an outstanding balance. In case the account is inactive, but there is a balance, the company will submit a quarterly statement in March, June, September, and December. The statement will be sent to the clients within 7 days of the end of the month and the quarter.
   
  Remark: If you do not receive the documents within the proper time frame, please inform the Settlement Department at 0 2949 1212 immediately. Do not inform the marketing official supervising your trading accounts.
   
3. For clients making payments for a securities purchase by transferring money into the company's account, please state your name clearly in a copy of the pay-in slip so that the company can check it and prevent anyone from using it to make securities payments on behalf of other clients.
   
4. To sign for a share withdrawal/transfer request, clients are required to state the name of persons accepting the transfer on their own in order to prevent any transfer of their shares to other persons.
   
5. If clients want to make payments for a securities purchase, or share subscriptions with other persons by cheque or money transfer to the company's account, they are required to make a written statement of their consent or intention for whom they want to settle debts.
   
6. The company forbids its employees from receiving cash from clients in order to prevent any damages. As a result, clients are advised to deposit cash into the company's account on their own and submit to the company's staff a copy of the pay-in slip on which their name is clearly stated.
   
  If paying for shares by cheque, please write a crossed cheque
(A/C payee only) under the name of “SCB Securities Co., Ltd”.