Declaration Of Accredited Expert Institutional Investor Status

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U O B K
H
P
L
A Y
I A N
R I V A T E
I M I T E D
8 Anthony Road #01-01 Singapore 229957
Tel : 6535 6868 Fax : 6532 6919
Website : Bus Reg : 197000447W
DECLARATION OF ACCREDITED / EXPERT / INSTITUTIONAL INVESTOR STATUS
PERSONAL PARTICULARS
FULL NAME (AS IN SECURITIES TRADING ACCOUNT)
TRADING ACCOUNT NUMBER /
TR CODE
/
NRIC / PASSPORT / COMPANY REGISTRATION NO.
EMAIL
CONTACT NO.
Please select any of the following transaction(s) that you intend to do (you may select more than one):
Listed SIPs: For example, ETFs, ETNs, Structured Warrants, Certificates
Listed SIP: ES (Please complete ES Account Application Form)
Unlisted SIP: CFD (Please complete CFD Account Application Form)
Unlisted SIP: Unit trusts
Unlisted SIP: Over-the-counter products such as bonds, structured notes
Unlisted SIP: LFX (Please complete LFX Account Application Form)
DECLARATION OF INVESTOR STATUS
(Pls complete either A, B or C)
A.
ACCREDITED INVESTOR (as defined in Section 4A(1)(a) of the Securities and Futures Act (Cap. 289):
INDIVIDUAL
i. whose net personal assets exceed in value S$2 million (or its equivalent in a foreign currency) or such other amount as the
authority may prescribe in place of the first amount; or
Supporting Proof Required:
- Copy of latest bank statement, CPF statement (dated within 3 months)
- Copy of latest statement of holdings from CDP/ brokerage firms (dated within 3 months)
- Copy of property title deed
ii. whose income in the preceding 12 months is not less than S$300,000 (or its equivalent in a foreign currency) or such other
amount as the authority may prescribe in place of the first amount;
Supporting Proof Required:
- Copy of pay slip (dated within 3 months)
- Copy of bank statement with salary credit (dated within 3 months)
- Copy of most recent income tax notice assessment / IR8A form
- Original letter of employment stating position and income (dated within 3 months)
- Copy of listed company’s financial statements / annual report for directors of listed companies (latest)
CORPORATE
i. a corporation with net assets exceeding S$10 million in value (or whose net personal assets or its equivalent in a foreign
currency) or such other amount as the authority may prescribe, in place of the first amount, as determined by:
- the most recent audited balance-sheet of the corporation; or
- where the corporation is not required to prepare audited account regularly, a balance sheet of the corporation certified by the
corporation as giving a true and fair view of state of affairs of the corporation as of the date of the balance sheet, of which the
date shall be within the preceding 12 months.
ii. a corporation, the sole business of which is to hold investments and the entire share capital of which is owned by one or more
persons, each of whom is an accredited investor.
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