Consent Form For Book-Entry Transfer Of International Bonds printable pdf download

Appendix 4

Consent Form for Book-Entry Transfer of International Bonds

Whereas the Consenter, _______________________ Co. Ltd., in its capacity as securities dealer, purchases

international bonds from customers on the secondary market through privately negotiated OTC transactions,

therefore, for the purpose of adopting the settlement method of book-entry bond transfer without the presence of

the customer, while accepting all risks and obligations associated with said method of settlement, the Consenter

hereby submits this Consent Form to the GreTai Securities Market ("GTSM") and agrees to the terms and

conditions as follows:

1. The Consenter shall handle matters in connection with book-entry bond transfer without the presence of the

customer in accordance with the terms and conditions of this Consent Form, securities-related laws and regulations,

and GTSM rules, bylaws, public announcements, and circular letters, while exercising the due care of a good

administrator.

2. The Consenter and its agent or any person in its employ shall first obtain full powers of agency or authorization

prior to making any transmission of information to the GTSM.

3. The Consenter shall confirm that the transaction information transmitted to the GTSM is correct and free from

error and that it conforms with the terms established by the GTSM for book-entry transfer of bonds without the

presence of the customer.

4. If the transaction information transmitted to the GTSM by the Consenter does not conform with the stipulations

of the preceding paragraph or is otherwise problematic, then upon discovery by the Consenter or notification by the

GTSM, the Consenter shall immediately re-confirm the accuracy of the information within the stipulated time

period, or shall undertake the relevant correction or other appropriate actions as instructed by the GTSM.

5. The Consenter may not, in respect of international bond matters between it and the customer, make any assertion

or claim that the GTSM or any employee of the GTSM is an agent or trustee of the Consenter.

6. If the Consenter or its agent or any person in its employ who carries out book-entry bond transfer without the

presence of the customer violates the terms and conditions of this Consent Form or securities-related laws and

regulations or GTSM rules, bylaws, public announcements and circular letters, and by so doing, or otherwise by

intent or negligence, causes loss or injury to the GTSM or to any agent or employee of the GTSM, the Consenter

shall be liable for damages.

7. When the Consenter conducts an international bond transaction with a customer, if any request is made toward

the GTSM or employees or agents of the GTSM by the customer, the customer's securities broker, or a third party,

the Consenter shall handle the request in the manner requested by the GTSM.

8. When the Consenter handles any matter under the preceding paragraph in whatever manner may be requested by

the GTSM, it shall report progress on the matter to the GTSM and provide it with any related information. The

Consenter shall not enter into any settlement, or any mediation, or any commitment in respect of a debt obligation,

where related to the rights and interests of the GTSM, except with the express prior consent of the GTSM.

9. The Consenter shall immediately inform the GTSM upon becoming aware of any dispute in relation to

book-entry bond transfer without the presence of the customer that may involve the GTSM.

10. The Consenter may not seek any damages, compensation, or fees from the GTSM or its agents or employees in

respect of matters relating to book-entry bond transfer without the presence of the customer except where the cause

is attributable to intent or negligence by the GTSM.

11. Securities-related laws and regulations and GTSM rules, bylaws, public announcements, and circular letters

shall all be deemed an integral part of this Consent Form; where the provisions of securities-related laws and

regulations or GTSM rules, bylaws, public announcements, and circular letters differ from those of this Consent

Form, the former shall govern.

Consent Form For Book-Entry Transfer Of International Bonds