Document for Disclosure of Information, Limitations and Risks from Investments in Foreign Futures Contracts

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Personal Information

Name Prefix

First Name

Last Name

ID /Passport

ID /Passport Expiry Date

Choose your Date of Birth.

Telephone

E-mail

Nationality

Marital Status

Spouse

First Name

Last Name

Current Address

Country

Apartment No.

City

State/Province

Zip/Postal Code

Address According to ID card

Use other address

Country

Apartment No.

City

State/Province

Zip/Postal Code

Address to send documents

According to the current address

According to the ID card contact

According to the workplace address

Other address (please specify)

Other address

Address Line 1

Address Line 2

City

State

Zip Code

Country

Form for Declaration of Status as a U.S.
Person/Non-US Person

Are you an American citizen?

Yes

Are you a legal permanent resident card holder in United States (e.g. green card)?

Yes

Do you have U.S. resident status for the purposes of U.S. taxation?

Yes

You were born in the United State (or territory belonging to the United States) but has legally renounced full U.S. citizenship.

Yes

You currently have a residence or contact address in the United States for an account opened with/through the recipient?

Yes

You have a phone number in the United States for contacting you or any other person in connection with accounts opened with/through /or is it with the recipient?

Yes

You have an automatic recurring transfer order from an account opened with/through/or with the recipient to an account in the United States?

Yes

Do you authorize a person to have a US address for any purpose in connection with an account opened with/through/or with a recipient?

Yes

How to get documents

Post

Fax

Fax number

Occupation

Other Occupation (please specify)

Business Type

Other Business (please specify)

Company Name

Workplace address

Position

Monthly Income (USD)

Source of Income

Other source of income (please specify)

Income Source Country

Investment Objective

Other investment objectives (please specify)

Are you a political person or a member of your family or close contact with someone of political status?

Yes

Political position

Experience in investing or understanding of futures contracts

Never invested in derivatives

Have invested less than 1 year

Have invested 1-3 years

Have invested more than 3 years

Have received training in investing in derivatives

Others (please specify)

Other (Investment Experience Years)

Are you or have you ever been a person who commits money laundering or terrorist financing crimes?

Never

Ever

Investment Experience

Never invested

Ever invested

Invested years

Information related to marketing officers, employees and executives

I hereby certify that there is no relationship or involvement of any kind. With marketing officers, employees or executives of YLG Bullion & Futures Co., Ltd.

Yes

First Name

Last Name

Relationship with me

Emergency Contact

Emergency Contact Relationship

Emergency Contact Tel

Knowledge Assessment

Have you obtained a certificate or degree in the following fields?

Had received

Never received

Have you received a diploma or degree in a field?

Actuarial Science

Capital Markets

Commerce

Business Administration

Financial Engineering

Economics

Financial Planning

Applied Computing for Financial Management

Institution Name

Graduation year

Have you obtained the following relevant financial qualifications?

Chartered Financial Analyst (CFA)

Certified Investment and Securities Analyst Program (CISA)

Certified Financial Planner (CFP)

Financial Risk Manager (FRM)

Others (please specify)

You have worked for 3 years in a row in the following areas: During the past 10 years?

Have had experience

Never experienced

If experienced,

Managing investment products

Selling investment products

Lecturer in investment product course

Working experience in insurance

Working experience in financial risk management

Developing investment products

Investment Product Analysis

Accounting Experience

Finance Experience

Legal Consulting

Other (please specify)

If you have any knowledge or experience other than those listed above, please specify.

Position name

Company Name

Working period

Have you had experience investing in the following products for 3 consecutive years during the past 10 years?

Yes

If experienced,

Hedge fund

Mutual fund investing in derivatives with complex strategy or investing in exotic derivatives using VaR approach to calculate investment position of instruments

Mutual fund Complex return

Gold, oil mutual fund untrack spot

Mutual fund (Complex return) that invest in bonds non-investment grade /unrated bond more than 60% of NAV

Hybrid securities

Perpetual bond

Unrated bond

Structured notes

Basel III

Derivatives

Bank account for receiving money from the sale of securities, interest, dividends

Bank account

Apply for automatic debit service

Do you want to apply for ATS service?

Apply

Do not apply

Bank

Branch

Account Type

Account number

A quiz on your understanding and knowledge of investment products

Trading Gold Online Futures / Gold Futures / SET50 Index Futures / SET50 Index Options / Single Stock Futures / USD Futures No delivery of goods but Use the Profit Margin – Loss Incurred Method, also known as Cash Settlement?

Yes

Gold Online Futures / Gold Futures / SET50 Index Futures / SET50 Index Options / Single Stock Futures / USD Futures contracts do not expire after purchase?

Yes

Price information of Gold Online Futures / Gold Futures / SET50 Index Futures / SET50 Index Options / Single Stock Futures / USD Futures price changes. Is it based on TFEX and underlying?

Yes

Gold Futures underlying assets are based on bullion purity 96.5% Gold Online Futures are based on bullion purity 99.6% and SET50 Index Futures based on the SET 50 Index calculated and published by the Stock Exchange of Thailand.

Yes

Clients who will invest in Gold Online Futures / Gold Futures / SET50 Index Futures / SET50 Index Options / Single Stock Futures / USD Futures must place a margin before placing a trading order?

Yes

The price, TFEX/broker used to pay will be announced at the end of the day to calculate profit and loss?

Yes

When a customer sends an order, it must be sent only through the marketing staff?

Yes

When the investor is contacted and informed regarding with the deposit of additional collateral (Margin Call), investor must top up margin or order to close the position part or all of the contract?

Yes

Standard Form for Evaluating Investment Suitability

Questions 1-10 are used to evaluate your investment suitability.

1. At the present you are?

Over 55 years old.

45-55 years old.

35-44 years.

less than 35 years old.

2. At the present, what is the proportion of your financial obligations and regular expenses such as house payments, car payments, personal expenses and family support expenses?

Over 75% of total income.

From 50% to 75% of total income.

From 25% to 50% of total income.

Less than 25% of total income.

3. What is your current financial status?

I have less assets than debts.

I have equal assets to debts.

I have more assets than debts.

I am confident that I have enough savings and investments for a post-retirement life.

4. Do you have any prior experience or knowledge about investments in the following assets? (More than 1 answer can be chosen.)

Bank account deposits.

Government bonds or government bond mutual funds.

Debentures or fixed income funds.

Ordinary shares or mutual equity funds or other high-risk assets.

5. What is the amount of time during which you expect to not need to use your investment capital?

No more than 1 year.

1 to 3 years.

3 to 5 years.

More than 5 years.

6. What is the primary objective of your investment?

My priority is that the principal amount has to be safe while generating regular but low returns.

My priority is to receive opportunities for regular returns but which might create greater risk of losses of the principal amount.

Debentures or fixed income funds.

Ordinary shares or mutual equity funds or other high-risk assets.

7. In consideration of the sample figure showing the possible investment returns below, which investment category are you most willing to invest in?

Investment Category 1, which has a chance of generating 2.5% returns without any losses.

Investment Category 2, which has a chance of generating 7% maximum returns with potential for up to 1% losses.

Investment Category 3, which has a chance of generating 15% maximum returns with potential for up to 5% losses.

Investment Category 4, which has a chance of generating 25% maximum returns with potential for up to 15% losses.

8. How would you feel if you chose to invest in assets with a high chance for returns but equally high risk of losses?

Concerned and worried about losses.

Uncomfortable but somewhat understanding.

Understanding and able to accept a certain level of fluctuations.

Unconcerned about high risk of losses while having high hopes for greater returns.

9. You would feel concerned/find it unacceptable when your investment capital decreases in value by what proportion?

5% or less.

More than 5% to 10%.

More than 10% to 20%.

More than 20% and up.

10. If you invested 100,000 baht last year and this year you find that your investment capital has decreased to 85,000 baht, what would you do?

Feel alarmed and wish to sell off the remaining investment.

Feel concerned and make adjustments to parts of the investments in favor of less risky assets.

Bear it and continue maintaining investments and wait for returns to rebound.

Remain confident with the understanding that investments have to occur long-term and will increase investment capital to average the cost.

Questions 11-12 are used as Additional Information to Provide Recommendations.

For Direct Investments in Derivatives and Structured Notes Only:

11. If your Investment in Derivatives and Structured Notes is Successful, you will Receive a very high rate of Return. However, if the Investment fails, you may lose all of your Investment Capital as well as have Pay Additional compensation. How much of this are you Able to Accept?

Not at all.

Somewhat.

Acceptable

12. Apart from Investment Risks, How much Risks can you Accept for Foreign Exchange Rates?

Not at all.

Somewhat.

Acceptable

Investment Suitability Evaluation Results

Sum score risk

Investment Asset Allocation Recommendation

Basic Asset Allocation

Low risk

Fairly low moderate risk

Fairly high moderate risk

High risk

Very high risk

Investor Type

Customer hereby acknowledges receipt of, understanding of, and opportunity to inquire about each of the documents and disclosures listed below prior to creating an account:

Please read the attached PDF of the Disclosure Documents