Investor Type Tick (  ) one

Individual Investor Corporate Investor

High Net Worth Individual Accredited Investor

Kenanga Investors Berhad High Net Worth Entity Opt out : Yes No
Company No. 353563-P (Please indicate opt out option)

ACCOUNT OPENING & INVESTMENT FORM

PART 1- INVESTOR SUITABILITY ASSESSMENT
This Form will guide you in choosing the unlisted capital market products that suit your investment objectives, risk tolerance, financial profile and investment experience. The information you
provide will form the basis of our recommendation. It is important to provide accurate and complete information to ensure that suitable unlisted capital market products are recommended
according to your investment needs and objectives. Any misleading, inaccurate or incomplete information provided by the investor will affect the outcome of the recommendation made and in
such a case, Kenanga Investors Berhad ("KIB") and its authorized distributors may not be held liable for such recommendation. This suitability assessment is exempted if (a) you are an
accredited investor or (b) a high net-worth entity who has opted out from being subjected to a suitability assessment or (c) when our authorized distributor has conducted a suitability assessment
and recommended a range of products that takes into account the investor’s risk profile and the investor seeks to invest in a product which is within the range of products that has been
recommended. For definition of ‘investor type’, refer to Investment Terms and Conditions on page 11 of this form.
Investors must read and understand the contents of the relevant Prospectus(es) and its Replacement / Supplemental Prospectus(es)(if any)/ Information Memorandum and its Replacement /
Supplemental Information Memorandum(s) (if any) for the Fund(s) to be invested in.
WARNING: THE RECOMMENDATION IS MADE BASED ON INFORMATION OBTAINED FROM THE SUITABILITY ASSESSMENT. INVESTORS ARE ADVISED TO EXERCISE
JUDGMENT IN MAKING AN INFORMED DECISION IN RELATION TO THE UNLISTED CAPITAL MARKET PRODUCT.
Fields marked with asterisk (*) are mandatory and must be completed.

1. GETTING TO KNOW YOU (to be completed by individual investor only)

YOUR DETAILS Principal Holder Joint Holder (if applicable)

1.1 Name* as on NRIC / Passport

1.2 Title* (if any)

1.3a NRIC* (New)

1.3b NRIC* (Old) / Passport

1.4 Gender* Male Female Male Female

1.5 Date of birth & age* (as at

the time this product was D D - M M - Y Y Y Y / years old D D - M M - Y Y Y Y / years old
recommended to you)

Single Married Single Married

1.6 Marital status
Widowed Divorced Widowed Divorced
1.7 Number of dependents

Malaysian, Bumiputera Malaysian, Bumiputera

1.8 Nationality* Malaysian, Non-Bumiputera Malaysian, Non-Bumiputera

Non-Malaysian: Non-Malaysian:

1.9 Race Malay Chinese Malay Chinese

Indian Others Indian Others

1.10 Mother's maiden name

1.11 Occupation*

SPM STPM DIPLOMA DEGREE SPM STPM DIPLOMA DEGREE

1.12 Education level
POSTGRADUATE OTHERS POSTGRADUATE OTHERS

1.13 Annual household RM50,000 & Below RM150,0001 - RM250,000 RM50,000 & Below RM150,0001 - RM250,000
income* RM50,001 - RM150,000 Above RM250,000 RM50,001 - RM150,000 Above RM250,000

Office: - Office: -
1.14 Contact number* Home: - Home: -

Mobile Phone: - Mobile Phone: -

Please tick if you consent to receive communications and/or infromation from KIB Please tick if you consent to receive communications and/or infromation from KIB
relating to your investment via email. Notices delivered via email to applicant are relating to your investment via email. Notices delivered via email to applicant are
deemed sent and received on the date of such email is sent. deemed sent and received on the date of such email is sent.
1.15 Email address

Email Email

Employment Business Employment Business

1.16 Source of income* Savings / Inheritance EPF Savings / Inheritance EPF
Revised Version : March 2016

Others: Others:

1.17 Relationship with Parent Spouse Child

Principal holder Sibling Relative Others:

1.18 If currently a business

owner, nature of business
1.19 Expected / actual age of
years old years old
retirement

Page 1 of 15
2. YOUR INVESTMENT NEEDS (To be completed by PRINCIPAL HOLDER only)
2.1 Investment time frame Short term (< 3 years) Medium term (3 - 5 years) Long term (> 5 years)
2.2 What do you expect to get out of
Capital growth Regular income Capital protection
investing in this product?

2.3 Purpose of investing (multiple choices Asset accumulation / saving to fund children's education or personal lifestyle
allowed)
Saving for retirement Investing for regular income Others

Compatible with my risk-return expectations Meets my investment objective (e.g. capital

2.4 Rationale for considering this product growth / regular income / capital protection)
(multiple choices allowed) Meets my overall investment strategy (e.g.
diversification)

2.5 Mode of investment Lump sum investment Regular investment Lump sum + regular investments

Your financial situation today

2.6 Monthly disposable income (i.e. after RM3,000 & below RM3,001 - RM10,000
deducting personal tax)
RM10,001 - RM25,000 Above RM25,000

2.7 Average monthly financial Below RM1,000 RM1,001 - RM5,000

commitment RM5,001 - RM10,000 Above RM10,000

2.8 Proportion of investment out of your 10% & less 11% - 25%
net assets (not including your residential
property) 26% - 50% Above 50%

YOUR RISK TOLERANCE

The self-analysis questionnaire below seeks to help you understand your attitude, tolerance and capacity for facing investment risks. Answer the following
questions objectively as it will help ascertain your risk profile and make suitable investment decisions. Please circle your best answer.
Strongly Strongly
Agree Neutral Disagree
Agree Disagree
1. At this moment, I do not need a regular stream of investment income. 5 4 3 2 1
2. I am concerned about the effects of inflation on my lifestyle. 5 4 3 2 1
3. I can tolerate fluctuations in the short-term that affect the value of my investment in return for potential long-
5 4 3 2 1
term gains
4. My attitude towards risks is carefree. I do not worry too much when I take risks. 5 4 3 2 1
5. I am willing to forego a guaranteed return for the opportunity to earn a potential higher return. 5 4 3 2 1
6. I am comfortable holding on to an investment even though it drops in value. 5 4 3 2 1
7. I consider myself an experienced investor and am knowledgeable about the potential risks and rewards
5 4 3 2 1
associated with investing in financial markets.
8. My investment span for a product can be as long as 10 years. 5 4 3 2 1

Your Total Risk Profile Score

YOUR RISK PROFILE

Conservative Moderate Aggressive
Risk score: < 25 Risk score: 25 - 35 Risk score: > 35
Expected range of returns: 4% - 6% per annum Expected range of returns: 6% - 8% per annum Expected range of returns: 4% - 10% per annum
Type: Income / Growth Type: Income / Growth Type: Growth
Choice of funds: Local funds Choice of funds: Local funds Choice of funds: Local and / or offshore funds

Your risk profile indicates that you can only tolerate Your risk profile indicates that you only tolerate moderate Your risk profile indicates that you can tolerate relatively
minimal downside risks and potential capital loss. downside risks and potential capital loss. high market volatility and potential capital loss.

Your investment objective is skewed towards generating Your investment objective is to generate income and Your investment objective is to generate high capital
income as well some capital growth. The suggested capital growth. The suggested investment choice may growth. The suggested investment choice may include
investment choice may include any of the following: iinclude any of the following: any of the following:
a. Standalone funds: Fixed income and / or Balanced a. Standalone funds: Fixed income, Balanced funds and a. Standalone funds: Fixed income, Balanced funds and
funds / Equity funds
/or //or Equity funds
b. Actively Managed Portfolios: AMP 1 b. Actively Managed Portfolios: AMP 2 b. Actively Managed Portfolios: AMP 2

3. YOUR KNOWLEDGE ON INVESTMENT / INVESTMENT EXPERIENCE (To be completed by PRINCIPAL HOLDER only)
Multiple answers allowed
3.1 Unit trust __________________ years. 3.2 Futures / Options ________________ years
3.3 Trading on Bursa Malaysia ___________________ years 3.4 Others _______________________ / ________________ years
3.5 I have no experience

Page 2 of 15
4. YOUR UNDERSTANDING OF THE UNLISTED CAPITAL MARKET PRODUCT BEING RECOMMENDED
4.1 Objective of the product

4.2 Category Fixed income Bond Money market Balanced Equity

Wholesale Others

4.3 Principle type 4.4 Type

Conventional Shariah-compliant Income Growth

4.5 Geographical 4.6 Income distribution

Local Offshore Yes No

4.7 Select 3 of the risks involved when investing in this unlisted capital market product
Country risk Market risk Interest risk Counterparty risk Credit risk
Risk of non Shariah-compliant Feeder-fund risk There is no risk

5. RECOMMENDATION (to be completed by authorised distributor)

Product name:

Fixed income Bond Money market Balanced

Product Category
Equity Wholesale Others

Recommended next review date D D - M M - Y Y Y Y

I recommended the product to the investor Yes No

Suitable to investor's risk profile

In line with investor's investment objective and investment horizon
If YES, I recommended the product because (multiple
answers allowed) Complements investor's portfolio of products to meet his/her financial goal

Others:
(please specify)

Not suitable to investor's risk profile

IF NO, the reason for the non recommendation (multiple Not in line with investor's investment objective and investment horizon
answers allowed)
Others:
(please specify)

Consultant’s Signature Consultant’s Name Date

6. ACKNOWLEDGEMENT BY INVESTOR(S)
The authorized distributor has explained and I have understood the features and the risks of the product. Yes No

All information disclosed herein is true, complete and accurate. Yes No

I acknowledge receipt of the copy of the Product Highights Sheet and the relevant Disclosure Document (e.g. Prospectus,
Yes No
Information Memorandum, etc.) which have been given to me.
IF APPLICABLE
I decline to provide certain information required for product suitability assessment and that this may adversely affect my
Yes
suitability assessment.

I have decided to purchase another unlisted capital market product that is not recommended by the authorized distributor. Yes

Signature of Principal Holder / Authorized Signatory Signature of Joint Holder / Authorized Signatory
Name: Name:
Date: Date:

WARNING: THE RECOMMENDATION IS MADE BASED ON INFORMATION OBTAINED FROM THE SUITABILITY ASSESSMENT. INVESTORS ARE
ADVISED TO EXERCISE JUDGMENT IN MAKING AN INFORMED DECISION IN RELATION TO THE UNLISTED CAPITAL MARKET PRODUCT

Page 3 of 15
Page 3 of 15
 Adviser's Code:

Adviser's Name:

BDM's Name:
Kenanga Investors Berhad Cash EPF / Membership No.
Company No. 353563-P
Individual Joint Corporate

Kenanga Staff Kenanga Advisers / Remisier

Investor's Account No.: -
Kenanga Stand Alone Funds Kenanga AMP Plus

PART 2 - ACCOUNT OPENING FORM - Individual / Corporate AMP 1 AMP 2 Shariah AMP 2

AMP 2 E AMP

This Form should not be circulated unless accompanied by the relevant Prospectus(es) and its Replacement / Supplemental Prospectus(es) (if any) / Information Memorandum(s)
and its Replacement / Supplemental Information Memorandum(s) (if any). Investor(s) are advised to read and understand the contents of the relevant Prospectus(es) and its
Replacement / Supplemental Prospectus(es) (if any) / Information Memorandum(s) and its Supplemental Information Memorandum(s) (if any), before completing this form. This
form is to be completed by investors who wish to invest in any standalone funds or subscribe to the Actively Managed Portfolio Service for which Kenanga Investors Berhad
(herein known as ‘the Manager’) acts as the Manager and the Portfolio Manager. Please complete in BLOCK LETTERS and in BLACK INK ONLY.

Fields marked with asterisk (*) are mandatory and must be completed.

7.1 CORRESPONDENCE DETAILS OF INDIVIDUAL APPLICANT*

Postcode Town/City

State Country

7.2 PARTICULARS OF CORPORATE APPLICANT*

7.2.1 Company Registered Name* (as in Certificate of Incorporation)

7.2.2 Company / Registration No.* 7.2.3 Date of Registration / Incorporation * D D M M Y Y Y Y

7.2.4 Country of Registration / Incorporation* Incorporated in Malaysia Incorporated outside Malaysia please specify

For US Residents only. US Taxpayer ID No.:

7.2.5 Status* Non-Bumiputera Other

7.2.6 Business Type* Sendirian Berhad Berhad Partnership Sole Proprietorship Association / Club / Society
Government / Statutory Bodies Cooperative Trustee Company Foreign Company

7.2.7 Nature of business*

7.2.8 Source of Income* Disposal of non-core business / asset / investments Fund raising exercise such as rights issue

Cash in hand / surplus funds / working capital

7.2.9 Contact Person 1*

7.2.10 Designation 7.2.11 Department

7.2.12 Tel. No. - Ext 7.2.13 Fax No. -

7.2.14 Office Email^

2. Contact Person 2* (if applicable)

7.2.15

7.2.16
. Designation 7.2.17 Department

7.2.18 Tel. No. - Ext 7.2.19 Fax No. -

7.2.20 Office Email^

^ By virtue of you providing your e-mail address, you are deemed to have consented to receive communication, information, reports, statements etc from KIB in relation to your investments via
e-mail. All information delivered via e-mail to applicant are deemed sent and received on the date such e-mail is sent.

7.3 CORRESPONDENCE ADDRESS OF CORPORATE APPLICANT*

Postcode Town/City

State Country

Tel. No. - Ext Fax No. -

Page 4 of 15
 PART 3 - INVESTMENT APPLICATION
8.1 STAND ALONE FUNDS

Fund Name Investment Amount (RM) Entry Fee** ** The investment are subject to the
- entry fees as disclosed in the
respectiveProspectus(es)/
- Replacement /Supplementary
Prospectus(es) (if any) or Information
Memorandum(s) and
- Supplementary Information
Memorandum(s) (if any)
TOTAL AMOUNT -

8.2 KENANGA AMP PLUS

8.2.1 AMP 1
Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
Kenanga Income Plus Fund 100% - 1.5

8.2.2 AMP 2
Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
Kenanga Growth Fund 100% - 3.0

8.2.3 Shariah AMP 2

Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
Kenanga Syariah Growth Fund 100% - 3.0

8.2.4 AMP 2 E
Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
Kenanga Growth Fund 100% - 3.0

8.2.5 AMP
Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
100% -

8.2.6 AMP
Allocation Investment Amount (RM) Entry Fee (%)
Fund Name
100% -

8.3 DISTRIBUTION INSTRUCTIONS OF STAND ALONE FUNDS

Reinvest or Pay out ^ ^ To proceed to item 8.4 and fill up the bank details. By virtue of you providing your bank details, you are deemed to have
consented to receive all payouts via Giro / Telegraphic Transfer.

8.4 REDEMPTION / DISTRIBUTION PAYMENT INSTRUCTIONS

Payout to my Bank Account No.: Bank Branch

Bank Account Name Bank Name

8.5 TOP-UP VIA REGULAR INVESTMENT MODE (RIM) : MEPS - FPX / Direct Debit**
I would like to top-up via Regular Investment Mode. These are my instructions 15th of every month 28th of every month

Bank Account No. Bank Name

** Please attach copy of the completed MEPS - FPX / Direct Debit Authorisation Form

Fund Name
Investment Amount (RM) Entry Fee** ** The investment are subject to
the entry fees as disclosed in
- therespective Master
Prospectus(es)/ Replacement /
- Supplementary Master
Prospectus(es)( if any) or
Information Memorandum(s) and
- Supplementary Information
Memorandum(s) (if any).

TOTAL AMOUNT -

8.6 PAYMENT DETAILS

Please make cheque / bank draft / telegraphic transfer payable to 'KENANGA INVESTORS BERHAD'. If there is any discrepancy between the figures from EPF and the amount stated in the
investment form, Kenanga Investors Berhad shall take the amount received from EPF as the final amount.

Personal Cheque / Company Cheque (applicable to Corporate account only) Bank Draft / Money Order / Traveller's Cheque

For payment by cheque / bank draft / money order

Bank Name Cheque / Bank Draft No.

Bank Branch Amount (RM) including bank charges -

By Telegraphic Transfer. TT No.: Amount (RM) -
From EPF Account (Please complete KWSP 9N Form)

8.7 ACCOUNT OPERATING MODE

For joint account, please tick () account operating mode for future transactions
Principal applicant to sign Both applicants to sign Either applicant to sign Others

8.8 CONSENT FOR ON GOING SERVICES

I hereby give consent to the Manager to disclose to my servicing Adviser(s) my account information for the purpose of
providing ongoing services. Yes No

Page 5 of 15
 PART 4 - AGREEMENT, DECLARATIONS AND SIGNATURES
INDIVIDUAL APPLICANT(S)
• I/We acknowledge that I/we have received, read and understood the relevant Product Highlights Sheet(s), Prospectus(es)/Information Memorandum(s) for the fund(s) recommended to me/us for
my / our investment, the Terms and Conditions on this form and I/we undertake to be bound by them for my/our initial and subsequent transactions with the Manager.
• I/We undertake to be bound by the provisions of the documents constituting the fund(s) subscribed to asif I was/we were aparty thereto.
• I am/we are 18 years and above as the date of this application. Copy/copies of my/our NRIC/passport is/are enclosed.
• I/We do declare and represent that as the date hereof, I/we am/are not an undischarged bankrupt nor has any petition for bankruptcy been filed against me/us.
• I/We declare that I am/we are neither engaged in any unlawful activity nor are my/our monies obtained from any illegal source or related to any illegal activity.
• I/We undertake that I/we are aware fo the fees and charges that I/we will incur directly or indirectly when investing in the fund(s).
• I/We declare that I am/we are in compliance and undertake that I/we will comply with all applicable laws and regulations.
• I/We undertake to provide the Manager with all information as it may require for the purpose of and in connection with completing the Account Opening & Investment Form, including but not limited
to my/our information on financial position, condition, or prospect.
• I/We acknowledge that I/we shall keep the Manager informed of any change of my/our particulars as stated in this Account Opening & Investment Form and/or of any material facts that will, directly
or indirectly, affect my/our financial position(s), conditions(s) or prospect(s).
• I/We undertake to provide such information and documents as the Manager may reasonably require for the purpose of due diligence/enhanced due diligence as required under the Anti-Money
Laundering and Anti-Terrorism Financing Act 2001 (“AMLA”).
• I/We hereby declare and acknowledge that I/we have the legal and proprietary right over all monies accompanying this application.
• I/We hereby agree to indemnify the Manager against all actions, suits, proceedings, claims, damages and losses which may be suffered by the Manager as a result of any inaccuracy of the
declarations herein.
• I/We have irrevocably consent and authorise KIB to disclose from time to time as KIB deems fit in its discretion any information or document relating to me/us to KIB’s related companines,
consultants, advisors and any authorities.
• I/We agree that my/our information and/or documents relating to me/us may be made available, without limitation to KIB’s employees, third party service providers, agents advisors,
custodian/sub-custodian’s agents or advisors, all the companies within K&N Kenanga Holdings Berhad Group of Companies, Bursa Malaysia Securities Berhad, Bursa Derivatives, Bursa Depository,
Bursa Clearing, Securities Commission, foreign exchanges and/or all relevant and applicable authorities/regulators including, but not limited to, for the purpose of information for credit, reference
and marketing purposes and to facilitate the provision of services by KIB to me/us. I/We shall not hold KIB liable for any inadvertent disclosure of any of my/our information and/or documents whether
inadvertently diclosed by KIB or any third party appointed by KIB.
For joint Application only
• In the absence of written explicit instructions, I/we acknowledge that instruction must be given by both of us.

CORPORATE APPLICANT(S)
• I/We acknowledge that I/we have received, read and understood the relevant prospectus(es)/Information memorandum(s) for the fund(s) recommended to me/us for my/our investing, the Terns
and Conditions of this form and I/we undertake to be bound by them for my/our initial nad subsequent transactions with the Manager.
• I/We undertake to be bound by the provisions of the documents constituting the fund(s) subscribed to asl if I/we were aparty thereto.
• I/We undertake that I/we are aware fo the fees and charges that I/we will incur directly or indirectly when investing in the fund(s).
• I/We are duly authorized officer(s) of the Corporation, and warrant the Corporation has the power and capacity to enter into this agreement and undertake transactions involving the fund(s).
Attached is a certified true copy of the Corporation’s list of authorized signatories.
• I/We do declare and represent that as at the date hereof, I am/ we are not an undischarged bankrupt nor has any petition for bankruptcy been filed against me/us.
• I/We, as director(s) of the Corporation do hereby declare and represent that as at the date hereof is not wound up nor has there been any winding-up petition presented to the Corportation.
• I/We further declare that the Corporation is neither engaged in any unlawful activity nor are the Corporation’s monies obtained from any illegal source or related to any illegal activity.
• I/We undertake to provide the Manager with all the information as it may require for the purpose of and in connection with completing the Account Opening Form, including but not limited to, the
Corporation and its group of companies’ informaiton on financial position, condition, ooperations, business or prospect.
• I/We acknowledge that I/we shall keep the Manager informed of any change of the information stated in this Account Opening & Investment Form and/or any material facts that will directly or
indirectly affect the Corporation and its group of companies’ financial position, condition, operation, business or prospect.
• I/We undertake to provide such information and documents as the Manager may reasonably require for the purpose of due diligence/enhanced due diligence as required under the AMLA.
• I/We hereby declare and acknowledge that I/we have sole legal and proprietary right over all monies accompanying this applicaiton.
• I/We hereby agree to indemnify the Manager against all actions, suits, proceedings, claims, damages and losses which may be suffered by the Manager as a result of any inaccuracy of the
declarations herein.
I/We agree that my/our information and/or documents relating to me/us may be made available, without limitation to the Manager’s employees, third party service provider, advisers, agents,
custodian/sub-custodian’s agent’s or advisors, all the companies within the K&N Kenanga Holding Berhad group of companies including, but not limited to, for the purposes of sharing of information
for credit, reference and to facilitate the provision of services by the Manager to me/us. I/We shall not hold the Manager liable for any inadvertent disclosure of any of my/our information and/or
documents whether inadvertently disclosed by the Manager or any third party appointed by the Manger.

FOR KENANGA AMP PLUS SERVICE

• I/We acknowledge that I/we have read and understood the Terms and Conditions of the Kenanga AMP Plus service on page 12 and I/we undertake to abide with the provisions of the same. I/We
confirm that I/we am/are aware of the fees and charges that I/ we will incur directly or indirectly when investing in Kenanga AMP Plus service.

AGREEMENT ON PERSONAL DATA AND INFORMATION

My/Our personal data and information shall be governed by the Terms and Conditions set out in the Privacy Policy on page 12 of this Account Opening & Investment Form, as may be amended or
supplemented from time to time. I/we hereby acknowledge that I/we have been notified and that I/we have read and understood such Policy and accept the terms and conditions herein.

GOODS AND SERVICES TAX

All fees and charges payable to the Manager and the Trustee are subject to goods and services tax as may be imposed by the government or other authorities from time to time.

ALL APPLICANT(S) MUST SIGN THIS SECTION

Principal Applicant Joint Applicant Date

Authorised Signatory Authorised Signatory Common Seal / Company Stamp

Page 6 of 15
FiMM PRE-INVESTMENT FORM

ATTENTION UNIT TRUST INVESTORS Signing this form does not

IMPORTANT preclude you from taking action
against relevant party/parties
Your Unit Trust Consultant (UTC) is required to explained all the following
under any circumstances
to you :

Do You Know? Yes () / No (X)

1. You can buy unit trusts either through a Unit Trust Consultant (UTC), Institutional Unit Trust Advisers (IUTA),
Corporate Unit Trust Advisers (CUTA) or directly from Unit Trust Management Company (UTMC) online, but each
has different sales charge and level of service. Choose the one that best suits your needs.

2. If you redeem our units in unit trust fund and then purchase units in another, you will probably have to pay a sales
charge. However, if you switch from one fund to another managed by same UTMC, it is likely that you may not
have to pay any sales charge. Ask about switching before you redeem.

3. Different types of unit trust funds carry different levels of risk. Some are higher in risk than others. Ask about the
risks before investing in the fund. Make sure you know what your fund is investing in.

4. If you are a first time investor in a UTMC, you may be eligible for cooling-off rights, whereby you can change your
mind within six (6) business days after investing and withdraw your unit trust investment. Ask about your eligibility
for cooling-off.

5. Your UTC may represent a company that uses a nominee system and your rights as a unit holder may be limited
if you invest in unit trust funds through it. If his or her company uses a nominee system, ask if your rights as a unit
holder will be limited in any way.

You Should Also know?

a. Only registered UTC are allowed to sell unit trust funds. Your UTC should show you a valid authorization card confirming that he/she is
registered with the Federation of Investment Managers Malaysia (FIMM).
b. A unit trust fund may only be offered to the public if it is approved by the Securities Commission Malaysia (SC). Go to www.sc.com.my for
a list of unit trust funds currently available in the market or call 603-6204 8777 for assistance.
c. When you buy into a unit trust fund, you should be given the latest copy of prospectus for free. Read the prospectus carefully; understand
its contents before investing
d. You may have to pay direct and indirect fees and possibly other charges too. Ask about applicable fees.
e. If you have concerns or complaints about any unit trust fund, you can contact FIMM at 603-2092 3800 (www.fimm.com.my) or the Investor
Affairs & Complaints Department of the SC at 603-6204 8999.
f. You should not make payment in cash to the UTC or issue a cheque in the name of UTC.

INVESTOR’S CONFIRMATION

Applicant Signature Name NRIC / Identification Number / Passport Date

No.

Joint Applicant Signature Name NRIC / Identification Number / Passport Date

No.

UNIT TRUST CONSULTANT’S DECLARATION

I declare that I have explained the points above and the investor(s)' understand(s) them.

Signature Name NRIC / Identification Number / Registered as UTC of UMTC /

Passport No IUTA / CUTA (delete where not
applicable)

Page 7 of 15
 FOR OFFICE USE ONLY
Documentation requirements for new account(s) Submitted Remarks
INDIVIDUALS
Account Opening Form
Photocopy of NRIC (for Malaysians and Permanent Residents) (both sides) / Passport (for Foreigners) (1st
three pages)
FiMM Pre-Investment Form
Investor Suitability Assessment
KWSP 9N Form
CORPORATES
Memorandum and Articles of Association
Photocopy of NRIC for all Authorised Signatories
List of Authorised Signatories and Specimen Signatures.
Common Seal or the Company Stamp will have to be affixed If the Company Stamp is used, an Authorised
Officer must sign and state his/her representative capacity
Certified True Copy (by the company secretary, if applicable) of the Board Resolution
Form 9
From 11
Form 13 (if applicable)
Form 24
Form 44
Form 49

Page 8 of 15
 INVESTOR'S COPY

ACKNOWLEDGEMENT TO INVESTOR(S)

5. RECOMMENDATION (to be completed by authorized distributor)

Product name:

Fixed income Bond Money market Balanced

Product Category
Equity Wholesale Others

Recommended next review date D D - M M - Y Y Y Y

I recommended the product to the investor Yes No

Suitable to investor's risk profile

In line with investor's investment objective and investment horizon

If YES, I recommended the product because (multiple
answers allowed) Complements investor's portfolio of products to meet his/her financial goal

Others:
(please specify)

Not suitable to investor's risk profile

IF NO, the reason for the non recommendation (multiple Not in line with investor's investment objective and investment horizon
answers allowed)
Others:
(please specify)

Consultant’s Signature Consultant’s Name Date

6. ACKNOWLEDGEMENT BY INVESTOR(S)

The authorised distributor has explained and I have understood the features and the risks of the product. Yes No

All information disclosed herein is true, complete and accurate. Yes No

I acknowledge receipt of the copy of the Product Highlights Sheet(s) and the relevant Disclosure Document(s) (e.g. Yes No
Prospectus, Information Memorandum, etc.) which have been given to me.
IF APPLICABLE
I decline to provide certain information required for product suitability assessment and that this may adversely affect my Yes
suitability assessment.

I have decided to purchase another unlisted capital market product that is not recommended by the authorised distributor. Yes

AGREEMENT ON PERSONAL DATA AND INFORMATION

My/ Our personal data and information shall be governed by the Terms and Conditions set out in the Privacy Policy on page 12 of this Account Opening and
Application Form, as may be amended or supplemented from time to time. I/ We hereby acknowledge that I/We have been notified and that I/ We have read and
understood such Privacy Policy and accepts the terms and conditions herein.

Signature of Principal Holder / Authorized Signatory Signature of Joint Holder / Authorized Signatory
Name: Name:
Date: Date:

WARNING: THE RECOMMENDATION IS MADE BASED ON INFORMATION OBTAINED FROM THE SUITABILITY ASSESSMENT. INVESTORS ARE ADVISED TO
EXERCISE JUDGMENT IN MAKING AN INFORMED DECISION IN RELATION TO THE UNLISTED CAPITAL MARKET PRODUCT

Kenanga Investors Berhad (Co. No.: 353563-P), Suite 12.02, 12th Floor, Kenanga International, Jalan Sultan Ismail, 50250 Kuala Lumpur.

Investor Services Centre T: 1 800 88 3737 F: 03 2057 3722 E: [email protected]

Page 9 of 15
 KENANGA ACTIVELY MANAGED PORTFOLIOS (AMP) SERVICE
Kenanga Actively Managed Portfolios (AMP) Plus is a service for investors who want the convenience of having a full-time Portfolio Manager to actively
manage their investments. With Kenanga AMP Plus, you are investing in a portfolio of Kenanga unit trust funds selected by our Portfolio Manager. The
Kenanga AMP Portfolios are generic portfolios with specific risk return profiles. Investors are advised to carefully consider the choice of AMP portfolios to
match their risk returns expectation. Please note that past performance of the AMP Portfolio is not an indication of its future performance.

Key Data of Kenanga AMP Plus

Portfolio Name AMP 1 AMP 2 Shariah AMP 2 AMP 2 E
Portfolio Objective To deliver consistent potential return through investments in Kenanga approved money market, fixed income and equity
unit trust funds.
Portfolio Type Conventional Conventional Shariah-compliant Conventional
Portfolio Risk Profile Conservative Moderate Moderate Moderate
Suitable for investors who: Suitable for investors who: Suitable for investors who: Suitable for investors who:
• Seek low risk • Seek balance • Seek balance between • seek balance between
investment option that • Between security and security and capital security and capital
normally earns interest capital growth are able growth growth
• rate higher than bank to tolerate moderate • Are able to tolerate • are able to tolerate
accounts and fixed risks and short-term moderate risks and short moderate risks and
deposits. price term price short-term price
• Prefer investments that • Fluctuation to realize • Fluctuation to realize • fluctuation to realize
offer capital safety and long term gains long term gains favour a long term gains favour a
low price fluctuations. • Favour a balanced balanced balanced
• Favour a portfolio mix • portfolio of equities and • Portfolio of Shariah- • portfolio of equities and
with higher fixed income fixed income compliant equities and fixed income
to equities. fixed income require
Shariah-compliant funds
All Kenanga Shariah- All EPF approved Kenanga
Underlying Investments All Kenanga funds All Kenanga funds
compliant funds funds
Kenanga Syariah Growth
Entry Unit Trust Fund Kenanga Income Plus Fund Kenanga Growth Fund Kenanga Growth Fund
Fund
Shariah-compliant
Asset Allocation Equities: Up to 40% Equities: up to 80% Equities: up to 80%
Equities: up to 80%
Money Market / Fixed Money Market / Fixed Money Market / Fixed
Islamic Money Market /
Income: Min 60% Income: Min 20% Income: Min 20%
Fixed Income: Min 20%
Performance target on a 4% - 6% per annum 6% - 8% per annum 6% per annum 6% - 8% per annum
5-year rolling period
Benchmark 4% per annum 6% per annum 6% per annum 6% per annum
Portfolio Risk Our Actively Managed Portfolios invest in a portfolio of approved conventional and Shariah-compliant funds. You are advised to
refer to the relevant Prospectus(es) and consider the information on risks associated to the underlying funds.The performance of
the portfolio is dependent on the funds selected by the Portfolio Manager and the performance of each underlying fund. Active
management and regular rebalancing of the portfolios may mitigate this risk.
Investors choose from generic portfolios based on their profile and risk-return expectation. The portfolio is not tailor-made for each
investor. Any decisions made by the Portfolio Manager for the respective portfolios will apply to all investors. Fund allocation
details are stipulated on our Investment Form. Information on the mix of funds in the respective portfolios is also available daily via
the investor’s electronic account, accessible through www.kenangainvestors.com.my.

Transacting in Kenanga AMP Plus

Portfolio AMP 1 AMP 2 Shariah AMP 2 AMP 2 E
Investment Cash Cash Cash EPF
Minimum initial RM5,000 RM5,000 RM5,000 RM1,000
investment
Minimum top up RM1,000 RM1,000 RM1,000 RM1,000
investment
Regular Minimum RM1,000 per month (via Public Bank or MEPS-FPX / Direct Debit) N/A
Investment Mode
Annual AMP Fee 0.75% p.a. calculated and accrued daily but payable on the 1st day of the following month or at the time of switching /
transfer / redemption. The AMP Fee will be deducted from the investor’s portfolio.
Switching from Kenanga Switching from a lower entry fee to AMP will require the investor to pay the differential entry fee.
Standalone Funds to AMP
Portfolio
Switching from AMP Full redemption and reinvestment into Kenanga standalone funds at T+6 days. No sales charges will be charged when
Portfolio to Kenanga reinvesting into Kenanga standalone funds.
Standalone Funds
AMP Portfolio Switching The portfolio switching / account transfer is only applicable for Cash Investment only. Not applicable
& Transfer Fee 1 free switching / transfer per calendar year. Subsequent switching / transfer will be charged
RM100 per transaction. The switching / transfer fee will be deducted from the investor’s
portfolio
Minimum AMP Portfolio RM5,000. Applicable for Cash investment only Not applicable
Switching / Transfer
Fees for Underlying Funds*
Entry Fee Initial and additional investments: Up to 3.0% of NAV per unit.
Annual • Balanced and equity funds: Up to 1.90% of the NAV of the fund.
Management Fee • Money market/ Fixed Income funds: up to 1.00%* per annum of the NAV of the fund.

* You are advised to refer to the relevant fund prospectus(es) for information on the fees for the underlying funds.

Page 10 of 15
 INVESTMENT TERMS AND CONDITIONS
You are advised to read these notes before completing the Account Opening & Investment Direct Debit / MEPS-FPX Authorization
Form as you are bound by them. You must read and understand the contents of the relevant Upon bank’s approval of the Direct Debit / MEPS-FPX application, unit will be credited base on
Prospectus(es), Replacement or Supplementary Prospectus(es) (if any) Information the closing NAV of the deduction day. This authorization will remain in force until terminated by
Memorandum, Replacement or Supplementary Information Memorandum (if any) before the bank’s wirtten notice sent to the unit holder’s addresses last known to the Bank or upon the
investing in the Fund. Please check that the Adviser servicing you has a valid authorization Bank receipt of unit holder’s written revocation. The applicant hereby agrees to be responsible
and registration card. A copy of the Deed and Supplementary Deed (if any) will be made for all the consequences that may arise in the Manager agreeing to provide the Direct Debit /
available to you upon request. Pursuant to S.232(2) of the CMSA, this application form should MEPS-FPX and hereby undertake and agree to indemnify the Manager at all times, and keep the
not be circulated unless accompanied by the Master Prospectus or Information Manager fully and completely indemnified from and against any and all actions, claims and
Memorandum. demands whatsoever that may arise with Derict Debit / MEPS-FPX authorization.
Category of Investors Documents Required
• Individual Applicant - A copy of your identity card or passport must be enclosed together
Category Qualifying Criteria with this Account Opening & Investment Form.
Individual/ Means any individual or entity other than a high net-worth individual, a • Corporate Applicant
Corporate high net-worth entity or is an accredited investor as specified below. − A copy of the Memorandum and Articles of Association, a copy of identity card for all
Investor Authorised Signatories, list of Authorized Signatories and Specimen Signatures.
High Net- • An individual whose total net personal assets, or total net joint assets − For Corporation, the Common Seal or the Company Stamp will have to be affixed. If the
Worth with his or her spouse, exceeds RM3 million or its equivalent in foreign Company Stamp is used, an Authorised Officer must sign and state his/her
Individual • currencies, excluding the value of the individual’s primary residence. representative capacity.
An individual who has a gross annual income exceeding RN300,000 − Certified True Copy (by the company secretary, if applicable) of the Board Resolution,
• orits equivalent in foreign currencies per annum in the preceding 12 Form 11, Form 9, Form 13 (if applicable), Form 24, Form 44 and Form 49.
months.
An individual who, jointly with his or her spouse, has a gross annual The Applicant agrees that the Manager shall not be liable or responsible in anyway whatsoever
• income of RM400,000 or its equivalent in foreign currencies per and shall be held harmless against any loss arising as a result or in connection with any delay or
annum in the preceding 12 months. failure to process any application if such information or document(s) requested by the Manager
have not been promptly provided by the Applicant.
High Net- • A corporation with total net assests exceeding RM10 million or its Payment & Confirmation Advice as well as Statements
Worth equivalent in foreign currencies based on the last audited accounts. Payment, confirmation advices, statements and other documents shall be sent at the risk of the
Entity • A partnership with total net assets exceeding RM10 million or its applicant to the principal applicant’s correspondence address as stated in this Account Opening
equivalent in foreign currencies. & Investment Form. If the applicant fails to notify the Manager in writing of any errors in the
• A company that is registered as a trust company under the Trust confirmation advice within 14 days, or in the statement within 14 days of issue, the applicant shall
Companies Act 1949 which has assets under management exceeding be deemed to have waived any right to raise an objection or to pursue any remedies against the
RM10 million or its equivalent in foreign currencies. Manager or the Trustee.
• A corporation that is a public company under the Companies Act 1965
which is approved by the SC to be a trustee under the CMSA and has Set Off
assets under management exceeding RM10 million or its equivalent in The Manager is entitled to set off any monies in relation to the account against any fees, or
foreign currencies. charges permitted to be charged under the Master Prospectus(es), Replacement /
• A pension fund approved by the Director General of Inland Revenue Supplementary Master Prospectus(es) (if any), Information Memorandum(s), Replacement /
under the Income Tax Act 1967. Supplementary Information Memorandum(s) (if any) and/or any regulations and guidelines, due
• A statutory body established by an Act of Parliament or an enactment
to the Manager from time to time.
of any State.
Liability
Accredited • Central Bank of Malaysia established under the Central Bank of The Manager shall act in good faith and using the highest standard of skill and care and exercise
Investor Malaysia Act 2009. all due diligence and vigilance expected from a reputable fund manager, the Manager shall not
- exempted • A holder of a Capital Markets Services Licence (“CMSL”). be liable for any liabilities, claims, loss, damage or litigation costs resulting from any error of
from • An executive director or chief executive officer of a holder of a CMSL. factor judgment or from action taken by the Manager so long as there has been no wilful default
completing • A unit trust scheme or a prescribed investment scheme. or bad faith on its part. For the purpose of carrying out its duties under this Terms and Conditions
Investor • A closed end fund approved by the SC. the Manager shall have the powers of a natural person to deal with the Fund and/ or Portfolio and
Suitability • A licensed Institution as defined in the Banking and Financial to do all things and execute all documents necessary for the purpose of managing the Fund and/
Assessment Institutions Act 1989 or an Islamic bank as defined in the Islamic or Portfolio.
Banking Act 1983. Indemnity
• A Labuan bank as defined under the Labuan Financial Services and The Applicant hereby agress to indemnify the Manager, Trustee(s) and any of their authorised
Securities Act 2010. distributor(s) against any damages, loss, costs, expenses and claims which may be made
• An insurance company registered under the Insurance Act 1996. against the Manager, Trustee and any of their authorised Distributor(s) in connection with:
• An insurance licensee licensed under the Labuan Financial Services (i) the Account Opening & Investment Form; or
and Securities Act 2010. (ii) in connection with the Manager accepting, relying on or acting on any instructions given by
• A takaful licensee licensed under the Labuan Islamic Financial or on behalf of the Applicant,
Services and Securities Act 2010. ‘except due to the wilful default or negligence of the Manager.
• A takaful operator licensed under the Takaful Act 1984.
• A private retirement scheme as defined in the CMSA Money Laundering Statements
Applicant hereby warrants that all monies as may be paid to the Manager from time to time shall
When An Investor Suitability Assessment is Required come from a legitimate (and not illegal) source.
• The Manager shall conduct a suitability assessment on an investor who wishes to invest
in a new unlisted capital market product. Rights of the Manager
• A suitability assessment need not be conducted where: a) The Manager reserves the right to accept or reject any application.
a. the investor is an accredited investor as defined above; b) The Manager reserves the right to accept or reject any application if any documents
b. the investor is a high net-worth entity that has opted out from being subjected to a requested pursuant to Anti-Money Laundering and Anti-Terrorism Financing Act 2001
suitability assessment; requirements are not received within 14 business days. In the event of rejection, units will
c. it is an execution only transaction when no recommendation is made; be redeemed at the closing NAV price on the 15th business day.
d. an investor tops up his investment in an existing unlisted capital market product with c) The Manager reserves the right to terminate any relationship without assigning reasons in
the same product distributor who has previously conducted a suitability assessment on respect thereof.
the investor; or d) The Manager reserves the right to decide and make any changes to the Term and
e. The Manager has conducted a suitability assessment on an investor and Conditions.
recommended to the investor a range of products that takes into account the investor’s
risk profile then seeks to invest in a product. Unit Trust Loan Financing Statement
Investing in an investment scheme with borrowed money is more risky than investing with your
Eligibility own savings. You should assess if loan financing is suitable for you in light of your objectives,
All principal applicants must be at least 18 years of age at the date of application. attitude to risk and financial circumstances. You should be aware of the risks which would include
Joint Application the following:
For joint applications, correspondences and payments relating to the units will be addressed i. The higher the margin of financing (that is, the amount of money you borrow for every Ringgit
and sent to the principal holder. Joint holder above 18 years old must sign on this Form for the of you own money that you put in as deposit or down payment) the greater the potential for
first investment. The Manager will only act on the instruction given by the authorized losses as well as gains.
signatories indicated on this Form. For joint holder below 18 years old, this Form must be ii. You should assess whether you have the ability to service the repayments on the proposed
signed by the Principal Applicant (parent/ guardian) and accompanied by such evidence of loan. If your loan is a variable rate loan and if interest rate rises, your total repayment amount
the minor’s age. The Manager will only act on the instruction given by the parent/ guardian. will be increased.
In the case of death of any joint holder, the survivor will be the only person recognized by the iii. If unit prices fall beyond a certain level, you may be asked to provide additional acceptable
Manager and the Trustee as having the title or interest in such units. If the joint holder is a collateral or pay additional amount on top of your normal instalments. If you fail to comply
minor, the Manager and Trustee shall recognize the estate of the deceased as having the title within the prescribed time, your units may be sold towards the settlement of your loan.
to or interest in the investment units. Unless otherwise if presented by a Letter of iv. Returns on investment are not guaranteed and may not be earned evenly over time. This
Administration or as instructed by the High Court of Malaya. means that there may be some year where returns are high and other years where losses
indurred instead. Whether you eventually realise a gain or incur loss may be affected by the
Authority to Operate Account timing of the sale of your units. The value of units may fall just when you want your money
The operating instruction empowers the authorized signatory(ies) to operate the account back even though the investment may have done well in the past.
which includes effection redemption, switching, transfer, change of address and any other This brief statement cannot disclose all the risks and other aspects of loan financing. You
requests. should therefore study the terms and conditions before you decide to take the loan. If you have
Payment doubts in respect of any aspect of this Risk Disclosure Statement or the terms of the loan
Payment for investment may be made at any appointed collection centres. Units will be financing, you should consult the institution offering the loan.
transacted based on forward pricing prevailing at the time the request is received by the EPF INVESTMENT
Manager. Units will be credited based on the closing NAV price of the day. a. EPF investment will be credited from applicant’s EPF accounts as allowed under the EPF
Cooling Off Period Member’s Investment Scheme and therefore I shall be bound by all the relevant terms and
Subject to the clause on cooling-off as mentioned in the Guidelines on Unit Trust Funds, unit conditions as stipulated under the EPF Member’s Investment Scheme.
holder(s) have the right to request for a cancellation of their investment within 6-business day b. Distirbution (if any), will be automatically reinvested into the Fund in the Portfolio at the NAV
or any other period as mentioned therein from the day of purchase. price.
c. Investment in the fund(s) shall start from the date of receipt of monies from EPF. The
Manager hsall not be liable for any delays in receiving the monies from EPF.

Page 11 of 15
 TERMS AND CONDITIONS FOR KENANGA AMP PLUS SERVICE
RIGHTS AND DECLARATION OF THE INVESTOR
a. I/We understand that I/we have chosen Kenanga Actively Managed Portfolios (AMP) Plus; a service which comprises of underlying Kenanga Investors Berhad unit trust funds managed by
the Manager.
b. I/We hereby consent to give the Manager full discretionary rights to actively manage my/our investment in Kenanga AMP Plus portfolios which includes but not limited to portfolio allocation,
switching between funds and re-balancing of the portfolio among the funds managed by the Manager. The Manager will undertake to manage the portfolio to the best of its ability.
c. I/We hereby consent to give the Manager the right to charge and deduct the AMP service fee from the portfolio underlying unit trust funds to be determined by the Manager. The fee is
computed daily on my/our portfolios value and payable monthly or is payable:
i. At redemption, switch out or transfer out and/or.
st
ii. On the 1 business day of the following month.
d. I/We understand that notwithstanding the above, I/we have the right to fully or partially redeem my/our investment from Kenanga AMP Plus. However, I/we agree to waive the following rights
to my/our portfolio:
i. To choose any funds to be included in the portfolio; and.
ii. To switch or rebalance the funds in the portfolio..
e. I/We understand and acknowledge that by choosing Kenanga AMP Plus, the Manager does not guarantee any returns on the investments in the portfolio or any returns from any individual
fund which are in Kenanga AMP Plus. My/Our capital in the portfolio is also not guaranteed or protected. The Manager will not be held responsible for any under performance of the portfolio
and the portfolio’s underlying unit trust funds. The performance of the portfolio and funds may go down as well as up and past performance of the portfolio and funds are not an indication of
their future performance.
f. I/We understand that investing in Kenanga AMP Plus involves investment risk. The risk profile of the individual underlying unit trust funds in Kenanga AMP Plus is disclosed in the respective
prospectus(es).
g. I/We understand and acknowledge that I am/we are entitled to switch between my/our AMP Plus portfolios. The first portfolio switching / account transfer is free for each calendar year, and
any subsequent switching / transfer within the year will incur RM100 per transaction. Portfolio switching / account transfer is not applicable to EPF Member’s Investment Scheme.
h. I/We understand that I/we can view my/our daily updated portfolio details including my/our transactions and rebalancing activities performed on my/our behalf by the Manager through my/our
e-account which is accessible through www.kenangainvestors.com.my. which shall be deemed as my/our client statement.
i. I/We agree that the Manager reserves the right to decide and make any changes to the Terms and Conditions including termination of the discretionary active portfolio management of
Kenanga AMP Plus.
j. I/We undertake to indemnify and hold the Manager, its employees and advisers harmless against all cost, expenses, losses, claims and demands incurred arising from my/our decision to
invest in Kenanga AMP Plus.
k. I/We hereby consent to the appointment of Kenanga Nominees (Tempatan) Sdn Bhd and Kenanga Nominees (Asing) Sdn Bhd as the custodian for my/our AMP Portfolio.

PRIVACY POLICY

This Privacy Policy describes the Client’s personal data and information that Kenanga Investors Berhad (“KIB”) collects, and the handling of such Client Data. The term Client wherever appearing in
this Privacy Policy shall refer to KIB’s Clients as well as prospective clients or persons applying for any services, accounts or products from KIB.

The Client’s personal data and information such as contact details, background information, financial data and other information (“Client Data”) which the Client had previously provided to KIB when the
Client applies for an account or any other products or services with KIB or where KIB obtains such Client Data from third parties or other organisations, when the Client uses KIB’s online services or
accesses any of KIB’s websites. KIB may also have obtained the Client Data by analyzing the way the Client uses and manages the Client’s account(s), from the payment and transactions made or
from any recording.

Use and Disclosure of Information

KIB may use, process and/or disclose the Client Data for the following purposes (“Purpose”):-
• prevention, prosecution, investigations of fraud or other illegal activity or potential illegal activity, or to conduct investigations of violations of any governing terms and conditions;
• requirements of a civil or criminal legal process and/or as required by law or regulation and/or for regulatory compliance purpose;
• disclosure to the government of the United States of America (US), Inland Revenue Service of US, and any other relevant government or authorities, for and in relation to the compliance of the
requirements under the Foreign Account Tax Compliance Act 2010 (FATCA);
• disclosure to K&N Kenanga Holdings Berhad Group of Companies for the purpose of, including but not limited to, provide their respective services/products to the Client, whether upon the Client’s
request or otherwise.
• to share the information with trusted business partners for the provision of their services;
• to share the information with trusted business partners for the provision of their services;
• acquisition, merger, transfer of assets/business, assignment of rights/liabilities to another company;
• credit reference and other organisations who may use and give out information to other lenders and insurers;
• to vendors, suppliers, counterparties, persons who provide a service to KIB or are acting as KIB’s agents;
• to compare information/data for accuracy, and verify it with third parties;
• research and improve K & N Kenanga Holdings Berhad Group of Companies’ products and services, operational and business processes;
• marketing and promotions of products and services of K & N Kenanga Holdings Berhad Group of Companies;
• transfer to foreign jurisdictions to enable any cross border transactions, for the performance of a contract, any legal proceedings, request from a foreign regulatory or government authority, protection
of vital interest of the Client or where it is in the public interest to do so;
• protecting K&N Kenanga Holdings Berhad Group of Companies’ interests and other ancillary or related purposes.

The Client may have provided personal and financial information relating to others (ie: joint applicant, related parties and/or emergency contact persons) for the Purpose. In such cases, the Client
warrants that the Client had or has their consent or is otherwise entitled to provide their information to KIB.

Access to Information
The Client is entitled to review and request correction of the Client Data. Should the Client wishes to exercise this right, please write to KIB’s Data Officer setting out the details of the Client’s request
and all the Client’s Account numbers (if applicable), name and NRIC/Passport number. A fee may be charged for this service.

Options On Disclosure
KIB allows the Client the opportunity to remove itself and any information about the Client (save for information which is necessarily retained by KIB to comply with legal or regulatory requirements) from
KIB’s database or require KIB to cease processing all or part of the Client’s Data by submitting a written notification addressed to KIB’s Data Officer. However, in such an event, KIB reserves the right
to close the Client’s Account(s) if KIB feels that such removal or cessation would not allow KIB to provide its products and services in a satisfactory manner.

Enquiries and Complaints

Any queries, requests, concerns or complaints regarding the use of the Client’s Data may be raised to the following contact:-

Data Officer
Kenanga Investors Berhad
12th Floor, Kenanga International
Jalan Sultan Ismail, 50250 Kuala Lumpur
Contact number : 1 800 88 3737

In applying for, using or continuing to use KIB’s services, the Client shall be deemed to have accepted and consented to the terms of this Privacy Policy, including any updates or revisions. If the Client
does not consent to the terms herein, kindly contact KIB at the abovementioned contact details.

Changes to KIB’s Privacy Policy

KIB reserves the right to change the contents of this Policy at any time via notification posted on KIB’s website. The Client is advised to periodically view KIB’s website for any updates or the most current
version of KIB’s Privacy Policy.

Page 12 of 15
Kenanga Investors Berhad
Company No. 353563-P

Account opening form – Supplementary form for individuals (FATCA)

This form must be completed by any individual who wishes to open an account.

SECTION A: Individual information

Name:

IC/passport number: Country of birth:

SECTION B: Declaration

Please check “√ ” one of the following::

I represent and declare that I am a:

U.S. Person(1) (citizen or resident of the United States or holds a U.S. green card or a U.S. passport) - Please fill up Form W-9

Non U.S. Person

Please check only if applicable:

(1) I hereby confirm that I am born in the U.S but I’m not a U.S. Person. I do not have the “Certificate of Loss of Nationality”,
because I have:
(a) Lost this certificate, or
(b) Other reason, (please describe) _________________________________________________________________

(2) I hereby confirm that my residential place is in Malaysia and the only address I have for correspondences is a P O Box (“hold
mail”) or “in-care-of” address.
Declaration
I represent and declare that the information provided above is true, accurate and complete. I understand that the term "U.S. person(1)"
means any citizen or resident of the United States, and shall include the definition below.
I hereby consent for K & N Kenanga Holdings Berhad, or any of its affiliates, including branches (collectively “the Bank”) to disclose/report
my information to any person, including the regulatory authorities in accordance with the requirements of Foreign Account Tax Compliance
Act 2010 (“FATCA”) as may be stipulated by applicable laws, regulations, agreement or regulatory guidelines or directives.
I hereby consent that the Bank may withhold from my account(s) such amounts in accordance with the requirements of FATCA as may be
stipulated by applicable laws, regulations, agreement or regulatory guidelines or directives.
If there is any change in information provided to the Bank that makes me a U.S. person, or a recalcitrant (person who fails to comply with
reasonable requests for information to determine if this account belongs to a U.S. person), the Bank has the right to terminate my
account(s) and/or facilities granted to me.

I undertake to notify the Bank in writing within 30 calendar days if there is a change in any information which I have provided to the Bank.

SECTION C: APPLICANT’S SIGNATURE

Name Signature Date

Definitions
(1) The term U.S. person or United States person means a person described in section 7701(a)(30) of the Internal Revenue Code:
(A) a citizen or resident of the United States,
(B) a United States partnership,
(C) a United States corporation,
(D) any estate (other than an estate the income of which, from sources without the United States which is not effectively
connected with the conduct of a trade or business within the United States, is not includible in gross income under the Internal
Revenue Code), and
(E) any trust if—
(a) A court within the United States is able to exercise primary supervision over the administration of the trust, and
(b) One or more United States persons have the authority to control all substantial decisions of the trust.

Page 13 of 15
Account opening form – Supplementary form for individuals (FATCA)

FOR OFFICE USE

Part I – Documentation checklist – To fill up below only if customer has declared as being “Non-U.S.
person” above. (To be completed by sales representative / branch)

Checklist below to be considered in conjunction with all documents & forms collected from customers (including this form).

FATCA checklist Confirmed / Not Instruction:

confirmed
Passport
Customer has not provided a U.S. passport. Confirmed If any of the checklist on the left
have “Not confirmed” answers,
Not confirmed
to request customer change
Nationality declaration above to “U.S.
Person”.
Customer does not have U.S. citizenship. Confirmed
Not confirmed
Non U.S. Passport
Customer’s country of birth is not in the U.S. Confirmed If any of the checklist on the left
Note: If country of birth is in U.S., check that the customer has either: have “ Not Confirmed” answers,
Not confirmed
to obtain Form W-8BEN from
1) Provided a “Certificate of Loss of Nationality” or customer.
2) Checked the declaration (1) in Section B above.
Address
(i) Customer has not provided a permanent address or mailing address within the Confirmed
U.S.
Not confirmed

(ii) Customer has not provided, as the only address for this account, a: Confirmed
PO Box (“hold mail”) or
“in care of” address Not confirmed

Note:
Please select “Confirmed” for this checklist, only if the customer has checked the
declaration (2) in Section B above, that the only address the customer has, is a:
PO Box (“hold mail”) or
“in care of” address
Telephone number
Customer has not provided only a U.S. telephone number (country code +1). Confirmed
Not confirmed

Others

Customer has not provided any other indication of being U.S. citizen or resident. Confirmed
If “Not confirmed”, please list the identified indication: __________________________ Not confirmed
____________________________________________________________________

Part II – Confirmation and acknowledgement by sales representative / branch

Based on the abovementioned declarations and assessments, the customer(s)’ FATCA classification is:
1. U.S. Person 3. Recalcitrant customer with U.S. Indicia. (Non U.S. Customers with U.S. Indicia who do not provide Form W-8BEN)
2. Non U.S. Person 4. Recalcitrant customer that is U.S. Person (U.S. Customers who do not provide Form W-9)

I confirm that the required account opening checks have been performed for the customer listed above and the necessary documents
have been provided to the customer, where applicable.

Name: Signature: Date:

Page 14 of 15
Account opening form – Supplementary form for individuals (FATCA)

Part III - Confirmation by operations / back office / branch

Based on Part I and II above;
I have reviewed and verified the information against the documents received and confirm that the necessary documents have been completed,
where applicable.

Name: Signature: Date:

Part IV - Confirmation by operations / back office

Based on Part I, II and III above;
I have entered into the system, the customer(s)’ FATCA status accordingly as stated in Part II above.

Name: Signature: Date:

Page 15 of 15