FREQUENTLY ASKED QUESTIONS

Online Trading Account

1. • • APS Online
       1. At the home page www.apsonline.com.ph, click "Open Account".
       2. Fill up the APS Online trading account application forms.
       3. Print and sign all 3 forms:
          • Customer Account Application Form (CAIF)
          •  Online Trading Service Agreement (OTSA)
          •  Specimen Signature Cards (SSC)

     (Note: Printer is required for completing this application.)

     4. Check your e-mail and click the verification link from APS Online. Assemble application documents and other requirements and submit it to 20^th floor, The Peak Tower, 107 L.P. Leviste Street, Salcedo Village, Makati City.
     5. Proceed to funding your account. [Link: How To Fund Your Account]

     Wait for e-mail confirmation from APS that account has been activated and is ready for trading. You can then log in at       www.apsonline.com.ph with your user name and password.

     • Traditional
       • Individual Client
     1. Personal appearance, face-to-face interview, or by appointment with one of our licensed traders. You may visit our office from Monday to Friday during business hours from 8am to 5pm.
     2. Fill up and sign the Customer Account Information Form (CAIF), Securities Trading Agreement (STA), and Signature Cards to be provided by APS.
     • Corporate / Institutional Client
     1. CAIF, STA, and SSC will be delivered to the business address of the corporate / institutional client by the Sales Trader or the authorized representative of APS.
     2. Submit the duly-signed forms provided by APS together with the required corporate papers / documents

• • Filipino Citizens
    • Duly-accomplished and signed forms
      • APS Online – CAIF, OTSA, SSC
      • Traditional – CAIF, STA
    • 2 valid or government-issued IDs (Any of the following: Driver’s License, Passport, SSS/GSIS ID, Unified Multi-Purpose ID (UMID), Senior Citizen’s Card, Voter’s ID, Government Office ID, PhilHealth Card, Professional Regulation Commission (PRC) ID, Seaman’s Book, OFW ID, OWWA ID, Police or NBI Clearance, Company ID, School ID)
  • Overseas Filipino Workers (OFW)
    • Duly-accomplished and signed forms
      • APS Online – CAIF, OTSA, SSC
      • Traditional – CAIF, STA
    • Photocopy of Passport
    • Photocopy of another valid government-issued ID
  • Resident Foreign Citizen
    • Duly-accomplished and signed forms
      • APS Online – CAIF, OTSA, SSC
      • Traditional – CAIF, STA
    • Alien Certificate of Registration Identity Card (ACR I-Card), Work Permit from DOLE, or Permanent Resident Visa (PRV)
    • Photocopy of Passport or National Identity Card
  • Non-Resident Foreign Citizen
    • Duly-accomplished and signed forms
      • APS Online – CAIF, OTSA, SSC
      • Traditional – CAIF, STA
    • TIN Number (for U.S. Citizens only)
    • Photocopy of Passport
    • Photocopy of another valid government-issued ID
  • Corporate / Institutional Clients
    • Duly-accomplished and signed forms
      • APS Online – CAIF, OTSA, SSC
      • Traditional – CAIF, STA
    • Corporate Papers:
      1. Secretary’s Certificate or Board Resolution authorizing the opening of account with APS including the authorized signatories of the corporation for that purpose
      2. Articles of Incorporation and By-Laws
      3. General Information Sheet (GIS)
      4. Latest Audited Financial Statements
      5. Two (2) valid government-issued IDs of the authorized signatories and corporate secretary

DATA PRIVACY MANUAL OF AP SECURITIES, INCORPORATED

I. INTRODUCTION
This Privacy Manual of AP SECURITIES, INCORPORATED is hereby adopted in compliance with Republic Act. No. 10173 entitled “An Act Protecting Individual Personal Information and Communication System in the Government and the Private Sector, Creating for this Purpose a National Privacy Commission, and for other Purposes” or otherwise known as the “Data Privacy Act
of 2012”, its Implementing Rules and Regulations, relevant policies and issuances of the National
Privacy Commission (“NPC”).

The Data Privacy Act (“DPA”) and its Implementing Rules and Regulations (“IRR”) provide the
following:

1. Protection of individual’s right to privacy of his personal information and sensitive
personal information (“Personal Data”) while ensuring the free flow of information in
order to promote innovation and growth;

2. Regulation in the processing of personal information and, in certain cases, processing of
sensitive personal information and privileged information;

3. Creation of the NPC tasked to implement the provisions of the DPA and its IRR and to
ensure country’s compliance with international standards for data protection;

4. Security of personal information through the implementation of reasonable and
appropriate organizational, physical, and technical measures intended for the protection
of personal and sensitive personal information.

APS respects, values, and protects the data privacy rights of individuals and ensures that all
personal information and sensitive personal information (“Personal Data”) collected are processed in
adherence to the general principles of transparency, legitimate purpose, and proportionality. APS
collects Personal Data from the following:

a. APS directors, stockholders, officials, employees, interns, on-the-job trainees, agents, and
consultant/s;