Client Application

Your financial journey starts here.

Name

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Application Type(Required)

Individual Account

Joint Account

Corporate

Corporation Information

Company Name(Required)

Company Registration Number(Required)

Company Address(Required)

Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country

Personal Information

Name(Required)

First Middle Last

Phone Number(Required)

Email(Required)

Enter Email Confirm Email

Date of Birth

Nationality(Required)

Country of birth?(Required)

Address(Required)

Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country

Name of Employer / Name of Business (For Self-Employed)

Occupation / Profession(Required)

Joint Account Personal Information

Name(Required)

First Middle Last

Phone Number(Required)

Email(Required)

Enter Email Confirm Email

Date of Birth

Nationality(Required)

Country of birth?(Required)

Address(Required)

Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country

Name of Employer / Name of Business (For Self-Employed)

Occupation / Profession(Required)

Securities Industry Affiliation

Are you a director, 10% shareholder or policymaking officer of any publicly-traded company?(Required)

Yes

Are you employed by the financial industry regulatory authority, a broker/dealer, investment advisor or other financial institution?(Required)

Yes

Are you a senior officer of a bank, savings and loan, insurance company, registered investment advisory firm, registered investment company or a person who could influence the trading of investments in an institutional-type account?(Required)

Yes

Do you or your spouse/partner currently have, or have you ever had, U.S. citizenship or a United States passport?(Required)

Yes

Know Your Client (KYC)

Know Your Client (KYC) procedures are a critical function to assess client risk and a legal requirement to comply with Anti-Money Laundering (AML) laws. We are required to know our client's identity, their financial activities and assess money laundering risks associated. For more information on our KYC policy, please speak to your account broker.

Are you accustomed to making your own investment decisions?(Required)

Yes

Financial Advisor

Please select one of the following that matches your level of investment knowledge/experience

Limited Knowledge

Good Understanding

Experienced Investor

Please select any of the following that matches your main objective

Capital Growth

Capital Income

Capital Preservation

Please select any of the following that matches your main objective

Low Risk

Moderate Risk

High Risk

Please select any of the following investment types you have experience or are familiar with

Equities

Hedge Funds

Property Funds

Structured Products

Venture Capital | Private Equity

Warrants | Futures | Options

None

Please select your preferred currency from the section below

Please select your average annual income

$25,000 - $50,000 USD

$50,000 - $100,000 USD

$100,000 - $250,000 USD

$250,000 - $500,000 USD

$500,000 - $1,000,000 USD

$1,000,000+ USD

Please select your current liquid net worth

$25,000 - $50,000 USD

$50,000 - $100,000 USD

$100,000 - $250,000 USD

$250,000 - $500,000 USD

$500,000 - $1,000,000 USD

$1,000,000 - $3,000,000 USD

$3,000,000+ USD

Please select your current total net worth

$25,000 - $100,000 USD

$100,000 - $500,000 USD

$500,000 - $1,000,000 USD

$1,000,000 - $3,000,000 USD

$3,000,000+ USD

KYC Upload

Please upload proof of identification (passport or driver's license - showing all four corners)

Thank you for your cooperation in completing the KYC requirements.

Drop files here or

Accepted file types: jpg, gif, png, pdf, Max. file size: 10 MB.

Please upload a proof of address document (bank statement or utility bill)

Please provide the required documentation to verify your address for the Know Your Client (KYC) process. You can upload a bank statement or utility bill that clearly displays all four corners of the document. This proof of address is necessary to ensure the accuracy and legitimacy of your personal information. Thank you for your cooperation in completing the KYC requirements.

Drop files here or

Accepted file types: jpg, gif, png, pdf, Max. file size: 10 MB.

Terms and Conditions

Advisory Account Terms & Conditions Carvina Capital Pte. Ltd. (UEN: 201220825D) Last updated 14/11/2024 1) Parties & Acceptance: These Terms & Conditions (“Terms”) govern your advisory account with Carvina Capital Pte. Ltd. (“Carvina,” “we,” “us,” or “our”). In these Terms, “you,” “your,” and “Client” mean the individual or entity registered as the account owner. By checking the agreement box on the client application form (or by signing electronically), you confirm that you have read, understood, and agree to be bound by these Terms, which form a binding contract between you and Carvina. If you are an entity, the person accepting represents that they are duly authorised to bind the Client. Note: Nothing in these Terms constitutes an offer or solicitation where such offer or solicitation would be unlawful. Where required by law, services are made available only to persons who meet applicable eligibility criteria (e.g., accredited or institutional investors under Singapore law), unless we expressly state otherwise. 2) Scope of Services (Advisory Account): Unless we agree otherwise in writing, your account is advisory and non discretionary. Carvina may provide research, views, and recommendations, but you make the ultimate investment decisions and place any orders. We are not obliged to monitor your account on a continuous basis, except where we explicitly agree to do so under a separate written mandate. 3) Modifications to These Terms: We may amend these Terms from time to time. Changes that materially disadvantage the Client will take effect 30 days after we notify you in a durable medium (e.g., email, client portal, or website notice). All other changes may take effect immediately, unless a longer period is required by law. Your continued use of our services after the effective date constitutes acceptance of the amended Terms. 4) Client Representations & Warranties: You represent and warrant on a continuing basis that: • You have full legal capacity, power, and authority to enter into and comply with these Terms (and, where relevant, to bind the entity you represent). • You are financially and otherwise prepared to engage in speculative investments and understand the risks involved. • You will comply with all applicable laws and regulations, including (without limitation) those relating to tax, exchange control, anti money laundering and counter terrorism financing, sanctions, and any registration or reporting obligations that apply to you. • All information you provide to Carvina is true, accurate, complete, and not misleading in any material respect, and you will promptly update us if it changes. 5) Client Responsibilities: You are solely responsible for: • The accuracy, completeness, and legitimacy of all instructions and information you provide in your name or on your behalf. • Maintaining the confidentiality and security of any credentials, personal identifiers, or security devices used for client verification or to access our systems; and promptly notifying us of any loss, compromise, or unauthorised use. • Assessing whether our advice or information is suitable for your circumstances (unless we are expressly engaged and required by applicable law to perform a suitability assessment for a particular recommendation). Carvina may take any steps reasonably necessary to protect its rights (including suspending services or declining to act on suspicious instructions) without prior notice where reasonably required. Carvina is not liable for resulting loss except to the extent caused by our negligence, wilful default, or breach of these Terms. 6) Use of Collateral; Set Off & Lien: To the extent permitted by law and any applicable account documentation, you authorise Carvina to apply, set off, combine, or otherwise utilise any cash, credit balance, or other collateral we hold for you to satisfy any amount you owe to us, our affiliates, or your counterparties arising under these Terms or related transactions. We may exercise a general lien over assets we hold for you to secure such obligations. 7) Fees & Charges: Carvina charges commissions and fees on securities transactions as follows, unless otherwise agreed in writing: • A fixed rate of 1% on the gross value of each buy and sell transaction executed through Carvina. You are also responsible for all other charges, including (where applicable) brokerage, exchange or clearing fees, custody fees, bank charges, levies, taxes, and withholding, as well as GST at the prevailing rate. We may debit such amounts from your account or request payment on demand. 8) Risk Acknowledgement: You acknowledge and accept that: • Past performance is not indicative of future results. The value of investments can fall as well as rise due to market movements, issuer specific factors, and currency fluctuations. • All investments involve risk, and you bear all gains and losses arising from your decisions. In certain circumstances (e.g., use of leverage or derivatives), losses may exceed your initial capital. • Unless expressly agreed, Carvina does not provide continuous monitoring of your account or transactions. • Carvina does not guarantee any profit, outcome, or the accuracy or completeness of market data, research, or third party information we rely on or provide. 9) Advisory Content & No Offer; No Tax Advice When we provide advice, information, research, or recommendations: • We do not warrant that they are accurate, complete, current, profitable, or fit for your purpose, and they may include opinions, assumptions, or estimates that can change without notice. • They do not constitute an offer or solicitation to buy or sell any financial instrument unless expressly stated. • We do not provide tax advice. You should obtain independent tax, legal, and accounting advice regarding the tax and other consequences of any transaction. Where required by law, we will perform suitability or appropriateness assessments; otherwise, you remain responsible for determining suitability in light of your objectives, risk tolerance, investment horizon, and financial situation. 10) Limitation of Liability; Indemnity; Force Majeure: - Limitation: To the maximum extent permitted by law, Carvina and its directors, officers, employees, and agents are not liable for any indirect, special, incidental, punitive, or consequential loss (including loss of profit or opportunity), or for any loss caused by events beyond our reasonable control. - Indemnity: You agree to indemnify and hold harmless Carvina and its affiliates from and against any claims, losses, liabilities, damages, costs, and expenses (including reasonable legal fees) arising out of your breach of these Terms, inaccurate information, or unlawful or unauthorised use of our services, except to the extent caused by Carvina’s negligence, wilful default, or breach. - Force Majeure: We are not responsible for any delay, failure, or unavailability due to events outside our control, including acts of God, natural disasters, epidemics, war, terrorism, civil unrest, labour disputes, market halts, system or utility failures, cyber attacks, or actions of exchanges, clearing houses, or governmental authorities. Nothing in these Terms excludes or limits liability to the extent such exclusion or limitation is prohibited by law (including liability for fraud or wilful misconduct). 11) Compliance & Eligibility: You agree to provide all information reasonably requested for KYC/AML, sanctions screening, suitability/appropriateness, and other regulatory purposes, and to promptly update us of any changes. We may decline or discontinue services where you do not meet applicable legal or eligibility requirements. 12) Data Protection & Communications: We collect, use, and disclose personal data in accordance with the Personal Data Protection Act 2012 (Singapore) and our privacy notices/policies (as updated from time to time). By accepting these Terms, you consent to electronic communications and the use and disclosure of personal data for account opening, servicing, compliance, and related purposes, including to our service providers and affiliates (locally and overseas) subject to appropriate safeguards. Notices may be delivered by email, client portal, website notices, courier, or post to your last known contact details and are deemed received when sent (or posted online), subject to law. 13) Term & Termination: You may terminate these Terms at any time by written notice to Carvina. Carvina may terminate by giving you at least one month’s notice in a durable medium (e.g., email or letter). Either party may terminate immediately if the other party materially breaches these Terms, becomes insolvent, or where required by law. Termination does not affect any accrued rights or obligations. Provisions relating to fees, set off and lien, indemnities, limitations of liability, governing law, and dispute resolution survive termination. 14) Governing Law & Jurisdiction: These Terms and any non contractual obligations arising out of or in connection with them are governed by the laws of Singapore. The courts of Singapore have non exclusive jurisdiction. Nothing prevents either party from seeking interim or injunctive relief in any competent court. 15) Assignment; Third Party Rights: You may not assign or transfer your rights or obligations under these Terms without our prior written consent. We may assign or transfer our rights or obligations to an affiliate or successor as part of a reorganisation or transfer of business. A person who is not a party to these Terms has no right to enforce any of its terms under the Contracts (Rights of Third Parties) Act 2001 (Singapore), unless expressly stated otherwise. 16) Entire Agreement; Severability; Waiver; Interpretation: These Terms (together with any account forms, disclosures, and fee schedules we provide or reference) constitute the entire agreement between you and Carvina regarding the advisory account. If any provision is held invalid or unenforceable, it will be modified to the minimum extent necessary to make it valid, and the remaining provisions remain in full force. No failure or delay in exercising any right operates as a waiver. Headings are for convenience only and do not affect interpretation. 17) Account Authorisation (Click to Accept): By checking the box on the application form (or signing electronically), you: 1. Confirm your agreement to these Terms and acknowledge they govern your relationship with Carvina. 2. Confirm the representations and warranties set out above are true and will remain true while your account is open. 3. Consent to receive notices and documents electronically and to electronic signatures.

Advisory Account Terms & Conditions

Carvina Capital Pte. Ltd. (UEN: 201220825D)

Last updated 14/11/2024

1) Parties & Acceptance:
These Terms & Conditions (“Terms”) govern your advisory account with Carvina Capital Pte. Ltd. (“Carvina,” “we,” “us,” or “our”). In these Terms, “you,” “your,” and “Client” mean the individual or entity registered as the account owner.
By checking the agreement box on the client application form (or by signing electronically), you confirm that you have read, understood, and agree to be bound by these Terms, which form a binding contract between you and Carvina. If you are an entity, the person accepting represents that they are duly authorised to bind the Client.
Note: Nothing in these Terms constitutes an offer or solicitation where such offer or solicitation would be unlawful. Where required by law, services are made available only to persons who meet applicable eligibility criteria (e.g., accredited or institutional investors under Singapore law), unless we expressly state otherwise.

2) Scope of Services (Advisory Account):
Unless we agree otherwise in writing, your account is advisory and non discretionary. Carvina may provide research, views, and recommendations, but you make the ultimate investment decisions and place any orders. We are not obliged to monitor your account on a continuous basis, except where we explicitly agree to do so under a separate written mandate.

3) Modifications to These Terms:
We may amend these Terms from time to time. Changes that materially disadvantage the Client will take effect 30 days after we notify you in a durable medium (e.g., email, client portal, or website notice). All other changes may take effect immediately, unless a longer period is required by law. Your continued use of our services after the effective date constitutes acceptance of the amended Terms.

4) Client Representations & Warranties:
You represent and warrant on a continuing basis that:
• You have full legal capacity, power, and authority to enter into and comply with these Terms (and, where relevant, to bind the entity you represent).
• You are financially and otherwise prepared to engage in speculative investments and understand the risks involved.
• You will comply with all applicable laws and regulations, including (without limitation) those relating to tax, exchange control, anti money laundering and counter terrorism financing, sanctions, and any registration or reporting obligations that apply to you.
• All information you provide to Carvina is true, accurate, complete, and not misleading in any material respect, and you will promptly update us if it changes.

5) Client Responsibilities:
You are solely responsible for:
• The accuracy, completeness, and legitimacy of all instructions and information you provide in your name or on your behalf.
• Maintaining the confidentiality and security of any credentials, personal identifiers, or security devices used for client verification or to access our systems; and promptly notifying us of any loss, compromise, or unauthorised use.
• Assessing whether our advice or information is suitable for your circumstances (unless we are expressly engaged and required by applicable law to perform a suitability assessment for a particular recommendation).
Carvina may take any steps reasonably necessary to protect its rights (including suspending services or declining to act on suspicious instructions) without prior notice where reasonably required. Carvina is not liable for resulting loss except to the extent caused by our negligence, wilful default, or breach of these Terms.

6) Use of Collateral; Set Off & Lien:
To the extent permitted by law and any applicable account documentation, you authorise Carvina to apply, set off, combine, or otherwise utilise any cash, credit balance, or other collateral we hold for you to satisfy any amount you owe to us, our affiliates, or your counterparties arising under these Terms or related transactions. We may exercise a general lien over assets we hold for you to secure such obligations.

7) Fees & Charges:
Carvina charges commissions and fees on securities transactions as follows, unless otherwise agreed in writing:
• A fixed rate of 1% on the gross value of each buy and sell transaction executed through Carvina.
You are also responsible for all other charges, including (where applicable) brokerage, exchange or clearing fees, custody fees, bank charges, levies, taxes, and withholding, as well as GST at the prevailing rate. We may debit such amounts from your account or request payment on demand.

8) Risk Acknowledgement:
You acknowledge and accept that:
• Past performance is not indicative of future results. The value of investments can fall as well as rise due to market movements, issuer specific factors, and currency fluctuations.
• All investments involve risk, and you bear all gains and losses arising from your decisions. In certain circumstances (e.g., use of leverage or derivatives), losses may exceed your initial capital.
• Unless expressly agreed, Carvina does not provide continuous monitoring of your account or transactions.
• Carvina does not guarantee any profit, outcome, or the accuracy or completeness of market data, research, or third party information we rely on or provide.

9) Advisory Content & No Offer; No Tax Advice
When we provide advice, information, research, or recommendations:
• We do not warrant that they are accurate, complete, current, profitable, or fit for your purpose, and they may include opinions, assumptions, or estimates that can change without notice.
• They do not constitute an offer or solicitation to buy or sell any financial instrument unless expressly stated.
• We do not provide tax advice. You should obtain independent tax, legal, and accounting advice regarding the tax and other consequences of any transaction.
Where required by law, we will perform suitability or appropriateness assessments; otherwise, you remain responsible for determining suitability in light of your objectives, risk tolerance, investment horizon, and financial situation.

10) Limitation of Liability; Indemnity; Force Majeure:
- Limitation: To the maximum extent permitted by law, Carvina and its directors, officers, employees, and agents are not liable for any indirect, special, incidental, punitive, or consequential loss (including loss of profit or opportunity), or for any loss caused by events beyond our reasonable control.

- Indemnity: You agree to indemnify and hold harmless Carvina and its affiliates from and against any claims, losses, liabilities, damages, costs, and expenses (including reasonable legal fees) arising out of your breach of these Terms, inaccurate information, or unlawful or unauthorised use of our services, except to the extent caused by Carvina’s negligence, wilful default, or breach.

- Force Majeure: We are not responsible for any delay, failure, or unavailability due to events outside our control, including acts of God, natural disasters, epidemics, war, terrorism, civil unrest, labour disputes, market halts, system or utility failures, cyber attacks, or actions of exchanges, clearing houses, or governmental authorities.
Nothing in these Terms excludes or limits liability to the extent such exclusion or limitation is prohibited by law (including liability for fraud or wilful misconduct).

11) Compliance & Eligibility:
You agree to provide all information reasonably requested for KYC/AML, sanctions screening, suitability/appropriateness, and other regulatory purposes, and to promptly update us of any changes. We may decline or discontinue services where you do not meet applicable legal or eligibility requirements.

12) Data Protection & Communications:
We collect, use, and disclose personal data in accordance with the Personal Data Protection Act 2012 (Singapore) and our privacy notices/policies (as updated from time to time). By accepting these Terms, you consent to electronic communications and the use and disclosure of personal data for account opening, servicing, compliance, and related purposes, including to our service providers and affiliates (locally and overseas) subject to appropriate safeguards.
Notices may be delivered by email, client portal, website notices, courier, or post to your last known contact details and are deemed received when sent (or posted online), subject to law.

13) Term & Termination:
You may terminate these Terms at any time by written notice to Carvina. Carvina may terminate by giving you at least one month’s notice in a durable medium (e.g., email or letter).
Either party may terminate immediately if the other party materially breaches these Terms, becomes insolvent, or where required by law. Termination does not affect any accrued rights or obligations. Provisions relating to fees, set off and lien, indemnities, limitations of liability, governing law, and dispute resolution survive termination.

14) Governing Law & Jurisdiction:
These Terms and any non contractual obligations arising out of or in connection with them are governed by the laws of Singapore. The courts of Singapore have non exclusive jurisdiction. Nothing prevents either party from seeking interim or injunctive relief in any competent court.

15) Assignment; Third Party Rights:
You may not assign or transfer your rights or obligations under these Terms without our prior written consent. We may assign or transfer our rights or obligations to an affiliate or successor as part of a reorganisation or transfer of business.
A person who is not a party to these Terms has no right to enforce any of its terms under the Contracts (Rights of Third Parties) Act 2001 (Singapore), unless expressly stated otherwise.

16) Entire Agreement; Severability; Waiver; Interpretation:
These Terms (together with any account forms, disclosures, and fee schedules we provide or reference) constitute the entire agreement between you and Carvina regarding the advisory account. If any provision is held invalid or unenforceable, it will be modified to the minimum extent necessary to make it valid, and the remaining provisions remain in full force. No failure or delay in exercising any right operates as a waiver. Headings are for convenience only and do not affect interpretation.

17) Account Authorisation (Click to Accept):
By checking the box on the application form (or signing electronically), you:
1. Confirm your agreement to these Terms and acknowledge they govern your relationship with Carvina.
2. Confirm the representations and warranties set out above are true and will remain true while your account is open.
3. Consent to receive notices and documents electronically and to electronic signatures.

I agree to the Terms & Conditions

Signature(Required)

Joint Account Signature(Required)