How do I open an online trading account?

1. Client shall print and fill up the Customers Account Information Form (CAIF) under Forms section
2. Client should agree and sign the Terms and Conditions of BASecOnline trading agreement
3. Client should submit to BA Securities the signed CAIF, Terms and Conditions, and the requirements specified in the CAIF for Individual Account and Corporate Account, whichever is applicable
4. For Foreign clients, same procedures shall apply as enumerated above, however the requirements specified in the CAIF should be duly authenticated by the country’s repective embassy or consular office
5. Upon receipt of the originally signed documents, BA Securities shall then review the completeness of the requirements, and open the account in the backroom computer systems to obtain the assigned Trading Account and IC No.
6. BA Securities shall notify the client, then email the assigned Trading Account and IC No.
7. Client will then register to BASecOnline using the assigned Trading Account and IC No.

Traditional Clients who decide to avail the Online Trading Facility should:

1. Notify BA Securities and provide a written request
2. Update CAIF, email address is mandatory
3. Sign the Online Trading Agreement
4. BA Securities shall notify the client and email the client’s corresponding Trading Account and IC No.
5. Client shall register to BASecOnline website using the assigned Trading Account and IC No.
6. BA Securities shall verify thru the BMS if the account is successfully registered.

What are the requirements in opening an online trading account?

1. For Individual Accounts, the requirements are as follows: Two valid IDs with photo and signature issued by government entities, ie.
   • Passport
   • Driver’s License
   • GSIS/SSS ID
   • TIN
   • Comelec Voter’s ID
2. For Corporate Accounts, the requirements are as follows:
   • Articles of Incorporation and By-Laws Duly signed “certified true copy” by the authorized signatory of the Corporation.
   • Notarized Board Resolution/ Secretary’s Certificate authorizing the Corporation to purchase and sell shares of stocks with BA Securities, Inc. and the designated signatories.
   • Specimen Signature Card of each signatory.
   • Photocopy of two (2) valid IDs of the authorized signatory.
   • Latest annual report/ Audited Financial Statement.

How to deposit Stock Certificates?

• Only Limit order types are allowed.
• Price of the order should be within the static threshold of the security.
• All foreign orders are taken into account in the Foreign Ownership Limit.
• Rules on posting orders during the different market phases shall always be observed.
• Combining of normal lots and odd lots is not allowed.
• Odd Lots can only be posted during the Continuous Trading Period.
• Partial Matching of Odd Lot orders is allowed.

Board Lot Each stock may trade at different minimum lot sizes depending on the stock’s last traded price. This minimum lot size is called a Board Lot (see table). If a stock’s board lot is 1,000, then that is the minimum amount of shares that can be bought or sold and any amount above this should also be traded in scales of 1,000. Thus an order to buy a stock with a board lot of 1,000 will reject an order to buy 1,500 and 3,200; but will accept 1,000, 2,000, 5,000 and above as long as it is wholly divisible by 1,000. When can I start trading? You can start trading once your funds/deposits have been cleared and credited to your online trading account which may take 1 to 3 days depending on your bank’s clearing time. Can I enter an order anytime during the day? Yes, you may enter orders anytime during the day. Off-market orders or orders made during Market Recess (12 NN to 1:30 PM) and after Market Close (3:30PM onwards up until 9:00AM the following day) are also accepted by the system. If valid, the order will be sent to the Exchange when the market resumes. Can I cancel or revise an order? Yes, orders can be revised/cancelled as long as they have not yet been matched. If an order is partially filled, only the unfilled portion can be revised/cancelled. During Pre-open No Cancellation period (9:15 AM – 9:30 AM) and Pre-close No Cancellation period (3:19 PM – 3:20 PM), any revision or cancellation of orders will be rejected by the system. How do I view my orders? To view your orders, click on the Order Book feature. On this page, you will see all your posted orders and their status. How can I place orders if I do not have access to a computer/internet? You may opt for Broker-Assisted Posting of Orders; you may call our Customer Service at (632) 727-5374 / 726-7209 for assistance in posting your orders. This option is for emergency posting only. What are the fees /charges for executing a trade? The following are the corresponding fees and charges for buying and selling transactions:

How to deposit Stock Certificates?

1. Bring the Stock Certificates to our office
2. Provide a photocopy of 2 valid IDs and a signature card. Personal appearance of the stockholder is only required for certain offices
3. BA Securities, Inc. (BSI) will have the Stock Certificates cleared at the Stock Transfer Office
4. We will credit the shares to your online trading account and you can put it up for sale

Withdrawing the proceeds from a Stock Sale

• If you want to withdraw some proceeds from a stock sale, download the forms and fill it up. We can issue you a check and you can either pick it up at our office address or we can send it via our messenger (NOTE: If within Metro Manila area, Quezon City, Mandaluyong, Pasig, Pasay, Caloocan), or we can deposit the funds to your account.
• The duly signed form for withdrawing funds must be forwarded to our office and then we will comply with your request.

How do I transfer my stockholdings from another broker to BA Securities, Inc.? You can transfer your stockholdings to BA Securities Inc., (BSI) by giving your other stockbroker written transfer instructions to do so (form provided in the website), a copy of which must be furnished to BA Securities. If the stockholdings are lodged with the PDTC, the transfer will be done electronically; the electronic transfer can take one or two working days and would necessitate payment of transfer fees by the customers. The fee is Php75.00 per stock/issue (regardless of number of shares) and will be charged by both the issuing broker and by the receiving broker. Transferring stockholdings to another broker To transfer stockholdings to another broker, you must give BA Securities written instructions to transfer your existing stockholdings to another stock broker. (NOTE: Furnish them a copy of your letter to BA Securities), and we will coordinate the transfer with your existing stockbroker. How can I withdraw (uplift) my stock positions from BA Securities? You can withdraw (or request upliftment of) your stockholdings from BA Securities Inc., by filling out the Request for Upliftment of Stock Certificate (form provided in the website) and send the original signed form/copy to BA Securities Inc., (BSI) at Suites 401 – 403 CLMC Bldg. 259-269 EDSA, Greenhills, City of Mandaluyong. To complete the withdrawal request, you also need to submit a duly accomplished and signed signature card per company (form is also provided in the website). The upliftment process may take about 1 to 3 months to issue and release the certificate. Sometimes personal appearance is requested by the transfer office, if required we will inform you accordingly. A processing fee will be charged per certificate:

• Php150 if the transfer agent is a bank
• Php162 if the transfer agent is a non-bank

How do I pay my stock purchases? The customer’s BA Securities Inc., (BSI) cash account will serve as the source of payment for stock purchases. Customers are requested to verify their purchasing power/ cash balance before a buy order is made while all and any proceeds from any sale of stock will automatically credited into the customer’s cash account. How to Fund Your Account?

1. Deposit payment or make a telegraphic transfer through Metropolitan Bank and Trust Company (MetroBank).
   • If you are a local resident, you can visit any MetroBank branch to make a direct deposit to account name: BA Securities, Inc. savings account no.: 614-3-614-08816-9 at Greenhills- Eisenhower, using either your personal check (this will ensure a faster verification process) or cash. You can also make a domestic telegraphic transfer to the said account. (Note: Clients who make bank deposits/transfers should provide a copy furnish of the deposit or transfer slips.)
   • Deposit at our office.
   • You can visit our office during office hours from 8:00 a.m. to 5:00 p.m., Monday through Fridays, to make your check deposit.
   (Note: Cash should be deposited directly to any MetroBank branch). Our office address is as follows:<br/ > BA Securities, Inc.<br/ > SUITE 401-403 CLMC BLDG 259-269<br/ > EDSA GREENHILLS CITY OF MANDALUYONG, M.M. PHILIPPINES
2. Wire funds to our MetroBank Account.
   • If you are based outside the Philippines, you can wire funds to BA Securities, Inc.’s account maintained at METROPOLITAN BANK AND TRUST COMPANY using the following remittance instructions: Account Name: BA Securities, Inc. Account No.: 614-3-614-08816-9 Name of Bank: Metropolitan Bank and Trust Company Branch: Greenhills- Eisenhower Branch
   • Inform BSI with regards to your payment.
   • In case you are having difficulties with depositing your money at MetroBank, please call us at (02) 727-5374 and we will provide assistance.

Checking of Stock Position You can check your positions by clicking the Portfolio feature. This displays a summary of your listed stock positions with its current market value. Payment for Stock Purchases A client’s cash account with BA Securities, Inc. will serve as the payment source for stock purchase. The client can only buy as much as what can be purchased with his cash balance. Any proceeds generated by any stock sale will automatically be credited into the client’s cash account.