Walker Laurent Inc

International Client Application Form

About this Application

This is an International Client Application Form. Please read it carefully, as you select products and services, please advise the best way to communicate with us, and agree

to certain provisions that will govern our relationship. Once accepted, this application and all accompanying or supplemental documents form the entire agreement between

us for this account.

Unless otherwise indicated in this application, the words “you,” “your,” “yourself,” and “yours” mean the applicant(s). The words “we,” “us,” and “our” mean Walker Laurent Inc,

Ping An Finance Center, 99 Dongda Street, Jinjiang, Chengdu, Sichuan, 610021, China and our branches, subsidiaries, and affiliates.

Getting Started

Please complete and sign this application and forward along with any required supplemental forms identified through this application process.

In order to complete this application, you will need the following information:

• Identification information, such as a driver’s license, passport, or another type of government-issued identification

• Social Security Number

• W-8BEN Form

• Information about your annual income, debt, expenses, and net worth

• Back-up contact information

• All fields are required unless marked as optional.

The above information helps us comply with various securities regulations and rules and the USA PATRIOT Act, a Federal law that requires all securities firms to obtain, verify,

and record information that identifies each applicant. The information also helps us more fully understand your investment profile and identify what types of investments or

strategies may be suitable for you. Please note: if we cannot verify the information you provide, we may be required to restrict or deny your account. To qualify for tax

exemption in the US markets, we require an original copy of the completed Form W-8BEN and International Client Application Form within 30 days. If any information on Form

W-8BEN becomes incorrect, you must also submit a new form within 30 days.

Please remember to notify us if you experience a significant life change, such as the birth of a child, marriage, divorce, death of a spouse, loss of a job, change in financial

situation, etc.

Your Account

Account Type

What type of investor are you?

Individual

Corporate

Joint

Trust

Do you have other accounts with us?

Yes

|

No

Details :

Initial Transaction Type :

Buy

Sell

ACAT

Amount :

Your Account Information

Primary Applicant

Title:

Mr.

Ms.

Mrs.

Dr.

Other:

Suffix :

Sr.

Jr.

Other:

First Name

Middle Name

Last Name

Address and Contact Information

Apt/Suite No.

Bldg.

Street

City

State

Postal Code (Zip)

Country

Home Phone

Mobile Phone

Work Phone

Email

Please check if you have been at your current address for less than one year.

Company Information

Company Name

Company Number

Address

City

State

Postal Code (Zip)

Country

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International Client Application Form

Civil Status and Dependents

No. of Dependents

Single

Married

Domestic Partner

Divorced

Widowed

Employment Status

Employed

Self-Employed

Not Employed

Retired

Student

Other :

Job Title

Occupation

Employer

Years with this Employer

Mailing Address If Different From Above

Apt/Suite No.

Bldg.

Street

City

State

Postal Code (Zip)

Country

Industry and Other Affiliations

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings, and dependent(s):

Employed by or associated with the securities industry (for example, a sole proprietor, partner, officer, director, branch manager,

registered representative or other associated person of a broker-dealer firm) or a financial services regulator?

If yes, please specify entity below. If this entity requires its approval for you to open this account, please provide a copy of the required

authorization letter (with this Application).

Broker-Dealer or Municipal Securities Dealer

FinRa or other Self-Regulatory Organization*

Yes

|

No

Investment Adviser

State or Federal Securities Regulator

(*Including a national securities exchange, registered securities association, registered clearing agency or the Municipal

Securities Rulemaking Board.)

Name of entity(ies) :

An officer, director, or 10% (or more) shareholder in a publicly-owned company? Name of company and symbol :

Yes

|

No

A senior military, governmental or political official in a non-US country? Name of country :

Yes

|

No

Financial Investment Experience

Please provide the following information below in order for us to fully understand your investment experience. We are aware that the information you provide may

change over time as you work with us. Please check the boxes below to best describe your investment experience to date.

Transactions per year

Investment

Years experience

(excluding automatic investments)

Mutual Funds/ Exchange Traded Funds

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Individual Stocks

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Bonds

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Options

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Securities Futures

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Annuities

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Alternative¹

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

Margin

0

1-5 yrs.

Over 5 yrs.

0-5

6-15

Over 15

1. May include structured products, hedge funds, etc.

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International Client Application Form

Financial Situation and Needs, Liquidity Considerations, And Tax Status (please tell us your estimates)

ANNUAL INCOME²

NET WORTH³

LIQUID NET WORTH⁴

TAX RATE

(from all sources)

(excluding your residence)

(highest marginal)

$25,000 and under

0-15%

$25,001-50,000

16-25%

$50,001-100,000

26-30%

$100,001-200,000

$100,001-250,000

31-35%

$200,001-500,000

$250,001-500,000

$200,001-500,000

Over 35%

$500,001-1,000,000

Over $500,000

$500,001-1,000,000

$1,000,001-3,000,000

Over $3,000,000

ANNUAL EXPENSES⁵

SPECIAL EXPENSES⁶

LIQUIDITY NEEDS

(recurring)

(future, non-recurring)

$50,000 and under

The ability to quickly and easily convert to cash all or a portion of the

$50,001-100,000

investments in this account without experiencing significant loss in value

$100,001-250,000

from, for example, the lack of a ready market, or incurring significant

$100,001-250,000

costs or penalties is (check one)

$250,001-500,000

Over $500,000

Very important

Important

Timeframe for special expenses:

Somewhat important

Within 2 years

Does not matter

3-5 years

6-10 years

2. Annual income includes income from sources such as employment, alimony, social security, investment income, etc.

3. Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts,

and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do

not include your mortgage.

4. Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and

automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were

withdrawn from them.

5. Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc.

6. Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc.

Investment Risk Tolerance

Different investment products and strategies will involve different levels of risk. When choosing different products and strategies you must understand that

higher expected returns will involve different degrees of risk and therefore it may cause you to lose the majority of your investment. Investments should be

chosen based on your objectives, timeframe, and tolerance for market fluctuations.

Please select the degree of risk you are willing to take with the assets in this account.

Conservative. I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate

significant income or returns and may not keep pace with inflation.

Moderately Conservative. I am willing to accept low risk to my initial principal, including low volatility, to seek a modest level of portfolio

returns.

Moderate. I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns and understand I could

lose a portion of the money invested.

Moderately Aggressive. I am willing to accept high risk to my initial principal, including high volatility, to seek high returns over time, and

understand I could lose a substantial amount of the money invested.

Significant Risk. I am willing to accept maximum risk to my initial principal to aggressively seek maximum returns and understand I could

lose most, or all, of the money invested.

Decision-Making (check all that apply)

I consult with my broker, investment adviser, CPA, or other financial professional.

I generally make my own decisions.

I discuss investment decisions with family and/or friends.

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International Client Application Form

Other Investments

Please provide us with additional information about your other investments to help us more fully understand your investment profile and identify what types of

investments or strategies may be suitable for you.

Investment Type / Description

Firm Holding Investment

Amount (US$)

How You Intend to Use This Account

Please answer the following questions regarding your investment targets and investment period of time in order for us to determine which investment

products and strategies are suitable for you.

Investment Objectives and Investment Time Horizon

I plan to use this account for the following

The investments in this account will be (check one):

(check all that apply):

Generate income for current or future expenses

Less than 1/3 of my financial portfolio

Roughly 1/3 to 2/3 of my financial portfolio

Partially fund my retirement

More than 2/3 of my financial portfolio

Wholly fund my retirement

Steadily accumulate wealth over the long term

Preserve wealth and pass it on to my heirs

Pay for education

Pay for a house

Market speculation

Other :

The expected period of time you plan to invest to achieve your financial goal(s):

Under 1 year

1-2 years

3-5 years

6-10 years

11-20 years

Over 20 years

Investment Objectives and Investment Time Horizon

In order for us to fully understand your investment profile and type of investment and strategies that are suitable for you, please provide any additional information that

has not been requested above, so that it will help us more fully understand your investment profile and identify what types of investments or strategies may be suitable for

you.

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International Client Application Form

Tell Us How You Will Fund This Account

Please tell us how you are funding this account (check all that apply):

Income

Insurance payout

Pension or retirement savings

Inheritance

Funds from another account

Social Security benefits

Gift Sale of business or property

Home Equity Line of Credit/Reverse Mortgage

Other :

Tell Us How You Want To Work With Us

Account Features

Please note

: You may change your account features and options at any time, with advance written notice to us.

Borrowing Money to Buy Securities (Buying “On Margin”) Please Read Carefully

You will have a “cash account,” unless you choose to have a “margin loan account” (customarily known as a “margin account”). To help you decide whether a margin loan

account is right for you, please read this information, the Margin Loan Agreement, and the Margin Disclosure Statement.

You may apply for a margin account at a rate of 9.23% APR after a period of one (1) year of trading with the firm.

In a cash account, you pay for your securities in full by the settlement date of the purchase (generally three business days from the purchase). In a margin loan account, we

may lend you a portion of the purchase price. This is called buying securities “on margin.” For example, when you buy equity securities (such as common stock) on margin, you

typically must deposit at least 50% of the purchase price, and we would loan you the balance. You are liable for repaying the borrowed funds and the interest incurred.

If you borrow funds in your margin loan account and the value of your holdings declines below the firm’s and/or regulatory maintenance margin requirement, you may be

subject to a “margin call.” This means that we can either (1) require you to deposit additional cash or margin-eligible securities to your account immediately, or (2) sell any of

the securities in your account to cover any shortfall, without informing you in advance. We will decide which of your securities to sell. Even if we notify you that you have a

certain number of days to cover the shortfall, we may still sell your securities before that timeframe expires. Further, we may increase at any time the level of equity that you

must maintain in your margin account without triggering a margin call.

We have the right to lend shares held in your margin loan account to others. This should not impede your ability to sell these shares, but may cause you to lose voting rights

and the right to preferred tax treatment on certain dividend payments.

Managing Your Cash

Sometimes there is cash in your account that hasn’t been invested. For example, you may have just deposited money into your account without giving instructions on how to

invest it, or you may have received cash dividends or interest. We will automatically place—or “sweep”—that cash into one of the cash management programs listed below—

also called “cash sweep programs.” Cash management programs offer different benefits and risks, including different interest rates, customer protections, and insurance

coverage (namely, FDIC or SIPC coverage). Some may have certain eligibility criteria, such as minimum cash balances and specific account types.

Please choose one of the cash management programs listed below. You may instruct us to change your selected cash management program at any time to another if you

meet the eligibility criteria of the new cash management program. If you do not choose one, we will automatically place your un-invested cash into the default cash

management program, which will be Money Market Deposit Account with an interest rate of 1.07% APR. We will give you advance notice of any change in your choice or of

the options generally available to you. We may need your consent for certain changes, but not for others.

Sales Proceeds (check one)

Dividends/Interest (check one)

Mail a cheque to the address of record

Send directly to your bank account.

Please provide bank name and account number:

Sweep into Money-Market Fund

Sweep into same investment as indicated at left

Securities Investor Protection Corporation (SIPC7) Protected

Reinvest in the same security

Sweep into Money-Market Deposit Account

Federal Deposit Insurance Corporation (FDIC8) Insured

Other :

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International Client Application Form

Communications Options

Unless you choose otherwise, we will use postal mail to send you any communications. As an alternative, you may choose to be notified by email when certain

communications are available for you to access online. If you wish to be notified by email instead of receiving communications by postal mail, please select one of the

options below:

All communications - I wish to be notified by email about the online availability of any communications, including trade confirmations,

prospectuses, account statements, proxy materials, tax-related documents, and marketing and sales documents.

All communications except trade confirmations, account statements, and tax-related documents - I wish to be notified by

email about the online availability of all communications except trade confirmations, account statements, and tax-related documents,

which I still wish to receive by postal mail.

All communications except tax-related documents - I wish to be notified by email about the online availability of all communications

except tax-related documents, which I still wish to receive by postal mail.

If you choose email for any communications, please tell us the email address we should use :

Postal Mail Options (if you requested postal mail delivery in the previous section)

By checking the boxes below, you request that all communications for the applicants listed on this application be delivered to the following single postal mailing address:

Primary Applicant’s Mailing Address

Other. Please specify :

Duplicate Copies (optional)

Please send duplicate copies of the following documents to the person listed below:

All Communications Trade Confirmations, Account Statements, and Tax-Related Documents Only

Title:

Mr.

Ms.

Mrs.

Dr.

Other:

Suffix :

Sr.

Jr.

Other:

First Name

Middle Name

Last Name

Apt/Suite No.

Bldg.

Street

City

State

Postal Code (Zip)

Country

Relationship to Primary Applicant :

Review and Submit This Application

Confirmations and Signatures (Please Read Carefully)

By signing this application, you affirm that you have received and read this application and any supplemental documents governing this relationship. You affirm that the

information you have provided is accurate and you agree to notify us of any changes in the information provided.

Primary Applicant

Non-Resident Alien : I certify that I am not a U.S. citizen, U.S. resident alien, or other U.S. person for U.S. tax purposes,

and I am submitting the applicable Form W-8 with this form to certify my foreign status and, if applicable, claim tax treaty

benefits.

The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholding.

Signatures

Name of Primary Applicant (please print)

Signature of Primary Applicant

Date

Previous returns or investment performance should not be taken as a guarantee of future results. Many factors affect performance and the value of any investment, and the income it generates

will go up and down over time. There is always the possibility of losing some or all of the money you invest.

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