Government rules adopted to prevent money laundering and terrorist financing require all U.S. financial institutions to obtain, record and verify information that identifies each individual or entity that opens an account. When you open an account with or through Mirae Asset Securities (USA) Inc. (“Mirae” hereafter), we will ask you for your name and address. We will also ask for an identification number. For U.S. entities, it means your employer identification number. For non-U.S. entities, it means a taxpayer identification number . In addition, you may be required to provide identification documents as necessary to enable the Firm to verify your identity. Mirae may also screen your name against various databases to verify your identity. All information and documentation will be treated in a manner so as to protect your privacy. Mirae is required to verify the identity of its customers. In certain circumstances, we may not be able to open an account or conduct any transactions for you until we have obtained and verified the necessary identification information. If we have opened an account for you, we may have to restrict trading or close it if you do not supply the necessary information or documents or if we are unable to verify your identity.

YOU ARE ADVISED TO PROMPTLY REPORT ANY INACCURACY OR DISCREPANCY IN YOUR ACCOUNT (INCLUDING UNAUTHORIZED TRADING) TO MIRAE. PLEASE BE ADVISED THAT ANY ORAL COMMUNICATION SHOULD BE RECONFIRMED IN WRITING TO FURTHER PROTECT YOUR RIGHTS, INCLUDING YOUR RIGHTS UNDER THE SECURITIES INVESTOR PROTECTION ACT. MIRAE’S CONTACT INFORMATION IS AS FOLLOWS:

 

MIRAE ASSET SECURITIES (USA) INC.

810 SEVENTH AVENUE

37th FLOOR

NEW YORK, NY 10019

TEL: (212) 407-1000