Account Opening

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Account Opening User Guide

Required Forms:

 

·   Account Application Form (Individual)

·   Account Application Form (Joint)

·   Account Application Form (Corporate)
Personal Guarantor
Deed of Guarantee (Personal)
Important Notice & Acknowledgement   (sign prior to the deed)
Important Notice & Acknowledgement  (sign after the deed)
--> Important Notice & Acknowledgement
--> Acknowledgement
Company Guarantor
Deed of Guarantee (Company)
Important Notice & Acknowledgement   (sign prior to the deed)
Important Notice & Acknowledgement  (sign after the deed)
--> Important Notice & Acknowledgement
--> Acknowledgement

·   W8BEN / W9 (Individual/ Joint)

·   W8BEN-E / W9 (Corporate)

·   Investment Experience Questionnaire (Individual)

·   Investment Experience Questionnaire (Corporate)

·   Self-Certification Form - Individual

·   Self-Certification Form - Entity

·   Self-Certification Form - Controlling Person

Other Forms (Optional)

 

·   Application for Bank Sub-Account Services [If applicable]

·   Authorization for BOCOM transfer deposit [If applicable] (2 sets)

·   Application for CMB Interface Transfer Services [If applicable]

·  Personal Information Collection Statement Concerning Stock Connect Northbound Trading

Required documents (Individual / Joint Account)

 

·   Permanent ID / Passport [Certified True Copy]

·   Residential address proof (Phone bill or bank statement within 3 months) [Certified True Copy]

·   *Correspondence address proof (Phone bill or bank statement within 3 months) [Certified True Copy]{Optional}

·   Bank account proof [If applicable]

Required documents (Corporate Account)

 

·   Certified True Copy of Certificate of Incorporation

·   Certified True Copy of Business Registration (Remarks: Applicable to HK company)

·   Certified True Copy of latest Annual Return and Notification of Amendment (Remarks: Applicable to HK company)

·   Certified True Copy of Register of Directors and Shareholders

·   Certified True Copy of Certificate of Incumbency & Good Standing issued within 6 months

·   Certified True Copy of Memorandum and Association (M&A)

·   Board Resolution (Remarks: Self prepared version is acceptable)

·   Certified True Copy of Permanent ID / passport copies of Directors, Shareholders and Authorized persons

·   *Certified True Copy of residential address proof of Shareholders

·   *Company address proof (Phone bill or bank statement within 3 months) [Certified True Copy]

·   *Correspondence address proof (Phone bill or bank statement within 3 months) [Certified True Copy]{Optional}

·   Bank account proof [If applicable]

General Terms and Conditions:

 

·   Client's Agreements and Risk Disclosure Statements (Notice of Amendment) Effective date: 9 June 2017

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “Miscellaneous” (Notice of Amendment) Effective date: 1 March 2018

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “Representations and Warranties” (Notice of Amendment) Effective date: 17 December 2018

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “SECURITIES RISK DISCLOSURE STATEMENTS” (Notice of Amendment) Effective date: 1 May 2019

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “SUITABILITY AND RISK DISCLOSURE” (Notice of Amendment) Effective date: 1 July 2019

·   Addendum to Client's Agreements and Risk Disclosure Statements - Revised clause “REPRESENTATIONS AND WARRANTIES” and “WARRANTIES” (Notice of Amendment) Effective date: 8 July 2019

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “Representations and Warranties” (Notice of Amendment) Effective date: 10 February 2020

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “NOTICE & AMENDMENT” (Notice of Amendment) Effective date: 16 March 2020

·   Addendum to Client's Agreements and Risk Disclosure Statements - A new sub-clause is added to “SECURITIES RISK DISCLOSURE STATEMENTS” (Notice of Amendment) Effective date: 31 December 2020

·   Addendum in relation to Stock Connect (Notice of Amendment) Effective date: 1 Feb 2021

·   Addendum in relation to personal information collection statement concerning stock connect northbound trading (Notice of Amendment) Effective date: 9 July 2018

* P.O. Box is not acceptable

Cybersecurity Hints for Customers:

·   Cyber Security Hints

 

Important Notes:

·    Automatic Exchange of Financial Account Information (AEOI) / Common Reporting Standard (CRS)

Disclosures:

·   Best Execution Policy