Required Forms:
· Account Application Form (Individual)
· Account Application Form (Joint)
· Account Application Form (Corporate)
· W8BEN / W9 (Individual/ Joint)
· 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: 31 May 2018
· 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:
Important Notes:
· Automatic Exchange of Financial Account Information (AEOI) / Common Reporting Standard (CRS)
Disclosures:
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