Open an Account

Documents requirements for securities / futures account

Account opening documents

• Client Agreement
• Authorization Letter (Remarks: For Margin and Futures Account)
• Risk Disclosure Statements (Remarks: Licensed representative must sign as witness)
• Client Identity / Beneficiary Declaration
• Deed of Guarantee (Remarks: Applicable for Corporate account)

Optional account opening documents

• Authorization for cash withdrawal by verbal / phone instruction
• Authorization for BOCOM transfer deposit (2 sets) (Remarks: Licensed representative must sign as witness)
• Internet securities trading agreement
• Authorization letter to third party (Authorized person must provide copy of ID card or passport)
• Application for receiving e-statement and mailing statement cancellation

Required documents

Applicable for Individual and Joint Name Account

• Copy of ID card or passport
• *Residential address proof (Phone bill or bank statement in the latest 3 months)
• *Correspondence address proof (Optional: If different from residential address, please provide phone bill or bank statement in the latest 3 months)

* P.O. Box is not acceptable

Applicable for HK Limited Company Accounts

• Copy of ID card or passport of authorized persons and directors (Certified true copy)
• Copy of ID card or passport of shareholders and beneficiary owners (Certified true copy)
• * Business address proof (Phone bill or bank statement in the latest 3 months) (Certified true copy)
• *Correspondence address proof (Optional: If different from business address, please provide phone bill or bank statement in the latest 3 months) (Certified true copy)
• Copy of Certificate of Incorporation and Business Registration (Certified true copy)
• Copy of latest Annual Return and Notification of Amendment (Certified true copy)
• Copy of Memorandum and Association (M&A) (Certified true copy)
• Board Resolution (Remarks: Self prepared version is acceptable)
• Latest audited financial statement (Certified true copy)

* P.O. Box is not acceptable

Applicable for Offshore Company Accounts

• Copy of ID card or passport of authorized persons and directors (Certified true copy)
• Copy of ID card or passport of shareholders and beneficiary owners (Certified true copy)
• * Business address proof (Phone bill or bank statement in the latest 3 months) (Certified true copy)
• *Correspondence address proof (Optional: If different from business address, please provide phone bill or bank statement in the latest 3 months) (Certified true copy)
• Copy of Certificate of Incorporation and Business Registration (Certified true copy)
• Copy of Memorandum and Association (M&A) (Certified true copy)
• List of directors and shareholders (Certified true copy)
• Board Resolution (Remarks: Self prepared version is acceptable)
• Certificate of incumbency if applicable (Certified true copy)
• Latest audited financial statement (Certified true copy)

* P.O. Box is not acceptable