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)
· Investment Experience Questionnaire (Individual)
· Investment Experience Questionnaire (Corporate)
· Self-Certification Form - Individual
· Self-Certification Form - Entity
· Self-Certification Form - Controlling Person
· Consent to Process Personal Data
· Personal Information Collection Statement Concerning Trading of Securities Listed on the Stock Exchange of Hong Kong
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)
Please provide Certified True Copy/ Original Sighted by our licensed representative of the below documents
· # (i) HKID card/ (ii)National identification document/ (iii)Passport
· *Residential address proof (Phone bill or bank statement within 3 months)
· *Correspondence address proof (Phone bill or bank statement within 3 months) [If applicable]
· Bank account proof [If applicable]
# The waterfall of the identity documents are (i)HKID card, (ii)National identification document, (iii)Passport. If (i) is not applicable, please provide (ii). If (ii) is not applicable, please provide (iii) and so on.
* P.O. Box is not acceptable
Required documents (Corporate Account)
Please provide Certified True Copy/ Original Sighted by our licensed representative of the below documents
(Certified True Copy of latest Annual Return and Notification of Amendment / Register of Directors and Shareholders / Certificate of Incumbency & Good Standing are required)
· @(i) LEI registration document/ (ii) Certificate of Incorporation/ (iii) Business Registration Certificate/ (iv) Other equivalent documents
· Latest Annual Return and Notification of Amendment (Remarks: Applicable to HK Company)
·
Register of Directors and Shareholders
·
Certificate of Incumbency & Good Standing issued within 6 months (Remarks: Applicable to Non-HK company)
· Memorandum and Association (M&A)
· Board Resolution (Remarks: Self-prepared version is acceptable)
· ID / passport copies of Directors, Shareholders/ Ultimate beneficial owner and Authorized persons
· *Residential address proof of Shareholders /Ultimate beneficial owner (e.g. Phone bill or bank statement within 3 months)
· *Company address proof (e.g. Phone bill or bank statement within 3 months) [If applicable]
· *Correspondence address proof (e.g. Phone bill or bank statement within 3 months) [If applicable]
· Bank account proof [If applicable]
@ The waterfall of the identity documents are (i) LEI registration document, (ii) Certificate of Incorporation, (iii) Business Registration Certificate, (iv) Other equivalent document. If available, please provide all relevant documents.
*P.O. Box is not acceptable
General Terms and Conditions:
· Client's Agreements and Risk Disclosure Statements (Notice of Amendment) Effective date: 1 June 2023
· Notice of Amendment to Client's Agreements and Risk Disclosure Statements - Revised Clause "SECURITIES RISK DISCLOSURE STATEMENTS" (Notice of Amendment) Effective date: 1 June 2023
· Addendum in relation to HKD-RMB Dual Counter Mode (Notice of Amendment) Effective date: 27 July 2023
· Notice of Amendment to Client's Agreements and Risk Disclosure Statements - Revised Clause " FUTURES CLIENT AGREEMENT (Notice of Amendment) Effective date: 26 February 2024
· Notice of Amendment to Client's Agreements and Risk Disclosure Statements - (Notice of Amendment) Effective date: 23 September 2024
Cybersecurity Hints for Customers:
Important Notes:
· Automatic Exchange of Financial Account Information (AEOI) / Common Reporting Standard (CRS)
Disclosures:
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