Points to Note – Account Opening

Individual / Joint Account
Type Application Form Requested Documents
Cash Trading on HKEx listed stocks, B shares and overseas stocks.Only trade with sufficient funds from A/C Application Form to Open a Dealing Account - Individual/ Joint Account (Cash Account)

Hong Kong and Overseas Resident
1.Copy of identity card or passport; and
2.Address proof (original or copy of utility bill or bank statements issued within 3 months)

Mainland China Residents
1.Copy of China identity card and passport; and
2.Address proof (original and copy of utility bill or bank statement within 3 months)
Margin
A/C		 with all the cash account applications Share Margin Financing Facility is provided Application Form for Share Margin Financing Facility (Individual/ Joint Account)

Notes:
1.Please complete forms with block letter and sign specimen signature beside “X”. Please note that client instructions will not be processed if his/her signature cannot be verified against the specimen signature, so we suggest clients retaining a copy of his/her specimen signature.
2.According to relevant sections of Securities and Futures Ordinance, securities brokers is required advise clients of any movements (cash, securities or securities collaterals) in the account. Besides, a monthly statement is required to be issued to clients whose account balance is not nil, with or without transactions carried out in the relevant month.
3.A confirmation letter will be issued to clients upon acceptance of application. Please do not deposit funds with the broker until receipt of confirmation.
4.Clients are required to inform broker regarding changes of his/her personal details by downloading, filling and returning to us the Change of Client Data form.
Corporate Account
Type Application Form Requested Documents
Cash Trading on HKEx listed stocks, B shares and overseas stocks.Trading with sufficient funds from A/C No margin financing facility Application Form to Open a Dealing Account - Corporate Account (Cash Account) 1.Copy of identity card or passport of all company’s directors, ultimate beneficial owner(s), guarantors and authorized persons (if applied);
2.Certified copy of Business Registration Certificate (including offshore companies having a business presence in Hong Kong);
3.Certified copy of Certificate of Incorporation;
4.Certified copy of Memorandum & Articles of Association with current list of directors;
5.Certified copy of recent annual report (if applied); and
6.Documentary proof of authorized persons’ address and contact numbers
Margin
A/C		 with all cash account application Share Margin Financing Facility is provided Application Form for Share Margin Financing Facility (Corporate Account)

Notes:
Besides the above, the following documents are required:
1.Deed of Guarantee by a director or shareholder of a corporate client;
2.Memorandum & Articles with no clauses /articles objecting the corporate client to engage in securities trading; and
3.Minutes of the Board of Directors' Meeting, approving the corporate client to open a securities account.

Special Reminder:

＊ A client may open and maintain either a Cash or Margin account, but not both; and

＊ If a client needs to transfer funds between his/ her futures and securities accounts, please contact relevant Account Executive to fill and return to us the “Authorisation Letter” form.