Securities Account

Cash

Application

Trading on HKEx listed stocks, B shares and overseas stocks

Form

Account Opening Form-Individual or A/C Account Opening Form-Joint

Requested Documents

Hong Kong and Overseas Resident

  • Copy of identity card or passport; and
  • Address proof (original or copy of utility bill or bank statements issued within 3 months)


Margin A/C

Application

With all the cash account applications plus the Share Margin Financing Facility is provided

Form

Account Opening Form-Individual or A/C Account Opening Form-Joint

Requested Documents

Hong Kong and Overseas Resident

  • Copy of identity card or passport; and
  • Address proof (original or copy of utility bill or bank statements issued within 3 months)



Notes
1. We do not accept new account opening applications from individual clients from mainland China.
2. Please complete forms with block letters and sign specimen signature on “Signature of Applicant”. 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.
3. According to relevant sections of Securities and Futures Ordinance, securities brokers is required to 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. Please contact our Legal & Compliance Department if any inconsistence in the statement.
4. If a client needs to transfer funds between his/ her futures and securities accounts, please contact relevant Account Executive to fill in and return to us the “Authorisation Letter” form.
5. 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

Cash

Application

Trading on HKEx listed stocks, B shares and overseas stocks

Form

Account Opening Form-Corporate A/C

Requested Documents

  • Copy of identity card or passport of all company’s directors, shareholders, ultimate beneficial owner(s), guarantors and authorized persons (if applied);
  • Certified copy of Business Registration Certificate (including offshore companies having a business presence in Hong Kong);
  • Certified copy of Certificate of Incorporation;
  • Copy of identity card or passport of all company’s directors, shareholders, ultimate beneficial owner(s), guarantors and authorized persons (if applicable);
  • Certified copy of recent annual report (if applicable); and If a client needs to transfer funds between his/ her futures and securities accounts, please contact relevant Account Executive to fill in and return to us the “Authorisation Letter” form.



Margin A/C

Application

With all cash account application plus Share Margin Financing Facility is provided

Form

Account Opening Form-Corporate A/C

Requested Documents

  • Copy of identity card or passport of all company’s directors, shareholders, ultimate beneficial owner(s), guarantors and authorized persons (if applied);
  • Certified copy of Business Registration Certificate (including offshore companies having a business presence in Hong Kong);
  • Certified copy of Certificate of Incorporation;
  • Copy of identity card or passport of all company’s directors, shareholders, ultimate beneficial owner(s), guarantors and authorized persons (if applicable);
  • Certified copy of recent annual report (if applicable); and if a client needs to transfer funds between his/her futures and securities accounts, please contact relevant Account Executive to fill in and return to us the “Authorisation Letter” form.



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.