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Account Opening

Individual Account (Sample)

JointAccount

Individual - Self Certification Form (CRS)

W-8BEN Form (Individuals)

4(1)Client Securities Standing Authority (where applicable)

8(1)Client Money Standing Authority

Facility Letter (where applicable)

Supplementary to Section C page 4 of the Account Application (Individual Account) (Applicable to Margin Securities Trading Account only)

Supplementary to Section C page 5-6 of the Account Application (Joint Account)

Customer Profiling Questionnaire (CPQ) – Individual or Joint Account

Confirmation Letter of Knowledge of Trading Exchange-traded Derivative Products (For client without knowledge of derivative products uses) (where applicable)

Client Agreements & Schedules

AI-Portfolio Investing Registration and Account Opening Form (For new customers / existing customers with account opened for more than 1 year)

AI-Portfolio Investing Registration and Account Opening Form (For existing customers with account opened for less than 1 year)

Corporate Account

Account Application (Corporate Account)

W-8BEN-E Form (Entity)

Customer Profiling Questionnaire (CPQ) – Corporate Account

Board Resolution - Cash Client

Board Resolution - Margin Client

Board Resolution - Options Client (Cash)

Board Resolution - Options Client (Margin)

Supplementary to Section D page 7 of the Account Application (Corporate Account)

Entity - Self Certification Form (CRS)

Deed of Guarantee & Indemnity

Guarantor Profile Information

Fund / Stock

Fund Withdrawal for FX

Fund Withdrawal

Overdraft Form

Stock Transfer Form

Physical Stock Withdrawal

Inter-Company Fund & Stocks Transfer

Client Deposit Confirmation Form

Fund Transfer Form (US)

Stock Transfer Form (Overseas Securities)

Dividend Standing Instruction Form

Credit Limit

Increase Limit (Futures)

Increase Settlement Limit (Cash)

Increase Loan Limit (Margin)

Increase trading limit (FX)

Increase trading limit (Stock Option)

Update Information

Change Of Account Information Instruction

Add / Change of specimen signatures

Other Services

Standing Instruction for Payments to Designated Own and/orThird-Party Account(s)

"All-You-Can-Trade" Programme – Hong KongIndex Futures and Index Options Application Form

Global Market Data Subscription Form

Third Party Authorisation – Individual or Joint Account

Last Update: 2020-05-19

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