Type

Form

Supporting Documents

Securities Cash Account

• Account Opening Form (Individual / Joint Account)
• Supplementary Account Opening Form (Joint Account)
• Risk Disclosure Statement - Securities Trading Account
• W-8BEN
• Agreement for Securities Trading Account (no signature required)
• Self-Certification Form – Individual
• Investment Suitability Assessment Form - Individual/Joint Account

Hong Kong and Overseas Resident:

1. Certified true copy of Hong Kong permanent identity card or valid passport (for overseas resident only); and
2. Address proof (original or copy of utility bill or bank statements issued within 3 months)
   (Certified True Copy)

Mainland China Residents:

1. Certified true copy of mainland China identity card and valid passport; and
2. Address proof (original and copy of utility bill or bank statement within 3 months)
   (Certified True Copy)

Securities Margin Account

• Account Opening Form (Individual / Joint Account)


• Supplementary Account Opening Form (Joint Account)


• Risk Disclosure Statement - Securities Trading Account


• W-8BEN


• Authorization Letter for Client Securities (For Margin Account)


• Agreement for Securities Trading Account (no signature required)


• Additional Terms for Securities Margin Account (no signature required)


• Self-Certification Form – Individual


• Investment Suitability Assessment Form - Individual/Joint Account

Futures Account

• Account Opening Form (Individual / Joint Account)


• Supplementary Account Opening Form (Joint Account)


• Risk Disclosure Statement – Futures and Options Trading


• W-8BEN


• Agreement for Futures Trading Account (no signature required)


• Self-Certification Form – Individual


• Investment Suitability Assessment Form - Individual/Joint Account

Open Securities A/C with Futures A/C

If open Securities A/C with Futures A/C, please sign the additional form as below:

• Authorization Letter for Client Money (For Securities Account with Futures Account)