Forms Download
Individual and Joint Account
‧ Client Trading Agreement - Individual and Joint Account (Required) ;
‧ Self - Certification Form - Individual(Required) ;
‧ Form W-8BEN - Individual (Required) ;
‧ Agreement Terms and Risk Disclosure Statement (For Client Read Only - Client must read and acknowledge Risk Disclosure Statements);
Please complete the account opening forms and send the original copies together with the copies of following supplementary documents to our company :
1. ID Card(s) or Passport(s) Copy ;
2. Copy of Correspondence Address Proof (within the latest 3 months) such as public utilities bill；
Corporate Account
‧ Client Trading Agreement - Corporate Account (Required);
‧ Self - Certification Form - Entity(Required);
‧ Form W8-BEN-E - Corporate (Required);
‧ Self Certification Form - Individual(Required);
‧ Form W-8BEN - Individual (Required);
‧ Agreement Terms and Risk Disclosure Statement (For Client Read Only - Client must read and acknowledge Risk Disclosure Statements);
Please complete the account opening forms and send the original copies together with the copies of following supplementary documents to our company :
*The copies must be certified by professional party recognized by SFC (such as lawyer, certified public accountant, licensed bank manager or notary)
Registered in Hong Kong
1. Certified Copy of Board Resolutions(if applicable)*；
2. Copies of ID/ Passport and adress proof (within latest 3 months) of the followings*:
1) Directors
2) Authorized Persons
3) Authorized Signatories
4) Ultimate principal beneficial owners (holds 10% or more ultimate beneficial interest of the client)*
3. Certificate of Incorporation and subsequent Certificate of Change of Name (if applicable) *；
4. Memorandum & Articles of Association*；
5. Address Proof(within latest 3 months)；
6. Designated Hong Kong Bank Account (if applicable)；
7. Latest Annual Return, and subsequent Notification of Change of Secretary and Director (Appointment / Cessation)
(Form D2A / ND2A),Return of Allotments (Form SCl / NSC1)
and/or Instrument of Transfer (if applicable) *；
8. Valid Business Registration Certificate *；
Registered in Overseas
1. Certified Copy of Board Resolutions(if applicable)*；
2. Copies of ID/ Passport and adress proof (within latest 3 months) of the followings*:
1) Directors
2) Authorized Persons
3) Authorized Signatories
4) Ultimate principal beneficial owners (holds 10% or more ultimate beneficial interest of the client)*
3. Certificate of Incorporation and subsequent Certificate of
Change of Name (if applicable) *；
4. Memorandum & Articles of Association*；
5. Address Proof(within latest 3 months)；
6. Designated Hong Kong Bank Account (if applicable)；
7. Register of Directors *；
8. Register of Members *；
9. Certificate of Incumbency (issued within the past 6
months)*；
| Agreement Related Forms & Important Terms | |
|---|---|
| Client Trading Agreement - Individual And Joint Account | |
| Client Trading Agreement - Individual And Joint Account(Sample) | |
| Client Trading Agreement - Corporate Account | |
| Client Trading Agreement - Corporate Account(Sample) | |
| Self-Certification Form - Individual | |
| Self-Certification Form - Individual(Sample) | |
| Self-Certification Form - Entity | |
| Self-Certification Form - Entity(Sample) | |
| Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting - Individuals | |
| Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting - Individual(Guidance) | |
| Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting - Entity | |
| Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting - Entity(Guidance) | |
| One-Off Client Trading Agreement | |
| W-9 Request for Taxpayer Identification Number and Certification | |
| Document List for Account Opening | |
| Additional Service Application Form | |
|---|---|
| Margin Client Agreement | |
| Additional Risk Disclosure Statement （Derivative Warrants & Callable Bull/Bear Contracts & Exchange Traded Funds) | |
| Global Trading System Application and Multi-Currency Denominated Products to the Client Trading Agreement | |
| Application & Standing Authority For Rolling Balance Account | |
| The China Connect Supplement | |
| Future Trading Agreement | |
| Trading Software Guidance | |
|---|---|
| GTS lite User Guide (Chinese Version Only) | |
| Victory Securities Mobile App User Guide (Chinese version only) | |
| Vic-Token User Guide (Chinese Version Only) | |
| Estatement User Guide (Chinese version only) | |
| Other Service Related Form | |
|---|---|
| Change of Account Information Form | |
| Deposits Notice Form | |
| E-trade Application Form | |
| Withdraw Instruction | |
| Notice of Opt out Receive Internet Trade Execution | |
| Standing Authority Appointment of Authorized Person | |
| Discretionary Account - Standing Authority | |
| Standing Authority - Issue Of Cheque & Transfer Of Fund By Phone | |
| Physical Share Withdraw Notification | |
| SI / ISI Instruction Form | |
| Standard Form of Transfer (Shares) | |
| Form of Authorized Person to Collecting Share Certificates | |
| General Meeting Reply Slip | |
