Documents Checklist for Account Opening
Corporate Account Opening Package
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
|
Y |
|
|
Y |
|
|
Y | Y | Y | Y | |||
W-8BEN / (W-9 where applicable) for US Foreign Account Tax |
Y |
|
|
Y |
|
|
Y |
|
|
Y |
|
|
|
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
|
Certified true copies of Identity Card / Passport copy of all account holders |
Y |
|
|
Y |
|
|
Resident address proof of recent 3 months such as utility bill, tax return or bank statement etc. |
Y |
|
|
Y |
|
|
Unlimited Continuing Guarantee |
|
Y |
Y |
|
Y |
|
|
Y |
Y |
|
Y |
Y |
|
Self-Certification Form – Controlling Person for each of the controlling person (CRS) |
|
Y |
Y |
|
Y |
|
|
Y |
Y |
|
Y |
|
|
Certified true copy of Register of Members and Register of Directors |
|
Y |
Y |
|
Y |
Y |
Certified true copies of Business Registration Certificate |
|
Y |
if applicable |
|
Y |
Y |
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
Certified true copies of Certificate |
|
Y |
Y |
|
Y |
Y |
Certified true copies of Board |
|
Y |
Y |
|
Y |
Y |
Certified true copies of Ownership structure chart showing details of the ownership and structure control of the corporation |
|
Y |
Y |
|
Y |
Y |
Certified true copies of Memorandum & Articles of Association (or other constitutional documents) |
|
Y |
Y |
|
Y |
Y |
Certified true copies of latest |
|
Y |
Y |
|
Y |
|
Certified true copies of latest statutory records filed with Company Registry (e.g. copy of Annual Return) |
|
Y |
|
|
Y |
|
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
Certified true Copies of ID/ |
|
Y |
Y |
|
Y |
|
Residential address proof of the followings: |
|
Y |
Y |
|
Y |
|
Certified true copies of ID or passport for the authorities persons or Letter issued by the client’s independent department such as human resources, audit or compliance confirming the identities and authorities of the persons to sign account documents and perform actions stated in the authorized signatory list |
|
|
|
|
|
Y |
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
List of Authorized Signatories and Authorized Traders with Specimen Signature |
|
|
|
|
|
Y |
Client Identity Disclosure Undertaking |
|
|
|
|
|
Y |
Assessment of Client Institution’s Anti-Money Laundering and Counter-Terrorist Controls (for overseas financial institutions and |
|
|
|
|
|
Y |
|
|
|
|
|
Y |
|
|
|
|
|
|
Y |
|
Address proof of principal business office or place of business of recent 3 months, if any |
|
Y |
Y |
|
Y |
Y |
Application form for being treated as Professional Investor (provide asset proof is need) |
|
|
|
Y |
Y |
|
The following supporting documents must be Certified by third party professional (e.g. |
|
|
Y |
|
|
|
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
Acknowledgement for Investment in Taiwan Securities, Declaration for Taiwan Securities Trading and Risk Disclosure Statement and General Authorization Agreement for Day Trades of Securities
|
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
|
Notes 註 解
|
Required Document |
Individual or Joint Account |
Hong Kong Incorporated Corporate Account |
Overseas Incorporated Corporate Account |
Professional Investor Account (Individual) |
Professional Investor Account (Corporate) |
Institutional Professional Investor Account(P.I.A) |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
Must Provide |
|
|
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
if applicable |
Notes
|