Services

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
of Incorporation (or other evidence of due incorporation)

Y

Y

Y

Y

Certified true copies of Board
Resolution authorizing the opening of securities accounts, execution of the account opening documents, and specifying authorized personnel(s) to sign documents or place order on behalf of the company with relevant specimen signature.
Notes 4

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
financial statements , if any
 

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/
Passport of the followings:
1) Director 2) Authorized Person(s) 3) Authorized Trader 4)Ultimate originator(s) of all transaction 5) Guarantor
6) Principal Beneficial Owners (holds more than 25% or more ultimate beneficial interest of the client)
 Notes  1

Y

Y

Y

Residential address proof of the followings:
1) Two Directors 2) Two Authorized Traders or Authorized Signatories 3) All ultimate principal beneficial owners (holds 10% or more ultimate beneficial interest of the client) Notes
 2

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
funds) 

Y

W-8IMY For U.S. Foreign Account Tax Compliance (“FATCA”)
 

Y

Standing Settlement Instruction
 

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.
Licensed or Registered person, Lawyer, accountant):
Register of director(s) & member(s) or Certificate of Incumbency / Good Standing 

Y