Forms
Individual / Joint Account
| Cash Account - Forms | Download |
|---|---|
| Agreement for Securities Trading Account |  (1.15 MB) |
| Individual / Joint Account – Documents Requirement & Check List | (474 KB) |
| Account Opening Form (Individual / Joint Account) | (1.05 MB) |
| Investor Characteristic Questionnaire(Individual/Joint Account) | (725 KB) |
| Risk Disclosure Statement | (1.05 MB) |
| CRS Self-Certification Form – Individual | (651 KB) |
| Personal Information Collection Statement concerning Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR) | (651 KB) |
| Margin Account - Forms | Download |
|---|---|
| Agreement for Securities Trading Account | (1.15 MB) |
| Appendix A - Additional Terms for Securities Margin Account | (712 KB) |
| Individual / Joint Account – Documents Requirement & Check List | (474 KB) |
| Account Opening Form (Individual / Joint Account) | (1.05 MB) |
| Investor Characteristic Questionnaire (Individual / Joint Account) | (725 KB) |
| Risk Disclosure Statement | (1.05 MB) |
| CRS Self-Certification Form – Individual | (651 KB) |
| Authorization Letter for Client Securities | (584 KB) |
| Personal Information Collection Statement concerning Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR) | (651 KB) |
Corporate Account
| Cash Account - Forms | Download |
|---|---|
| Agreement for Securities Trading Account | (1.15 MB) |
| Corporate Account – Documents Requirement & Check List | (713 KB) |
| Account Opening Form (Corporate Account) | (581 KB) |
| Investor Characteristic Questionnaire (Corporate Account) | (711 KB) |
| Risk Disclosure Statement | (1.05 MB) |
| CRS - Self-Certification Form – Entity | (783 KB) |
| CRS - Self-Certification Form – Controlling Person (if applicable) | (706 KB) |
| Guarantor Profile Information | (716 KB) |
| Deed of Guarantee | (572 KB) |
| Board Resolution | (636 KB) |
| Personal Information Collection Statement concerning Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR) | (651 KB) |
| Margin Account - Forms | Download |
|---|---|
| Agreement for Securities Trading Account | (1.15 MB) |
| Appendix A - Additional Terms for Securities Margin Account | (713 KB) |
| Corporate Account – Documents Requirement & Check List | (713 KB) |
| Account Opening Form (Corporate Account) | (581 KB) |
| Investor Characteristic Questionnaire (Corporate Account) | (712 KB) |
| Risk Disclosure Statement | (1.05 MB) |
| CRS - Self-Certification Form – Entity | (783 KB) |
| CRS - Self-Certification Form – Controlling Person (if applicable) | (706 KB) |
| Guarantor Profile Information | (712 KB) |
| Deed of Guarantee | (572 KB) |
| Authorization Letter for Client Securities (Margin Account) | (585 KB) |
| Board Resolution | (636 KB) |
| Personal Information Collection Statement concerning Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR) | (651 KB) |
Deposit & Withdrawal
| Deposit & Withdrawal | Download |
|---|---|
| Settlement Instruction (SI) / Investor Settlement Instruction(ISI) | (499 KB) |
| Physical Scrip Deposit Form | (479 KB) |
| Physical Scrip Withdrawal Form | (481 KB) |
| Deposit Advice | (505 KB) |
| Withdrawal Instruction | (229 KB) |
| Stock Transfer Instruction | (522 KB) |
Update Information
| Update Information | Download |
|---|---|
| Change of Account Information Form | (293 KB) |
| Notice of Service/Account Termination | (676 KB) |
Hong Kong Investor Identification Regime (HKIDR)
| Hong Kong Investor Identification Regime (HKIDR) | Download |
|---|---|
| Client Identification Data Update Form | (293 KB) |
|
Personal Information Collection Statement concerning Hong Kong |
(651 KB) |
Other Services
| Other Services - Forms | Download |
|---|---|
| General Meeting Voting Instruction | (495 KB) |