開戶需知

NOTE TO CLIENT (INDIVIDUAL/JOINT ACCOUNT) RELATING TO OPENING CASH SECURITIES TRADING ACCOUNT

個人/聯名客戶開立現金證券戶口需知

客戶開立現金證券買賣戶口,必須填妥及簽署以下文件:

For opening a cash securities trading account, client shall complete and sign the following documents:

  1. Cash  Client's Agreement   現金客戶協議書

  2. Client Information Statement  客户資料表

  3. Internet Securities Trading Service Application Form  互聯網證券交易服務申請表  (If applicable如適用)

 

Please attached the documents listed below: 

客戶並須附上以下列文件:

  1. IRS Form美國國稅局之表格
    Form表格 : W-8BEN  (Declare that you are NOT a U.S. Entities申報閣下並不是美國法人 )

  2. CRS Identity Declaration Form 
    金融帳戶資訊主動交換共同申報標準-自我證明表格 

  3. Copies of Identification document (both side) / nationality proof with client’s signature
    附有客戶簽署之身份證(正面及背面)/ 國籍證明文件副本

  4. Proof of Residential Address (e.g..utility bill, bank statement, telephone bill issued within last 3 months)
    住址證明(如最近三個月發出 : 水電煤費賬單、銀行月結單、通訊電話賬單)

  5. Proof of Banker and Account No. (Bank statement :  printed with client’s name and address , issued  within last 3 months)
    往來銀行及帳戶證明 (銀行結單: 載有客戶姓名及地址 , 須在最近三個月內發出)

  6. Employer Consent Letter
    僱主書面同意書  (If applicable如適用)
    (If you are an employee of a company registered with the Securities and Futures Commission of  Hong Kong, your employer consent letter is required.)
    ( 如閣下受僱於香港證券及期貨事務監察委員會註冊之公司,則必須附上僱主同意書。)

  7. Client’s cheque  (Account opening in a non-face to-face approach ) 
    客戶支票 (非面對面的情況下開戶)
    a) The cheque must 該支票必須:

  • be drawn on the Client’s Hong Kong dollar bank account with a licensed bank in Hong Kong;
    由客戶在香港持牌銀行開立的港元帳戶所簽發;

  • show the Client’s Account Name which must be pre-printed on the cheque. This Account Name must be the same as the Client’s name on the Client Information Statement and client’s identity documents;
    支票上必須顯示客戶的帳戶名稱。此帳戶名稱必須與客戶資料聲明及客戶的身份證明文件姓名相符;

  • be made payable to "Prior Securities Limited"  with an amount not less than HK$10,000.00;
    抬頭人請寫「昇悅證券有限公司」,數額不得少於 10,000港元;

  • bear the same signature with the Client Information Statement; and
    簽名必須與客戶資料聲明的簽名相符; 及

  • be encashed and cleared
    必須兌現及清算。.

b)  The amount will be credited into the Client’s account with us directly after we have sighted the original and taken a copy of the cheque, and the new account will not be activated until the cheque is cleared
該支票經本行查閱正本及複印後,本行將在客戶新戶口的貸方記入該數額,但新戶口必須待清算支票後 才可使用。

​* Witness to Certify all the Signature(s) and attached Documents: 

The attached documents must be certified and signed,  and stated as “Certified True Copy” by the following acceptable witness if documents are copies.

附上之文件若為副本,均須由以下認可之見證人認證和簽署,並註明「經核實之真實副本」。

An acceptable witness can be a PSL employee, Justice of Peace, a branch manager of a licensed bank, lawyer, certified public accountant (practicing), chartered secretary (practicing), notary public, or a SFC licensed or registered person accredited to another intermediary;

認可的見證人包括昇悅證券僱員/太平紳士/持牌銀行分行經理/律師/執業會計師/執業特許秘書/公證人/隸屬其他中介團體之證監會持牌或註冊人士。

*   No trading will be allowed until all the relevant documents submitted are checked and approved by the Company.

    以上有關文件未經本公司核證及批准前,客戶不可進行任何證券交易。

感謝 客戶的合作及支持。

Thank you for your cooperation and support.

關注昇悅

相關鏈接

昇悅環球資產管理集團

© 2016 by Prior Securities Limited.