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：

Cash Client's Agreement 現金客戶協議書
Client Information Statement 客户資料表
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：

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 )
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
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
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）
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)
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。)
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.