Type of Account

Any customer is welcome to open either an Individual/Joint Account or Corporate account. There are three types of account that are available:

• Cash Trading Account (account prefix 'A')
• Trust Account (account prefix 'P')
• Margin Trading Account (account prefix 'M')

When a Cash Trading account is opened, a Trust Account will also automatically be opened at the Company. The purpose of the Trust Account is to safeguard the client's money in a separate protected bank account whenever the client's credit balance is not collected by the client from the Company within 4 trading days. However, clients with an outstanding balance must settle on time: T+2 (two trading days after the day of transaction); otherwise the outstanding balance will be subject to an annual interest charge equivalent to the current Hongkong Bank's Prime plus 3% calculated on a daily basis.

Although Margin Trading accounts are not encouraged by the Company, under very special circumstances the Company will permit the opening of such an account after stringent credit checks. Nevertheless, a Cash Trading account must still be opened and approved before hand. For all intents and purposes, margin trading will be provided by Hani Securities as permitted under the relevant rules of the Stock Exchange of Hong Kong and the relevant ordinances of the Securities Ordinance. Interest will be charged on any outstanding amount at an annual rate of the current Hongkong Bank's Prime plus 3% calculated on a daily basis.

Provide Documents

Individual/Joint Account

• Copy of Passport or Hong Kong Identity Card of each person authorised to operate the account;
• Proof of address, e.g. bank statement, property tax demand, gas/electric bills;
• A witness is required to confirm your signature and identity, usually that witness would be our Account Executive. However, other witnesses such as a doctor, dentist, lawyer, Justice of Peace, or similar person of professional standing are also acceptable.

Corporate Account

• Certified copy of the Business Registration;
• Certified copy of the Certificate of Incorporation;
• Certified copy of the Memorandum and Article of Association;
• Certified copy of Form D1-Notification of First Secretary and Director, D3-Consent to act as Director or Alternate Director, AR-Annual Return;
• Certified copy of Hong Kong Identity Card or Passport of each person authorised to operate the account;
• Certified copy of Company Minutes confirming the opening of the account and authorised person(s);
• Proof of address of Company’s place of business, such as utilities bills, telephone bills, etc.

Fill in Forms

The enclosed Agreements are in the format and languages stipulated by the Stock Exchange of Hong Kong; however, there may be variations. You MUST READ and FULLY UNDERSTAND these Agreements before signing such documents.

Moreover, the forms are designed to suit different accounts. You may find that many of the clauses in the Agreements are repeated, this is normal, and you still have to complete all the forms if you wish to trade in all securities listed in Hong Kong.

Cash Client Account
Please complete and fill in the listing forms and sign the Specimen Signature of the Authorised Person.

	Peronal Information Form	Download
	Uniform Cash Client's Agreement	Download
	Client Disclaimer	Download
	Account Opening Questionnaire	Download
	Risk Disclosure Statement (GEM)	Download
	Delivery versus Payment Authorization Letter	Download
	Internet Trading Agreement (Hong Kong Stock Market and Cash Trading Only) - OPTIONAL	Download
	All-in-one	Download
	Individual/Joint Account Instruction	Download
	Corporate Accounts Instruction	Download

Margin Client Account
Please complete and fill in the listing forms and sign the Specimen Signature of the Authorised Person.

	Peronal Information Form	Download
	Uniform Cash Client's Agreement	Download
	Client Disclaimer	Download
	Account Opening Questionnaire	Download
	Risk Disclosure Statement (GEM)	Download
	Delivery versus Payment Authorization Letter	Download
	Uniform Margin Client's Agreement	Download
	Authorisation Letter From Margin Clients	Download
	Margin Client Loan Limit Application Form	Download
	Risk Undertaking Letter	Download
	Internet Trading Agreement (Hong Kong Stock Market and Cash Trading Only) - OPTIONAL	Download
	All-in-one	Download