Forms & Documents

Form

Account
Opening

Account Opening Form (Individual or joint account)

Individual/Joint Account Opening Form
Individual CIN Agreement
Meaning of terms and expressions used in Self-Certification Forms

Standing Authority (Client Money)
Self-Certification Form - Individual PDF Online Form
Client Risk Profile Questionnaire

Corporate

Corporate CIN Agreement
Resolution for Corporate Account
Self-Certification Form - Entity
Meaning of terms and expressions used in Self-Certification Forms

Corporate Account Opening Form
Guarantee
Self-Certification Form - Controlling Person

Customer Manual

Hong Kong Securities Trading Policy
China B Shares Trading Policy
Derivatives Trading Policy

Margin Trading Policy
US Stocks Trading Policy

T&C & Risk Disclosure

Client Trading Master Document-Terms & Conditions Version 15 – 2020/07
Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect Terms and Conditions
Risk Disclosure Statement for Derivative Products

Settlement
Form

Cash Settlement

Client Withdrawal Instruction

Cancel Fund Withdrawal Instruction

Stock Settlement

Physical Scrip Withdrawal / Stock Internal Transfer Form

Renouncing Share Form
Standard Investor Settlement Instruction (ISI) Form
Multi-Counter Transfer Instruction MCTI Form

Authorization Letter for Collecting Physical Scrip
Securities Settlement Instruction (SI) /Investor Settlement Instruction (ISI) Form
Foreign Securities Settlement Instruction (SI)

Entitlement & Corporate action

Stock Segregated Account Application Form
Proxy / Corporation Representative Appointment Form
Cash Offer Form
Subscription and Exercise Form
Authorization Letter for Privatization Claims

Corporate Communication Form
General Meeting Voting Form
Dividend Election Form
Authorization Letter for Dividend Claims

TIPS Form

Investment Plan Options
Asset Management Discretionary Account Form

Change of Asset Management Thematic Investment Plan (10 sectors)
Termination of Discretionary Management Service

General Form

Change information

Change of Personal Information
Change Of Client Name, ID or Passport No., or Signature
Change of Corporate Information
E-Statement Registration

Change Of Business Name, Director(s), Shareholder(s) or Authorized Person(s)
Change of Account Details
Change of Financial Status and Investment Objective & Experience

Authorisation Form

Power of Attorney
Authorization for Collecting Gifts

Authorization for Collecting Passwords

Application Form

Guarantee
Auto Bank-In Settlement Instruction
W8 Form
SMS Service Application Form
E-Alert Application Form
Request for Reissuing Password or Deposit Card
Application for Real Time Quote Service Plan
Termination of Real Time Quote Service Plan
Processing of Personal Data as part of the Stock Connect Northbound Trading

Retrieving Statements Form
Interactive Voice Responses System (IVRS) Service
Investment Profile for Client of Discretionary Account
Using Professional Trading Platform and/or API Connection (“The Service”)
Investor Characterization Survey PDF Online Survey
Application for Real Time Quote Service Plan (Mainland)
Application for Real Time Quote Service Plan (Overseas Market)

Reactivate/Close

Closure of Client Account(s) - Individual
Revocation Notice
Reactivation of Dormant Account

Closure of Client Account(s) - Company
Reactivate the Suppressed Interactive Voice Responses System _IVRS_ Service or SP Advanced Version Trading Platform

Declaration

Trading of Growth Enterprise Market GEM Securities

Declaration of Related Margin Financing Accounts

Customers Suggestion

Customers Suggestion Form

Related Information

Account Opening	Fund & Stock Deposit/Withdrawal
Fees & Commissions	Contact Us

FAQ

Account Opening

Securities Account （HK Market）

CNY-denominated securities

Customer Service

Hong Kong：(852) 2663 8888

Mainland：(86) 400 6088 498

(Weekdays 09：00 - 18：00)