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Brokerage

New Client

A new client can open an account in person at any branches of CITIC Securities Brokerage (HK) Limited. In addition to completing account-opening forms, the following basic supporting documents are generally required:

  Hong Kong Overseas
  Individual / Joint Name Account Corporate Account Institutional Professional Investor Account Individual / Joint Name Account Corporate Account Institutional Professional Investor Account
Account Opening Forms
Customer Information Statement(Individual)   v   v v  
Customer Information Statement(Corporatel)   v v, Note (1) v v v, Note (1)
Customer Information Statement (Professional Investor - Institutional)     v     v
Specimen Signature v v v v v v
Guarantee & Idemnity   v     v  
Client Standing Settlement Bank Account (Optional) v v   v v  
Internet Trade Instruction v v   v v  
Appointment of Process Agent
or
Notification of Hong Kong Address for Consensual Services (For Custodian / DVP account without HK address and trading limit >=HK$5M)		       v v  
Acknowledgement of Disclaimer
(for CITIC Securities Futures (HK) Ltd. only)		 v v v, Note (1) v v v, Note (1)
Annual Standing Authority
(for CITIC Securities Futures (HK) Ltd. only)		 v v v, Note (1) v v v, Note (1)
 
Terms & Conditions and Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
Securities Trading (Professional Investor – Institutional)     v     v
Securities Trading / Margin Financing v v   v v  
Futures & Options Trading v v v, Note (1) v v v, Note (1)
Addendum to the T&C for Securities Trading (DMA)     v     v
 
Supporting Document - Note (2)
Certified Copy of Hong Kong Identity Card v          
Certified Copy of Local Identity Card / Passport       v    
Certified Copy of ID Card / Passport of at least 3 Directors, Authorized Persons & Major Shareholders (Major shareholder is defined as parties or individuals that hold the ultimate beneficial interest, or holding 10% or more voting rights of the firm.)   v v   v v
Proof of Address within 3 months (e.g. utility bills, bank statements) v v   v v  
Copy of passbook or bank account statement
(For client with standing settlement bank account)		 v v   v v  
Certified Copy of Business Registration Certificate   v v   v v
Certified Copy of Certificate of Incorporation   v v   v v
Certified Copy of Memorandum & Articles of Association & Other Constitutional Documents   v     v  
Certified Copy of Board Resolution or Minutes of the Meeting approving the opening of account type (cash or margin) with CITIC Securities Brokerage (HK) Ltd. and/or CITIC Securities Futures (HK) Ltd., authorizing the execution of the Customer Trading Agreement and the Account opening documents, and specifying authorized personnel(s) to sign documents and place order on behalf of the firm with relevant signatures specimen.   v v   v v
Certified Copy of Register of Directors   v     v  
Certified Copy of Register of Members (applicable for private and unlisted company)   v     v  
Certified Copy of Certificate of Good Standing (applicable for BVI or private company)   v     v  
Client Standing Settlement Instruction     v     v
Certified Copy of proof of documents showing details of existing directors and shareholders of the firm     v     v
Proof of Financial Status v v   v v  
Certified Copy of proof of evidence showing Customer being qualified as a Institutional Professional Investor as defined under the Securities and Futures Ordinance.     v     v

Notes

1. For Instutitional Professional Investors that would like to open a futures account.

2. Photocopies of corporate documents submitted for account opening purposes should be certified as true copy by the firm's director or an independent third party (e.g. qualified accountant, lawyer)

The above-listed application forms are also available in hard copies from any of our branches.

Existing Client Applying for Internet Trading Facility

Fill in the " Internet Trade Instruction " form

The above-listed application forms are also available in hard copies from any of our branches.

You will not be able to trade through Internet if you do not have sufficient available funds and/or stocks in your securities account.

Internet trading facility is not yet provided for margin clients.

If you cannot open the above forms, please go to the following website to download a free copy of Acrobat Reader (Chinese version):
http://www.chinese-t.adobe.com/products/acrobat/readstep.html

Login Account and Change Internet Trading Password

You will be informed of the Internet trading password via selected channel as stated in the Internet Trading Application Form within 5 working days after the application has been received.

You are required to change your trading password the first time you access your account via Internet. If you are not asked to do so, or if you encounter any problems in changing your password, please contact your designated Account Executive / Salesperson.

If you have forgotten your password, please fill in the " Internet Trade Instruction " form and submit it to any of our branches. A new password will be reissued within 5 working days.

Settlement

Fund Deposit / Withdrawal

  1. Fund Deposit

    Bill Payment

    Fund deposits can also be made through the electronic bill payment services of HSBC or Hang Seng Bank. If you use the bill payment services for the first time, you need to pre-register the 10-digit securities / futures account number with the banks.

    Non-Bill Payment

    If the deposit is not made through bill payment service, please mark your name and securities / futures account number on the bank pay-in slip , fax it to our branches to serve as evidence of your payment, and inform your designated Account Executive / Salespersons for acknowledgement.

    You may deposit funds into the following bank accounts of CITIC Securities Brokerage (HK) Limited [for Securities Account] or CITIC Securities Futures (HK) Ltd [for Futures Account] directly:

      CITIC Securities Brokerage (HK) Limited CITIC Securities Futures (HK) Limited
    CITIC Bank International694-2-20555-9-00694-2-34736-1-00
    Bank of China012-881-000-5134-7012-881-000-5329-1
    HSBC502-132301-001502-341332-002
    Hang Seng Bank388-806085-001388-741134-001

    Deposit cut-off time

    Fund deposit made available at our bank account after 5:00 p.m. will be validated on the next trading day.

    For enquiry, please contact your designated Account Executive / Salesperson for details.

  2. Fund Withdrawal

    Please submit fund withdrawal instruction to your designated Account Executive /Salesperson.

Stock Deposit / Withdrawal

  1. Physical Stock Deposit

    Deliver the physical stock to CITIC Securities Brokerage (HK) Limited Main Branch in person and
    fill in the " Client Instruction " form.

    Physical stocks deposited into your account are subject to acceptance by the Central Clearing and Settlement System (CCASS) and/or the Share Registrar.

  2. Physical Stock Withdrawal

    Fill in the " Client Instruction " form

    Collect and confirm the receipt of physical stock in person at CITIC Securities Brokerage (HK) Limited Main Branch upon notification.

  3. Book Transfer

    Stock transfer from other broker/custodian

    Fill in the "CCASS Settlement Instruction / Investor Settlement Instruction Form".

    Stocks will be deposited into your account once the stock is received from your broker/custodian through CCASS.

    Transfer to other broker/custodian

    Fill in the "CCASS Settlement Instruction / Investor Settlement Instruction Form" .

    Stocks will be withdrawn from your account for transfer to your broker/custodian through CCASS.

Services Charges

Please refer to " General Services Fees & Transaction Charges " table.

 
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