New Client

A new client can open an account in person at any branches of CITIC Securites 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
ProfessionaI
lnvestor
Account
Individual/
Joint Name
Account
Corporate
Account
Institutional
ProfessionaI
lnvestor
Account
Account Opening Forms            
Customer Information Statement(Individual / Joint) v     v    
Customer Information Statement(Corporate)   v     v  
Customer Information Statement (Professional Investor - Institutional)     v     v
Client Consent Letter v     v    
* Account Opening (non face to face) Covering Correspondence Include in account opening form v v Include in account opening form v v
Acknowledgement of Disclaimer
(for CITIC Securities Futures (HK) Ltd. only)
v v   v v  
Annual Standing Authority
(for CITIC Securities Futures (HK) Ltd. only)
v v   v v  
W-8 Form
(For US market only)
v v v v v v
Personal Guarantee / Company Guarantee from ultimate Beneficiary
(Guarantors are subject to approval of CITIC Securities Responsible Officer, please contact our sales representative for details)
  v     v  
Appointment of Process Agent
(For (a) Margin account and Futures account without HK address, or (b) Custodian / DVP account without HK address and trading limit >=HK$5M)
      v v  
CRS & FATCA Addendum to T&C Include in account opening form v Include in account opening form v v
CRS Self Certification - Individual Include in account opening form     Include in account opening form    
CRS Self Certification - Controlling Person   v     v  
CRS Self Certification - Entity   v  v   v v
Risk Profile Questionnaire Include in account opening form v   Include in account opening form v  
Disclosure of Additional Information
(For margin accounts only)
Include in account opening form v Include in account opening form v  v

* For all non face to face account opening, apart from normal account opening procedures, clients are required to sign * Account Opening (non face to face) Covering Correspondence to confirm that they received, read and understood the (a) Terms and Conditions for Securities Trading of CITIC Securites Brokerage (HK) Limited and / or the Terms and Conditions for Futures and Options Trading of CITIC Securities Futures (HK) Limited (as the case may be), including the risk disclosure statement therein, and any Addendum if applicable.

Terms & Conditions and Privacy Policy Statement
Securities Trading (Professional Investor – Institutional)     v     v
Securities Trading / Margin Financing v v    v v  
Privacy Policy Statement v v v v v v
Addendum in relation to the Fund Transactions v v v v v v
Addendum in relation to Bond Transactions v v v v v v
Addendum in relation to Structured Note Transactions v v v v v v
Addendum in relation to SPAC Transactions v v v v v v
Addendum for Omnibus Client v v v v v v
Futures & Options Trading v v    v v  
Supplementary Terms and Conditions for Global Futures Products (For Global Futures Trading only) v v    v v  
Options Trading Addendum to the Terms and Conditions for Securities Trading (For HK stock options trading only) v v v v v v
Terms & Conditions for Margin Financing (Regulated PI)     v     v
Addendum in relation to China Connect v v v v v v
Supplementary Terms and Conditions for SGX Derivatives Market Direct Feed (For Global Future Trading only) v v v v v v
eDDA Terms and Conditions v (not applicable to joint account)          
Addendum in relation to OTC Derivative Transactions (applicable for the OTC derivative transactions between the Customer and CLSA Global Markets Pte. Ltd only) v v   v v  
  Hong Kong Overseas
  Individual/
Joint Name
Account
Corporate
Account
Institutional
ProfessionaI
lnvestor
Account
Individual/
Joint Name
Account
Corporate
Account
Institutional
ProfessionaI
lnvestor
Account
Supporting Document            
Copy of Hong Kong Identity Card of Client and Ultimate Beneficial Owner(s)          
Copy of Local Residential Identity Card / Passport of Client and Ultimate Beneficial Owner(s)       v    
Proof of Address within 3 months of Client and Ultimate Beneficial Owner(s) v     v    
Bank Statement Copy v     v    
Copy of Business Registration Certificate and Certificate of Incorporation or equivalent   v   v v
Specimen Signature List   v v   v v
Third Party Authorization with ID copy of Authorized Person(s) v v v  v v v
Annual Client Instruction (Payment to third party)   v      v  
Proof of Address Within 3 Months   v      
Copy of List of all Directors   v      
Copy of ID Card / Passport of all Directors, Authorized Persons & Substantial Shareholders [1]        
Copy of Memorandum & Articles of Association & Other Constitutional Documents        v  
Certified Copy of Board Resolutions [2]        v  
Copy of ID card / Passport of all signing officers Certified copy of Register of Members or equivalent document   v      
If the shareholder of the client is a company, obtain the ID copy and residential address proof (within 3 months) of individual who is the ultimate principal beneficial owner of the customer    v      
Standing Settlement Instruction (Auto Transfer) OR Client Standing Settlement bank Account    v      
Certified [3] true copy of Certificate of Incumbency and Certificate of Good Standing issued by the registered agent within the past 6 months (applicable to overseas corporations) Certified Copy of Board Resolution authorizing the opening of securities accounts, execution of the account opening documents, and specifying authorized personnel(s) to sign documents or place order on behalf of the company with relevant specimen signature.          v  
Certified Copy of Board Resolution authorizing the opening of securities accounts, execution of the account opening documents, and specifying authorized personnel(s) to sign documents or place order on behalf of the company with relevant specimen signature.     v     v
Letter issued by the client’s independent department such as human resources, audit or compliance confirming the identities and authorities of the persons to sign account documents and perform actions stated in the authorized signatory list     v     v
Assessment of Client Institution’s Anti-Money Laundering and Counter-Terrorist Controls (for overseas financial institutions and funds)     v     v
Standing Settlement Instruction     v     v
Latest Audited Accounts     v     v

Notes

  1. Major shareholder is defined as parties or individuals that hold the ultimate beneficial interest, or holding 10% or more voting rights of the company.
  2. Board resolutions or minutes of meeting confirming the account type (cash or margin), authorizing the execution of the Terms and Conditions for Securities Trading of CITIC Securites Brokerage (HK) Limited and / or the Terms and Conditions for Futures and Options Trading of CITIC Securites Futures (HK) Limited, Customer Information Statement and specifying authorized personnel(s) to sign documents or place order on behalf of the company with relevant signatures specimen.
  3. Certification is only effective when it is signed off by third party professional (e.g. lawyer, accountant).

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