Useful Forms

Client Agreement Download

 

Documents Checklist for Account Opening

 

Individual Opening Package

 

Corporate Account Opening Package

 

Taiwan Agreement Package

 

Other Service Forms

 

 

 

Required Document
 

 

Individual or Joint Account 

 

Hong Kong Incorporated Corporate Account
 

 

Overseas Incorporated Corporate Account 

 

Professional Investor Account (Individual)

 

Professional Investor Account (Corporate)

 

Institutional Professional Investor Account(P.I.A)

Must Provide

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

 

Client Information Form

 

Y

 

 

Y

 

 

Client Information Form (Corporate Account)

  Y Y   Y Y

W-8BEN / (W-9 where applicable) for US Foreign Account Tax
Compliance Act (“FATCA”)

 

Y

 

 

Y

 

 

Self-Certification Form – Individual (CRS)
 

Y

 

 

Y

 

 

Consent Letter on Northbound China Stock Connect Orders
 

if applicable
 

if

applicable
 

if

applicable

if

applicable
 

if

applicable
 

if

applicable
 

Certified true copies of Identity Card / Passport copy of all account holders
Notes 1

Y

 

 

Y

 

 

Resident address proof of recent 3 months such as utility bill, tax return or bank statement etc.
Notes  2

Y

 

 

Y

 

 

Unlimited Continuing Guarantee

 

Y

Y

 

Y

 

Self-Certification Form – Entity (CRS)

 

Y

Y

 

Y

Y

Self-Certification Form – Controlling Person for each of the controlling person (CRS)

 

Y

Y

 

Y

 

W-8BENE For U.S. Foreign Account Tax Compliance (“FATCA”)
 

 

Y

Y

 

Y

 

Certified true copy of Register of Members and Register of Directors
 

 

Y

Y

 

Y

Y

Certified true copies of Business Registration Certificate
 

 

Y

if applicable
 

 

Y

Y

 

 

Required Document
 

Individual or Joint Account 

Hong Kong Incorporated Corporate Account
 

Overseas Incorporated Corporate Account
 

Professional Investor Account (Individual)
 

Professional Investor Account (Corporate) 

Institutional Professional Investor Account(P.I.A)

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

Certified true copies of Certificate
of Incorporation (or other evidence of due incorporation)

 

Y

Y

 

Y

Y

Certified true copies 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.
Notes 4

 

Y

Y

 

Y

Y

Certified true copies of Ownership structure chart showing details of the ownership and structure control of the corporation
 

 

Y

Y

 

Y

Y

Certified true copies of Memorandum & Articles of Association (or other constitutional documents)
 

 

Y

Y

 

Y

Y

Certified true copies of latest
financial statements , if any
 

 

Y

Y

 

Y

 

Certified true copies of latest statutory records filed with Company Registry (e.g. copy of Annual Return)
 

 

Y

 

 

Y

 

 

 

 

Required Document
 

Individual or Joint Account 

Hong Kong Incorporated Corporate Account
 

Overseas Incorporated Corporate Account
 

Professional Investor Account (Individual) 

Professional Investor Account (Corporate) 

Institutional Professional Investor Account(P.I.A)

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

Certified true Copies of ID/
Passport of the followings:
1) Director 2) Authorized Person(s) 3) Authorized Trader 4)Ultimate originator(s) of all transaction 5) Guarantor
6) Principal Beneficial Owners (holds more than 25% or more ultimate beneficial interest of the client)
 Notes  1

 

Y

Y

 

Y

 

Residential address proof of the followings:
1) Two Directors 2) Two Authorized Traders or Authorized Signatories 3) All ultimate principal beneficial owners (holds 10% or more ultimate beneficial interest of the client) Notes
 2

 

Y

Y

 

Y

 

Certified true copies of ID or passport for the authorities persons or 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 

 

 

 

 

 

Y

 

 

 

 

 

Required Document
 

Individual or Joint Account 

Hong Kong Incorporated Corporate Account
 

Overseas Incorporated Corporate Account
 

Professional Investor Account (Individual) 

Professional Investor Account (Corporate) 

Institutional Professional Investor Account(P.I.A)

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

List of Authorized Signatories and Authorized Traders with Specimen Signature
 

 

 

 

 

 

Y

Client Identity Disclosure Undertaking
 

 

 

 

 

 

Y

Assessment of Client Institution’s Anti-Money Laundering and Counter-Terrorist Controls (for overseas financial institutions and
funds) 

 

 

 

 

 

Y

W-8IMY For U.S. Foreign Account Tax Compliance (“FATCA”)
 

 

 

 

 

 

Y

Standing Settlement Instruction
 

 

 

 

 

 

Y

Address proof of principal business office or place of business of recent 3 months, if any 

 

Y

Y

 

Y

Y

Application form for being treated as Professional Investor (provide asset proof is need)
 

 

 

 

Y

Y

 

The following supporting documents must be Certified by third party professional (e.g.
Licensed or Registered person, Lawyer, accountant):
Register of director(s) & member(s) or Certificate of Incumbency / Good Standing 

 

 

Y

 

 

 

 

 

 

 

Required Document
 

Individual or Joint Account 

Hong Kong Incorporated Corporate Account
 

Overseas Incorporated Corporate Account
 

Professional Investor Account (Individual)

Professional Investor Account (Corporate)

Institutional Professional Investor Account(P.I.A)

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

Acknowledgement for Investment in Taiwan Securities, Declaration for Taiwan Securities Trading and Risk Disclosure Statement and General Authorization Agreement for Day Trades of Securities 

 

if applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

Standing Authority (Client Money)
 

if applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

Notes 註 解

  1. For non-permanent residents or non-residents: Certified true copy of the valid ID card / passport (should include the nationality)
  2. P.O. Box and Business card will NOT be accepted as address proof 
  3. Major shareholder is defined as parties or individuals that hold the ultimate beneficial interest, or holding more than 25% or more voting rights of the company. 
  4. 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 ELS and / or the Terms and Conditions for Futures and Options Trading of ELFL, Customer Information Statement and specifying authorized personnel(s) to sign documents or place order on behalf of the company with relevant signatures specimen. 
  5. Certification is only effective when it is signed off by third party professional (e.g. Licensed or Registered person, Lawyer, accountant). 
  6. The Company may, as the case may be, require additional documentation or refuse to open an account. 

 

 

 

Required Document
 

Individual or Joint Account 

Hong Kong Incorporated Corporate Account
 

Overseas Incorporated Corporate Account
 

Professional Investor Account (Individual)

Professional Investor Account (Corporate)

Institutional Professional Investor Account(P.I.A)

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must Provide
 

Must

Provide
 

Monthly Stocks Plan 

 

if applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

if

applicable
 

Notes

  1. "Monthly Stocks Plan" is only available to the securities cash account of Ever-Long Securities Company Limited.