Hong Kong Registered Company (For General Investors)
Overseas Registered Company (For General Investors)

Hong Kong Registered Company (For Professional Investors)
Overseas Registered Company (For Professional Investors)
Listed Company Cash Account
Hong Kong Licensed Corporation Cash Account

Y

Y

Y

13. Board Resolution–authorization of account opening and signing related  account opening documents. Authorized Director and related persons as the account controller should be clearly listed. Provide related persons’signature specimen. (If required)

Remarks: If the above authorization document does not indicate the email address of the authorized person, signature verification is required when placing an order/providing related instructions.

Y

Y

Y

Y

Y

Y

Y

21.  Business card of the witness

If the proof documents are copies, “Certified True copy” should be marked with signature, license number and date.  (Not applicable to Original documents) 

According to SFC guidelines, certified witness persons include registered notary, registered accountant, lawyer, president of bank branch and responsible officer(RO).

22. Special documents for trust clients

- Trust deed
- Appropriate register records of the relevant country where the trust was established
- Written confirmation issued by a trustee acting in a professional capacity
- Written confirmation issued by the lawyer who reviewed the relevant documents
- A written confirmation issued by a trust company that belongs to the same financial group as the client, but the client must be managed by the trust company.

9. Professional Investor Assessment Form

Y

14. Board Resolution–authorization of account opening and signing related account opening documents.Authorized Director and related persons as the account controller should be clearly listed.Provide related persons’ signature specimen. (If required)

Remarks: If the above authorization document does not indicate the email address of the authorized person, signature verification is required when placing an order/providing related instructions.

16. Newly established Company: Incorporation Form (NNC1) or (NNC1G) Established more than 1 year Company: the latest Annual Return (NAR1)

Y

19. Shareholder’s ID/ Passport Copy

If the shareholder is an overseas company, please provide following additional documents:

- Register of Members and Register of Directors with address list 
- Shareholders and Directors’ ID/ Passport 
- Certificate of Incorporation
If the shareholder is a Hong Kong company, please provide following additional documents:

- Incorporation Form or Annual Return
- Shareholders and Directors’ ID/ Passport 
- Business Registration Certificate and Certificate of Incorporation 

23.  Business card of the witness

If the proof documents are copies, “Certified True copy” should be marked with signature, license number and date.  (Not applicable to Original documents) 

According to SFC guidelines, certified witness persons include registered notary, registered accountant, lawyer, president of bank branch and responsible officer(RO).

24. Special documents for trust clients

- Trust deed
- Appropriate register records of the relevant country where the trust was established
- Written confirmation issued by a trustee acting in a professional capacity
- Written confirmation issued by the lawyer who reviewed the relevant documents
- A written confirmation issued by a trust company that belongs to the same financial group as the client, but the client must be managed by the trust company.

Y

Y

13. Director’s resolution or same type documents, authorized:
     13.1 Representative of the client (Authorized person)
     13.2 The client opens account in LEADING SECURITIES CO. LTD.

Y

14. List of authorized persons’ signature specimen

Remarks: If the above authorization document does not indicate the email address of the authorized person, signature verification is required when placing an order/providing related instructions.

Y

Y

Y

13. Director’s resolution or same type documents, authorized:
     13.1 Representative of the client (Authorized person)
     13.2 The client opens account in LEADING SECURITIES CO. LTD.

Y

14. List of authorized persons’ signature specimen

Remarks: If the above authorization document does not indicate the email address of the authorized person, signature verification is required when placing an order/providing related instructions.

Y

Overseas Registered Company (General Investors) ︳RAR Files | Account opening checklist︳

10. Professional Investor Assessment Form

□ Part A
Code of Conduct 15.3A(b) Corporate Professional Investor Assessment (Not required if passed in compliance)
     i) Fill in the company's investment objective, and
      ii) Where a prescriptive requirement is required, there is no need to comply with the appropriate requirement
     iii) Provide 9a, 9b documents
□ Customer Statement (P.8)