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Account Type
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Title*
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Gender
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Name(Chi)*
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Name(Eng)*
Surname
Other Name
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Identification Document*
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Identification Document No.*
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Nationality*
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Date of Birth (YYYY-MM-DD)*
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E-mail*
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Mobile*
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Home Tel.
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Fax
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Residential Address*
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Communication Method (For issuance of Daily / Monthly Statement)*
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Language*
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Education Level*
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Employment Status*
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Name of Employer*
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Office Address*
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Office Tel.*
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Position*
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Industry*
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Year(s) of Employment*
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Currency*
HKD
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Name of Bank*
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Account Name*
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Account No.*
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Annual Income (HKD)*
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Source of Income*
(Can select one or more item(s))
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Other Asset:*
(Can select one or more item(s))
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Total Net Worth (HKD)*
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Investment Objectives*
(Can select one or more item(s))
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Products Invested*
(Can select one or more item(s))
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Investment Experience*
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Estimated Investment Amount (HKD)*
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Risk Tolerance*
(Select one item only)
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Client Investment Interest*
Please tick the below product(s) if you have interest in trading of
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Acknowledgement and Consent
I hereby acknowledge I have read and understand the content of the Personal Information Collection Statement Concerning Northbound China Connect Orders of the Client Account Agreement. By ticking the box below, I signify my consent for Aristo Securities Limited to use my personal data on the terms of and for the purposes set out in the Personal Information Collection Statement Concerning Northbound China Connect Orders of the Client Account Agreement.
I agree that Aristo Securities Limited use of my personal data for the purposes set out in the Personal Information Collection Statement Concerning Northbound China Connect Orders of the Client Account Agreement.
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確認和同意
本人在此確認已閱讀並理解《客戶賬戶協議書》所載的首次公開招股股票 - 暗盤下單條款的內容。本人表示同意首次公開招股股票 - 暗盤下單條款中 的條款並受其約束。
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My knowledge of derivative products are as followed*
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1. Are you an employee or a licensed or registered person under the Securities and Futures Ordinance or a registered institution under the Banking Ordinance?
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2. Are you a relative of any director/employee/representative of Aristo Securities Limited?
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3. Are you a substantial shareholder* / director / senior management officer of any (listed) company whose shares are traded on any exchange or market?
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4. Do you and/or your spouse, partner, child, parent, spouse or partner of your child, or your close associate entrust and has ever entrusted with a prominent public function, which includes a head of state, head of government, judicial or military official, and an important political party official?
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Is your spouse a margin client of Aristo Securities Limited?
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Are you, either alone or with your spouse, in control of 35% or more of the voting rights of any corporate margin account of Aristo Securities Limited?
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“Group of Related Margin Client” as defined in FRR: (a) where it is a group of two margin clients, one is the spouse of the other; (b) where one or more of the margin clients are corporations, one is in control, either alone or with his/her spouse, of 35% or more of the voting rights of that other margin client or each of the other margin clients; or (c) where the margin clients are corporations, they are members of the same group of companies.
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Automatic Exchange of Financial Account Information: Please indicating the jurisdiction of residence (including Hong Kong) where the account holder is a resident for tax purposes and the account holder’s Taxpayer Identification Number (“TIN”) for each jurisdiction indicated. Please indicate all (not restricted to three) jurisdictions of residence in the following table.
*If the account holder is a tax resident of Hong Kong, the TIN is the Hong Kong Identity Card Number. If a TIN is unavailable, provide the appropriate reason.
| Jurisdiction Of Residence |
TIN |
Enter Reason A, B or C if no TIN is available |
Explain why the account holder is unable to obtain a TIN if you have selected Reason B |
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Reason A - The jurisdiction where the account holder is a resident for tax purposes does not issue TINs to its residents.
Reason B - The account holder is unable to obtain a TIN. Explain why the account holder is unable to obtain a TIN if you have selected this reason.
Reason C - TIN is not required. Select this reason only if the authorities of the jurisdiction of residence do not require the TIN to be disclosed.
(Please refer to and COMPLETE Part 11)
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Important Notes:
- This is a self-certification form provided by an account holder to a reporting financial institution for the purpose of automatic exchange of financial account information. The data collected may be transmitted by the reporting financial institution to the Inland Revenue Department for transfer to the tax authority of another jurisdiction.
- An account holder should report all changes in his/her tax residency status to the reporting financial institution.
- If space provided is insufficient, continue on additional sheet(s). Client’s personal information including but not limited to the name, city and country of residence, date of birth, jurisdiction of residence and taxpayer identification number or its functional equivalent (“TIN”) are required to be reported by the reporting financial institution to the Inland Revenue Department.
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DECLARATIONS 聲明*
I acknowledge and agree that (a) the information contained in this form is collected and may be kept by the financial institution for the purpose of automatic exchange of financial account information, and (b) such information and information regarding the account holder and any reportable account(s) may be reported by the financial institution to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region and exchanged with the tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes, pursuant to the legal provisions for exchange of financial account information provided under the Inland Revenue Ordinance (Cap.112).
Of all the account(s) to which this form relates, I certify that:
I undertake to advice Aristo Securities Limited of any change in circumstances which affects the tax residency status of myself or causes the information contained herein to become incorrect, and to provide Aristo Securities Limited with a suitably updated self- certification form within 30 days of such change in circumstances.
I declare that the information given and statements made are, to the best of my knowledge and belief, true, correct and complete.
WARNING: It is an offence under section 80(2E) of the Inland Revenue Ordinance if any person, in making a self-certification, makes a statement that is misleading, false or incorrect in a material particular AND knows, or is reckless as to whether, the statement is misleading, false or incorrect in a material particular. A person who commits the offence is liable on conviction to a fine at level 3 (i.e. $10,000).
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FATCA Status:*
Are you a citizen (US passport holder) or resident (green card holder) of the United States?
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CERTIFICATION*
I hereby consent for Aristo Securities Limited to disclose, report or share my relevant information with local and overseas regulators or tax authorities where necessary to establish my tax liability in any jurisdiction. I declare that I have examined the information on this self- certification and to the best of my knowledge and belief, it is true, correct and complete. I will inform your company within 30 days if any information herein becomes incorrect.
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1. Are you a citizen of a place which is a member of the Financial Action Task Force (“FATF”)? (Members of FATF include: Argentina, Australia, Austria, Belgium, Brazil, Canada, China, Denmark, Finland, France, Germany, Greece, Hong Kong, Iceland, India, Ireland, Italy, Japan, South Korea, Luxembourg, Malaysia, Mexico, Netherlands, New Zealand, Norway, Portugal, Russian Federation, Singapore, South Africa, Spain, Sweden, Switzerland, Turkey, United Kingdom, USA, European Commission, and the Gulf Cooperation Council)
Updated List for the Members of FATF:*
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2. Do you live in a place with established laws / regulations designed to prevent money laundering?*
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3. Are you free from links with politically exposed persons? (Politically exposed person:individual who is or has been entrusted with prominent public function, e.g. head of state/government, senior politician, senior executive of government-owned corporation, important political party official, etc.)*
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4. Is the nature of your job not particularly susceptible to money laundering risk? (For example: not money changer or casino business that handles large amount of cash etc.)*
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5. Have you maintained a “no conviction record” for anti-money laundering or anti-terrorist financing legislation?*
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For client who works in a company with business involving the handling of third party assets (e.g. fund manager, stockbrokers), please answer the following questions.
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6. Has the company you work for (including foreign branches and subsidiaries, if any) established written policies and implemented internal procedures and controls to combat money laundering?
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7. In the company you work for, are there documented procedures for reporting suspicious activities and transactions to the appropriate authorities?
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8. In the company you work for, are there established policies and procedures to ensure that reasonable measures are taken to obtain information about the true identity of your customers, and are these records retained for a specified period of time?
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| 1. |
Standing Authority under the Securities and Futures (Client Securities) Rules
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| 2. |
This letter of authority covers the securities or securities collateral received or held by you on my behalf. Unless otherwise defined, all the terms used in this Authorization Letter shall have the same meanings as defined in the Securities and Futures Ordinance and the Securities and Futures (Client Securities) Rules as amended from time to time.
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I authorize you, Aristo Securities Limited, to:
1apply any of my securities or securities collateral pursuant to a securities borrowing and lending agreement;
2deposit any of my securities collateral with an authorized financial institution as defined in the Banking Ordinance (Cap. 155 of the Laws of Hong Kong) as collateral for financial accommodation provided to you; or
3deposit any of my securities collateral with:
(i) a recognized clearing house; or
(ii) another intermediary licensed or registered for dealing in securities,
as collateral for the discharge and satisfaction of your settlement obligations and liabilities.
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You may execute any of the above actions without giving me notice.
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Those securities and securities collateral shall be dealt with according to the laws and regulations of the relevant jurisdiction where they are received or held.
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The authority given in this Authorization Letter does not cover any consideration which I may pay or be paid for the lending or borrowing of securities by you. Such consideration shall be set by a separate agreement between us.
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You are accountable to me for the return of equivalent securities deposited under this authority after full repayment by me of all my outstanding loans under the facility.
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I understand that a third party may have a lien or charge on my securities or securities collateral, which you must satisfy before my securities or securities collateral can be returned to me.
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I are aware that there is risk if I provide you with an authority that allows you to apply my securities or securities collateral pursuant to a securities borrowing and lending agreement, repledge my securities collateral for financial accommodation or deposit my securities collateral as collateral for the discharge and satisfaction of your settlement obligations and liabilities.
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I acknowledge and agree that the authority shall be valid for maximum of 12 months and will expire at the end of 12 months from the date of this Authorization Letter or 31st December of each year, whichever is earlier. I understand that the authority shall be deemed to be renewed for subsequent periods of 12 months on a continuing basis without my written consent if you give me a written reminder at least 14 days prior to the expiry date and I do not object to such deemed renewal before the expiry date. I understand that I may revoke this authority by giving you at least five trading days’ prior written notice. However, you may, in your absolute discretion, treat the revocation notice as having immediate effect upon your receipt.
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*I confirm that I have read and understood the contents of the above Authorization Letter and agreed to be bound by its terms.
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I, who sign this Account Opening Form, agree to open the above account(s) with Aristo Securities Limited.
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I am the ultimate and sole beneficial owner of the Account and is fully responsible for all instructions for the operation of the said Account.
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I am not a bankrupt person and I am not aware of any legal proceedings which have been started against me for bankruptcy.
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I am not a citizen (US passport holder) or resident (green card holder) of the United States.
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I confirm that the information in this Form is true, complete and correct, and I have read and fully understood all provisions in the Terms and Conditions of the Client Account Agreement, and sought independent advice if needed, and accept and agree to be bound thereby. Aristo Securities Limited reserves the right to cancel my application at any time if the information given in the application is found to be untrue. Aristo Securities Limited are entitled to rely fully on such information for all purposes, unless Aristo Securities Limited receives notice in writing of any changes.
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I understand that Aristo Securities Limited will rely on the above information to assess whether I have acquired the knowledge of derivative products.
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If I am categorized as "without knowledge of derivatives", I further acknowledge that I have carefully read the relevant risks associated with investing in derivative products of the Risk Disclosure Statement in the Client Account Agreement and fully understood the relevant risks herewith. Although I might not have relevant derivatives product(s) trading experience, I may still base on my own independent judgement to request for entering into transaction(s) of derivatives product(s) and would take all risks associated.
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I undertake to notify Aristo Securities Limited within 30 days if any change of the above information.
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(For Cash Account) I confirm that the Risk Disclosure Statement, in or accompanying the Client Account Agreement have been provided in a language of my choice (English or Chinese) and that I have read and accepted the nature and contents thereof. I appreciate that they are not and cannot be taken as a comprehensive or exhaustive list of all possible risks. I confirm that I have been given the opportunity to ask questions and seek independent advice if I so wish.
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(For Margin Accounts Only ) I declare the Risk Disclosure Statements (including any additional risk disclosure statements) in or accompanying the Client Account Agreement, have been provided in the my choice of language (English or Chinese) and that I have been invited to read the Risk Disclosure Statements, to ask questions and if the I wish, to take independent advice and I hereby agree to be bound by the Agreement including the Terms and Conditions (including Letter of Authorization in Part 14) as the same may be amended from time to time. The additional risk disclosure statements include but not limited to risks related to Derivatives traded on the Exchange and Margin Financing.
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I acknowledge this Form is part of the Client Account Agreement and I agree to read the most updated provision of the Client Account Agreement from the company web-site https://www.aristo.hk and understand the most updated provision of the Client Account Agreement will be posted from time-to-time in the company web-site.
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If there is a discrepancy between English and Chinese version of the Account Opening Form, the English version shall prevail.
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*I have read, accepted and agreed the above terms stated in the Declaration by Client. If any of the terms stated in the declaration is not applicable, I will complete and return the to Aristo Securities Limited.
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I do not agree with the provision, use and transfer of my personal data for direct marketing purposes.
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Clear
Submit
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