Part 1 - Personal Information
Title*
Gender
Name(Chi)*
Name(Eng)*
Identification Document*
HKID
PRCID
Passport (Issue Country )
Others (Please specify)
Identification Document No.*
Nationality*
Date of Birth (YYYY-MM-DD)*
E-mail*
Mobile*
Home Tel.
Fax
Residential Address*
Flat/Floor/Building
Estate/Street
District
City
Country
Postal Address Same As Above
Postal Address
Flat/Floor/Building
Estate/Street
District
City
Country
Communication Method (For issuance of Daily / Monthly Statement)*
E-mail
Post ( Post to Correspondence Address with administration fee of $50 per statement + Postage)
Language*
Part 2 - Taxation and FATCA Self-certification
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
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)
FATCA Status:
Are you a citizen (US passport holder) or resident (green card holder) of the United States?
No
Yes
Part 3 - Education Level / Employment Status
Education Level*
Employment Status*
Name of Employer*
Office Address*
Flat/Floor/Building
Estate/Street
District
City
Country
Office Tel.*
Position*
Industry*
Year(s) of Employment*
Part 4 - Bank Details ( For Fund Withdrawal Only )
Currency* HKD
Name of Bank*
Account Name* Account No.*
Part 5 - Financial Position and Investment Experience
Annual Income (HKD)*
Source of Income* (Can select one or more item(s))
Salary
Business Profit
Rental Income
Retirement Fund
Other (Please Specify)
Other Asset:* (Can select one or more item(s))
Cash/Deposit
Securities
Property
Vehicles
Others (Please specify)
Total Net Worth (HKD)*
Others
Investment Objectives* (Can select one or more item(s))
Dividend Income
Capital Appreciation
Speculation
Hedging
Others
Products Invested* (Can select one or more item(s))
Securities
Callable Bull/Bear Contracts (CBBC)
Derivative Warrants
Exchange Traded Funds (ETF)
Futures & Options
Bonds
Funds
Others (Please specify)
Investment Experience*
Part 6 - Risk Tolerance and Client Investment Interest
Risk Tolerance*
(Select one item only)
Aggressive
Moderate
Conservative
Client Investment Interest* Please tick the below product(s) if you have interest in trading of
Derivative Warrants/ CBBC
ETF / Trust
Growth Enterprise Market (GEM)
Main Board
Shanghai Connect Stock
Shenzhen Connect Stock
Grey Market
Part 7 - Client’s Knowledge of Derivatives and Trading Experience
My knowledge of derivative products are as followed*
I have undergone training or attended courses on derivative products (Please provide certificate or related supporting documents)
Name of Courses / Seminars:
Organizer:
Yr of Participation:
I have current or previous work experience related to derivative products (Please provide job proof: reference letter or name card etc.)
Name of employer:
Position:
I have executed five or more transactions in derivative products within the past three years
Product(s) invested:
CBBC
Derivative Warrants
ETF
Others
I do NOT have any knowledge of derivative products.
Part 8 - Disclosure of Identity*
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?
No
Yes
2. Are you a relative of any director/employee/representative of Aristo Securities Limited?
No
Yes
3. Are you a substantial shareholder* / director / senior management officer of any (listed) company whose shares are traded on any exchange or market?
No
Yes
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?
No
Yes
Part 9 - Anti-Money Laundering And Anti-Terrorist Financing Questionnaire
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:
Yes
No, please elaborate below:
2. Do you live in a place with established laws / regulations designed to prevent money laundering?
Yes
No, please elaborate below:
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.)
Yes
No, please elaborate below:
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.)
Yes
No, please elaborate below:
5. Have you maintained a “no conviction record” for anti-money laundering or anti-terrorist financing legislation?
Yes
No, please elaborate below:
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.
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?
Yes
No, please elaborate below:
7. In the company you work for, are there documented procedures for reporting suspicious activities and transactions to the appropriate authorities?
Yes
No, please elaborate below:
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?
Yes
No, please elaborate below:
Part 10 - Automatic Exchange of Financial Account Information (“AEOI”)
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.
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 am the account holder OR
I am authorized to sign for the account holder.


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).
Part 11 - FATCA Self-Certification (Individual)
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.
Part 12 - Personal Information Collection - Northbound China Connect Orders
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.
Part 13 - 首次公開招股股票 - 暗盤下單條款
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。
Part 14 - Acknowledgement and Declaration by Client
1.
I, who sign this Account Opening Form, agree to open the above account(s) with Aristo Securities Limited.
2.
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.
3.
I am not a bankrupt person and I am not aware of any legal proceedings which have been started against me for bankruptcy.
4.
I am not a citizen (US passport holder) or resident (green card holder) of the United States.
5.
I have read, and sought independent advice if needed, the following Agreements and Statements set out in the Terms and Conditions of the Client Account Agreement.
(i) Securities Cash Trading Agreement and / or Securities Margin Trading Agreement
(ii) AEOI Compliance
(iii) Margin Policies (For Margin Trading Account only
(iv) Application for New Listing of Securities
(v) Risk Disclosure Statement and/or Additional Risk Disclosure Statement - Margin Account
(vi) 首次公開招股股票–暗盤下單條款(IN CHINESE ONLY)
(vii) Disclosure of Specific Risk Relating To Shanghai-Hong Kong / Shenzhen-Hong Kong Stock Connect
(viii) Personal Information Collection Statement Concerning Northbound China Connect Orders
(ix) Personal Information Collection Statement
(x) Electronic Securities Trading Services Agreement
6.
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 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.
7.
I understand that Aristo Securities Limited will rely on the above information to assess whether I have acquired the knowledge of derivative products.
8.
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.
9.
I undertake to notify Aristo Securities Limited within 30 days if any change of the above information.
10.
(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.
*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.
I do not agree with the provision, use and transfer of my personal data for direct marketing purposes.
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