Account Opening

New Client

Please fill the below form and we will send the Account Opening form to you directly.
  1. Last Name
  2. First Name
  3. Gender
  4. Address
  5. Address2
  6. Email
  7. Telephone
  8. Mobile

A new client can open an account in person at any branches of CITIC Securities 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 Professional Investor Account Individual / Joint Name Account Corporate Account Institutional Professional Investor 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
* Account Opening (non face to face) Covering Correspondence
v v v v 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-8BEN Form
(For US Securities or Global Futures Trading only)
v v v v v v
Personal Guarantee / Company Guarantee from ultimate Beneficiary
(Guarantors are subject to approval of CITIC Securities Responsible Officer)
  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 v  
Questionnaire Regarding The Foreign Account Tax Compliance Act ("FATCA") of United States and Self-Certification for Individual Clients
v     v    
FATCA Addendum to T&C
  v v   v v
FATCA Self-Certification for Entity
  v v   v v
W8 Ben E
  v v   v v
Instruction for W8
  v v   v v
CRS Self Certification - Individual
v     v    
CRS Self Certification - Controlling Person
  v v   v v
CRS Self Certification - Entity
  v v   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 CSBHK and / or the Terms and Conditions for Futures and Options Trading of CSFHK (as the case may be), including the risk disclosure statement therein, and any Addendum if applicable.
 
Terms & Conditions and Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
Securities Trading (Professional Investor – Institutional)     v     v
Securities Trading / Margin Financing v v   v v  
Addendum to the Terms and Conditions for Securities Trading 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  
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
 
  Hong Kong Overseas
  Individual / Joint Name Account Corporate Account Institutional Professional Investor Account Individual / Joint Name Account Corporate Account Institutional Professional Investor Account
Supporting Document
Copy of Hong Kong Identity Card of Client and Ultimate Beneficial Owner(s) v          
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 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     v  
Copy of List of all Directors   v     v  
Copy of ID Card / Passport of all Directors, Authorized Persons & Substantial Shareholders[1]   v     v  
Copy of Memorandum & Articles of Association & Other Constitutional Documents   v     v  
Certified Copy of Board Resolutions[2]   v     v  
Copy of ID card / Passport of all signing officers   v     v  
Certified copy of Register of Members or equivalent document   v     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     v  
Standing Settlement Instruction (Auto Transfer) OR Client Standing Settlement bank Account   v     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)         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 CSBHK and / or the Terms and Conditions for Futures and Options Trading of CSFHK, 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.

Existing Client Applying for Internet Trading Facility


Fill in the requested form as follows:


Securities Trading: "
Internet Trade Instruction "


Futures and Options Trading: " Futures & Options Internet Trading Request Form "


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

You will not be able to trade through Internet if you do not have sufficient available funds and/or stocks in your securities account.

Internet trading facility is not yet provided for margin clients.

If you cannot open the above forms, please go to the following website to download a free copy of Acrobat Reader (Chinese version):
http://www.chinese-t.adobe.com/products/acrobat/readstep.html

Login Account and Change Internet Trading Password

You will be informed of the Internet trading password via selected channel as stated in the Internet Trading Application Form within 5 working days after the application has been received.

You are required to change your trading password the first time you access your account via Internet. If you are not asked to do so, or if you encounter any problems in changing your password, please contact your designated Account Executive / Salesperson.

If you have forgotten your password, please fill in the " Internet Trade Instruction " form [for Securities Account] or " Futures & Options Internet Trading Request Form " [for Futures Account] and submit it to any of our branches. A new password will be reissued within 5 working days.

Settlement

Fund Deposit / Withdrawal

  1. Fund Deposit

    Bill Payment

    Fund deposits can also be made through the electronic bill payment services of HSBC or Hang Seng Bank. If you use the bill payment services for the first time, you need to pre-register the 10-digit securities / futures account number with the banks.

    Non-Bill Payment

    If the deposit is not made through bill payment service, please mark your name and securities / futures account number on the bank pay-in slip , fax it to our branches to serve as evidence of your payment, and inform your designated Account Executive / Salespersons for acknowledgement.

    You may deposit funds into the following bank accounts of CITIC Securities Brokerage (HK) Limited [for Securities Account] or CITIC Securities Futures (HK) Ltd [for Futures Account] directly:

      CITIC Securities Brokerage (HK) Limited CITIC Securities Futures (HK) Limited
    China CITIC Bank International694-2-20555-9-00694-2-34736-1-00
    Bank of China012-881-000-5134-7012-881-000-5329-1
    HSBC502-132301-001502-341332-002
    Hang Seng Bank388-806085-001388-741134-001

    Deposit cut-off time

    Fund deposit made available at our bank account after 5:00 p.m. will be validated on the next trading day. (For Hong Kong Securities and Futures trading only)

    For enquiry, please contact your designated Account Executive / Salesperson for details.

  2. Fund Withdrawal

    With immediate effect, a new bank transfer service is launched. Please click here or contact your Account Executive/Sales for more information.

Stock Deposit / Withdrawal

  1. Physical Stock Deposit

    Deliver the physical stock to CITIC Securities Brokerage (HK) Limited Main Branch in person and
    fill in the " Client Instruction " form.

    Physical stocks deposited into your account are subject to acceptance by the Central Clearing and Settlement System (CCASS) and/or the Share Registrar.

  2. Physical Stock Withdrawal

    Fill in the " Client Instruction " form

    Collect and confirm the receipt of physical stock in person at CITIC Securities Brokerage (HK) Limited Main Branch upon notification.

  3. Book Transfer

    Stock transfer from other broker/custodian

    Fill in the "CCASS Settlement Instruction / Investor Settlement Instruction Form".

    Stocks will be deposited into your account once the stock is received from your broker/custodian through CCASS.

    Transfer to other broker/custodian

    Fill in the "CCASS Settlement Instruction / Investor Settlement Instruction Form" .

    Stocks will be withdrawn from your account for transfer to your broker/custodian through CCASS.

Services Charges

Please refer to " General Services Fees & Transaction Charges " table.