Name | |
Tel. | |
PromotionCode | |
Main Account Holder Joint Account Holder 1 Joint Account Holder 2 Joint Account Holder 3 |
Gender | |||||||
Name in English | |||||||
Name in Chinese | |||||||
Residential Addresss | |||||||
My Residence is | |||||||
Date of Birth: | / / | ||||||
Country of Birth | |||||||
Nationality | |||||||
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Education Level | |||||||
Are you a foreign tax resident? | |||||||
Marital Status | |||||||
Relationship with Main |
Employer | I am |
Nature of Business | |
Position | |
Year of service with Employer | |
Business Address | |
Phone No. | - |
Fax No. | - |
Email Address |
Select the most appropriate one | |
Investment Objective | |
Investment Experience | Less than 1 year | 1 Year | |||
Equities / Debentures | |||||
Warrant/Stock Options/Futures | |||||
Forex | |||||
Precious metals (e.g. Gold) | |||||
Mutual Funds / Unit Trust | |||||
Hedge Funds | |||||
Structured Investment Products | |||||
Fixed Income Securities (e.g. Bonds) | |||||
Others | |||||
Level of risk taking | |
Annual Income (HKD) | |
Liquid Asset (HKD) | |
Expected source of funding |
Other Accounts | |||||||||||||
Account Name Account No. | |||||||||||||
Trading Authorization Will the account be traded by other person(s) on your behalf? | |||||||||||||
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I/We confirm that we are/are not/I am/am not related to any of your directors, officers or employees. | |||||||||||||
Please state: Name Name | |||||||||||||
I confirmed that we are/are not related to the senior management or director or management shareholder or controlling shareholders of any listed company whose shares are traded on any exchange including Hong Kong. | |||||||||||||
Please state: Name Name | |||||||||||||
I confirmed that I am/am not an employee or consultant of a member of the Hong Kong Exchange and Clearing Limited / Licenced Securities/Futures Dealer. | |||||||||||||
Name of Member / Securities / Futures Dealer Please provide your employer consent letter. | |||||||||||||
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Information of an individual margin client with related margin client (for margin account only) | |
If you are married, please state whether your spouse has opened related margin account with UOB Kay Hian (Hong Kong) Limited. | |
Name of spouse Account No. | |
Are you alone in control of 35% or more of the voting rights of related margin account opened with UOB Kay Hian (Hong Kong) Limited? | |
Please provide related margin account number and name of account holder: Name of account holder Account No. | |
Are you with your spouse together in control of 35% or more of the voting rights of related margin account opened with UOB Kay Hian (Hong Kong) Limited? | |
Please provide related margin account number and name of account holder: Name of account holder Account No. |
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Details of the applicant’s bank account for payment of money (if any) by “UOB” to the applicant (The bank account’s beneficiary must have the same name as the account holder of this account) | |||||||||||||
Name of Banker | |||||||||||||
Account No. |
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You have entered the following: | |
Name in English: Name in Chinese: Gender: Residential Address: The residence is Date of Birth: Country of Birth: Nationality: US Tax No: HKID No.: Passport No. & Country of Issue: Marital Status: Employer: Employment: Nature of Business: Position: Year of service with Employer: Business Address:
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Banking Information Details of the applicant's bank account for payment of money (if any) by “UOB” to the applicant Name of Banker: Account No.: Others Receive statement through
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Please proceed if the above information is correct. If not, please modify the incorrect items in the previous pages. |
Terms and Conditions - For equities (cash & margin), stock options & internet trading | |
Terms and Conditions - Futures | |
By checking this checkboxes, I/We hereby confirm and acknowledge that I/we have read and understood the "Information to Account Holders pursuant to the Personal Data (Privacy) Ordinance" before finishing this Client Information statement. I/We represent that the contents and information provided by me/us in this Client Information Statement are true, complete and correct and that the representations made by me/us herein are accurate. You may or are entitled to rely entirely upon such contents information and representations for all purpose, unless you receive notice in writing from me/us of any change thereof. I/We hereby undertake to notify you in writing forthwith upon any material change(s) in the information provided herein. You are further and hereby authorized at any time to contact any person or persons, including my/our banks, brokers, advisers or any credit agency, for or relating to the purpose of verifying the information provided by me/us in this Client Information Statement. | |
I/We have read the Risk Acceptance Statement and have been fully explained to me/us. I/We fully understand all such contents and agree to be bound by them. I/We hereby confirm and further acknowledge that it was invited to read the Risk Acceptance Statement, ask questions and take independent advice, if I/we wished. I/We confirm receipt of Cash /Margin Client Agreement, Terms & Condition | |
I/we confirm that, until such time as you received further notice from me/us to the contrary,every sell order I/we (whether as principal or agent) ask you to execute on the Stock Exchangeof Hong Kong Limited will be a "long" sales, meaning that I/we will never give you as sell orderunless, at the time of the order, I/we either (i) own the shares that are the subject of the sell order,or (ii) have already exercised an ADR, TraHK unit, physically-settled share call option or othersimilar instrument convertible into the shares to be delivered to the purchasers. I/we understandthat until such time as you receive this declaration, and if any time I/we give you written noticethat this declaration is no longer to have any effect, you are obliged under Section 171 of theSecurities and Futures Ordinance (Cap.571) of Hong Kong to seek my/our verbal and writtenconfirmation that any short sales are covered and that, to the extent that any cover is a stockborrowing arrangement with a stock lender, the stock lender has the shares available to lend ordeliver to me/us. |
I Advertising and Promotion | ||
1. Have you noticed UOB's advertisements in the channels below? (You may select more than one) | ||
(You may select more than one) | ||
Online Platforms | Transportation | Other Media |
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2. Have you visited UOB Kay Hian's website? |
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3. Have you participated in any seminars/ courses held by UOB Kay Hian? |
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II Reading Habits | ||
Which platform do you visit most often to obtain finance or investment information? | ||
(You may select more than one) | ||
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III From which avenue(s) do you know about UOB Kay Hian? | ||
(You may select more than one) | ||
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Your application is going to be completed, please download and sign the Client Information Statement. | |
Come to our head office and sign the application form personally. Please bring along: 1. HKID card or photocopy of Passport 2. Proof of home address within last 3 months (e.g. utilities or telephone bills, bank statements, etc.) 3. Consent letter from your employer if you work in a licensed corporation | |
Please mail to us with the following supporting document. 1. Application form with signature 2. Photocopy of Identity Card or Passport 3. Proof of home address within last 3 months (e.g. utilities or telephone bills, bank statements, etc.) 4. A cheque payable to “UOB Kay Hian (Hong Kong) Limited” for a minimum of HKD$10,000. The cheque should bear your name as shown in your Hong Kong ID card(s) or Passport(s) drawn on your account with a Hong Kong licensed bank and identical signature to that on the Application Form. 5. Consent letter from your employer if you work in a licensed corporation |
Applicant Name: | |
Email: | |
Contact: | |
Branch: | |
First Choice: | |
Second Choice: |
Thank you for opening account with us. Below is your application details: | ||||||||||||||||||
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