QUEST STOCKBROKERS (HK) LIMITED 華輝証券有限公司 ACCOUNT OPENING FORM 戶囗開戶表格 Quest Stockbrokers (HK) Limited (CE No. ABF139) is a licensed corporation by Secu

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1 QUEST STOCKBROKERS (HK) LIMITED 華輝証券有限公司 ACCOUNT OPENING FORM 戶囗開戶表格 Quest Stockbrokers (HK) Limited (CE No. ABF139) is a licensed corporation by Securities and Futures Commission for carrying out Type 1 regulated activities in Schedule 5 of the Securities and Futures Ordinance. Quest Stockbrokers (HK) Limited is an exchange participant of The Stock Exchange of Hong Kong Limited 華輝証券有限公司 ( 中央編號 ABF139) 是證券及期貨事務監察委員會發牌的持牌法團, 可經營證券及期貨條例附表 5 第 1 部份中所指第 1 類受規管活動華輝証券有限公司乃是香港聯合交易所有限公司參與者

2 A1. Individual Client/Joint Account 個人帳戶 / 聯名帳戶 Account Number 帳戶號碼口 Individual Client 個人帳戶口 Joint Account 聯名帳戶 Account Type 戶口類別 Password Delivery 密碼送遞 Cash A/C 現金帳戶 E-Trade Service A/C 網上現金帳戶 In person 親自到取 By mail 郵寄 By 電郵 Name 姓名 Main Account Holder (1) 主要戶口持有人 English ( 英文 ) : Chinese ( 中文 ) : Joint Account Holder (2) 聯名戶口持有人 English ( 英文 ) : Chinese ( 中文 ) : HKID/ Passport No. 香港身份証 / 護照號碼 Nationality 國藉 Occupation 職業 Employer Name 僱主名稱 Office Address 辦事處地址 Home Address 住址 Correspondence Address 通訊地址 Telephone No. 電話號碼 Home 住宅電話 : Office 辦事處電話 : Mobile 流動電話 : Home 住宅電話 : Office 辦事處電話 : Mobile 流動電話 : Facsimile No. 傳真號碼 Address 電郵地址 Daily/Monthly Statements to 日 / 月結單送遞至 Home Address 住址 Correspondence Address 通訊地址 Address 電郵地址

3 A2. Corporate Account 公司帳戶 Account Number 帳戶號碼 Account Type 戶口類別 Password Delivery 密碼送遞 Name of Company 公司名稱 Cash A/C 現金帳戶 E-Trade Service A/C 網上現金帳戶 In person 親自到取 By mail 郵寄 By 電郵 English ( 英文 ) : Chinese ( 中文 ) : Nature of Business 業務性質 Date of Incorporation 註冊日期 Place of Incorporation 註冊地點 Certificate of Incorporation No. 公司註冊證書號碼 Business Registration No. 商業登記號碼 Registered Office Address 註冊辦事處地址 Correspondence Address 通訊地址 Authorized Capital 註冊股本 Paid Up Capital 已繳股本 Telephone No. 電話號碼 Facsimile No. 傳真號碼 Address 電郵地址 Daily/Monthly Statements Delivery to 日 / 月結單送遞至 Registered Office Address 註冊辦事處地址 Correspondence Address 通訊地址 Address 電郵地址

4 B. Specimen Authorized Signatures 簽名式樣 Name 姓名 : Signature 簽名 HKID/Passport No.: 身份証 / 護照號碼 Name 姓名 : Signature 簽名 HKID/Passport No.: 身份証 / 護照號碼 Name 姓名 : Signature 簽名 HKID/Passport No.: 身份証 / 護照號碼 Account is to be operated on instruction and signed by: 賬戶操作指示方式及簽名安排 : (For Joint Account or Corporate Account Only) ( 只適用於聯名戶囗或公司戶口 ) Either one of Account Holders All Account Holders 任何一位賬戶持有人所有賬戶持有人 Others, please specified 其他, 請註明 : Specimen of Business Chop/Seal 業務印章式樣 C. Bank Account 銀行戶口 Bank Name 銀行名稱 Bank Account No. 銀行戶口號碼 Account Name 戶口名稱 D. Clients Financial Background 客戶財務狀況 Estimated Annual Income: 估計每年收入 (HK$ 港幣 ): Total Net Worth : 淨資產值 (HK$ 港幣 ): Main Account Holder (1) 主要戶口持有人 < $200,000 $200,001 - $500,000 >$1,000,000 < $500,000 $1,000,001 - $5,000,000 >$5,000,000 Joint Account Holder (2) 聯名戶口持有人 < $200,000 $200,001 - $500,000 >$1,000,000 < $500,000 $1,000,001 - $5,000,000 >$5,000,000

5 E. Clients Investment Experience and Objectives 客戶投資經驗及投資目的 Investment Experience 投資經驗 Products Experience 曾投資的產品 Investment Objectives 投資目標 Estimated Investment 估計投資金額 Main Account Holder (1) 主要戶口持有人 Less than 2 year 少於 2 年 2-5 years 2-5 年 5-10 years 5-10 年 Over 10 years 十年以上 Stock 證券 Future 期貨 Option 期權 Funds 基金 Warrants 認股權證 Others 其他 Growth 增值 Speculation 投機 Hedging 對沖 Other 其他 < $100,000 $100,001 - $500,000 > $1,000,000 F. Investor Characterization 投資者分類 Joint Account Holder (2) 聯名戶口持有人 Less than 2 year 少於 2 年 2-5 years 2-5 年 5-10 years 5-10 年 Over 10 years 十年以上 Stock 證券 Future 期貨 Option 期權 Funds 基金 Warrants 認股權證 Others 其他 Growth 增值 Speculation 投機 Hedging 對沖 Other 其他 < $100,000 $100,001 - $500,000 > $1,000,000 Does the Client wish to purchase derivative products? 客戶是否有意認購衍生產品? Yes 是 If the Client wish to purchase derivative products, please answer the following questions. 若客戶有意認購衍生產品, 請回答以下問題 1. Has the Client ever undergone training or attended courses on derivative products with general knowledge of the nature and risks of derivatives? 客戶是否曾接受有關衍生產品性質和風險的一般知識培訓或修讀相關課程? 2. Is the Client currently or previously working in relation to derivative products? 客戶現時或過去是否從事與衍生產品有關的工作? Yes 是 Yes 是 3. Has the Client traded at least 5 transactions in any derivative product (whether traded on an exchange or not) within the past 3 years? 客戶是否在過去三年曾買賣過至少五次任何衍生產品的交易 ( 不論是否在交易所買賣 )? *Level of Risk Taking* 風險承受水平 *If your attitude towards risk taking is very low, it may not be appropriate for you to trade in warrants, options or other derivative products and other financial products of a high-risk nature. If you have placed orders dealing in the above products, you will be deemed to have adopted a high level of risk-taking. * 若閣下可承受的風險水平為非常低, 閣下則未必適合買賣認股權證期權或其他衍生工具及列為高風險的金融產品若閣下曾經買賣此類產品, 則閣下會被視為可承受高風險 Yes 是 High 高 Medium 中 Low 低 Very Low 非常低

6 G. Settlement Account Information 結算戶口資料 CCASS Account Name & No. (if any) : 中央結算戶口名稱及戶囗號碼 ( 如適用 ) : H. Politically Exposed Person ( PEP ) 政界人士 Main Account Holder(1) 主要戶口持有人 Are you a Politically Exposed Person ( PEP )? 閣下是否政界人士? Yes, please provide details: 是, 請提供該人士之資料 : Joint Account Holder(2) 聯名戶口持有人 Are you a Politically Exposed Person ( PEP )? 閣下是否政界人士? Yes, please provide details: 是, 請提供該人士之資料 : I. Ultimate Beneficial Owner(s) of the Accounts 帳戶的最終實益擁有人 Is the Client ultimately responsible for all instructions for the operation of the Securities Cash Account? 客戶是否最終負責為證券現金賬戶的運作發出一切指示? Yes 是 No, the particulars of the person(s) ultimately responsible for all instructions for the operation of the said Account(s) is/are as follows: 否, 最終負責為上述賬戶的運作發出一切指示的人士的資料如下 : Name 姓名 ID/Passport No. 身份證 / 護照號碼 Address 地址 Contact No. 聯絡電話號碼

7 J. Particulars of Related Accounts 關連的資料 a) Does the Client have any relationship with the director(s) or employee(s) of Quest Stockbrokers (HK) Limited or its associated companies? 客戶是否與華輝証券有限公司或其聯營公司之董事或僱員有任何關係? Yes, please state his / her details: 是, 請填寫該人士之資料 : a) Is the Client a director or an employee or an accredited person of any exchange participant of The Stock Exchange of Hong Kong or any licensed or registered person of the Securities and Futures Commission? 客戶是否香港聯合交易所有限公司之交易所參與者或證券及期貨事務監察委員會之持牌人或註冊人之董事僱員或認可人士? Yes, the Client is a director or any employee or an accredited person of the following exchange participant of The Stock Exchange of Hong Kong or any licensed or registered person of the Securities and Futures Commission: (please provide details) 是, 客戶為以下香港聯合交易所有限公司之交易所參與者或證券及期貨事務監察委員會之持牌人或註冊人之董事僱員或認可人士 : ( 請詳述 )

8 K. Declaration & Acknowledgement 聲明及確認 a) I/We represent that the information on this Client Information Statement is true, complete and correct and that the representations in the attached agreement are accurate. Quest Stockbrokers (HK) Limited ( QSHKL ) is entitled to rely fully on such information and representations for all purpose, unless QSHKL receive notice in writing of any change. QSHKL is authorized at any time to contact anyone, including my/our banks, brokers or any credit agency, for the purpose of verifying the information provided on this Client Information Statement. 本人 / 吾等茲聲明在客戶資料表所提供之資料全部真實完整及正確, 並且所附協議內容皆為正確除非華輝証券有限公司 ( 華輝 ) 接到更改有關本資料表內容的書面通知, 否則華輝有權完全依賴此等資料及聲明作一切用途華輝獲授權可隨時就核對本資料事宜, 與任何人包括本人 / 吾等之銀行經紀或任何信用機構進行諮詢 b) I/We acknowledge that I/we have read, understand & was/were explained the contents of the [Risk Disclosure Statements] as referred to Fourth Schedule in the Cash Account (Securities Trading) Client Agreement. 本人 / 吾等確認本人 / 吾等已閱讀, 明白及全部已被解釋在現金賬戶 ( 證券交易 ) 客戶協議書附件四之 [ 風險披露聲明書 ] 之一切內容 Client s Signature Date 客戶簽署日期 In the presence of 於見證下 : Name of Witness Witness Signature 見證人姓名見證人簽署 CE Number 中央編號 Date 日期 Acknowledged And Accepted By ) For and on behalf of Quest Stockbrokers (HK) Limited ) QUEST STOCKBROKERS (HK) LIMITED 經由華輝証券有限公司 ) 華輝証券有限公司確認及接受 Authorized Signature(s) 授權簽署

9 ***For Official Use Only 只供本行使用 *** Date A/C opened 開戶日期 A/C assigned to 戶口配與 Registered Person s Name 註冊人姓名 Registration Status 註冊身分 CE Number 編號 Commission Rate (%) 佣金 (%) Country 國家 Commission Rate (%) 佣金 (%) Country 國家 Commission Rate (%) 佣金 (%) Hong Kong Market Minimum Commission ($) 最低佣金 ($) Foreign Market Minimum Commission ($) 最低佣金 ($) Minimum Commission ($) 最低佣金 ($) Documentation checked by 文件查閱 Approved by 批核

QUEST STOCKBROKERS (HK) LIMITED 华辉证券有限公司 ACCOUNT OPENING FORM 户囗开户表格 Quest Stockbrokers (HK) Limited (CE No. ABF139) is a licensed corporation by Secu

QUEST STOCKBROKERS (HK) LIMITED 华辉证券有限公司 ACCOUNT OPENING FORM 户囗开户表格 Quest Stockbrokers (HK) Limited (CE No. ABF139) is a licensed corporation by Securities and Futures Commission for carrying out Type