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1 Documents for Account Opening in Macau Macau Incorporated Company (Limited Liability Company by Quotas; Sole Shareholder Limited Liability Company; Joint-Stock Company; General Partnership; Limited Partnership; and Limited Partnership by Shares) Note: a. Copies of all documents submitted should be true copies certified by a certified public accountant / lawyer / banker / notary public in a Financial Action Task Force (FATF) member / comparable jurisdiction acceptable to HSBC or by a member of the Hong Kong Institute of Chartered Secretaries (HKICS) or by an officer of any HSBC Branch.. If original documents are not in Portuguese or Chinese or English language, an English translation of the same should also be provided. (Certification format: Certifier s signature with Certifier s position, registration number (if any) and official stamp should be placed on the first page of the copy document. Certifier must state that it is True Copy of Original Document (or words to similar effect) with date and the number of pages to be recorded or Macau Notary Certificate). b. The number of directors or Authorized Signatories as appointed under the resolution (item 7 below) or as appointed under the Mandate (item 11 below) or the number of directors as needed to bind the Company according to its Articles of Association (item 1 below) need to be present for the account opening. 1. Business Registration Certificate of the company with Articles of Association -Certidão Do Registo Comercial com Estatutos - issued by the Macau Commercial Registry within 1 month. Deed of Incorporation (if applicable) 2. Industrial Tax CONTRIBUICAO INDUSTRIAL Declaracao De Inicio De Actividade /Alteracoes(Form M1) 3. Proof of payment of Industrial Tax - CONTRIBUICAO INDUSTRIAL Conhecimento de cobranca (Form M/8) issued within 12 month - if entity has been registered in Macau over 1 year 4. If an offshore company is set up in Macau, approval from Macau Trade and Investment Promotion Institute is required. 5. Document required from ALL Directors, ALL Authorised Signatories, ALL Beneficial Owners, two Key Controllers and ALL Direct Appointees : - Identification Document - Former Name/Alias Proof (If there is a former name/alias) - Nationality Proof e.g. Passport copies (if the individual is not a Macau or Hong Kong permanent Identity Card holder) - Habitual Residential Address Proof (e.g. Utility bill issued within 3 months, bank statement issued within 3 months by Financial Institutions in a FATF member / comparable jurisdiction acceptable to HSBC, valid driving license, National identity card with address, and other proof acceptable to HSBC) - Permanent Address Proof (If the individual is not a Macau or Hong Kong Permanent Identity Card holder and have a permanent address different from residential address) 6. Information required from ALL Directors, ALL Authorised Signatories, ALL Beneficial Owners and All Key Controllers and ALL Direct Appointees: - Full name - ID type and Number - Date of Birth 7. A resolution of the directors, the board of directors, the general meeting of shareholders or of the sole shareholder, if and as appropriate, or the Mandate (item 11 below) approving to open account(s) and determining the rules of operation of the newly opened account(s) 8. Latest 3 months Bank Statement / Letter of introduction from a bank or introducer (if applicable) Page 頁次 1/4

2 9. Latest 3 years Financial Report (if applicable) 10. a) FATCA Declaration for Active Non-Financial Foreign Entities; or b) W-series Form (For further information, please refer to our websitewww.fatca.hsbc.com.) 11. Mandate, Business Customer Account Opening Form, Business Account Opening Form - Supplementary Information and Signature Cards 12. For company with corporate shareholders: Ownership structure chart showing the company name, % shareholding, the country of incorporation, the country of business address of each Intermediate Owner up to the Beneficial Owners of the company and specifying the issuance of bearer shares in the chain of ownership (including the company, all Intermediate Owners and Beneficial Owners), certified by director. Indicate if there are family members among the Beneficial Owners and the family's total collective % shareholding, if applicable If Beneficial Owners of your Company is a Trust: i. Trust Deed or by reference to an appropriate register in the relevant country of establishment or, a written confirmation from a trustee acting in a professional capacity or, a written confirmation from a lawyer who has reviewed the relevant instrument with the following details: a) name of the trust b) date of establishment/settlement c) jurisdiction whose laws govern the arrangement, as set out in the trust instrument d) identification number (if any) granted by any applicable official bodies (e.g. tax identification number or registered charity or non-profit organization number) e) identification information of trustee(s): - individual trustee: Full name, Date of birth, Nationality, Identification document type and number - corporate trustee: Full name, Date and Country of incorporation, Registration or Incorporation number, Registered office address in the country of incorporation and Business address if different from the registered office address f) identification information of settlor(s) and any protector(s) or enforcer(s) g) identification information of known beneficiaries ii. Identification proof and residential address proof of Beneficial Owners in relation to a trust iii. Identification proof of trustee(s): - individual trustee: Identification document and nationality proof - corporate trustee established in Hong Kong: Company Search Report issued within 6 months - corporate trustee established overseas: Company Search Report / Certificate of Incumbency / comparable documents issued within 6 months For company with nominee shareholders Director Declaration (DD) with details of ultimate beneficial owners. 13. For direct Principal Shareholders which are corporate entities, the following copies of documents are to be submitted by these entities: i. Official document(s) listing current directors such as Business Registration Certificate / Company Search Report / Company Particulars Search / Certificate of Incumbency (COI) with Certificate of Good Standing issued within 6 months or comparable documents; or Director Declaration (DD) with Certification Letter (from a certified public accountant / lawyer of a FATF member / comparable jurisdiction acceptable to HSBC) certifying that information contained in the DD is correct and accurate. ii. Memorandum and Articles of Association 14. For Directors or Authorised Signatories which are corporate entities, the following copies of documents are to be submitted by these entities: i. Specimen signatures ii. Company registration documents of the entities or comparable documents Page 頁次 2/4

3 iii. Official document(s) listing current directors such as Company Search Report / Company Particulars Search / Certificate of Incumbency (COI) with Certificate of Good Standing issued within 6 months or comparable documents; or iv. Director Declaration (DD) with Certification Letter (from a certified public accountant / lawyer of a FATF member / comparable jurisdiction acceptable to HSBC) certifying that information contained in the DD is correct and accurate. v. Document items (6) listed above from ALL directors and ALL authorised signatories of the entities. 15. For Key Controllers which are corporate entities, the following copy of document is to be submitted by these entities: i. Company registration document showing the company name and country of incorporation. 16. Initial Deposit (Each account must maintain a monthly balance of MOP/HKD 200,000 or equivalent) For details of our Tariff, please send an inquiry to:[email protected] Important Note: a) Apart from documents listed above, the bank may require submission of updated/additional information from time to time before or after the account is opened. In case of regulatory / legislation and related requirements, the Bank may require submission of documents such as Business Plan, Business Proof (e.g. invoice/sales contract etc.) and Bank Reference Letter etc. Failure to do so may result in the Bank s inability to provide the requested banking service. b) Documents submitted will be subject to the review and approval of the Bank. The Bank has the sole and absolute discretion in deciding whether to accept your account opening application and reserves the right to decline any account opening request without providing any reason. Documents submitted will not be returned irrespective of whether the account is eventually opened. Definition: Limited Liability Company by Quotasis a sociedade por quotas Sole Shareholder Limited Liability Companyis a sociedade unipessoal por quotas Joint-Stock Company is a sociedade anónima General Partnership is a sociedade em nome colectivo Limited Partnership is a sociedade em comandita simples Limited Partnership by Sharesis a sociedade em comandita por acções Page 頁次 3/4

4 Beneficial Owner: 1. In relation to a corporation (if fulfils any of the following criteria): means an individual who, owns or controls, directly or indirectly, including through a trust or bearer shares holding, not less than 10% of the issued share capital of the corporation; or is directly or indirectly, entitled to exercise or control the exercise of not less than 10% of the voting rights at general meetings of the corporation; or exercises ultimate control over the management of corporation; or if the corporation is acting on behalf of another person, means the other persons. 2. In relation to a trust (if fulfils any of the following criteria): means an individual who, is entitled to a vested interest in not less than 10% of the capital of the trust property, whether the interest is in possession or in the remainder or reversion and whether it is defeasible or not; or the settler of the trust; or a protector or enforcer of the trust; or an individual who has ultimate control over the trust. Intermediate Owner: Intermediate Owner is an entity or legal arrangement (e.g. Trust, Foundation etc.) that sits between the entity and the Ultimate Beneficial Owner in the ownership structure. Key Controller: Key Controller is an individual appointed to exercise direct control over the entity, by participating in the governance or senior / executive activities of the business. Key Controller typically sets the strategic direction of the entity and exercises control jointly with other directors or senior executives. It can be a corporate entity. Key Controllers include: Chief Executive Officer (CEO) / Managing Director Chairman of the Audit / Remuneration / Risk Committee Chief Financial Officer (CFO) / Head of Finance Authorised Signatory with sole signing authority Chief Operating Officer (COO) / Head of Operations Nominee Managing Partner Powers of Attorney Chairman / Deputy Chairman of the Board Authorized Signatory or Direct Appointee: Authorized Signatory or Direct Appointee is an individual authorised under an executed instrument of the entity to act on its behalf with respect to the banking relationship, and to appoint authorised signatories or delegate authority to others to represent the business in limited circumstances, e.g. the Company secretary. Authorized Signatory or Direct Appointee is typically appointed by Key Controllers, or the resolution of the Board of Directors or of the general meeting of the Shareholders or by the Mandate. It can be a corporate entity. Page 頁次 4/4

5 澳門開戶文件 - 在澳門成立之有限公司 ( 有限公司 ; 一人有限公司 ; 股份有限公司 ; 無限公司 ; 一般兩合公司及股份兩合公司 ) 注意 : a. 所有提交本行的文件副本必須經在由本行認可的打擊清洗黑錢財務行動特別組織成員或相應國家的執業會計師 / 律師 / 往來銀行 / 公司註冊代理人 / 精算師 / 公司秘書服務供應商 / 公證人或香港特許秘書公會會員或任何滙豐分行主管簽證為真確的副本如文件正本乃非葡文或中文或英文語言, 須另外提交英文翻譯文本 ( 簽證格式 : 簽證人應在文件副本首頁填寫簽證人職位, 登記號碼 ( 如有 ), 簽署及蓋上正式印章, 並標明頁數和日期或澳門公證員證明書及註明 : 附上文件為真確的副本或相近意思的句子 ) b. 辦理開戶手續時, 董事或按決議被指派 ( 第 7 項 ) 或按委託書委派 ( 第 11 項 ) 之授權薟署人或根據公司章程對公司具約束之董事 ( 第 1 項 ) 須出席 1. 由澳門商業及動產登記局最近一個月內所發出具公司章程之商業登記證明公司成立契約 ( 如適用 ) 2. 營業稅 - 開業申報表 / 更改申報表 (M/1) 3. 最近 12 月內的營業稅繳納憑單 (M/8) - 若該商號在澳門註冊已超過 1 年 4. 如為設立於澳門之離岸公司, 須由澳門貿易投資促進局發出之離岸服務許可證 5. 由所有董事所有授權簽署人所有實益擁有人兩名主要管理人和所有受任人須提供下列文件 : - 身份證明文件 - 前用姓名 / 別名證明 ( 如有前用姓名 / 別名 ) - 國籍證明, 例如護照副本 ( 如該人士非持有澳門或香港永久性居民身份證 ) - 常居地址證明 ( 例如 : 最近三個月的公用事業帳單由本行認可的打擊清洗黑錢財務行動特別組織成員或相應國家的財務機構發出最近三個月的銀行月結單在效的駕駛執照國民身份證連地址及其他本行認可文件 ) - 永久住址證明 ( 如該人士非持有澳門 / 香港永久性居民身份證及擁有永久住址但與住宅地址不同 ) 6. 由所有董事所有授權簽署人所有實益擁有人及所有主要管理人和所有受任人須提供之資料 : - 全名 - 證件類型及編號 - 出生日期 7. 行政管理機關成員董事會股東大會或獨一股東之決議或委託書 ( 第 11 項 ), 視乎情況表明開設帳戶, 並確定新開賬戶的操作規則 8. 最近三個月之銀行月結單 / 銀行或其他介紹人之介紹信 ( 如適用 ) 9. 最近三年的財務報告 ( 如適用 ) 10. a) 活躍非金融外國實體 FATCA 聲明 ; 或 b) W-series Form ( 如需更詳細資料, 請參閱本行的網頁 : Page 頁次 1/4

6 11. 委託書商業客戶開戶表格商業開戶表格 - 補充客戶資料附頁及印鑑卡 12. 如股東為一間公司股權架構圖顯示每家中介控股公司的公司名稱其擁有公司股份的股權份數註冊國家營業地址的國家及實益擁有人, 並註明各層股權架構中已發行的不記名股票別 ( 包括開戶公司所有中介控股公司及實益擁有人 ), 並由董事認證另表明實益擁有人是否家庭成員及其家族的集體股權份數, 如適用如最終實益擁有人為信託基金 i. 信託契約或參照在有關成立國家的合適登記冊或從以專業身份行事的受託人的書面確認或由已審閱相關文件的律師確認以下細節 : a) 信託名稱 b) 成立 / 結算日期 c) 信託文書所載的司法管轄區, 有關安排受該司法管轄區的法律監管 d) 任何官方機構授予的識別號碼 ( 如有 )( 例如報稅識別號碼慈善或非牟利團體登記號碼 ) e) 受託人的身份證明資料 - 個人受託人 : 全名出生日期國籍身份證種類及號碼 - 公司受託人 : 公司名稱註冊日期及國家登記或註冊號碼註冊公司地址 ( 於註冊國家 ) 及營業地址 ( 如與註冊公司地址不同 ) f) 財產授予人及任何保護人或執行人的身份證明資料 g) 已知受益人身份證明資料 ii. 就信託而言的實益擁有人的身份證明文件及住宅地址證明 iii. 受託人的身份證明文件 : - 個人受託人 : 身份證明文件及國籍證明 - 香港成立的公司受託人 : 由公司註冊處於最近六個月發出認可的查冊 - 海外成立的公司受託人 : 由公司註冊處於最近六個月發出認可的查冊 / 由公司註冊代理人於最近六個月發出的董事股東證明書 / 相應文件如公司的股東為代理人的身份董事聲明書說明最終實益擁有人的資料 13. 如直接主要股東為一間公司, 則該公司須提交下列文件 : i. 法定文件 ( 例如最近六個月發出的商業登記證明 / 公司查冊 / 查冊公司資料 / 連同存續証明之董事在職證明 ) 詳列現任董事的資料 ; 或董事聲明並附上由本行認可的打擊洗黑錢財務行動特別組織成員或相應國家的執業會計師 / 律師發出的證明信, 確認該董事證明書的內容屬實 ii. 設立文件及公司章程 14. 如董事或授權簽署人為一間公司, 則該公司須提交下列文件 : i. 簽名樣式 ii. 公司登記文件或相應文件 iii. 法定文件 ( 例如最近六個月發出的公司查冊 / 查冊公司資料 / 董事股東證明書或相應文件 ) 詳列現任董事的資料 ; 或 iv. 董事證明書並附上由本行認可的打擊洗黑錢財務行動特別組織成員或相應國家的執業會計師 / 律師發出的證明信, 確認該董事證明書的內容屬實 v. 所有董事及所有授權簽署人提供上列第 5 項的文件 15. 如主要管理人為一間公司, 則該公司須提交下列文件副本 : i. 公司登記文件顯示公司名稱及註冊國家 Page 頁次 2/4

7 16. 開戶存款 ( 每帳戶每月平均結餘澳門幣 / 港幣 200,000 元或其等值的外幣 ) 如需本行收費表的詳細資料, 請電郵咨詢 :[email protected] 重要通知 : a) 除上述文件外, 本行有權在戶口開立前或開立後要求客戶更新資料如因監管 / 法規要求, 本行在需要時可要求下列文件 : 有關之業務計劃, 業務證明 ( 如發票, 買賣合同等 ), 銀行證明書等如戶口持有人未能向本行提供有關資料, 可能會導致本行無法繼續提供該等服務 b) 所提交之文件將受本行審查及核准對閣下開戶申請之接受與否, 本行具專有及絕對之自由裁量權, 且保留不接受開戶申請的權利並毋須提供任何理由無論賬戶成功開立與否, 所提交之文件將不被退還定義 : Limited Liability Company by Quotas 意指有限公司 Sole Shareholder Limited Liability Company 意指一人有限公司 Joint-Stock Company 意指股份有限公司 General Partnership 意指無限公司 Limited Partnership 意指一股兩合公司 Limited Partnership by Shares 意指股份兩合公司實益擁有人 : 1. 就法團而言指符合以下任何一項說明的個人 : 直接或間接地擁有或控制 ( 包括透過信託或持票人股份持有 ) 該法團己發行股本的不少於 10%; 或直接或間接地有權行使在該法團的成員大會上的投票權的不少於 10%; 或支配該比重的投票權的行使 ; 或行使對該法團的管理最終的控制權 ; 或 ( 如該法團是代表另一人行事 ) 指該另一個人 2. 就信託而言指符合以下任何一項說明的個人 : 有權享有信託財產的資本的既得權益的不少於 10% 的任何人, 而不論該人是享有該權益的管有權, 剩餘權或復歸權, 亦不論該權益是否可以廢除 ; 或該信託的財產授予人 ; 或該信託的保護人或執行人 ; 或對該信託擁有最終的控制權的個人中介控股公司 : 中介控股公司是指在股權加構中, 處於公司和最終實益擁有人之間的控股公司或法律安排 ( 如信託基金基金會等 ) Page 頁次 3/4

8 主要管理人 : 主要管理人是指被委任參與公司的管理或高級行政架構, 對業務行使直接決策權的人士主要管理人一般會制定公司的策略方針, 並與其他董事或高級行政人員共同管理及決策公司的營運主要管理人可為一間法人團體主要管理人包括: 行攻總裁 / 總經理審核 / 薪酬 / 風險委員會主席財務總監可發出單一簽署指示的授權簽署人營運總監代理人執行合夥人受權人董事會主席 / 副主席授權簽署人或受任人 : 授權簽署人或受任人據公司簽立的文書獲授權處理銀行事項的人士, 並有權委任授權簽署人受任人也可在附加限制下, 授予權限予其他人, 如公司秘書授權簽署人或受任人一般是獲主要管理人董事會或股東大會決議或委託書所委派其可為法人團體 Page 頁次 4/4

- Director/Shareholder/Beneficial Owner Declaration (DD) issued within 6 months detailing particulars of the Directors and *Principal Shareholders and

- Director/Shareholder/Beneficial Owner Declaration (DD) issued within 6 months detailing particulars of the Directors and *Principal Shareholders and Documents for Account Opening in Macau Limited Company established in Hong Kong Note: a. Copies of all documents submitted should be true copies certified by a certified public accountant / lawyer / banker