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 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 华辉证券有限公司 ( 中央编号 ABF139) 是证券及期货事务监察委员会发牌的持牌法团, 可经营证券及期货条例附表 5 第 1 部份中所指第 1 类受规管活动 华辉证券有限公司乃是香港联合交易所有限公司参与者
A1. Individual Client/Joint Account 个人账户 / 联名账户 Account Number 账户号码 口 Individual Client 个人账户 口 Joint Account 联名账户 Account Type 户口类别 Password Delivery 密码送递 Cash A/C 现金账户 E-Trade Service A/C 网上现金账户 In person 亲自到取 By mail 邮寄 By Email 电邮 Name 姓名 Main Account Holder (1) 主要户口持有人 English ( 英文 ) : Chinese ( 中文 ) : Joint Account Holder (2) 联名户口持有人 English ( 英文 ) : Chinese ( 中文 ) : HKID/ Passport No. 香港身份证 / 护照号码 Nationality 国藉 Occupation 职业 Employer Name 雇主名称 Office Address 办事处地址 Home Address 住址 Correspondence Address 通讯地址 Telephone No. 电话号码 Home 住宅电话 : Office 办事处电话 : Mobile 流动电话 : Home 住宅电话 : Office 办事处电话 : Mobile 流动电话 : Facsimile No. 传真号码 E-mail Address 电邮地址 Daily/Monthly Statements to 日 / 月结单送递至 Home Address 住址 Correspondence Address 通讯地址 E-mail Address 电邮地址
A2. Corporate Account 公司账户 Account Number 账户号码 Account Type 户口类别 Password Delivery 密码送递 Name of Company 公司名称 Cash A/C 现金账户 E-Trade Service A/C 网上现金账户 In person 亲自到取 By mail 邮寄 By Email 电邮 English ( 英文 ) : Chinese ( 中文 ) : Nature of Business 业务性质 Date of Incorporation 注册日期 Place of Incorporation 注册地点 Certificate of Incorporation No. 公司注册证书号码 Business Registration No. 商业登记号码 Registered Office Address 注册办事处地址 Correspondence Address 通讯地址 Authorized Capital 注册股本 Paid Up Capital 已缴股本 Telephone No. 电话号码 Facsimile No. 传真号码 E-mail Address 电邮地址 Daily/Monthly Statements Delivery to 日 / 月结单送递至 Registered Office Address 注册办事处地址 Correspondence Address 通讯地址 E-mail Address 电邮地址
B. Specimen Authorized Signatures 签名式样 Name 姓名 : Signature 签名 HKID/Passport No.: 身份证 / 护照号码 Name 姓名 : Signature 签名 HKID/Passport No.: 身份证 / 护照号码 Name 姓名 : Signature 签名 HKID/Passport No.: 身份证 / 护照号码 Account is to be operated on instruction and signed by: 账户操作指示方式及签名安排 : (For Joint Account or Corporate Account Only) ( 只适用于联名户囗或公司户口 ) Either one of Account Holders All Account Holders 任何一位账户持有人所有账户持有人 Others, please specified 其它, 请注明 : Specimen of Business Chop/Seal 业务印章式样 C. Bank Account 银行户口 Bank Name 银行名称 Bank Account No. 银行户口号码 Account Name 户口名称 D. Clients Financial Background 客户财务状况 Estimated Annual Income: 估计每年收入 (HK$ 港币 ): Total Net Worth : 净资产值 (HK$ 港币 ): Main Account Holder (1) 主要户口持有人 < $200,000 $200,001 - $500,000 >$1,000,000 < $500,000 $1,000,001 - $5,000,000 >$5,000,000 Joint Account Holder (2) 联名户口持有人 < $200,000 $200,001 - $500,000 >$1,000,000 < $500,000 $1,000,001 - $5,000,000 >$5,000,000
E. Clients Investment Experience and Objectives 客户投资经验及投资目的 Investment Experience 投资经验 Products Experience 曾投资的产品 Investment Objectives 投资目标 Estimated Investment 估计投资金额 Main Account Holder (1) 主要户口持有人 Less than 2 year 少于 2 年 2-5 years 2-5 年 5-10 years 5-10 年 Over 10 years 十年以上 Stock 证券 Future 期货 Option 期权 Funds 基金 Warrants 认股权证 Others 其它 Growth 增值 Speculation 投机 Hedging 对冲 Other 其它 < $100,000 $100,001 - $500,000 > $1,000,000 F. Investor Characterization 投资者分类 Joint Account Holder (2) 联名户口持有人 Less than 2 year 少于 2 年 2-5 years 2-5 年 5-10 years 5-10 年 Over 10 years 十年以上 Stock 证券 Future 期货 Option 期权 Funds 基金 Warrants 认股权证 Others 其它 Growth 增值 Speculation 投机 Hedging 对冲 Other 其它 < $100,000 $100,001 - $500,000 > $1,000,000 Does the Client wish to purchase derivative products? 客户是否有意认购衍生产品? Yes 是 If the Client wish to purchase derivative products, please answer the following questions. 若客户有意认购衍生产品, 请回答以下问题 1. Has the Client ever undergone training or attended courses on derivative products with general knowledge of the nature and risks of derivatives? 客户是否曾接受有关衍生产品性质和风险的一般知识培训或修读相关课程? 2. Is the Client currently or previously working in relation to derivative products? 客户现时或过去是否从事与衍生产品有关的工作? 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? 客户是否在过去三年曾买卖过至少五次任何衍生产品的交易 ( 不论是否在交易所买卖 )? *Level of Risk Taking* 风险承受水平 *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. * 若阁下可承受的风险水平为非常低, 阁下则未必适合买卖认股权证 期权或其它衍生工具及列为高风险的金融产品 若阁下曾经买卖此类产品, 则阁下会被视为可承受高风险 Yes 是 High 高 Medium 中 Low 低 Very Low 非常低
G. Settlement Account Information 结算户口资料 CCASS Account Name & No. (if any) : 中央结算户口名称及户囗号码 ( 如适用 ) : H. Politically Exposed Person ( PEP ) 政界人士 Main Account Holder(1) 主要户口持有人 Are you a Politically Exposed Person ( PEP )? 阁下是否政界人士? Yes, please provide details: 是, 请提供该人士之数据 : Joint Account Holder(2) 联名户口持有人 Are you a Politically Exposed Person ( PEP )? 阁下是否政界人士? Yes, please provide details: 是, 请提供该人士之数据 : I. Ultimate Beneficial Owner(s) of the Accounts 账户的最终实益拥有人 Is the Client ultimately responsible for all instructions for the operation of the Securities Cash Account? 客户是否最终负责为证券现金账户的运作发出一切指示? 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, 最终负责为上述账户的运作发出一切指示的人士的资料如下 : Name 姓名 ID/Passport No. 身份证 / 护照号码 Address 地址 Contact No. 联络电话号码
J. Particulars of Related Accounts 关连的资料 a) Does the Client have any relationship with the director(s) or employee(s) of Quest Stockbrokers (HK) Limited or its associated companies? 客户是否与华辉证券有限公司或其联营公司之董事或雇员有任何关系? Yes, please state his / her details: 是, 请填写该人士之数据 : 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? 客户是否香港联合交易所有限公司之交易所参与者或证券及期货事务监察委员会之持牌人或注册人之董事 雇员或认可人士? 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, 客户为以下香港联合交易所有限公司之交易所参与者或证券及期货事务监察委员会之持牌人或注册人之董事 雇员或认可人士 : ( 请详述 ) K. Declaration & Acknowledgement 声明及确认 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 / 吾等兹声明在客户数据表所提供之数据全部真实 完整及正确, 并且所附协议内容皆为正确 除非华辉证券有限公司 ( 华辉 ) 接到更改有关本资料表内容的书面通知, 否则华辉有权完全依赖此等资料及声明作一切用途 华辉获授权可随时就核对本数据事宜, 与任何人包括本人 / 吾等之银行 经纪或任何信用机构进行咨询
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 / 吾等确认本人 / 吾等已阅读, 明白及全部已被解释在现金账户 ( 证券交易 ) 客户协议书附件四之 [ 风险披露声明书 ] 之一切内容 Client s Signature Date 客户签署 日期 In the presence of 于见证下 : Name of Witness Witness Signature 见证人姓名 见证人签署 CE Number 中央编号 Date 日期 Acknowledged And Accepted By ) For and on behalf of Quest Stockbrokers (HK) Limited ) QUEST STOCKBROKERS (HK) LIMITED 经由华辉证券有限公司 ) 华辉证券有限公司 确认及接受 Authorized Signature(s) 授权签署
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