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HK Stock-Forms Download

Account Opening Forms

  Applicable to CMBIS Applicable to CMBIGM Non Professional Investor Professional Investor
Individual Corporate Individual Corporate Institution
Accounting Opening Agreement – Individual ✔ ✔   ✔    
Application for treatment as “Professional Investor” - Individual ✔     ✔    
Accounting Opening Agreement – Corporate ✔   ✔   ✔  
Application for treatment as “Professional Investor” - Corporate ✔ ✔       ✔  
W8BEN ✔ ✔ ✔   ✔    
W8BENE ✔ ✔   ✔   ✔ ✔
w8imy ✔ ✔   ✔   ✔ ✔
W9 (For US person) ✔ ✔ ✔ ✔ ✔ ✔ ✔
Account Agreements
SECTION I: Cash Client's Agreement
SECTION II: Margin Client's Agreement
SECTION III: E-Statement Service Agreement
SECTION IV: Electronic Trading Services Agreement
SECTION V: Pre-IPO Trading Agreement
SECTION VI: Stock OPtions Trading Agreement
SECTION VII: Addendum for SPAC Transactions
Schedule 1-PERSONAL DATA PROTECTION STATEMENT
Schedule 2-STANDING AUTHORITY
Schedule 3-RISK DISCLOSURE STATEMENTS
Schedule 4-VIRTUAL ASSET KNOWLEDGE TRAINING		 ✔ ✔ ✔ ✔ ✔ ✔ ✔
Stock Option Trading Agreement ✔ ✔ ✔ ✔ ✔ ✔
Addendum for SPAC Transactions ✔ ✔ ✔ ✔ ✔

Electronic service forms

Applicable to CMBIS Applicable to CMBIGM
《Email statement application form》 ✔ Χ
《Internet trading application / termination form》 ✔ Χ
《CMB(HK) transfer demo》 ✔ Χ
《CMB Wing Lung Bank transfer demo》 ✔ Χ
《Online real-time quote application form》 ✔ Χ
《APPLICATION/ MAINTENANCE OF “ZHAOYINGBAO” SERVICE》 ✔ Χ
《NOTICE OF “ZHAOYINGBAO” SERVICE TERMINATION》 ✔ Χ

Stock settlement / fund movement form

Applicable to CMBIS Applicable to CMBIGM
《Fund withdrawal form》 ✔ ✔
《Stock Settlement instruction form (SI)》 ✔ ✔
《Client’s account transfer form》 ✔
《Third party deposit notification and statement form》 ✔ ✔

Fund investment and OTC products form

Applicable to CMBIS Applicable to CMBIGM
《Investment risk preference question form - individual》 ✔ Χ
《Investment risk preference question form - corporate》 ✔ ✔
《Investment fund client instruction》 ✔
《Investment bonds and note client instruction》 ✔
《Fund redemption form》 ✔
《Bond redemption form》 ✔

Other form

Applicable to CMBIS Applicable to CMBIGM
《Change of Account Information & Addition of Account (s) Form - Individual》 ✔ Χ
《Change of Account Information & Addition of Account (s) Form - Corporate》 ✔ ✔
《Request of Account Statement Duplicates/Certification Form》 ✔ Χ
《Notification of Change of Commission Rate》 ✔ Χ
《Third party authorization form》 ✔ Χ
《Notice of Account / Service Termination》 ✔ ✔
《Deed of Guarantee and Indemnity》 ✔ ✔
《Self-certification form – individual》 ✔ Χ
《Self-certification form – controlling person》 ✔ ✔
《Self-certification form – entity》 ✔ ✔
《Explanation of risks associated with exchange-traded derivative products》 ✔ ✔
《Cancelling notification of online trading execution》 ✔ Χ
《BCAN client agreement form》 ✔ Χ
《Processing of Personal Data as part of the Stock Connect Northbound Trading》 ✔ Χ
《Client Consent on the Hong Kong Investor Identification Regime (HKIDR) and the Personal Information Collection Statement on the Over-the-counter Securities Transaction Reporting Regime (OTCR)》 ✔ Χ
《Client Identification Data on the Hong Kong Investor Identification Regime (HKIDR) and the Over-the-counter Securities Transaction Reporting Regime (OTCR)》(For individual client only) ✔ ✔
《Client Identification Data on the Hong Kong Investor Identification Regime (HKIDR) and the Over-the-counter Securities Transaction Reporting Regime (OTCR)》(For corporate client only) ✔ ✔
《Customer Consent to Use of Information》 ✔ Χ
US Stock-Forms Download
Applicable to CMBIS Applicable to CMBIGM
《US Stock Electronic Online Trading Services Application/Termination Form》 ✔ Χ
《W8BEN》 ✔ ✔
《W9》 ✔ ✔
《W8BENE》 ✔ ✔
《w8imy》 ✔ ✔

Address: 45th & 46th Floor, Champion Tower, 3 Garden Road, Central, Hong Kong

Telephone: （852）3900 0888 Fax:（852）3761 8788

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