Download - CMB International Capital Corporation Limited

Account Opening Forms

	Applicable to CMBIS	Applicable to CMBIGM	Non Professional Investor		Professional Investor
	Applicable to CMBIS	Applicable to CMBIGM	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 SECTION VIII Addendum for Virtual Asset Dealing Services 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	✔	✔			✔	✔	✔
Addendum for Virtual Asset Dealing Services	✔	✔	✔	✔	✔	✔	✔

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
《Power of Attorney for Trading Account》	✔	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
《Supplemental Agreement – New Capital Investment Entrant Scheme》	✔	Χ

	Applicable to CMBIS	Applicable to CMBIGM
《US Stock Electronic Online Trading Services Application/Termination Form》	✔	Χ
《W8BEN》	✔	✔
《W9》	✔	✔
《W8BENE》	✔	✔
《w8imy》	✔	✔