(a) an individual who has close business relations with the first-mentioned individual, including an individual who is a beneficial owner of a legal person or trust of which the first-mentioned individual is also a beneficial owner; or
Account numbers can be located on your statements. e-Statements are only available for Cash / Margin Securities trading accounts and Commodities trading account.
Please input your account number and ID or passport number to proceed:
Account Number
ID / Passport Number
e.g. A123456(7)
Please choose to verify your account by:
Please input a valid email address
Please input a Hong Kong mobile number beginning with 5, 6 or 9
A verification code is sent to the {channel} {email mobile number}, and it will valid for 30 minutes. Please input the verification code below and click "Next" to continue.
Verification Code
Resend verification code
Account Holder Name
Account Number
A1. Is there any change in Residential Address?1
Country
U.S. Address
Nature of Occupancy
A2. Is there any change in Permanent Address?1
Country
U.S. Address
1Please provide proof of your new address (e.g. utility bill or bank statement issued within the last 3 months). 1Please provide proof of your new address (e.g. utility bill or bank statement issued within the last 3 months).
A3. Nationality
Please provide a copy of the ID document which shows your new nationality.
A4. Telephone Number
Home
U.S. Tel No.
Mobile
U.S. Tel No.
A5. Email Address
A6. Fax Number
A7. Employer
A8. Nature of Business of Employer
A9. Position
A10. Years of Service with Employer
A11. Business / Office Address
Country
U.S. Address
A12. Correspondence Address
Country
U.S. Address
Please provide proof of your new address (e.g. utility bill or bank statement issued within the last 3 months). Please provide proof of your new address (e.g. utility bill or bank statement issued within the last 3 months).
A13. Marital Status
A14. Education Level
B1. Have you changed your investment objective, investment experience, investment horizon and/or risk tolerance level?
B2. Annual Income (HK$)
B3. Net Assets (HK$)
B4. Liquid Assets (HK$)
B5. Ongoing Source(s) of Wealth
B6. Expected Sources(s) & Origin of Funds
(a) Expected Sources(s) of Funds
(b) Country(ies) of Origin(s) of funds
C1. Are you the person who is ultimately responsible for originating instructions (trading and/or others) for the Account(s) (the “Originator”)?
C2. Are you the person who stands to gain the commercial or economic benefit of transactions of the Account(s) and/or bears its / their commercial or economic risk (i.e. “Beneficial Owner”)?
C3. Are you the only person with authority to operate the Account(s) (the “Authorised Person”) ?
C4. Are you
(i) a senior officer or director of any (listed) company whose shares are traded on any exchange or market?
(If yes, please specify the company name and stock code.)
(If yes, please specify the company name and stock code.)
(ii) a person licensed by or registered with the Hong Kong Securities and Futures Commission or an employee of such a person? (If yes, please specify your CE no.)
(iii) a relative of the Investment Consultant responsible for the Account(s)? (If yes, please state the relationship)
(iv) a U.S. citizen, a green card holder or residing in the U.S.?
(v) born in the U.S.?
C5. Are (i) you; and/or (ii) your spouse, partner, child(ren) and/ or parent(s); and/or (iii) spouse(s) or partner(s) of your child(ren); and/or (iv) your close associate(s) 2:
entrusted with prominent public functions (e.g. Head of State or of government, senior politicians/ important political officials, senior government officials, senior judicial officials, senior military officials, senior executives of state owned enterprise or religious leaders)? (If yes, please specify)
2 a person is a "close associate" of an individual if the person is
(b) an individual who is the beneficial owner of a legal person or trust that is set up for the benefit of the first-mentioned individual.
C6. This question only applies to customer(s) who maintain(s) margin securities trading account(s) with EBSI5
(i) Is your spouse a margin client of any company of EBSI5? (If yes, please provide details.)
(ii) Do you alone or jointly with your spouse control 35% or more of the voting rights of a corporate margin client of any company of EBSI5? (If yes, please provide details.)
(iii) Are/ were you at any time during the past 12 months, directly or indirectly (e.g. through a body corporate), whether or not together with other person(s) and/or entity(ies), connected or associated with any director (including any ex-director within the past 12 months), chief executive or substantial shareholder3 of any company of EBSI5 (“Connected Person”)4 ? If yes, please provide such details as requested by EBSI5.
(iv) (a) To your best knowledge, are you a beneficial owner of another client’s (other than your spouse) margin account(s) under EBSI Group5?
(iv) (b) If "Yes" is selected in (iv)(a) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
Name
ID/Passport/BR no.
ID Type
(v) (a) To your best knowledge, are you a guarantor of other margin client(s) of EBSI Group5 for their financial liabilities under any guarantee arrangement(s)?
(v) (b) If “Yes” is selected in (v)(a) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
Name
ID/Passport/BR no.
ID Type
(v) (c) To your best knowledge, do you have any financial liabilities under your margin account(s) which are subject to any guarantee arrangement(s)?
(v) (d) If “Yes” is selected in (v)(c) above, is the above-mentioned guarantor(s) a margin client(s) of EBSI Group5?
(v) (e) If “Yes” is selected in (v)(d) above, please provide details of the above-mentioned guarantor(s):
Name
ID/Passport/BR no.
ID Type
Name
ID/Passport/BR no.
ID Type
(v) (f) If “No” is selected in (v)(d) above, to your best knowledge, are you aware of other margin client(s) of EBSI Group5 whose financial liabilities are guaranteed by the above-mentioned guarantor(s)?
(v) (g) If “Yes” is selected in (v)(f) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
Name
ID/Passport/BR no.
ID Type
3 "substantial shareholder" means in relation to a company, a person who is entitled to exercise, or control the exercise of, 10% or more of the voting power at any general meeting of that company.
4 Examples of Connected Person include a spouse, child (legitimate or not, natural or adopted), step-child (legitimate or not, natural or adopted), parent, father-in-law, mother-in-law, son-in-law, daughter-in-law, grandparent, grandchild, uncle, aunt, cousin, brother-in-law, sister-in-law, nephew and niece of the above-mentioned director, ex-director, chief executive or substantial shareholder, a trustee of or for any of the foregoing persons and a partner of any of the foregoing persons and a partner of any of the foregoing persons (including any aforesaid trustee).
5 “EBSI” refers to China Everbright Securities International Company Limited and each and every subsidiary company, associated company and affiliate of China Everbright Securities International Company Limited, including but not limited to Everbright Securities International (HK) Limited and its subsidiaries (jointly and individually).
For questions (C1) to (C3) above, if the answer is different from our record, we will ask you to sign and return to us a written declaration. Please also submit the following documents for each of the Originator(s), Beneficial Owner(s) and/or Authorised Person(s): copies of their HKID or passport or such other official identification document acceptable to EBSI5; and a utility bill or bank statement issued within the last 3 months in order to verify the name and address of each of the Originator(s) and/ or Beneficial Owner(s).
Individual Account
Account Holder Name
Account Number
Section A: Particulars of the Customer
A1. Is there any change in Residential Address?1
- U.S. Address
- Nature of Occupancy
A2. Is there any change in Permanent Address?1
- U.S. Address
A3. Nationality
A4. Telephone Number
- Home
- U.S. Tel No.
- Mobile
- U.S. Tel No.
A5. Email Address
A6. Fax Number
A7. Employer
A8. Nature of Business of Employer
A9. Position
A10. Years of Service with Employer
A11. Business / Office Address
- U.S. Address
A12. Correspondence Address
- U.S. Address
A13. Marital Status
A14. Education Level
Section B: Financial Profile
B1. Have you changed your investment objective, investment experience, investment horizon and/or risk tolerance level?
B2. Annual Income (HK$)
B3. Net Assets (HK$)
B4. Liquid Assets (HK$)
B5. Ongoing Source(s) of Wealth
B6. Expected Sources(s) & Origin of Funds
- (a) Expected Sources(s) of Funds
- (b) Country(ies) of Origin(s) of funds
Section C: General Information
C1. Are you the person who is ultimately responsible for originating instructions (trading and/or others) for the Account(s) (the “Originator”)?
C2. Are you the person who stands to gain the commercial or economic benefit of transactions of the Account(s) and/or bears its / their commercial or economic risk (i.e. “Beneficial Owner”)?
C3. Are you the only person with authority to operate the Account(s) (the “Authorised Person”) ?
C4. Are you
(i) a senior officer or director of any (listed) company whose shares are traded on any exchange or market?
(If yes, please specify the company name and stock code.)
(If yes, please specify the company name and stock code.)
(ii) a person licensed by or registered with the Hong Kong Securities and Futures Commission or an employee of such a person? (If yes, please specify your CE no.)
(iii) a relative of the Investment Consultant responsible for the Account(s)? (If yes, please state the relationship)
(iv) a U.S. citizen, a green card holder or residing in the U.S.?
(v) born in the U.S.?
C5. Are (i) you; and/or (ii) your spouse, partner, child(ren) and/ or parent(s); and/or (iii) spouse(s) or partner(s) of your child(ren); and/or (iv) your close associate(s) 2:
entrusted with prominent public functions (e.g. Head of State or of government, senior politicians/ important political officials, senior government officials, senior judicial officials, senior military officials, senior executives of state owned enterprise or religious leaders)? (If yes, please specify)
C6. This question only applies to customer(s) who maintain(s) margin securities trading account(s) with EBSI5
(i) Is your spouse a margin client of any company of EBSI5? (If yes, please provide details.)
(ii) Do you alone or jointly with your spouse control 35% or more of the voting rights of a corporate margin client of any company of EBSI5? (If yes, please provide details.)
(iii) Are/ were you at any time during the past 12 months, directly or indirectly (e.g. through a body corporate), whether or not together with other person(s) and/or entity(ies), connected or associated with any director (including any ex-director within the past 12 months), chief executive or substantial shareholder3 of any company of EBSI5 (“Connected Person”)4 ? If yes, please provide such details as requested by EBSI5.
(iv) (a) To your best knowledge, are you a beneficial owner of another client’s (other than your spouse) margin account(s) under EBSI Group5?
(iv) (b) If "Yes" is selected in (iv)(a) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
ID Type Remark
Name
ID/Passport/BR no.
ID Type
ID Type Remark
(v) (a) To your best knowledge, are you a guarantor of other margin client(s) of EBSI Group5 for their financial liabilities under any guarantee arrangement(s)?
(v) (b) If “Yes” is selected in (v)(a) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
ID Type Remark
Name
ID/Passport/BR no.
ID Type
ID Type Remark
(v) (c) To your best knowledge, do you have any financial liabilities under your margin account(s) which are subject to any guarantee arrangement(s)?
(v) (d) If “Yes” is selected in (v)(c) above, is the above-mentioned guarantor(s) a margin client(s) of EBSI Group5?
(v) (e) If “Yes” is selected in (v)(d) above, please provide details of the above-mentioned guarantor(s):
Name
ID/Passport/BR no.
ID Type
ID Type Remark
Name
ID/Passport/BR no.
ID Type
ID Type Remark
(v) (f) If “No” is selected in (v)(d) above, to your best knowledge, are you aware of other margin client(s) of EBSI Group5 whose financial liabilities are guaranteed by the above-mentioned guarantor(s)?
(v) (g) If “Yes” is selected in (v)(f) above, please provide the details of the above-mentioned margin client(s) of EBSI Group5:
Name
ID/Passport/BR no.
ID Type
ID Type Remark
Name
ID/Passport/BR no.
ID Type
ID Type Remark
Terms & Conditions
I confirm that all the information provided in or otherwise in connection with this Knowing You Better – Customer Profile Confirmation is, and in respect of any information provided hereafter, shall be, at the time of provision, true, accurate, complete and up-to-date and in compliance with all applicable legal and regulatory requirements. I undertake to notify the relevant EBSI5 entity immediately in writing of any change(s) to any of the aforesaid information. I understand and agree that unless otherwise indicated by the relevant EBSI5 entity in writing, any such change will not come into effect until 5 working days after the actual receipt of the relevant written notification by the relevant EBSI5 entity. The relevant EBSI5 entity and other group members of EBSI5 may contact any persons or entities, including but not limited to banks, brokers or credit agencies for verification of any of the information provided (or any part of it).
Thank you for supporting Everbright Securities International's "Knowing You Better - Customer Profile Confirmation" initiative.
Your updated information has been received and the changes will become effective within five working days.
Thank you for supporting Everbright Securities International’s “Knowing You Better - Customer Profile Confirmation” initiative.
Your updated information has been received and the changes will become effective within five working days.
Should you have any queries, please feel free to call our Customer Service Hotline on +852 3920 8020.