Account Opening
Opening a trading account is quick and easy. You can apply in person by visiting our office and completing the application with assistance from our customer services officer. You can also mail your application with the required documents. Please refer to the following information for details
Apply in Person
If you are going to visit us to a open trading account, please call (852) 2242-8888 to make an appointment with our customer services officer and bring along the following required documents:
1. Government issued ID such as identity card, or passport
2. Proof of address (note) such as utility bill or bank statement showing your name and current address
3. Proof of bank account such as passbook or bank statement which is essential for processing your deposit
Apply by Post
Please complete and sign the account application below and mail to us. Please read the Trading Agreement thoroughly before signing and make sure the following required documents are attached in the mail:
1. A completed and signed Account Application
2. A certified copy of Government issued ID with photo (note) such as identity card, or passport
3. A copy of Proof of address (note) such as utility bill or bank statement showing your name and current address
4. A personal check of at least HK$10,000 with your name printed can be attached to waive the need to have the identification copy certified mentioned above. Please ensure the signature on the personal check matches the signature on the account application. Please make checks payable to "China Finance KAB Limited".
Please mail the above documents to the address below:
China Finance KAB Limited
30th Floor Chinachem Century Tower, 178 Gloucester Road, Wanchai, Hong Kong
Checklist for Corporate Account (Hong Kong Incorporated)
-Account Application Form
Please provide the following supporting documents
(1) Certified true copy of Certificate of Incorporation
(2) Certified true copy of Business Registration Certificate (where applicable)
(3) Certified true copy of Memorandum & Articles of Association
(4) Certified true copy of a company search report certified by a company registry or professional third party (which shall include, the latest Annual Return and its subsequent change of particulars). The company search report should have been issued within the last 6 months.
(5) Certified true copy of Latest Audited Financial Statements
(6) Correspondence address proof within last 3 months (if such address is different from the address shown in the Business Registration Certificate under item (2))
(7) Board Resolution – to authorize an account or account(s) be opened and maintained in the name of the Company and a person or person(s) to operate the account on behalf of the Company
(8) Specimen Signatures, addresses and contact numbers of account signatories and authorized persons
(9) Details of ownership and structure control of the company, e.g. an ownership chart.
For companies with multiple layers in their ownership structures, the intermediate lawyers of the Company should be fully identified. Please provide us with a director's declaration incorporating or annexing an ownership chart describing the intermediate layers (the information should at least include company name and place of incorporation, and where applicable, the rationale behind the particular structure employed. The information should reveal the chain of ownership to the individuals who are the ultimate beneficial owners of the Company.
(10) Deed of Guarantee and Indemnity (if necessary)
(11) Certified True Copies of the Valid ID/ Passport/ Certificate of Incorporation copies of all Director(s), Authorized Person(s), Substantial Shareholder(s) and, where applicable, Ultimate Beneficial Owner(s) and Guarantor (s)
Please provide the following documents if necessary
(12) Client Money Standing Authority
*Please sign for authorizing us to transfer money between Securities and Futures account
(13) General Knowledge on Derivatives Product
*Please read and sign for trading Derivative Products if client has no knowledge on Structure/Derivative Products
Notes
1: Documents (1) to (5) above should be certified by a professional third party (e.g. practicing accountant, Lawyer, or Notary Public)
2: "Substantial Shareholder" is defined as a shareholder who has an interest in more than 10% of the issued share capital.
3: The Account Executives should check the ORIGINAL and certify the copy of all of the above HKID Cards / Passports submitted by Clients and sign on the copy documents and state his / her name, SFC CE number and the certified date thereon.
4: Memorandum & Articles of Association of the Company shall explicitly consent to the relevant investment.
5: Any amendment must be initialed by Clients.
6: Cash or Third-party deposit/ cheques are not accepted
7: Apart from the above documents, we shall have the right to request additional documents from the Clients if necessary.
Checklist for Corporate Account (Overseas Incorporated)
-Account Application Form
Please provide the following supporting documents
(1) Certified true copy of Certificate of Incorporation
(2) Certified true copy of Memorandum & Articles of Association (for unlisted company)
(3) Certified true copy of Register of Director
(4) Certified true copy of Register of Member
(5) Correspondence address proof within last 3 months
(6) Board Resolution – to authorize an account or account(s) be opened and maintained in the name of the Company and a person or person(s) to operate the account on behalf of the Company
(7) Specimen Signatures, addresses and contact numbers of account signatories and authorized persons
(8) Details of ownership and structure control of the company, e.g. an ownership chart.
For companies with multiple layers in their ownership structures, the intermediate layers of the Company should be fully identified. Please provide us with a director's declaration incorporating or annexing an ownership chart describing the intermediate layers (the information should at least include company name and place of incorporation, and where applicable, the rationale behind the particular structure employed. The information should reveal the chain of ownership to the individuals who are the ultimate beneficial owners of the Company.
(9) Deed of Guarantee and Indemnity (if necessary)
(10) Certified True Copies of the Valid ID/ Passport/ Certificate of Incorporation copies of all Director(s), Authorized Person(s), Substantial Shareholder(s) and, where applicable, Ultimate Beneficial Owner(s) and Guarantor (s)
(11) A similar company search enquiry of the registry in the place of incorporation and a company report certified by the registry or professional third party (e.g. Certificate of Good Standing issued by the company registrar). The company search report should have been issued within the last 6 months.
(12) A certificate of incumbency or equivalent issued by the company's registered agent in the place of incorporation; OR A similar of comparable document to a company search report or a certificate of incumbency certified by a professional third party in the relevant jurisdiction verifying that the information set out below, contained in the said document, is correct and accurate:-
(a) The company is still registered and has not been dissolved, wound up, suspended or struck off;
(b) The names of the directors and shareholders recorded in the company registry in the place of incorporation; and
(c) The company's registered office address in the place of incorporation.
The certificate of incumbency or company search report should have been issued within the last 6 months.
Please provide the following documents if necessary
(13) Client Money Standing Authority
*Please sign for authorizing us to transfer money between Securities and Futures account
(14) General Knowledge on Derivatives Product
*Please read and sign for trading Derivative Products if client has no knowledge on Structure/Derivative Products
Notes
1: Documents (1) to (4) and (11) to (12) above should be certified by a professional third party (e.g. practicing accountant, Lawyer, or Notary Public)
2: "Substantial Shareholder" is defined as a shareholder who has an interest in more than 10% of the issued share capital.
3: The Account Executives should check the ORIGINAL and certify the copy of all of the above HKID Cards / Passports submitted by Clients and sign on the copy documents and state his / her name, SFC CE number and the certified date thereon.
4: Memorandum & Articles of Association of the Company shall explicitly consent to the relevant investment.
5: Any amendment must be initialed by Clients.
6: Cash or Third-party deposit/ cheques are not accepted
7: Apart from the above documents, we shall have the right to request additional documents from the Clients if necessary.