<%@ Page Language="C#" AutoEventWireup="true" Codebehind="index.aspx.cs" Inherits="SkyCenter.WebUI.Demo.zqscInfo.openkh.index" %> 國泰君安證券(香港)有限公司

國泰君安开户申请表格

GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED
國泰君安證券(香港)有限公司

27th Floor, Low Block, Grand Millennium Plaza,
181 Queen’s Road Central, Hong Kong.
香港中環皇后大道中181號新紀元廣場低座 27樓
Website 網址: www.gtja.com.hk

Client Code: FATCA:

Related Account AE Code:

Checked by:         Date:

Approved by RO: Date:

開戶申請表格 (個人/聯名帳戶)

ACCOUNT OPENING FORM (INDIVIDUAL/JOINT ACCOUNT)
請提供個人客戶及聯名客戶之: Please provide for both Primary Client and Joint Client:
1. 帳戶持有人的身份證及/或護照的經簽名驗證複印本1: 1. Certified true copy of your identity card and/or passport1
2. 最近3個月的銀行結單或公共服務單據作住址證明 2. A bank statement / utility bill within the past 3 months as proof of residential address
3. 個人《海外帳戶稅收合規法案》自行認證 3. Individual FATCA Self-Certification
4. 投資產品 - 風險承受能力問卷 (個人/聯名客戶適用) 4. Client Risk Profiling Questionnaire - Investment Products (for Individual/Joint Account)

1ACCOUNT TYPE 帳戶類別 (Please tick appropriate box. 請在適當空格加√ )

Cash 現金帳戶 Custodian 托管帳戶
Individual 個人帳戶 Joint Account 聯名帳戶
Do you require internet trading services? 您是否需要開通網上交易服務?   Yes 是 No 否 
Do you require trading in non-HK stocks? 您是否需要開通港股以外的其他股票交易? Yes 是 No 否
  • Please specify 請述明:
  • Canadian shares加拿大股票
  • Malaysian shares 馬來西亞股票
  • UK shares 英國股票
  • Australian shares澳洲股票
  • Funds 基金
  • Shanghai A shares 上海A 股 (滬港通)
  • US shares 美國股票
  • B shares 中國 B 股
  • Japanese shares日本股票
  • Singaporean shares新加坡股票
  • Bonds 債券
  • Korean shares 韓國股票
  • Taiwanese shares 台灣股票

2 PERSONAL INFORMATION 個人資料 (Please tick appropriate box. 請在適當空格加√ )

Primary Client 客戶
  Mr.先生
  Ms.女士
  Mrs.夫人 		English Name:
英文姓名 :   		ID Card No.:
身份證號碼: 		Passport No.:
護照號碼:  
Chinese Name:
中文姓名 :   		Place of Issue of ID Card:
身份證發出地 :   		Place of Issue of Passport:
護照發出地 :  
Former Name2 :
前名 :  		 Country of Birth :
出生國家 :  		 Date of Birth:
出生日期 :  
Nationality(Please fill in more than one as appropriate):
國籍(可填寫多於一個) :   		Marital Status:    Single 未婚 Married已婚
婚姻狀况 :
Residential Address:
住宅地址:
  		Country 國家:

  
Permanent Address (if different from Residential Address):
永久地址 (如與住宅地址不同):
  		Country 國家:

 
(Country Code) Home Tel. No.:  
(國家區號) 住宅電話號碼: ( )		 (Country Code) Mobile Phone No.:
(國家區號) 手提電話號碼: (  )
Country(ies)/Jurisdiction(s) of Residence for Tax Purposes (please select one or more as applicable):
稅務居民所在國家/司法管轄區（請選擇一個或多個如適用）: China 中國 Hong Kong, China 中國香港 United States 美國 Others其他:
E-mail Address:
電子郵件地址: 		U.S. Tax Obligation美國稅務責任: Yes 有 (TIN稅務身份號碼: ) No沒有   
Preferred mailing method (please select either one) 請選擇您的通訊方式 (只選一項):
Residential Address住宅地址                 Permanent Address永久地址                 Office Address辦公室地址
E-mail 電郵地址                                         Company E-mail Address公司電郵地址
Education 教育程度: Primary 小學 Secondary 中學 College 大專 Graduate or above大學或以上
Employment 就業情況: Employed 受僱 Self-employed 自僱 Retired 退休
Unemployed 無業 Housewife家庭主婦
Name of Employer of Primary Client:
客戶受僱/自僱機構名稱: 		Present Position3:
現時職位:
1 Please provide certified true copies of BOTH HK ID Card and passport for non-permanent HK resident. 非香港永久性居民應提交其香港身份證及有效的旅遊證件的經簽名驗證複印本。
2 Please provide certified true copies of documents proving alternation of name. 請提供更改名稱證明文件的經簽名驗證複印本。
3 Please provide business card and complete the field accordingly (if available). 請提供名片，並填寫列印在名片上的職位(如有)。

Office Address:
辦公室地址: 		Country 國家:
(Country Code) Office Tel. No.:
(國家區號) 辦公室電話號碼: ( )		 (Country Code) Fax No.:
(國家區號) 傳真機號碼: ( )
Company E-mail Address:
公司電子郵件地址: 		Relationship between the Primary Client and the Joint Client:
客戶與聯名客戶之關係:
Employer / Occupation Industry (please select either one) 僱主/職業行業 (只選一項):
Agriculture
        農業		 Fishing
        捕魚業		 Logistics
        物流業		 Retail
        零售業
Business Services
        商業服務		 Forestry
        林業		 Manufacturing
        製造業		 Travel and Tourism
        旅遊業
Gambling
        農業博彩		 Beauty/Healthcare Services
        美容/保健服務		 Mining
        採礦業		 Transportation
        運輸業
Communications
        通訊		 Hotels
        酒店業		 Money Exchange
        貨幣兌換		 Utilities (Electricity)
        公用事業(電力)
Construction
        建設		 Insurance
        保險		 Public Services
        公共服務		 Utilities (Gas)
        公用事業(煤氣)
Engineering
        工程		 Legal
        法律行業		 Real Estate
        房地產		 Utilities (Water)
        公用事業(水)
Finance
        金融		 Leisure & Entertainment
        康樂及娛樂行業		 Restaurants
        餐飲業		 Wholesale/Export/Import
        批發/進出口
Other (please state)   其他(請註明):
Annual Income (HK$):
全年收入(港幣):
< $250,000
 		 $250,001-$500,000
 		 $ 500,001-$1,000,000
 		 > HK$1,000,001
4Please specify須註明:
Net Worth (HK$):
凈資產(港幣):
< $500,000
 		 $500,001-$2,500,000
 		 $2,500,001-$5,000,000
 		 > HK$5,000,001
5Please specify須註明:
Source of Funds:
資金來源:
Salary / Business Income  薪俸/營業收入
Return on Investments 投資回報 		Pension  退休金
Others 其他
Source of Wealth:
財富來源:
Salary / Business Income  薪俸/營業收入
Sale of Investments 投資回報
Pension  退休金
Others 其他 		Savings  儲蓄
Inheritance / Gift 遺產/贈物
Sale of Property / Assets  出售物業/資產
 

Joint Client 聯名客戶
  Mr.先生
  Ms.女士
  Mrs.夫人		 English Name:
英文姓名 : 		ID Card No.:
身份證號碼: 		Passport No.:
護照號碼:
Chinese Name:
中文姓名: 		Place of Issue of ID Card:
身份證發出地: 		Place of Issue of Passport:
護照發出地:
Former Name :
前名: 		Country of Birth:
出生國家: 		Date of Birth:
出生日期:
Nationality(Please fill in more than one as appropriate):
國籍(可填寫多於一個): 		Marital Status: Single 未婚 Married已婚
婚姻狀况:
Residential Address:
住宅地址: 		Country國家:

 
Permanent Address (if different from Residential Address):
永久地址 (如與住宅地址不同):
Country國家:

 
(Country Code) Home Tel. No.:
(國家區號) 住宅電話號碼: ( )		 (Country Code) Mobile Phone No.:
(國家區號) 手提電話號碼: ( )

4 Client(s) must specify the number of annual income if their annual income are over $1,000,000. 客戶須註明其入息數字如其收入超過$1,000,000
5 Client(s) must specify the number of net worth if their net worth are over $5,000,000. 客戶須註明其淨資產數字如其淨資產超過$5,000,000

Country(ies)/Jurisdiction(s) of Residence for Tax Purposes (please select one or more as applicable):
稅務居民所在國家/司法管轄區（請選擇一個或多個如適用）: China 中國 Hong Kong, China 中國香港 United States 美國 Others其他:
E-mail Address:
電子郵件地址: 		U.S. Tax Obligation美國稅務責任: Yes 有 (TIN稅務身份號碼: ) No沒有   
Education 教育程度: Primary 小學 Secondary 中學 College 大專 Graduate or above大學或以上
Employment 就業情況: Employed 受僱 Self-employed 自僱 Retired 退休
Unemployed 無業 Housewife家庭主婦
Name of Employer of Primary Client:
客戶受僱/自僱機構名稱: 		Present Position:
現時職位:
Office Address:
辦公室地址: 		Country國家:
(Country Code) Office Tel. No.:
(國家區號) 辦公室電話號碼: ( ) 		(Country Code) Fax No.:
(國家區號) 傳真機號碼: ( )
Company E-mail Address:
公司電子郵件地址:
Employer / Occupation Industry (please select either one) 僱主/職業行業 (只選一項):
Agriculture
        農業		 Fishing
        捕魚業		 Logistics
        物流業		 Retail
        零售業
Business Services
        商業服務		 Forestry
        林業		 Manufacturing
        製造業		 Travel and Tourism
        旅遊業
Gambling
        農業博彩		 Beauty/Healthcare Services
        美容/保健服務		 Mining
        採礦業		 Transportation
        運輸業
Communications
        通訊		 Hotels
        酒店業		 Money Exchange
        貨幣兌換		 Utilities (Electricity)
        公用事業(電力)
Construction
        建設		 Insurance
        保險		 Public Services
        公共服務		 Utilities (Gas)
        公用事業(煤氣)
Engineering
        工程		 Legal
        法律行業		 Real Estate
        房地產		 Utilities (Water)
        公用事業(水)
Finance
        金融		 Leisure & Entertainment
        康樂及娛樂行業		 Restaurants
        餐飲業		 Wholesale/Export/Import
        批發/進出口
Other (please state)   其他(請註明):
Annual Income (HK$):
全年收入(港幣):
< $250,000
  		$250,001-$500,000
 		 $ 500,001-$1,000,000
 		 > HK$1,000,001
Please specify須註明:  
Net Worth (HK$):
凈資產(港幣):
< $500,000
 		 $500,001-$2,500,000
 		 $2,500,001-$5,000,000
 		 > HK$5,000,001
Please specify須註明:  
Source of Funds:
資金來源:
Salary / Business Income  薪俸/營業收入
Return on Investments 投資回報 		Pension  退休金
Others 其他
Source of Wealth:
財富來源:
Salary / Business Income  薪俸/營業收入
Sale of Investments 投資回報
Pension  退休金
Others 其他 		Savings  儲蓄
Inheritance / Gift 遺產/贈物
Sale of Property / Assets  出售物業/資產
 

3 ANTICIPATED LEVEL AND NATURE OF ACTIVITY PER MONTH 預計每月交易次數及種類

Anticipated Investment Products
預計投資產品		 Number of Transactions Per Month
每月交易次數		 Amount of Transactions Per Month(HK$)
每月交易金額 (港幣) 		Anticipated Investment Products
預計投資產品		 Number of Transactions Per Month
每月交易次數		 Amount of Transactions Per Month(HK$)
每月交易金額 (港幣)
Securities證券 Futures & Options期貨及期權
Bonds債券 Forex外匯
Funds基金 Structured products結構性產品

4 OTHER DISCLOSURES 其他資料披露 (Please tick appropriate box. 請在適當空格加√ )

Are you the employee of a SFC’s licensed or registered person?
您是否證監會持牌或註冊人的僱員?

No 不是    Yes 是 (If yes, please specify如果是, 請述明具体: )

Are you or your relatives currently employed by our company?
您或親屬是否現受僱於本公司?

No 不是    Yes 有 (If yes, please specify Name & Relationship如有，請述明姓名及關係: )
Is your spouse currently maintaining Account with our company?
您的配偶是否在本公司開有帳戶?

No 不是    Yes 有 (If yes, please specify如有，請述明帳號: )

Are you, either alone or with your spouse, in control of 35% or more of the issued shares of any corporate client of Guotai Junan?
您是否個人或與您的配偶共同控制任何國泰君安的公司客戶35%以上的股權?

No 不是    Yes 有 (If yes, please specify如有，請述明帳號: )

Have you been arrested/triedntenced/disciplined for illegal activities or violating regulatory requirements?
您是否曾經涉及違法或違反監管守則而被捕/受審/被判刑/被紀律處分?

No 不是    Yes 有 (If yes, please specify如有，請述明具体: )

Are you or your immediate family members politically exposed person (“PEP”), a person connected with PEP, senior government
official or senior executive of a state-owned corporation?
您或您的直系親屬是否政治人物或與其有關連之人士、高級政府官員或國有企業高級行政人員?

No 不是    Yes 有 (If yes, please specify如有，請述明具体: )

Are you the ultimate beneficial owner (“UBO”) of this Account / person ultimately benefiting from the transactions and bearing the risk?
您是否此帳戶的最終實益擁有人/最終受益於交易及承擔風險人士?

Yes 是    No 有 不是(If no, please complete Section 5. 如果不是, 請填寫5)

Are you the person ultimately responsible for originating instructions for the account?
您是否向戶口最終負責發出指示的人士?

Yes 是    No 有 不是(If no, please complete Section 5. 如果不是, 請填寫5)

5 ULTIMATE BENEFICIAL OWNER/PERSON ULTIMATELY BENEFITING FROM THE TRANSACTIONS AND BEARING THE RISKS/PERSON ULTIMATLEY RESPONSIBLE FOR ORIGINATING INSTRUCTIONS FOR THE ACCOUNT
最終實益擁有人/最終受益於交易及承擔風險人士/最終負責發出指示的人士

ULTIMATE BENEFICIAL OWNER
最終實益擁有人 		PERSON ULTIMATELY BENEFITING FROM THE TRANSACTIONS AND BEARING THE RISKS
最終受益於交易及承擔風險人士 		PERSON ULTIMATLEY RESPONSIBLE FOR ORIGINATING INSTRUCTIONS FOR THE ACCOUNT
最終負責發出指示的人士
  Mr.先生
  Ms.女士
  Mrs.夫人		 English Name:
英文姓名 :   		ID Card No.:
身份證號碼:   		Passport No.:
護照號碼:  
Chinese Name:
中文姓名:   		Place of Issue of ID Card:
身份證發出地: 		Place of Issue of Passport:
護照發出地:  
Former Name :
前名:  		 Country of Birth:
出生國家:  		 Date of Birth:
出生日期:  
Nationality(Please fill in more than one as appropriate):
國籍(可填寫多於一個):  		 Marital Status: Single 未婚 Married已婚
婚姻狀况:
Residential Address:
住宅地址:
 
 Country國家:
 
Permanent Address (if different from Residential Address):
永久地址 (如與住宅地址不同):
 
 Country國家:
 
(Country Code) Home Tel. No.:  
(國家區號) 住宅電話號碼: ( )		 (Country Code) Mobile Phone No.:
(國家區號) 手提電話號碼: (  )
Country(ies)/Jurisdiction(s) of Residence for Tax Purposes (please select one or more as applicable):
稅務居民所在國家/司法管轄區（請選擇一個或多個如適用）: China 中國 Hong Kong, China 中國香港 United States 美國 Others其他:
E-mail Address:
電子郵件地址: 		U.S. Tax Obligation美國稅務責任: Yes 有 (TIN稅務身份號碼: ) No沒有   
Relationship between Account Holder and UBO / person ultimately benefiting from the transactions and bearing the risk / person ultimately responsible for originating instructions for the account :
客戶與最終實益擁有人之關係/客戶與最終受益於交易及承擔風險人士之關係/客戶與最終負責發出指示的人士之關係:

6 SIGNING ARRANGEMENT 簽名安排 (For Joint Account Only. 只適用於聯名帳戶 )

The Account can be operated under the instruction of (please tick the appropriate box):
此帳戶可根據以下指示方式操作(請在適當空格加√)﹕
Either one of the account holder; or
任何一位帳戶持有人的指示 		Both account holders
兩位帳戶持有人的指示
Specimen Signature of the Client
客戶簽名式樣 		  Specimen Signature of the
Joint Client
聯名客戶簽名式樣		  

7 STANDING PAYMENT INSTRUCTION 常設收款指示 (For Cash Account Only. 只適用於開設現金帳戶 )

Please pay the money received on my/our behalf into the following bank account opened in my/our own name upon my request.
請在本人要求時將為本人/吾等代收的款項轉帳到下列以本人/吾等名義開設的銀行帳戶。

Name of Bank 銀行名稱: Bank Account No. 銀行帳戶號碼:
Country of Receiving Bank 收款銀行所在國家:

8 PIN SETTING 私人密碼設定

For identification purpose, please provide a Personal Identification Number (PIN) (For Trading By Telephone) :
為了方便在進行電話交易時確認身份，請提供一個私人密碼(PIN) :

9PERSONAL DATA 個人資料

Guotai Junan Securities (Hong Kong) Limited (“GTJAS”) intends to use your personal data in direct marketing which requires your consent.
國泰君安證券 (香港) 有限公司 ("國泰君安證券") 擬使用閣下的個人資料作直接促銷，為此須取得閣下的同意。
By signing this account opening form, you agree to receive promotional and direct marketing information from GTJAS in respect of financial, insurance, securities, investment services and products GTJAS may offer. You further agree that GTJAS may share your personal data with its group companies for marketing purposes. You understand that GTJAS and its group companies may, from time to time, engage third parties to provide marketing services.
通過簽署此開戶申請表格，你同意國泰君安證券向你發放關於財務、保險、證券、投資的服務和產品的推廣資料。你亦同意國泰君安證券與其集團公司分享閣下的個人資料作行銷用途。你亦明白國泰君安證券和其集團公司可不時聘請第三方代表他們提供行銷服務。

10DECLARATION 聲明

I/We hereby declare that I/we am/are the only party who has the ultimate interests in the Account and the information given in this form is true and correct and that I/We have not willfully withheld any material fact(s). I/We understand that I/we may be required to provide additional information or submit documentary proof as to the information provided in this form when requested to do so. I/We understand that my/our submission of this form and the acceptance of this form by you in no way implies approval for opening of the Account for me/us and that you reserve the right to reject my/our application.
本人/吾等謹此聲明本人/吾等為帳戶的最終實益擁有人，表格上提供之所有資料均為真實及正確，本人/吾等並未刻意隱瞞任何重要事實。 除上述提供的資料外，本人/吾等清楚閣下會要求本人/吾等提供更多相關的資料或證明文件。 本人/吾等明白本人/吾等遞交此表格及閣下接納此表格並非表示閣下同意開立帳戶予本人/吾等，並清楚閣下保留拒絕本人/吾等開戶申請之權力。
I/We request you to open a Securities Trading Account (“the Account”) and agree to abide by the rules and regulations of The Stock Exchange of Hong Kong Limited (“SEHK”) or any other regulatory body(ies) as amended from time to time governing the purchase and sale of securities quoted on the SEHK or any other stock exchanges.
本人/吾等向閣下申請開立證券買賣帳戶並同意遵守香港交易所及其他監管機構不時修訂以監管於香港交易所或其他交易所進行證券買賣之條例及規則。
Declaration regarding tax compliance (please tick all the boxes that apply) 有關稅務合規之聲明 (請在所有適當的空格加√ )
1. I/We hereby confirm and declare that, to the best of my knowledge, I/We have not committed or been convicted of tax crimes or tax evasion cases in any country/jurisdiction.
本人/吾等在此確認並聲明就本人/吾等所知所信，本人/吾等未曾作出避稅或稅務罪行等行為，並未曾就有關罪行在任何國家/司法管轄區被定罪。
2. I/We hereby confirm and declare that I/We am/are currently under tax investigation or tax audit in the below country(ies)/ jurisdiction(s):
本人/吾等在此確認並聲明，本人/吾等目前正在以下國家/司法管轄區接受稅務調查或稅務審計:
Name(s) of country(ies)/jurisdiction(s): 國家/司法管轄區:
3. I/We hereby confirm and declare that I/We have committed or convicted of tax crimes or tax evasion cases in the below jurisdictions:
本人/吾等在此確認並聲明，本人/吾等曾作出避稅或稅務罪行等行為，或曾就有關罪行在任何國家/司法管轄區被定罪。
Name(s) of country(ies)/jurisdiction(s): 國家/司法管轄區:
Relevant Year(s) to which such tax crimes/evasion was committed/convicted:
稅務/逃稅犯罪/定罪年期:
4. I/We would like to provide additional information regarding my tax compliance:
本人/吾等欲提供關於本人/吾等的稅務合規的其他信息:
I/We have carefully read and understood the contents of the Client Agreement for Securities Trading Version Series Number (please copy the Version Series Number from the cover page of the Client Agreement for Securities Trading). I/We expressively agree and consent, as evidence by my/our signature(s) below, to each and all the terms and provisions contained in the Client Agreement for Securities Trading. I/We also acknowledge that I/We have been invited to ask questions about the relevant laws and regulations, commission and fees schedules as well as the Risk Disclosure Statement in Clause 14 of the Client Agreement for Securities Trading. I/We have satisfied with the explanations and clarifications provided to me/us. I/We hereby declare that I/we am/are willing and capable of fulfilling the duties and obligations as specified in the Client Agreement for Securities Trading.
本人/吾等已仔細審閱並理解此證券交易客戶協議書序列編碼 (請轉抄自證券交易客戶協議書首頁的序列編碼)的全部內容。本人/吾等的以下簽名表明客戶完全同意和接受此證券交易客戶協議書的全部條款和細節。 本人/吾等並在此聲明，本人/吾等確認本人/吾等有被邀請詢問有關法律法規、佣金費用和此證券交易客戶協議書第14條中有關風險披露聲明等問題。 本人/吾等充分理解相關問題的解釋和說明，本人/吾等有能力並願意履行承擔此證券交易客戶協議書規定的權利和義務。
X X
Primary Client Signature 客戶簽名 Joint Client Signature 聯名客戶簽名
Primary Client Name (Print) 客戶姓名 (請書寫) Date 日期
Joint Client Name (Print) 聯名客戶姓名(請書寫) Date 日期
SIGNED by Witness 見證人簽署
I, the undersigned, have witnessed the signature and inspected the original identity documents of the above-named client.
本人已見證及驗證上述客戶之簽署及有關其身分證明文件之正本。 		SIGNED and DECLARED by Licensed Representative who has
explained to the Client the Risk Disclosure Statements in Clause 14 of the Client Agreement for Securities Trading.
向客戶解釋此證券交易客戶協議書第14條中有關風險披露聲明的持牌代表簽署
Signature of Witness 見證人簽署 Signature of Licensed Representative 持牌代表簽署
Full Name of Witness (Print) 見證人姓名(請以正楷書寫) Full Name of Licensed Representative (Print) 持牌代表姓名(請以正楷書寫)
Witness' Qualification 見證人職位 CE Number of Licensed Representative 持牌代表中央編號
Date 日期 Date 日期