PDF《公司账户核对清单 （只适用于香港注册公司）》

香港上环干诺道中111号永安中心20楼

电话: 3698-6888 传真: 3698-6999

网址: www.

chinastock.com.hk 20th Floor, Wing On Centre,111 Connaught Road Central, Sheung Wan, Hong Kong Tel : 3698-6888 Fax : 3698-6999 website : www.chinastock.com.hk Ver. May

2019 Checklist for Corporate Account (Hong Kong Incorporated) 公司账户核对清单 (只适用于香港注册公司) Please fill in and sign the following account opening documents 需要填写及签署的开户文件 (1) Account Application Form 账户申请表格 (2) Investment Risk Profiling Questionnaire (Corporate Account) 投资风险评估 (公司客户) (3) Self-Certification Form C Entity 自我证明表格C实体账户 (4) Self-Certification Form C Controlling Person 自我证明表格C控权人 (5) Client Money Standing Authority 客户款项常设授权 (For Margin Account 如属I展账户) (6) Letter of Authorization to dispose of, lend or deposit securities and/or securities collateral 有关出售、借出或存放证券及/或证券抵押品的授权书 Please provide the following supporting documents 需要提供文件 (7) Certified true copy of Certificate of Incorporation 公司注册证认证副本 (8) Certified true copy of Business Registration Certificate (where applicable) 商业登记证认证副本 (如适用) (9) Certified true copy of Memorandum &

Articles of Association 公司组织章程大纲及细则认证副本 (10) Certified true copy of a company search report certified by a company registry or professional third party (including the latest Annual Return and its subsequent change of particulars). The company search report should have been issued within the last

6 months. 一份由公司注册处或专业第三者认证的公司查册报告 的认证副本(包括最近期之公司注册处周年报表及其后 更改的资料.) 该公司查册报告应在过去

6 个月内签 发. (11) Certified true copy of Latest Audited Financial Statements 核证最近期经审核之财务报表(适用于非上市公司) (12) Correspondence address proof within last

3 months (if such address is different from the address shown in the Business Registration Certificate under item (8)) 最近

3 个月公司通讯地址证明 (如与第(8)项中的公司 登记地址不同) (13) Board Resolution C 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 证明批准开户及授权有关人士运作该账户的董事局决 议案 (14) Specimen Signatures, addresses and contact numbers of account signatories and authorized persons 帐户签署人及获授权人签名式样、地址及电话 (15) Details of ownership and structure control of the company, e.g. an ownership chart or Significant Controllers Registers. For companies with multiple layers in their ownership structures, please provide us with the documents as item (7) or (10) of all intermediate companies. Where such documentation cannot be provided on a reasonable basis, please provide us with a director'

s declaration incorporating or annexing an ownership chart describing the intermediate layers (including 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. 公司的拥有权及控制权结构详情, 例如拥有权架构表或 重要控制人登记册. 若公司有多层拥有权结构, 请提供中介层公司的相关文 件: 文件(7)或文件(10). 如在合理情况下无法提供上述文件, 请提供纳入或附有 有关公司的拥有权