香 港 聯 合 交 易 所 參 與 者 Exchange Participant of The Stock Exchange of Hong Kong Limited 香 港 德 輔 道 中 308 漩 富 衛 金 融 中 心 1304 室 1304,13/F, FWD Financial Centre, 308 Des Voeux Road Central, Hong Kong. 電 話 Tel: 21108778 傳 真 Fax: 21109478 CE NO. : AJH116 http://www.wintone.com.hk SECURITIES MARGIN TRADING ACCOUNT CLIENT INFORMATION STATEMENT ACCCOUNT TYPE Individual A/C Joint A/C FOR INDIVIDUAL/*JOINT ACCOUNT *Each Individual is required to complete a separate Client Information Statement Account Name : Account No. : AE Name : CE No. : Date : Personal Information English Name ID Card/Passport No. Chinese Name Country of Issue Nationality Date of Birth (dd/mm/yyyy) Gender: Male Female Residential Address (PO box not accepted) Correspondence Address (if difference from above) (PO Box not accepted) Home Telephone No. Email Address Mobile No. Fax No. Ways to send Statements By Email Email Address By Mail Apply for Internet Trading Service No Yes Please complete Internet Trading Service Application Form Occupation Name of Employer Nature of Business Occupation/Position Years of Service Business Address Business Telephone No. Education Level Primary School Secondary School University or above Others 1
Ultimate Beneficial Owner(s) of the Account Are you the ultimate owner(s) of the Account? Yes No Please provide details of the ultimate beneficiary owner(s) Are you the ultimate responsible for all transaction instructed? Yes No Please provide details of the ultimate beneficiary owner(s) Bank Details Funds will be transferred to the following bank accounts pursuant to your fund withdrawal instruction HKD Account Name of Bank CNY Account in HK Name of Bank Account No. Account No. Client Identity Are you an employee of Wintone Securities Limited or its Affiliates? No Yes Please specify Are you relative(s) working in Wintone Securities Limited ( Wintone ) or its Affiliates? No Yes Please specify Are you a licensed/registered person, or an employee of a licensed corporation/registered institution (e.g. employee of a brokerage firm/bank) as defined under the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong)? No Yes Please specify Written consent letter from your employer is required Financial Situation Residence Status Wholly owned Partly owned With Parents Relative s Rented Staff Quarter Others, Please specify With Mortgage Estimated Value HK$ Outstanding loan amount HK$ Estimated Annual Income (HK$): Below HK$200,000 HK$200,000 HK$500,000 HK$500,000 HK$1,000,000 HK$1,000,000 HK$5,000,000 Above HK$5,000,000 Other Income Source Approximate Net Asset Value (Total Assets Total Liabilities) (HK$) Below HK$500,000 以 下 HK$500,000 HK$3,000,000 HK$3,000,001 HK$5,000,000 HK$5,000,001 HK$30,000,000 Above HK$30,000,000 2
Source of Fund (you may choose more than one option) Earnings/Bonus/Savings Return of Investments Sales of Investments Sale of Property Inheritance/Gift Pension Others Investment Objective (you may choose more than one option) Capital Preservation Beat Inflation Dividend Income Capital Gain Speculation Hedging Others, please specify Investment Experience Product Frequency of transactions per annum Year Investment Experience Listed Securities <5 5 20 >20 Nil <1 year 1-5 year >5 year Derivative Warrants <5 5 20 >20 Nil <1 year 1-5 year >5 year Callable Bull/ Bear Contracts <5 5 20 >20 Nil <1 year 1-5 year >5 year ELI <5 5 20 >20 Nil <1 year 1-5 year >5 year Debt Securities <5 5 20 >20 Nil <1 year 1-5 year >5 year Futures/Options <5 5 20 >20 Nil <1 year 1-5 year >5 year Others <5 5 20 >20 Nil <1 year 1-5 year >5 year Other relevant investment experience: Client s Knowledge of Derivative Products The Client acknowledges and understands Wintone will assess whether the Client has adequate knowledge on derivative products according to the information the Client provided. ETF Derivative Callable Bull/ ELI Debt Securities Warrants Bear Contracts 1. The Client underwent training or attended course on the product. 2. The Client has current or previous work experience related to the product. 3. The Client has executed five or more transactions within the past 3 years in the product.. 4. Others (if any) The Client acknowledges and confirms to trade derivative products ticked in the box below with and through Wintone. The Client confirms and accepts the explanation of risks in trading different derivative products provided by Wintone. The client clearly understands the risks they may be caused by trading these derivative products and agrees to bear such risks, as well as to take responsibilities involved. ETF(A) Derivative Warrants(B) Callable Bull/Bear Contracts(C) ELI(D) Debit Securities(E) The Client will NOT trade derivative products without tick in the box above with and through Wintone. However, if the Client start trading derivative products with and through Wintone, the Client acknowledge and accept the risks that may be caused by trading these derivative products and agree to bear such risks, as well as to take responsibilities involved. 3
Related Margin Account Does the Client s spouse have a Margin Account with Wintone? No Yes, please specify Account No. Account Holder s Name Does the Client control 35% or more of the voting rights of another Margin Account with Wintone? No Yes, please specify Account No. Account Holder s Name Does the Client have a Margin Account opened by one of the companies of the Client? No Yes, please specify Account No. Account Holder s Name Applicant s Acknowledgement and Confirmation Note that all transactions to be concluded with or through Wintone shall be subject to the terms and conditions to the Client Agreement (as defined below); and The client acknowledges and confirms that the Client has completed a Standing Authority whereby the Client has authorized Wintone to deal with all securities and charged securities maintained by the Client Account with Wintone and/or its Affiliates on the terms set out in the appendix Standing Authority, as may be amended from time to time. This Client Securities Standing Authority is valid from the date hereof and expires on the 31st day of March after the date hereof and may be renewed or deemed to be renewed for subsequent periods of 12 months Read the Client Agreement (including Risk Disclosure Statements) which you have been provided in a language (English or Chinese) of your choice carefully, ask questions and take independent advice if the Client so wish. I/We acknowledge my/our receipt of the Client Agreement of Wintone (including all Sections thereunder and Appendices thereto), the Risk Disclosure Statement, the Client Information Statement and any other agreements of documents related to the opening of the Account(s), whenever applicable (collective the Client Agreement ) and confirm that the Client Agreement (including Risk Disclosure Statements) were provided to me/us in a language (English or Chinese) of my/our choice and I/we was/were invited to read the Client Agreement (including Risk Disclosure Statements) carefully, ask questions and take independent advice if I/we so wish. I/We confirm that I/we have carefully read, fully understood and accepted all the terms and provisions contained in the Client Agreement (including Risk Disclosure Statements) and shall be bound by the Client Agreement (including Risk Disclosure Statements) as it may be amended from time to time. Applicant s Consent to Use of Personal Data The Client has carefully read, fully understood and agreed to accept and be bound by the Notice and Statement relating to the Personal Data (Privacy) Ordinance as set out in Appendix II to the Client Agreement. Unless the Client do not agree to the use of the Client s personal data for direct marketing by ticking the box below, the Client acknowledges and consents to the use and/or transfer of his/her personal data for direct marketing as set out in the Notice on Personal Data (Privacy) Ordinance. I/We DO NOT agree Wintone to use and/or transfer my/our personal data for direct marketing purpose. 4
Applicant s Declaration The Client represents that all Client Information is in all respects true, complete and correct and that the representations in the Client Agreement are accurate as at the date hereof. Wintone is authorized at any time to contact any person, including but without limitations to the Client s banks, brokers or any credit agency, for purposes of verifying the Client Information. The Client undertakes to notify Wintone in writing forthwith upon any changes in any such Client Information. Wintone is entitled to rely fully on any of the Client s certification and confirmation contained for all purposes, unless Wintone receives prior notice in writing of any changes thereof. Signed by Client Name of Client: Date: Declaration by the Registered Person I, (name of registered person) CE number, declare that I have provided this risk disclosure statement to (name of client) in a language of the client s choice (English or Chinese) and have invited the client to read the risk disclosure statement, ask questions and take independent advice if the client wishes. Signed by registered person Date : 12-2013 5
STANDING AUTHORITY To : Wintone Securities Limited Dear Sirs, Unless otherwise defined, the terms used in this letter shall have the same meanings as in the Securities and Futures Ordinance, the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules as amended from time to time. Client Money Standing Authority The Client Money Standing Authority covers money held or received by the Company in Hong Kong (including any interest derived from the holding of the money which does not belong to the Company) in one or more segregated account(s) on my/our behalf ( Monies ). I/We authorize the Company to: (i) (ii) (iii) (iv) combine or consolidate any or all segregated accounts, of any nature whatsoever and either individually or jointly with others, maintained by the Company or its Affiliates (as defined in the Margin Client Agreement as amended from time to time) and the Company may transfer any sum of Monies to and between such segregated account(s) to satisfy my/our Liabilities (as defined in the Margin Client Agreement as amended from time to time) to the Company or its Affiliates and that account is a segregated account: set-off or transfer any sum of Monies interchangeably between and of the segregated accounts maintained at any time by the Company or its Affiliates towards satisfaction of any of the Liabilities to the Company or its Affiliates; transfer my funds standing from time to time in any account maintained at any time by me/us with the Company or its Affiliates (as defined in the Margin Client Agreement as amended from time to time); transfer our Monies held or received by the Company in Hong Kong to an account outside Hong Kong. Client Securities Standing Authority The Client Securities Standing Authority is in respect of the treatment of the Client s securities or securities collateral as set out below. I/We authorize the Company to: (i) (ii) (iii) (iv) apply any of my/our securities or securities collateral pursuant to a securities borrowing and lending agreement; deposit any of my/our securities or securities collateral with an authorized financial institution as collateral for financial accommodation provided to the Company; deposit any of my/our securities collateral with the Hong Kong Securities Clearing Company Limited (HKSCC) as collateral for the discharge and satisfaction of the Company s settlement obligations and liabilities. I/We understands that HKSCC will have a first fixed charge over the Client s securities to the extent of the Company s obligations and liabilities; deposit any of my/our securities collateral with any other recognized clearing house, or another intermediary licensed or registered for dealing in securities, as collateral for the discharge and satisfaction of the Company s settlement obligations and liabilities; and 6
(v) apply or deposit any of my/our securities collateral in accordance with Clauses (i), (ii), (iii) and /or (iv) above if the Company provides financial accommodation to me/us in the course of dealing in securities and also provides financial accommodation to me/us in the course of any other regulated activity for which the Company is licensed or registered. I/We acknowledge and agree that the Company may do any of the things set out above without giving me/us notice. I/We also acknowledge that: (i) (ii) the Client Money Standing Authority is given without prejudice to other authorities or rights which the Company or its Affiliates may have in relation to dealing in Monies in the segregated accounts: and the Client Securities Standing Authority shall not affect the Company s right to dispose or initiate a disposal by the Company s associated entity of my/our securities or securities collateral in settlement of any liability owed by or on behalf of me/us to the Company, the associated entity or a third person. I/We understand that a third party may have rights to my/our securities, which the Company must satisfy before my/our securities can be returned to the Client. Each of the Client Money Standing Authority and the Client Securities Standing Authority is valid from the date hereof and expires on the 31st day of March after the date hereof, subject to renewal by me/us deemed renewal under the Client Money Rules or Client Securities Rules (as the case may be) referred to below. Each of the Client Money Standing Authority and the Client Securities Standing Authority may be revoked by giving the Company written notice addressed to the Company s address specified in the Client Information Statement or such other address which the Company may notify me/us in writing for this purpose. Such notice shall take effect upon the expiry of 14 days from the date of the Company s actual receipt or such notice. I/We understand that each of the Client Money Standing Authority and the Client Securities Standing Authority shall be deemed to be renewed on a continuing basis without my/our written consent if the Company issues me/us a written reminder at least 14 days prior to the expiry date of the relevant authority, and I/we do not object to such deemed renewal before such expiry date. The Company shall give a written confirmation of the renewal of the standing authority to the client within one week after the date of expiry. This letter has been explained to me/us and I/we understand and agree with the contents of this letter. Yours faithfully, Signed By Client Signature Date: Name of Client: Account No.: Signature (for joint account) Date: Name of Client: Account No.: 7