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Account Opening and Closing
Item
Account Opening Form (Individual/Joint Account)
Account Opening Form (Corporate Account)
Account Opening Form (Joint Account) (Continuation)
Account Closing Form
Client Agreement
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Account Management
Item
Notification of Change in Account Information
Application of E-Statement Services
Request of Account Statement Duplicates / Confirmation Form
Application of Receiving Trade Confirmation
Application / Cacellation of Quote Services
Notification of Change of Specimen Signature
Securities Account Maintenance Form (Individual / Joint Account)
Securities Account Maintenance Form (Corporate Account)
Application of Services
Item
Application of Additional Trading Services
Application of Additional Securities Account
Application of Additional Futures Account
Supplementary Terms and Conditions for Option Trading (U.S. Stocks)
Supplementary Terms and Conditions for Option Trading (Hong Kong Stocks)
Supplementary Terms and Conditions for Portfolio Investment Services
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Client Investment Suitability
Item
Client Investment Suitability Questionnaire (Individual/Joint Account)
Client Investment Suitability Questionnaire (Corporate Account)
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Fund Deposit and Withdrawal
Item
Request of Fund Withdrawal
Request of Currency Exchange
Cash Transfer Instruction
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Securities Deposit and Withdrawal
Item
Securities Settlement Instruction
Securities Settlement Instruction (Foreign Market)
Request of Physical Stock Share Withdrawal
Securities Transfer Instruction
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Transactions
Item
Fund Application Form
Application of Standing Subscription Instruction
Cancellation of Standing Subscription Instruction
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Derivatives Knowledge Assessment
Item
Risk Disclosure Statement for Derivative Products Traded on Specified Stock Exchanges
Client Confirmation Form for Derivatives Knowledge
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FATCA
Item
W-8BEN (Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals))
W-8BEN-E (Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities))
W-8IMY (Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding and Reporting)
W-9 (Request for Taxpayer Identification Number and Certification)
Notice to Substantial U.S. Owner of Corporate Client - Use of Personal Data relating to Foreign Account Compliance Tax Act of the United States
Notice to Customer Relating to the Foreign Account Tax Complaiance Act of the United States
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Common Reporting Standard (CRS)
Item
Self-Certification Form – Individual
Self-Certification Form – Entity
Self-Certification Form – Controlling Person
Meaning of Terms and Expressions Used in Self-Certification Forms
Frequently Asked Questions
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Letter of Authorization
Item
Letter of Authorization - Authorized Person
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Fee Schedule
Item
Futures and Options Fee Schedule
Stocks and Stock Options Fee Schedule
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