Is the Client an employee/account executive or the relative of any employee / account executive or director of Yuanta Group? |
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Is the client a director or an employee of a person licensed by or registered with the Securities and Futures Commission? |
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Please provide consent letter from your employer
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Has the clients ever had any account opening application rejected by other financial institution? |
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Is the client, his/her spouse, partner, children, parents, spouse or partner of his/her children or a close associate** with him/her entrusted with a prominent public function in any place, including a head of state, head of government, senior politician, senior government, judicial or military official, senior executive of a state-owned corporation and an important political party official?
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** a person is a “close associate” of an individual if the person is
1.Individual who has close business relations with the first-mentioned individual, including an individual who is a beneficial owner of a legal person or trust of which the first-mentioned individual is also a beneficial owner; or
2.Individual who is the beneficial owner of a legal person or trust that is set up for the benefit of the irst-mentioned individual
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Is the client a U.S. citizen or U.S. Tax resident? |
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Is the client ultimately benefiting from the transactions and bearing the risk of the account?
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