Open Account

Open Account

Client's Information

Name in English
Name in Chinese
Date of Birth
Identity Card Number/Passport Number and Issuing Country
Residential Address
Correspondence Address
Contact information
Employment Information
Please Fill in Details Below if Applicanle
Education Level
Statement Language
Delivery of Account Correspondences (Including but not limited to Statements, Contract Notes and Corporate Action Notes)
Electronic Login Password (If Applicable)

Bank Account Informaiton

Financial Status

Source of Funding
Annual Income (HKD)
Total Net Assets Value (HKD)
Have the client ever declared bankruptcy

Investment Objective and Experience

Investment Objective
Investment Experience
Nil <1 Year 1-5 Years 6-10 Years >10 Years
Futures / Options
Forex / Bullion
Bonds / Funds

Knowledge of Derivatives Products

Have you ever undergo training or attend courses on derivative products with general knowledge of the nature and risks of derivatives?
Are you currently or previously working in relation to derivative products?
Have you traded at least 5 transactions in any derivative products (whether traded on an exchange or not) within the past 3 years?
Have the client ever declared bankruptcy?

Indentity Declaration

Is the Client an employee/account executive or the relative of any employee / account executive or director of Yuanta Group?
Is the client a director or an employee of a person licensed by or registered with the Securities and Futures Commission?

Please provide consent letter from your employer

Has the clients ever had any account opening application rejected by other financial institution?
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?

** 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

Is the client a U.S. citizen or U.S. Tax resident?
Is the client ultimately benefiting from the transactions and bearing the risk of the account?

Related Account(s)

Is the client’s spouse a client of YFHK?
Is the client, either alone or with the client’s spouse, in control of 35% or above of the voting rights of any corporate client who maintain(s) account with YFHK?

Use of Personal Data

I acknowledge that I have hereby informed that group of YFHK, its subsidiaries, its controlling company and the subsidiaries and associated company of such controlling company intends to use and transfer within YFHK Group my personal data for direct marketing of: (i) Financial Services and investment products and advices; (ii) Related promotion scheme; (iii) donations and contributions for charitable and/or non-profit making purposes. Such personal data includes name, contact details, products and services portfolio information, transaction pattern and behaviour, financial background and demographic data. I understand that I may, at any time, require YFHK to cease to use or transfer with in YFHK Group my personal data for direct marketing through written notice.