- Not a US resident or US tax resident
- Have a bank account under your name maintained with a licensed bank in Hong Kong.
- At least 18 years’ old
Client can access Securities Client Agreement by click this Link
| Account Type | Select service(s) |
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Cash AccountPlease open a Cash Account for me/us. I have read and understand the provisions of the Securities Client Agreement and agree to be bound by same. |
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Margin AccountPlease open a Margin Account for me/us. l have read and understand the provisions of the Securities Client Agreement and Margin Client Agreement as set out in Schedule 5 and agree to be bound by same. I authorize Phillip Securities to deal with securities and securities collateral in accordance with the Standing Authority in the Securities Client Agreement. |
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Stock Options AccountPlease provide me with POEMS Electronic Services. I have read and understand the provisions of the On-Line Trading Agreement as set out in Schedule 1 and agree to be bound by same. To apply for Stock Option Account, you must have Risk Profile Level High and Derivatives Knowledge. If you are not eligible to open an account, you may fill in the respective section again or change your selections.” At the bottom of “Option Account” Wording. |
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On-Line Trading ServicePlease provide me with POEMS Electronic Services. I have read and understand the provisions of the On-Line Trading Agreement as set out in Schedule 1 and agree to be bound by same. |
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China Connect Trading ServicePlease grant me access to the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect trading services (“China Connect”). I have read and understand the provisions of the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect Trading Agreement as set out in Schedule 9 and agree to be bound by the same. |
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China Connect Trading ServicePlease grant me access to the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect trading services (“China Connect”). I have read and understand the provisions of the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect Trading Agreement as set out in Schedule 9 and agree to be bound by the same. |
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Client Information
Do you have a preferred Trading Representative / Dealer / Branch?
Phone Number Reminder: +852 for Hong Kong, +86 For Mainland China
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Address and Employment Information
This questionnaire is to capture your general personal circumstances and to assess your overall GENERAL attitude towards investment risks as an investor. Only you can decide what risk/return trade-off you are comfortable with. This guide may help you to assess your tolerance for risk.
Only Clients with a High RPQ Level can apply for an Option Account. Please pay attention to your score after completion. Your score will be set until your account is successfully opened.
lease press the “Next” button to update your RPQ Level by completing the “Risk Profile Questionnaire”.
Only High RPQ Level client can apply for Options, Futures and Leveraged Forex Account. If you believe that the returned result does not reflect your current situation, you may refill the form. Note that even if client does not finish the whole application, your RPQ status will be updated regardless. (e.g. Low to Medium, No RPQ Level to Low
Your Answer :
Assessment Matrix 評估組合
| Q1 | Q2 | Q3 | Q4 | Q5 | Q6 | Q7 | Q8 | |
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| (a) | -20 | -10 | -10[(a)only] | 65 | 0 | 10 | 5 | |
| (b) | 0 | 0 | 0 | 50 | -10 | 0 | 15 | |
| (c) | 0 | 10 | 10 | 20 | -20 | -10 | 20 | |
| (d) | -25 | 25 |
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Maximum accumulated score for Q1-Q4, equal 0.
Q1-Q4 最高累積分數為 0 分
保守型 Conservative
閣下希望儘量避免風險並 期望資產増長的同時得到 最大的保值，願意接受輕 微程度的資本回報。
You are risk adverse and value capital preservation over growth. You are willing to accept minimal capital returns.
平衡型 Balance
閣下願意接受以中等水平的投 資風險換取平穩的資本增長， 能够承受溫和的資本值波動和 能面對偶爾的短期高損失之可 能性。
You are willing to accept a medium level of investment risks in exchange for moderate capital growth. You can tolerate moderate fluctuation of capital values with the possibility of facing occasional high short-term loss.
進取型 Aggressive
閣下樂意接受以非常高水平的投資風險 換取較高的潛在回報，並明白可能在任 何特定時間內投資價值不明確，及非常 困難或沒可能在一段較長的時間內出售 投資產品。因此閣下所投資之本金有機 會招致大部份或全部的損失。
You are willing to accept a very significant level of investment risks in exchange for potential returns. You understand that your investments may have a highly uncertain value at any given time and also be very difficult or impossible to sell over an extended period. Thus, you may lose a significant part or all of your investment capital
I hereby declare that the information I have provided in this form is in all respects true, accurate and complete and agree that my investment risk tolerance analysis is correctly stated above.
- The results of this questionnaire are derived from the information that you have provided to Phillip Securities Group (“the Group”) and on certain generally accepted assumptions and reasonable estimates. Calculations and values used in this questionnaire are used for illustration purpose only. The Group accepts no responsibility or liability as to the accuracy or completeness of the information containing in this questionnaire and/or the results.
- This questionnaire and the results only serve as a reference for your consideration, and are not an offer to sell or a solicitation for an offer to buy any financial products and services and they should not be considered as investment advice or recommendation.
- Please be reminded that any failure to fully disclose all or any of your personal circumstances (e.g. financial situation), inaccurate, incomplete or outdated information may affect our assessment of your attitude and capacity for investment risks. If there is any change in circumstances which may affect your answer(s) to any question in this questionnaire, we strongly recommend that you should complete this questionnaire again.
- According to our internal guideline, only clients with high risk tolerance level are able to trade specific complex products. Clients of expired RPQ are unable to trade those complex products.
Please be reminded that even if you do not complete the application or such application is rejected, your Derivatives Knowledge Status will be updated after the Derivatives Knowledge Questionnaire is submitted. Please refer to the Risk Disclosure Statements in Client Agreement or http://www.poems.com.hk/en-us
I decalse that i hold
For Mainland China ID card holder, please select "Other than Hong Kong Tax Resident". Then on the bottom of this page, fill in "China" under "Jurisdiction of Residence" and your ID card number under "TIN" respectively.
Pursuant to the legal provisions for exchange of financial account information provided under the Inland Revenue Ordinance.
- Reason A – The jurisdiction where the account holder is a resident for tax purposes does not issue TINs to its residents.
- Reason B – TIN is not required. (Select this reason only if the authorities of the jurisdiction of residence do not require the TIN to be disclosed)
- Reason C – The account holder is unable to obtain a TIN. (Explain why the account holder is unable to obtain a TIN if you have selected Reason C)
| Jurisdiction of Residence | TIN | No TIN Reason |
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Please watch the following "Risk Disclosure Video" carefully and confirm after watching.
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The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. The risk of loss in trading futures contracts or options is substantial. In some circumstances, you may sustain losses in excess of your initial margin funds.
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Regardless of your account type, Cash or Margin. Interest will be incurred if the trade is not settled, you should therefore carefully consider whether such a financing arrangement is suitable in light of your own financial position and investment objectives. You may be called upon at short notice to make additional margin deposits or interest payments. If the required margin deposits or interest payments are not made within the prescribed time, your collateral may be liquidated without any consent.
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Market conditions may make it impossible to execute contingent orders, such as “stop-Ioss” or “stop-limit” orders. You should closely monitor your account positions.
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If you undertake Transactions via Electronic Services, you will be exposed to risks associated with the Electronic Services system including the failure of hardware and software, and the result of any system failure may be that your order is either not executed according to client’s Instructions or is not executed at all.
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If you are interested in transactions of foreign or foreign currency dominated products, these products are exposed to exchange rate risk and such products are not protected Compensation fund.
Please select the account opening approach:
Client is required to successfully transfer a deposit of not less than HK$10,000 from a bank account in the client's name maintained with a licensed bank in Hong Kong to the Phillip Securities (Hong Kong) Limited’s bank account and upload the relevant proof.
Client has to complete the online account opening form and visit the head office or branches of Phillip Securities (Hong Kong) Limited’s to verify the documents to complete the account opening process.
Before registering your bank account, please read the following reminder carefully:
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Designated bank must be a bank account in the client’s name maintained with a licensed bank in Hong Kong. For more information on licensed bank, please visit HKMA website : Link
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All future deposits and withdrawals for the client’s trading account must be conducted through the Designated Bank Account(s) only. Client only can deposit from the Designated Bank Account to Phillip Securities (Hong Kong) Limited through online banking.
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Client must successfully transfer an initial deposit of not less than HK$10,000 from designated bank to Phillip Securities(Hong Kong) Limited’s Bank Account. And upload relevant transfer proof in the next section.
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If Phillip Securities(Hong Kong) Limited does not receive sufficient evidence on depositor’s information from client, we will approach client to obtain satisfactory evidence to confirm that the transfer was made from client’s bank account.
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If you prefer using FPS transfer, please input our mobile phone number: 9690 8288 in the payee field, and confirm that the payee name is "Phillip Securites (Hong Kong)Ltd". For more information, here
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If you prefer using FPS transfer, please input our mobile phone number: 9690 8288 in the payee field, and confirm that the payee name is "Phillip Securites (Hong Kong)Ltd". For more information,
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If you prefer using FPS transfer, please input our mobile phone number: 9690 8288 in the payee field, and confirm that the payee name is "Phillip Securites (Hong Kong)Ltd". For more information,
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If you prefer using FPS transfer, please input our mobile phone number: 9690 8288 in the payee field, and confirm that the payee name is "Phillip Securites (Hong Kong)Ltd". For more information,
Before registering your bank account, please read the following reminder carefully:
Before registering your bank account, please read the following reminder carefully:
Please prepare the following document: (Mobile user may use “Take Photo” function)
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Correspondence address(es) proof dated within the last 3 months (P.O. box is not accepted)
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Valid identification document
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Bank proof that shows both the client full name AND bank account number
According to information collected from you, your registered address is:
Please upload your document according to information above.
If using FPS, please make sure that your depositing bank account is the same as the one you use to make the initial deposit.
Please Transfer not less than 10,000 HKD to Phillip Securities's bank account.
Your Designated Bank Account Information
You can change your bank information by going back to the previous part.
Faster Payment System("FPS")
In the message section, please type your own mobile phone number as a reference.
Phillip Securities's Bank Account Information
Please upload your bank transfer proof after successful transaction.
*Your have not submit your application. Please confirm all information given is correct then submit at the bottom.
| 稱謂 Title | |
| 國籍/公民身份 Nationality/Citizenship | |
| 姓氏(英文) English Surname | |
| 名字(英文) English Name | |
| 非英文姓氏 Non-English Surname | |
| 非英文名字 Non-English Name | |
| 證件類別 Type of Identification Document | |
| 身份證或護照號碼 Identity card/ Passport number | |
| 簽發地點 Place of issue | |
| 出生日期 Date of Birth | |
| 出生地點 Country of Birth | |
| 開戶途徑 Channel | |
| 客戶主任編號及姓名 AE code and AE name | |
| 住宅地址 Residential address | |
| 住屋業權 Ownership Of Residence | |
| 郵寄地址 Mailing address |
| 流動電話 Mobile number | |
| 電郵地址 Email address | |
| 住宅電話 Home number | |
| 微信帳號 WeChat ID: (如有 If applicable) | |
| 公司電話 Office number |
| 銀行名稱 Bank Name | |
| 銀行戶口號碼 Designated Bank Account No | |
| 銀行戶口持有人名稱 Designated Bank Account Name |
| 職業性質 Employment type | |
| 行業 Industry | |
| 職業 Occupation | |
| 受僱年期 Years Of Service | |
| 僱主公司名稱 Employer Company Name | |
| 公司地址 Office address | |
| 年薪 Annual income | |
| 流動資產 Liquid Assets | |
| 資產淨值 Net Worth | |
| 其他資產淨值 Other Estimated Net Worth |
| 1. 以往工作收入 Previous Job | |
| 行業 Industry | |
| 職業Occupation | |
| 僱主公司名稱 Employer Company Name | |
| 受僱年期 Years of service | |
| 年薪 Annual income | |
| 2. 家庭成員提供 Provided by Family Member | |
| 成員關係 Relationship with the Family Member | |
| 家庭成員行業 Family Member's Industry | |
| 家庭成員職業 Family Member's Occupation | |
| 3. 投資所得 Investment Earning | |
| 投資所得類型 Investment Type | |
| 其他投資類型 Other investment types | |
| 獲利金額 Investment Profit | |
| 投資本金 Investment Capital | |
| 投資資金來源 Investment Fund Source | |
| 4. 租金收入 Rental Income | |
| 物業持有期 Holding Period of the Properties (Year) | |
| 全年租金收入 Annual Rental Income | |
| 物業購買資金來源 Fund Source of Property Acquisition | |
| 5. 薪金儲蓄 Saving from Salary | |
| 6. 其他收入 Other Income | |
| 風險承受程度 Risk Tolerance Level | |
| 投資者的一般特徵 Investor General Characteristics |
保守型 Conservative 閣下希望儘量避免風險並 期望資產増長的同時得到 最大的保值，願意接受輕 微程度的資本回報。 You are risk adverse and value capital preservation over growth. You are willing to accept minimal capital returns. 平衡型 Balance 閣下願意接受以中等水平的投 資風險換取平穩的資本增長， 能够承受溫和的資本值波動和 能面對偶爾的短期高損失之可 能性。 You are willing to accept a medium level of investment risks in exchange for moderate capital growth. You can tolerate moderate fluctuation of capital values with the possibility of facing occasional high short-term loss. 進取型 Aggressive 閣下樂意接受以非常高水平的投資風險 換取較高的潛在回報，並明白可能在任 何特定時間內投資價值不明確，及非常 困難或沒可能在一段較長的時間內出售 投資產品。因此閣下所投資之本金有機 會招致大部份或全部的損失。 You are willing to accept a very significant level of investment risks in exchange for potential returns. You understand that your investments may have a highly uncertain value at any given time and also be very difficult or impossible to sell over an extended period. Thus, you may lose a significant part or all of your investment capital |
| 總分數 Total Score: | |
| Q1 | |
| Q2 | |
| Q3 | |
| Q4 | |
| Q5 | |
| Q6 | |
| Q7 | |
| Q8 | |
客户聲明 Customer Declaration本人(等) 謹此聲明: 本人(等) 為本問卷所提供資料為真實、正確及全面，並同意上述的投資風險承受能力分析為正確。 I hereby declare that the information I have provided in this form is in all respects true, accurate and complete and agree that my investment risk tolerance analysis is correctly stated above. |
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免責聲明 Disclaimer
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所選擇服務 Account Type
客戶可按此連結 取得証券客戶協議 Client can access Securities Client Agreement by click this Link.
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現金賬戶 Cash Account: 請為我開立現金帳戶。我已經閱讀並明白証券客戶協議的條款，並接受這些條款的約束。 Please open a Cash Account for me/us. I have read and understand the provisions of the Securities Client Agreement and agree to be bound by same. |
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孖展(保證金)帳戶 Margin Account: 請為我開立孖展帳戶。我已經閱讀並明白証券客戶協議及附表5中孖展客戶協議的條款，並接受這些條款的約束。我授權輝立証券根據証券客戶協議中的常設授權運用我的證券及證券抵押品。 Please open a Margin Account for me/us. l have read and understand the provisions of the Securities Client Agreement and Margin Client Agreement as set out in Schedule 5 and agree to be bound by same. I authorize Phillip Securities to deal with securities and securities collateral in accordance with the Standing Authority in the Securities Client Agreement. |
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股票期權帳戶 Stock Options Account: 請為我開立期權帳戶。我已經閱讀並明白附表6中期權交易協議的條款，並接受這些條款的約束。 Please open an Options Account for me. I have read and understand the provisions of the Options Trading Agreement as set out in Schedule 6 and agree to be bound by same. |
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網上交易服務 On-Line Trading Service: 請為我提供POEMS電子服務。我已經閱讀並明白附表1網上交易協議的條款, 並接受這些條款的約束。 Please provide me with POEMS Electronic Services. I have read and understand the provisions of the On-Line Trading Agreement as set out in Schedule 1 and agree to be bound by same. |
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中華通文易服務 China Connect Trading Service: 請為我接駁滬港通和深港通的交易服務（“中華通”）。 我已閱讀並明白附表9所載的滬港通和深港通交易協議的條文，並接受這些條款的約束。 Please grant me access to the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect trading services (“China Connect”). I have read and understand the provisions of the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect Trading Agreement as set out in Schedule 9 and agree to be bound by the same. |
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香港証券股票交易服務 Hong Kong Securities Trading Service: 請為我開通香港証券股票的交易服務。 我已閱讀並明白附表 10 所載的香港証券股票交易及新股認購協議的條文，並接受這些條款的約束。 Please grant me access to the Hong Kong Securities Ttrading Sservices. I have read and understand the provisions of the Hong Kong SecuritiesStock Trading Services and IPO Application Agreement as set out in Schedule 10 and agree to be bound by the same. |
我/吾等確認以下聲明，作為申請以下股票市場的交易服務，明白這些聲明不構成申請成功。輝立証券(香港) 有限公司（"輝立証券"）將根據戶口資料和相關法規作出最終和不可抗辯的決定和不時更改服務狀態，而且 不予通知和不會承擔任何形式的責任或賠償。
I/We confirm the following declaration(s), to apply for activating the trading service for securities markets and understand that the declaration(s) does not constitute the success of the application. Phillip Securities (Hong Kong) Limited ("PSHK") makes a final and incontestable decision and from time to time amends the service status based on account information and relevant rules and laws, without prior notice and is not liable for any liability or claim in any format.
澳洲 Australia:請為我/吾等開啓澳洲股票交易服務，我/吾等沒有持有澳洲國籍、公民或稅務居民資格。 Please activate the Australia Stock Trading Service for me/us. I/We do not hold Australian nationality / citizenship / tax residency status |
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加拿大 Canada:請為我/吾等開啓加拿大股票交易服務，我/吾等沒有持有加拿大國籍、公民或稅務居民資格。 Please activate the Canada Stock Trading Service for me/us. I/We do not hold Canada nationality / citizenship / tax residency status. |
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芬蘭 Finland:請為我/吾等開啓芬蘭股票交易服務，我/吾等沒有持有芬蘭國籍、公民或稅務居民資格。 Please activate the Finland Stock Trading Service for me/us. I/We do not hold Finnish nationality / citizenship / tax residency status. |
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台灣 Taiwan:請為我/吾等開啓台灣股票交易服務，我/吾等沒有持有台灣或中國的國籍、公民或稅務居民資格，或地址，並且投資資金並不來自以上地方。 Please activate the Taiwan Stock Trading Service for me/us. I/We do not hold nationality / citizenship / tax residency status of or address in Taiwan or China. In addition, my/our investment fund does not source from the places. |
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日本 Japan:請為我/吾等開啟日本股票交易服務。我/吾等確認我/吾等並非於日本上市公司擔任 Officer 有關職位(請參考 Article 15 of the Rules Concerning Solicitation for Investments and Management of Customers, etc. by Association Members 中 Officer 的定義) 。 Please activate the Japan Stock Trading Service for me/us. I/We confirm that I/we are not an Officer (as it is defined in Article 15 of the Rules Concerning Solicitation for Investments and Management of Customers, etc. by Association Members) of any company listed on the JPX. |
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韓國 Korea請為我/吾等開啓韓國股票交易服務，我/吾等沒有持有韓國國籍、公民或稅務居民資格亦非於韓國成立之法人。 Please activate the Korea Stock Trading Service for me/us. I/We do not hold Korean nationality / citizenship / tax residency status and we are not established as a legal entity in Korea. |
投資目標 Investment Objective
| (a.) 賺取收入Generating Income | |
| (b.) 資本增長Capital Appreciation | |
| (c.) 對沖Hedging | |
| (d.) 投機Speculation |
投資經驗 Investment Experience
| 上市證券Listed Securities | |
| 牛熊證 /窩輪 CBBC/ Warrants | |
| 期貨或期權 Futures or Options | |
| 槓桿式外匯 Leveraged Foreign Exchange | |
| 單位信託基金或債券 Unit Trusts or Bonds | |
| 結構性產品 Structured Product | |
| 槓桿及反向產品 Leveraged and Inverse Product |
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本人並未有衍生產品之認識 I have NO knowledge of derivative products |
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本人瞭解衍生產品的性質和風險 I understand the nature and risks of derivative products |
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從以下途徑瞭解衍生產品的性質和風險 Understanding the nature and risks of derivative products by the methods below: |
| 本人持有香港稅務居民資格 I hold Hong Kong Tax Residence: | |
| 本人持有香港以外稅務居民資格 I hold tax residence other than Hong Kong : |
| # | 稅務管轄區 Jurisdiction of Residence: | 稅務編號 TIN: | 沒有稅務編號理由 No TIN Reason: |
我知悉在這客戶資料表（“表格”）上所記載之資料，將有可能以作自動交換財務帳戶資料用途。我知悉及同意，輝立証券可根據《稅務條例》（第 112 章）有關交換財務帳戶資料的法律條文，（a）收集本 表格所載資料並可備存作自動交換財務帳戶資料用途及（b）把該等資料和關於我的資料向香港特別行政區政府稅務局申報，從而把資料轉交到我的居留司法管轄區的稅務當局。我確認表格中提供的資訊和聲明是真實和準確的。我承諾，如情況有所改變，以致影響本表格所述的個人的稅務居民身分，或引致本表格所載的資料不正確，我會通知輝立証券，並會在情況發生改變後 30 日內，向輝立証券提交一份已適當更新的綜合戶口資料更改書。 輝立証券有權聯繫任何人，包括客戶的銀行，經紀人或任何信用機構，以驗證本表格上提供的資訊。
I acknowledge that any information contained in this Customer Information Form (‘the Form”) may be provide to a reporting financial institution for the purpose of automatic exchange of financial account information. I agree that (a) the information contained in this form is collected and may be kept by Phillip Securities (Hong Kong) Limited for the purpose of automatic exchange of financial account information, and (b) such information and information regarding the account holder and any reportable account(s) may be reported by the financial institution to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region and exchanged with the tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes, pursuant to the legal provisions for exchange of financial account information provided under the Inland Revenue Ordinance (Cap.112). I declare that the information given and statements made in this form is true and accurate. I undertake to advise Phillip Securities (Hong Kong) Limited of any change in circumstances which affects the tax residency status of the Account Holder(s) of this form or causes the information contained herein to become incorrect, and to provide Phillip Securities (Hong Kong) Limited with a suitably updated Account Particulars Amendment Form within 30 days of such change in circumstances. Phillip Securities (Hong Kong) Limited is authorized to contact anyone, including Customer’s banks, brokers or any credit agency, for verifying the information provided on this form.
| 1. | Name of individual who is the beneficial owner: | |
| 2. | Country of citizenship: | |
| 3. | Permanent Residence address: | |
| 4. | Mailing Address | |
| 5. | U.S. taxpayer identification number (SSN or ITIN), if required: | |
| 6a. | Foreign tax identifying number: | |
| 6b. | Check if FTIN not legally required | |
| 7. | Reference number: | |
| 8. | Date of Birth: | |
| 9. | I certify that the beneficial owner is a resident of within the meaning of the income tax treaty between the United States and that country. | |
| 10. | Special rates and conditions (if applicable—see instructions): The beneficial owner is claiming the provisions of Article and paragraph of the treaty identified on line 9 above to claim a % rate of withholding on (specify type of income): Explain the additional conditions in the Article and paragraph the beneficial owner meets to be eligible for the rate of withholding: | |
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Under penalties of perjury, I declare that I have examined the information on this form and to the best of my knowledge and belief it is true, correct, and complete. I further certify under penalties of perjury that:
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| 1. |
你(及/或聯名帳戶第二持有人)的配偶是否在輝立証券集團 (包括輝立証券(香港)有限公司及有關連的子公司或關連公司之法人團體(不論在香港或其他地方) 包括並不限於輝立商品(香港)有限公司和 輝立資本管理(香港)有限公司)開設任何帳戶? 如是，戶口號碼是： Does your (and /or the Secondary Joint Account Holder’s) spouse maintain any account(s) with Phillip Securities Group (i.e. Phillip Securities (Hong Kong) Limited and its subsidiaries and affiliates which include but is not limited to Phillip Commodities (HK) Ltd. And Phillip Capital Management (HK) Limited)? If yes, the account number is: |
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| 2. |
你(及/或聯名帳戶第二持有人)是否單獨或與配偶共同控制之公司（持有 35% 或以上之投票權）持有輝立証券集團之保證金賬戶? 如是，戶口號碼是： Do you (and /or the Secondary Joint Account Holder) either alone or with your (and /or the Secondary Joint Account Holder’s) spouse control 35% or more of the voting rights of a corporation that maintains a margin account with Phillip Securities Group? If yes, the account number is: |
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| 3. |
你(及/或聯名帳戶第二持有人)是否在任何擔保安排下為其他輝立証券集團孖展客户的財務負債作為擔保人? 如是，戶口號碼是： Are you (and /or the Secondary Joint Account Holder) a guarantor of other margin client(s) of Phillip Securities Group for their financial liabilities under any guarantee arrangement(s)? If yes, the account number of the guaranteed margin account is: |
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你(及/或聯名帳戶第二持有人)的保證金賬戶的財務負債是否由輝立証券集團其他客戶有任何擔保安排? 如是，戶口號碼是： Do you (and /or the Secondary Joint Account Holder) have any financial liabilities under your margin account(s) which are subject to any guarantee arrangement(s) with other client(s) of Phillip Securities Group? If yes, the account number of the guarantor is: |
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通過提供上述信息，您被視為已經同意Phillip Securities (Hong Kong) Ltd（PSHK）收集，使用和披露您的個人信息，用于輝立證券PSHK 開設股票賬戶，包括與您聯繫以獲取其他信息並通過語音電話，短信或電子郵件向您發送營銷，廣告和促銷信息。您可以在任何時候通過發送郵件至 cs@phillip.com.hk 通知我們撤回您的此項授權。
By providing the above information, you are deemed to have provided consent to Phillip Securities HK Ltd(PSHK) to collect, use and disclose your personal data in connection with your application to open an account with PSHK, including to contact you for any additional information and to send you marketing, advertising and promotional information, via voice call, SMS or email. You are entitled to withdraw your consent at any point of time by notifying us at cs@phillip.com.hk in writing.
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全部帳戶持有人應向輝立証券(香港)有限公司(“輝立香港”)報告稅務身份的所有變化。任何有關個人資料的刪改可登入POEMS網站或親臨輝立香港的總行或分行處理。
Account holder(s) should report all changes in his/her tax residency status and/or other personal information to Phillip Securities (Hong Kong) Limited ("PSHK"), you could log in POEMS or visit the head office or branches of PSHK to amend your personal particulars.
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如開戶表並非在輝立香港的職員/代理人面前簽署，帳戶持有人必須遵從以下其中一個程序要求：
If this Form is not executed by the account holders in front of an employee or agent of Phillip Securities or its Associates, the account holders should comply with either one of the following procedural requirements:
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將數額不少於10,000港元的首筆存款，由以客戶名義在香港持牌銀行開立的銀行戶口（指定銀行戶口）成功轉帳至中介人的銀行戶口，而將來所有資金存取須經由該輝立香港已核實的指定銀行戶口。
Successfully transfer an initial deposit of not less than HK$10,000 from a bank account in the client’s name maintained with a licensed bank in Hong Kong (Designated Bank Account) to the intermediary’s bank account. All future deposit and withdrawal of funds must be made through the designated bank account which has been verified by PSHK; or
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由證監會認可的專業人仕 (如：律師、執業會計師、本地持牌銀行經理、 公證人)或本公司職員核證客戶的簽名及身份證明文件
The signature and identity documents of the account holders must be certified by a notary public or professionals (e.g. lawyer, certified public accountant, branch manager of a bank or any other licensed registered person).
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恕不接受第三者存款。任何例外情況都需要管理層的預先批准。
Third-party deposit will not be accepted. Any exception is subject to prior management approval.
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為向 閣下開立投資戶口之用途，輝立香港可能會把 閣下的姓名及聯絡資料轉移至香港境外，交予輝立香港位於新加坡的伺服器處理。該處可能沒有與《個人資料（私隱）條例》大體上相似或達致與此條例的目的相同的目的之法律，亦即是說， 閣下的個人資料未必可以獲得與在香港相同或類似程度的保障。
For the purposes of opening an investment account for you, we may transfer your name and contact details outside Hong Kong to our server situated in Singapore, where there may not be in place data protection laws which are substantially similar to, or serve the same purposes as, the Personal Data (Privacy) Ordinance. That means your personal data may not be protected to the same or similar level in Hong Kong.
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根據“稅務條例”，任何人獲悉在聲明上作出具誤導性，虛假或不正確的陳述，或罔顧該聲明在陳述上是否具誤導性，虛假或不准確之處，即屬違法。任何人觸犯該罪行，一經定罪，可處第3級罰款（即$ 10,000）。
It is an offence under the Inland Revenue Ordinance if any person, makes a statement that is misleading, false or incorrect in a material particular and knows, or is reckless as to whether, the statement is misleading, false or incorrect in a material particular. A person who commits the offence is liable on conviction to a fine at level 3 (i.e. $10,000).
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開戶後，並非所有關於你的申請或程序能經POEMS網站處理，你有可能需要親臨輝立香港的任何分公司處理有關申請或程序。
After the account opened, not all applications/processes related to your account may be handled via POEMS, you may be required to visit PSHK offices in person to handle such application/processes.
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閣下不是證券/ 期貨交易所參與者的雇員或代理人，或於證監會註冊的持牌法團/註冊機構。
You are not an employee or agent of an exchange participant of a stock/ futures exchange, or a licensed corporation or registered institution.
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閣下沒有與輝立証券 (香港)有限公司 (「輝立証劵」) 或聯繫人士的職員或代理人有親戚關係。
You are not a relative of an employee or agent of Phillip Securities (Hong Kong) Limited (“Phillip Securities”) or its Associates.
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我確認是此帳戶的最終實益擁有人。
I acknowledge that I am the ultimate beneficial owner(s) in relation to the account.
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我同意輝立証券或連絡人士以各種方式提供投資或有關財務產品及服務的資料，其包括研究報告及特別優惠等。
I consent to Phillip Securities and/ or its Associates providing information about investment or financial related products and services including research reports and special offers to me by any means.
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我確認輝立証券以客戶選擇的語言（英文或中文）提供證券客戶協議定包括其附表2中的個人資料收集聲明。我確認已閱讀並理解個人資料收集聲明的內容，並且我同意輝立証券根據個人資料收集聲明的條款及用途使用我的個人資料。
I acknowledge that a copy of the Securities Client Agreement including the Personal Information Collection Statement in Schedule 2 were provided in a language of (English or Chinese) of my choice. I acknowledge that I have read and understand the contents of the Personal Information Collection Statement and I consent for Phillip Securities to use my personal data on the terms of and for the purposes set out in the Personal Information Collection Statement.
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我確認輝立証券以客戶選擇的語言（英文或中文）提供證券客戶協定包括其附表3的風險披露聲明及免責聲明。我進一步確認輝立証券已經邀請我閱讀風險披露聲明，提出問題及徵求獨立的意見（如我有此意願）。
I acknowledge that the Securities Client Agreement including the Risk Disclosure Statements and Disclaimers in Schedule 3 attached were provided in a language (English or Chinese) of my choice. I further acknowledge that I was invited to read the risk disclosure statements, ask questions and take independent advice, if I wished.
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我/吾等確認以下聲明，作為申請以下股票市場的交易服務，明白這些聲明不構成申請成功。輝立証券(香港)有限公司（"輝立証券"）將根據戶口資料和相關法規作出最終和不可抗辯的決定和不時更改服務狀態，而且不予通知和不會承擔任何形式的責任或賠償。
I/We confirm the following declaration(s), to apply for activating the trading service for particular securities markets, and understand that the declaration(s) does not constitute the success of the application. Phillip Securities(Hong Kong) Limited ("PSHK") makes a final and uncontestable decision and from time to time amends the service status based on account information and relevant rules and laws, without prior notice and is not liable for any liability or claim in any format.
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我應經常密切留意市況，輝立証券可能在強制平倉前無法與我聯絡或 未能提供足夠時間讓客戶進行額外的存款。
I acknowledge that I should closely monitor positions, as Phillip Securities (Hong Kong) Limited may not be able to contact me or give me sufficient time to deposit additional funds, before forced liquidation of positions.
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輝立証券可向介紹人支付轉介費或介紹費，而該介紹人並非輝立証券的代理人。
Phillip Securities (Hong Kong) Limited may pay fees to any person(s) who referred or introduced me to Phillip Securities (Hong Kong) Limited (the “Introducer”), and that the Introducer is not an agent of Phillip Securities.
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日後就客戶交易戶口作出的所有存款及提款只能透過指定的銀行戶口進行。而存款則需經指定的銀行戶口於網上銀行進行轉帳。
All future deposits and withdrawals for the client’s trading account must be conducted through the Designated Bank Account(s) only. Client only can deposit from the Designated Bank Account to Phillip Securities (Hong Kong) Limited through online banking.
我已觀看“風險披露聲明影片和條款”並了解相關風險。
I have watch “Risk Disclosure Video” and understand relevant risk.
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投資產品價值可升可跌。衍生工具風險更高，資產價值可能跌至零，又或者損失比存入的投資金額更高。
The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. The risk of loss in trading futures contracts or options is substantial. In some circumstances, you may sustain losses in excess of your initial margin funds.
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不論你開的是現金或是孖展帳戶，若延遲交收，都要繳付既定利息，你應該考慮個人狀況來決定開設哪一種投資帳戶。 另外，若果你未能在指定的時間內存入額外的保證金或交收，或市況波動的時候，抵押品有可能在未經你同意情況下被沽出，而你需要承擔當中的虧損。
Regardless of your account type, Cash or Margin. Interest will be incurred if the trade is not settled, you should therefore carefully consider whether such a financing arrangement is suitable in light of your own financial position and investment objectives. You may be called upon at short notice to make additional margin deposits or interest payments. If the required margin deposits or interest payments are not made within the prescribed time, your collateral may be liquidated without any consent.
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市場狀況可能令一些交易指示，例如止蝕盤失效，你需要自己密切留意市況同帳戶資金情況。
Market conditions may make it impossible to execute contingent orders, such as “stop-loss” or “stop-limit” orders. You should closely monitor your account positions.
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電子交易係會帶來額外的風險，你需要明白有關風險和承擔有關損失。
If you undertake Transactions via Electronic Services, you will be exposed to risks associated with the Electronic Services system including the failure of hardware and software, and the result of any system failure may be that your order is either not executed according to client’s Instructions or is not executed at all.
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如果你有興趣買賣香港以外、或以外幣交收的產品，可能有外幣兌換風險, 並且不受投資者賠償基金所保障。
If you are interested in transactions of foreign or foreign currency dominated products, these products are exposed to exchange rate risk and such products are not protected Compensation fund.
| 稱謂 Title | |
| 國籍/公民身份 Nationality/Citizenship | |
| 姓氏(英文) English Surname | |
| 名字(英文) English Name | |
| 非英文姓氏 Non-English Surname | |
| 非英文名字 Non-English Name | |
| 證件類別 Type of Identification Document | |
| 身份證或護照號碼 Identity card/ Passport number | |
| 簽發地點 Place of issue | |
| 出生日期 Date of Birth | |
| 出生地點 Country of Birth | |
| 開戶途徑 Channel | |
| 客戶主任編號及姓名 AE code and AE name | |
| 住宅地址 Residential address | |
| 住屋業權 Ownership Of Residence | |
| 郵寄地址 Mailing address |
| 流動電話 Mobile number | |
| 電郵地址 Email address | |
| 住宅電話 Home number | |
| 微信帳號 WeChat ID: (如有 If applicable) | |
| 公司電話 Office number |
| 銀行名稱 Bank Name | |
| 銀行戶口號碼 Designated Bank Account No | |
| 銀行戶口持有人名稱 Designated Bank Account Name |
| 職業性質 Employment type | |
| 行業 Industry | |
| 職業 Occupation | |
| 受僱年期 Years Of Service | |
| 僱主公司名稱 Employer Company Name | |
| 公司地址 Office address | |
| 年薪 Annual income | |
| 流動資產 Liquid Assets | |
| 資產淨值 Net Worth | |
| 其他資產淨值 Other Estimated Net Worth |
| 1. 以往工作收入 Previous Job | |
| 行業 Industry | |
| 職業Occupation | |
| 僱主公司名稱 Employer Company Name | |
| 受僱年期 Years of service | |
| 年薪 Annual income | |
| 2. 家庭成員提供 Provided by Family Member | |
| 成員關係 Relationship with the Family Member | |
| 家庭成員行業 Family Member's Industry | |
| 家庭成員職業 Family Member's Occupation | |
| 3. 投資所得 Investment Earning | |
| 投資所得類型 Investment Type | |
| 其他投資類型 Other investment types | |
| 獲利金額 Investment Profit | |
| 投資本金 Investment Capital | |
| 投資資金來源 Investment Fund Source | |
| 4. 租金收入 Rental Income | |
| 物業持有期 Holding Period of the Properties (Year) | |
| 全年租金收入 Annual Rental Income | |
| 物業購買資金來源 Fund Source of Property Acquisition | |
| 5. 薪金儲蓄 Saving from Salary | |
| 6. 其他收入 Other Income | |
| 風險承受程度 Risk Tolerance Level | |
| 投資者的一般特徵 Investor General Characteristics |
保守型 Conservative 閣下希望儘量避免風險並 期望資產増長的同時得到 最大的保值，願意接受輕 微程度的資本回報。 You are risk adverse and value capital preservation over growth. You are willing to accept minimal capital returns. 平衡型 Balance 閣下願意接受以中等水平的投 資風險換取平穩的資本增長， 能够承受溫和的資本值波動和 能面對偶爾的短期高損失之可 能性。 You are willing to accept a medium level of investment risks in exchange for moderate capital growth. You can tolerate moderate fluctuation of capital values with the possibility of facing occasional high short-term loss. 進取型 Aggressive 閣下樂意接受以非常高水平的投資風險 換取較高的潛在回報，並明白可能在任 何特定時間內投資價值不明確，及非常 困難或沒可能在一段較長的時間內出售 投資產品。因此閣下所投資之本金有機 會招致大部份或全部的損失。 You are willing to accept a very significant level of investment risks in exchange for potential returns. You understand that your investments may have a highly uncertain value at any given time and also be very difficult or impossible to sell over an extended period. Thus, you may lose a significant part or all of your investment capital |
| 總分數 Total Score: | |
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| Q8 | |
客户聲明 Customer Declaration本人(等) 謹此聲明: 本人(等) 為本問卷所提供資料為真實、正確及全面，並同意上述的投資風險承受能力分析為正確。 I hereby declare that the information I have provided in this form is in all respects true, accurate and complete and agree that my investment risk tolerance analysis is correctly stated above. |
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免責聲明 Disclaimer
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所選擇服務 Account Type
客戶可按此連結 取得証券客戶協議 Client can access Securities Client Agreement by click this Link.
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現金賬戶 Cash Account: 請為我開立現金帳戶。我已經閱讀並明白証券客戶協議的條款，並接受這些條款的約束。 Please open a Cash Account for me/us. I have read and understand the provisions of the Securities Client Agreement and agree to be bound by same. |
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孖展(保證金)帳戶 Margin Account: 請為我開立孖展帳戶。我已經閱讀並明白証券客戶協議及附表5中孖展客戶協議的條款，並接受這些條款的約束。我授權輝立証券根據証券客戶協議中的常設授權運用我的證券及證券抵押品。 Please open a Margin Account for me/us. l have read and understand the provisions of the Securities Client Agreement and Margin Client Agreement as set out in Schedule 5 and agree to be bound by same. I authorize Phillip Securities to deal with securities and securities collateral in accordance with the Standing Authority in the Securities Client Agreement. |
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股票期權帳戶 Stock Options Account: 請為我開立期權帳戶。我已經閱讀並明白附表6中期權交易協議的條款，並接受這些條款的約束。 Please open an Options Account for me. I have read and understand the provisions of the Options Trading Agreement as set out in Schedule 6 and agree to be bound by same. |
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網上交易服務 On-Line Trading Service: 請為我提供POEMS電子服務。我已經閱讀並明白附表1網上交易協議的條款, 並接受這些條款的約束。 Please provide me with POEMS Electronic Services. I have read and understand the provisions of the On-Line Trading Agreement as set out in Schedule 1 and agree to be bound by same. |
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中華通文易服務 China Connect Trading Service: 請為我接駁滬港通和深港通的交易服務（“中華通”）。 我已閱讀並明白附表9所載的滬港通和深港通交易協議的條文，並接受這些條款的約束。 Please grant me access to the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect trading services (“China Connect”). I have read and understand the provisions of the Shanghai-Hong Kong and Shenzhen-Hong Kong Stock Connect Trading Agreement as set out in Schedule 9 and agree to be bound by the same. |
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香港証券股票交易服務 Hong Kong Securities Trading Service: 請為我開通香港証券股票的交易服務。 我已閱讀並明白附表 10 所載的香港証券股票交易及新股認購協議的條文，並接受這些條款的約束。 Please grant me access to the Hong Kong Securities Ttrading Sservices. I have read and understand the provisions of the Hong Kong SecuritiesStock Trading Services and IPO Application Agreement as set out in Schedule 10 and agree to be bound by the same. |
我/吾等確認以下聲明，作為申請以下股票市場的交易服務，明白這些聲明不構成申請成功。輝立証券(香港) 有限公司（"輝立証券"）將根據戶口資料和相關法規作出最終和不可抗辯的決定和不時更改服務狀態，而且 不予通知和不會承擔任何形式的責任或賠償。
I/We confirm the following declaration(s), to apply for activating the trading service for securities markets and understand that the declaration(s) does not constitute the success of the application. Phillip Securities (Hong Kong) Limited ("PSHK") makes a final and incontestable decision and from time to time amends the service status based on account information and relevant rules and laws, without prior notice and is not liable for any liability or claim in any format.
澳洲 Australia:請為我/吾等開啓澳洲股票交易服務，我/吾等沒有持有澳洲國籍、公民或稅務居民資格。 Please activate the Australia Stock Trading Service for me/us. I/We do not hold Australian nationality / citizenship / tax residency status |
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加拿大 Canada:請為我/吾等開啓加拿大股票交易服務，我/吾等沒有持有加拿大國籍、公民或稅務居民資格。 Please activate the Canada Stock Trading Service for me/us. I/We do not hold Canada nationality / citizenship / tax residency status. |
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芬蘭 Finland:請為我/吾等開啓芬蘭股票交易服務，我/吾等沒有持有芬蘭國籍、公民或稅務居民資格。 Please activate the Finland Stock Trading Service for me/us. I/We do not hold Finnish nationality / citizenship / tax residency status. |
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台灣 Taiwan:請為我/吾等開啓台灣股票交易服務，我/吾等沒有持有台灣或中國的國籍、公民或稅務居民資格，或地址，並且投資資金並不來自以上地方。 Please activate the Taiwan Stock Trading Service for me/us. I/We do not hold nationality / citizenship / tax residency status of or address in Taiwan or China. In addition, my/our investment fund does not source from the places. |
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日本 Japan:請為我/吾等開啟日本股票交易服務。我/吾等確認我/吾等並非於日本上市公司擔任 Officer 有關職位(請參考 Article 15 of the Rules Concerning Solicitation for Investments and Management of Customers, etc. by Association Members 中 Officer 的定義) 。 Please activate the Japan Stock Trading Service for me/us. I/We confirm that I/we are not an Officer (as it is defined in Article 15 of the Rules Concerning Solicitation for Investments and Management of Customers, etc. by Association Members) of any company listed on the JPX. |
投資目標 Investment Objective
| (a.) 賺取收入Generating Income | |
| (b.) 資本增長Capital Appreciation | |
| (c.) 對沖Hedging | |
| (d.) 投機Speculation |
投資經驗 Investment Experience
| 上市證券Listed Securities | |
| 牛熊證 /窩輪 CBBC/ Warrants | |
| 期貨或期權 Futures or Options | |
| 槓桿式外匯 Leveraged Foreign Exchange | |
| 單位信託基金或債券 Unit Trusts or Bonds | |
| 結構性產品 Structured Product | |
| 槓桿及反向產品 Leveraged and Inverse Product |
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本人並未有衍生產品之認識 I have NO knowledge of derivative products |
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本人瞭解衍生產品的性質和風險 I understand the nature and risks of derivative products |
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從以下途徑瞭解衍生產品的性質和風險 Understanding the nature and risks of derivative products by the methods below: |
| 本人持有香港稅務居民資格 I hold Hong Kong Tax Residence: | |
| 本人持有香港以外稅務居民資格 I hold tax residence other than Hong Kong : |
| # | 稅務管轄區 Jurisdiction of Residence: | 稅務編號 TIN: | 沒有稅務編號理由 No TIN Reason: |
我知悉在這客戶資料表（“表格”）上所記載之資料，將有可能以作自動交換財務帳戶資料用途。我知悉及同意，輝立証券可根據《稅務條例》（第 112 章）有關交換財務帳戶資料的法律條文，（a）收集本 表格所載資料並可備存作自動交換財務帳戶資料用途及（b）把該等資料和關於我的資料向香港特別行政區政府稅務局申報，從而把資料轉交到我的居留司法管轄區的稅務當局。我確認表格中提供的資訊和聲明是真實和準確的。我承諾，如情況有所改變，以致影響本表格所述的個人的稅務居民身分，或引致本表格所載的資料不正確，我會通知輝立証券，並會在情況發生改變後 30 日內，向輝立証券提交一份已適當更新的綜合戶口資料更改書。 輝立証券有權聯繫任何人，包括客戶的銀行，經紀人或任何信用機構，以驗證本表格上提供的資訊。
I acknowledge that any information contained in this Customer Information Form (‘the Form”) may be provide to a reporting financial institution for the purpose of automatic exchange of financial account information. I agree that (a) the information contained in this form is collected and may be kept by Phillip Securities (Hong Kong) Limited for the purpose of automatic exchange of financial account information, and (b) such information and information regarding the account holder and any reportable account(s) may be reported by the financial institution to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region and exchanged with the tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes, pursuant to the legal provisions for exchange of financial account information provided under the Inland Revenue Ordinance (Cap.112). I declare that the information given and statements made in this form is true and accurate. I undertake to advise Phillip Securities (Hong Kong) Limited of any change in circumstances which affects the tax residency status of the Account Holder(s) of this form or causes the information contained herein to become incorrect, and to provide Phillip Securities (Hong Kong) Limited with a suitably updated Account Particulars Amendment Form within 30 days of such change in circumstances. Phillip Securities (Hong Kong) Limited is authorized to contact anyone, including Customer’s banks, brokers or any credit agency, for verifying the information provided on this form.
| 1. | Name of individual who is the beneficial owner: | |
| 2. | Country of citizenship: | |
| 3. | Permanent Residence address: | |
| 4. | Mailing Address | |
| 5. | U.S. taxpayer identification number (SSN or ITIN), if required: | |
| 6a. | Foreign tax identifying number: | |
| 6b. | Check if FTIN not legally required | |
| 7. | Reference number: | |
| 8. | Date of Birth: | |
| 9. | I certify that the beneficial owner is a resident of within the meaning of the income tax treaty between the United States and that country. | |
| 10. | Special rates and conditions (if applicable—see instructions): The beneficial owner is claiming the provisions of Article and paragraph of the treaty identified on line 9 above to claim a % rate of withholding on (specify type of income): Explain the additional conditions in the Article and paragraph the beneficial owner meets to be eligible for the rate of withholding: | |
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Under penalties of perjury, I declare that I have examined the information on this form and to the best of my knowledge and belief it is true, correct, and complete. I further certify under penalties of perjury that:
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你(及/或聯名帳戶第二持有人)的配偶是否在輝立証券集團 (包括輝立証券(香港)有限公司及有關連的子公司或關連公司之法人團體(不論在香港或其他地方) 包括並不限於輝立商品(香港)有限公司和 輝立資本管理(香港)有限公司)開設任何帳戶? 如是，戶口號碼是： Does your (and /or the Secondary Joint Account Holder’s) spouse maintain any account(s) with Phillip Securities Group (i.e. Phillip Securities (Hong Kong) Limited and its subsidiaries and affiliates which include but is not limited to Phillip Commodities (HK) Ltd. And Phillip Capital Management (HK) Limited)? If yes, the account number is: |
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你(及/或聯名帳戶第二持有人)是否單獨或與配偶共同控制之公司（持有 35% 或以上之投票權）持有輝立証券集團之保證金賬戶? 如是，戶口號碼是： Do you (and /or the Secondary Joint Account Holder) either alone or with your (and /or the Secondary Joint Account Holder’s) spouse control 35% or more of the voting rights of a corporation that maintains a margin account with Phillip Securities Group? If yes, the account number is: |
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你(及/或聯名帳戶第二持有人)是否在任何擔保安排下為其他輝立証券集團孖展客户的財務負債作為擔保人? 如是，戶口號碼是： Are you (and /or the Secondary Joint Account Holder) a guarantor of other margin client(s) of Phillip Securities Group for their financial liabilities under any guarantee arrangement(s)? If yes, the account number of the guaranteed margin account is: |
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你(及/或聯名帳戶第二持有人)的保證金賬戶的財務負債是否由輝立証券集團其他客戶有任何擔保安排? 如是，戶口號碼是： Do you (and /or the Secondary Joint Account Holder) have any financial liabilities under your margin account(s) which are subject to any guarantee arrangement(s) with other client(s) of Phillip Securities Group? If yes, the account number of the guarantor is: |
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通過提供上述信息，您被視為已經同意Phillip Securities (Hong Kong) Ltd（PSHK）收集，使用和披露您的個人信息，用于輝立證券PSHK 開設股票賬戶，包括與您聯繫以獲取其他信息並通過語音電話，短信或電子郵件向您發送營銷，廣告和促銷信息。您可以在任何時候通過發送郵件至 cs@phillip.com.hk 通知我們撤回您的此項授權。
By providing the above information, you are deemed to have provided consent to Phillip Securities HK Ltd(PSHK) to collect, use and disclose your personal data in connection with your application to open an account with PSHK, including to contact you for any additional information and to send you marketing, advertising and promotional information, via voice call, SMS or email. You are entitled to withdraw your consent at any point of time by notifying us at cs@phillip.com.hk in writing.
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全部帳戶持有人應向輝立証券(香港)有限公司(“輝立香港”)報告稅務身份的所有變化。任何有關個人資料的刪改可登入POEMS網站或親臨輝立香港的總行或分行處理。
Account holder(s) should report all changes in his/her tax residency status and/or other personal information to Phillip Securities (Hong Kong) Limited ("PSHK"), you could log in POEMS or visit the head office or branches of PSHK to amend your personal particulars.
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如開戶表並非在輝立香港的職員/代理人面前簽署，帳戶持有人必須遵從以下其中一個程序要求：
If this Form is not executed by the account holders in front of an employee or agent of Phillip Securities or its Associates, the account holders should comply with either one of the following procedural requirements:
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將數額不少於10,000港元的首筆存款，由以客戶名義在香港持牌銀行開立的銀行戶口（指定銀行戶口）成功轉帳至中介人的銀行戶口，而將來所有資金存取須經由該輝立香港已核實的指定銀行戶口。
Successfully transfer an initial deposit of not less than HK$10,000 from a bank account in the client’s name maintained with a licensed bank in Hong Kong (Designated Bank Account) to the intermediary’s bank account. All future deposit and withdrawal of funds must be made through the designated bank account which has been verified by PSHK; or
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由證監會認可的專業人仕 (如：律師、執業會計師、本地持牌銀行經理、 公證人)或本公司職員核證客戶的簽名及身份證明文件
The signature and identity documents of the account holders must be certified by a notary public or professionals (e.g. lawyer, certified public accountant, branch manager of a bank or any other licensed registered person).
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恕不接受第三者存款。任何例外情況都需要管理層的預先批准。
Third-party deposit will not be accepted. Any exception is subject to prior management approval.
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為向 閣下開立投資戶口之用途，輝立香港可能會把 閣下的姓名及聯絡資料轉移至香港境外，交予輝立香港位於新加坡的伺服器處理。該處可能沒有與《個人資料（私隱）條例》大體上相似或達致與此條例的目的相同的目的之法律，亦即是說， 閣下的個人資料未必可以獲得與在香港相同或類似程度的保障。
For the purposes of opening an investment account for you, we may transfer your name and contact details outside Hong Kong to our server situated in Singapore, where there may not be in place data protection laws which are substantially similar to, or serve the same purposes as, the Personal Data (Privacy) Ordinance. That means your personal data may not be protected to the same or similar level in Hong Kong.
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根據“稅務條例”，任何人獲悉在聲明上作出具誤導性，虛假或不正確的陳述，或罔顧該聲明在陳述上是否具誤導性，虛假或不准確之處，即屬違法。任何人觸犯該罪行，一經定罪，可處第3級罰款（即$ 10,000）。
It is an offence under the Inland Revenue Ordinance if any person, makes a statement that is misleading, false or incorrect in a material particular and knows, or is reckless as to whether, the statement is misleading, false or incorrect in a material particular. A person who commits the offence is liable on conviction to a fine at level 3 (i.e. $10,000).
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開戶後，並非所有關於你的申請或程序能經POEMS網站處理，你有可能需要親臨輝立香港的任何分公司處理有關申請或程序。
After the account opened, not all applications/processes related to your account may be handled via POEMS, you may be required to visit PSHK offices in person to handle such application/processes.
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閣下不是證券/ 期貨交易所參與者的雇員或代理人，或於證監會註冊的持牌法團/註冊機構。
You are not an employee or agent of an exchange participant of a stock/ futures exchange, or a licensed corporation or registered institution.
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閣下沒有與輝立証券 (香港)有限公司 (「輝立証劵」) 或聯繫人士的職員或代理人有親戚關係。
You are not a relative of an employee or agent of Phillip Securities (Hong Kong) Limited (“Phillip Securities”) or its Associates.
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我確認是此帳戶的最終實益擁有人。
I acknowledge that I am the ultimate beneficial owner(s) in relation to the account.
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我同意輝立証券或連絡人士以各種方式提供投資或有關財務產品及服務的資料，其包括研究報告及特別優惠等。
I consent to Phillip Securities and/ or its Associates providing information about investment or financial related products and services including research reports and special offers to me by any means.
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我確認輝立証券以客戶選擇的語言（英文或中文）提供證券客戶協議定包括其附表2中的個人資料收集聲明。我確認已閱讀並理解個人資料收集聲明的內容，並且我同意輝立証券根據個人資料收集聲明的條款及用途使用我的個人資料。
I acknowledge that a copy of the Securities Client Agreement including the Personal Information Collection Statement in Schedule 2 were provided in a language of (English or Chinese) of my choice. I acknowledge that I have read and understand the contents of the Personal Information Collection Statement and I consent for Phillip Securities to use my personal data on the terms of and for the purposes set out in the Personal Information Collection Statement.
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我確認輝立証券以客戶選擇的語言（英文或中文）提供證券客戶協定包括其附表3的風險披露聲明及免責聲明。我進一步確認輝立証券已經邀請我閱讀風險披露聲明，提出問題及徵求獨立的意見（如我有此意願）。
I acknowledge that the Securities Client Agreement including the Risk Disclosure Statements and Disclaimers in Schedule 3 attached were provided in a language (English or Chinese) of my choice. I further acknowledge that I was invited to read the risk disclosure statements, ask questions and take independent advice, if I wished.
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我/吾等確認以下聲明，作為申請以下股票市場的交易服務，明白這些聲明不構成申請成功。輝立証券(香港)有限公司（"輝立証券"）將根據戶口資料和相關法規作出最終和不可抗辯的決定和不時更改服務狀態，而且不予通知和不會承擔任何形式的責任或賠償。
I/We confirm the following declaration(s), to apply for activating the trading service for particular securities markets, and understand that the declaration(s) does not constitute the success of the application. Phillip Securities(Hong Kong) Limited ("PSHK") makes a final and uncontestable decision and from time to time amends the service status based on account information and relevant rules and laws, without prior notice and is not liable for any liability or claim in any format.
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我應經常密切留意市況，輝立証券可能在強制平倉前無法與我聯絡或 未能提供足夠時間讓客戶進行額外的存款。
I acknowledge that I should closely monitor positions, as Phillip Securities (Hong Kong) Limited may not be able to contact me or give me sufficient time to deposit additional funds, before forced liquidation of positions.
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輝立証券可向介紹人支付轉介費或介紹費，而該介紹人並非輝立証券的代理人。
Phillip Securities (Hong Kong) Limited may pay fees to any person(s) who referred or introduced me to Phillip Securities (Hong Kong) Limited (the “Introducer”), and that the Introducer is not an agent of Phillip Securities.
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日後就客戶交易戶口作出的所有存款及提款只能透過指定的銀行戶口進行。而存款則需經指定的銀行戶口於網上銀行進行轉帳。
All future deposits and withdrawals for the client’s trading account must be conducted through the Designated Bank Account(s) only. Client only can deposit from the Designated Bank Account to Phillip Securities (Hong Kong) Limited through online banking.
我已觀看“風險披露聲明影片和條款”並了解相關風險。
I have watch “Risk Disclosure Video” and understand relevant risk.
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投資產品價值可升可跌。衍生工具風險更高，資產價值可能跌至零，又或者損失比存入的投資金額更高。
The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. The risk of loss in trading futures contracts or options is substantial. In some circumstances, you may sustain losses in excess of your initial margin funds.
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不論你開的是現金或是孖展帳戶，若延遲交收，都要繳付既定利息，你應該考慮個人狀況來決定開設哪一種投資帳戶。 另外，若果你未能在指定的時間內存入額外的保證金或交收，或市況波動的時候，抵押品有可能在未經你同意情況下被沽出，而你需要承擔當中的虧損。
Regardless of your account type, Cash or Margin. Interest will be incurred if the trade is not settled, you should therefore carefully consider whether such a financing arrangement is suitable in light of your own financial position and investment objectives. You may be called upon at short notice to make additional margin deposits or interest payments. If the required margin deposits or interest payments are not made within the prescribed time, your collateral may be liquidated without any consent.
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市場狀況可能令一些交易指示，例如止蝕盤失效，你需要自己密切留意市況同帳戶資金情況。
Market conditions may make it impossible to execute contingent orders, such as “stop-loss” or “stop-limit” orders. You should closely monitor your account positions.
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電子交易係會帶來額外的風險，你需要明白有關風險和承擔有關損失。
If you undertake Transactions via Electronic Services, you will be exposed to risks associated with the Electronic Services system including the failure of hardware and software, and the result of any system failure may be that your order is either not executed according to client’s Instructions or is not executed at all.
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如果你有興趣買賣香港以外、或以外幣交收的產品，可能有外幣兌換風險, 並且不受投資者賠償基金所保障。
If you are interested in transactions of foreign or foreign currency dominated products, these products are exposed to exchange rate risk and such products are not protected Compensation fund.