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Login page
  1. Not a US resident or US tax resident
  2. Have a bank account under your name maintained with a licensed bank in Hong Kong.
  3. At least 18 years’ old

Client must fulfill all the criteria below :

This form is for Non face-to-face uses only. For face-to-face account opening, please select another form in the previous section.

 
 

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.

Service Selection and acknowledgement by Customer
Client can access Securities Client Agreement by click this Link
Account Type Select service(s)
Cash Account

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.
On-Line Trading Service

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.
China Connect Trading Service

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.

Client Information

Do you have a preferred Trading Representative / Dealer / Branch?

Promotion Code
GENERAL INFORMATION
Contact Detail

Phone Number Reminder: +852 for Hong Kong, +86 For Mainland China

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Address and Employment Information

Residential and Mailing Address
**The distance between residential address and office address must be reasonable
Employment Detail
Year (Please fill in Number only)
Financial Information
Investment Objective and Experience
Notes

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”.

Please choose the appropriate answer below.

(Please note that the investments value could rise and fall which is called fluctuation. Investment with higher potential return generally associated with higher risk and also come with higher fluctuation rate. The risk of investment with lower potential return is respectively lower and have a lower fluctuation rate, vice versa.)

Summary

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 :

Marking Scheme/評分準則
Answer 答案 A B C D E
Score 分數 1 2 3 4 5
Low Risk(1) 低風險 (1)
0-8
Low Risk(2) 低風險 (2)
9-16
Medium Risk 中風險
17-30
High Risk 高風險
31-40
投資者的一般特徵 Investor General Characteristics
Total Score得分 Risk Tolerance Level 風險承受能力 Investment Aptitude投 資取向 Suitable Investment Product (Example) 合適投資產品（例如）
Low Risk (1) 低風險 (1) Risk adverse 風險回避型
  • Capital Protection Products 保本產品
Low Risk (2) 低風險 (2) Conservative 保守型
  • Bonds/Funds Classified as Low Risk 風險評級為低風險的債券或基金
Medium Risk 中風險 Moderate 中度進取型
  • Bonds/Funds Classified as Medium Risk Mutual Funds 風險評級為中風險或以下的債券或基金
  • Stock股票
  • High Yield Bonds高息債券
  • Foreign Currencies外幣
  • Commodities商品
  • Bonds/Funds Classified as High Risk 風險評級為高風險或以下的債券或基金
  • Warrants認股權証 (俗稱“窩輪”)
  • Callable Bull/Bear Contracts牛熊證
  • Futures期貨
  • Options期權
  • Structured products結構性產品
  • Alternative Investments另類投資
Customer Declaration:
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.
  1. 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.
  2. 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.
  3. 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.
  4. 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.
Derivatives Knowledge Questionnaire

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

Tax Residency

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)

Please watch the following "Risk Disclosure Video" carefully and confirm after watching.

W-8BEN Form Overview

Purpose of the Form:

  • Establish that you are not a U.S. person
  • Claim that you are the beneficial owner of the income
  • If applicable, claim a reduced rate of, or exemption from, withholding as a resident of a country with which the United States has an income tax treaty.

If you are not a U.S. person, you must fill in W8BEN form.

For more instruction, please visit: W8 Sample

Part I. Identification of Beneficial Owner
Part II. Claim of Tax Treaty Benefits (for chapter 3 purposes only)
Part III. Certification
Risk Disclosure

  1. 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.

  2. 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.

  3. 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.

  4. 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.

  5. 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.

Declaration by Customer
Bank Registration

Before registering your bank account, please read the following reminder carefully:

  1. 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

  2. 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.

  3. 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.

  4. 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.

Before registering your bank account, please read the following reminder carefully:

Before registering your bank account, please read the following reminder carefully:


File Upload

Please prepare the following document: (Mobile user may use “Take Photo” function)

  1. Correspondence address(es) proof dated within the last 3 months (P.O. box is not accepted)

  2. Valid identification document

  3. 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.

Maximum allowed file size is 5MB.
Maximum allowed file size is 5MB.
Maximum allowed file size is 5MB.
Maximum allowed file size is 5MB.
Transfer Upload

Please Transfer not less than 10,000 HKD to Phillip Securities's bank account.

Your Designated Bank Account Information

382 - BANK OF COMMUNICATIONS (HONG KONG) LIMITED
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2

You can change your bank information by going back to the previous part.

Quasar Securities's Bank Account Information

Bank of Communications
Quasar Securities Co., Limited
027-532-932-52462

Please upload your bank transfer proof after successful transaction.

Maximum allowed file size is 5MB.
客戶基本資料 General information
稱謂 Title
國籍/公民身份 Nationality/Citizenship
姓氏 Surname
名字 First Name
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
聯絡資料 Contact details
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
銀行戶口資料 Bank Account Information
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
工作資料 Employment details
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
財政狀況 Financial Information
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
資金來源 Source of Fund
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
風險承受能力問卷 Risk Profile Questionnaire
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.

免責聲明 Disclaimer

  1. 本問卷的結果是從您向本集團提供的資料，並根據若干普遍接納的假設及合理估算而得出。本問卷採用的方法及取值僅供說明用途。本集團對本問卷所載資料及／或所得結果的準確性或完整性並不負責或承擔任何法律責任。

    The results of this questionnaire are derived from the information that you have provided to Quasar Securities Company Limited 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.

  2. 本問卷及所得結果僅供您參考，並非購買或出售任何金融產品及服務的要約或招攬，亦不應被視為投資意見或推薦。

    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.

  3. 請注意，倘若您未能全面披露所有或任何有關您的個人狀況(如財務狀況)、不正確、不完整或過時的資料可能影響本集團評估您對投資風險的態度及承受能力。如您的狀況出現變動而可能影響本問卷中任何問題的答案，我們極力建議您再次填寫本問卷。

    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.

  4. 根據本公司內部指引，風險承受能力為高的客戶，方可買賣特定的複雜產品。未有更新風險承受能力問卷的客戶，將不能買賣那些複雜產品。

    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.

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.

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.

網上交易服務 Online Trading Service:請為我提供互聯網證券交易服務。我已經閱讀並明白附表1網上交易協定的條款, 並同意這些條款的約束。

Please provide me with Internet Trading 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.

中華通交易服務 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.
投資目標及經驗 Investment Objective and Experience
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
衍生工具認識問卷 Derivatives Knowledge Questionnaire

本人並未有衍生產品之認識

I have NO knowledge of derivative products

本人瞭解衍生產品的性質和風險

I understand the nature and risks of derivative products

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:
稅務居民資料 Tax Residency
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，駿昇証券可根據《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，我會通知駿昇証券，並會在情況發生改變後 30 日內，向駿昇証券提交一份已適當更新的綜合戶口資料更改書。 駿昇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 Quasar Securities Company 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 Quasar Securities Company 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 Quasar Securities Company Limited with a suitably updated Account Particulars Amendment Form within 30 days of such change in circumstances. Quasar Securities Company Limited is authorized to contact anyone, including Customer’s banks, brokers or any credit agency, for verifying the information provided on this form.

W8BEN
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:

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:

  • I am the individual that is the beneficial owner (or am authorized to sign for the individual that is the beneficial owner) of all the income to which this form relates or am using this form to document myself for chapter 4 purposes,
  • The person named on line 1 of this form is not a U.S. person,
  • The income to which this form relates is:
    1. not effectively connected with the conduct of a trade or business in the United States,
    2. effectively connected but is not subject to tax under an applicable income tax treaty, or
    3. the partner’s share of a partnership's effectively connected income,
  • The person named on line 1 of this form is a resident of the treaty country listed on line 9 of the form (if any) within the meaning of the income tax treaty between the United States and that country, and

  • For broker transactions or barter exchanges, the beneficial owner is an exempt foreign person as defined in the instructions.

    Furthermore, I authorize this form to be provided to any withholding agent that has control, receipt, or custody of the income of which I am the beneficial owner or any withholding agent that can disburse or make payments of the income of which I am the beneficial owner. I agree that I will submit a new form within 30 days if any certification made on this form becomes incorrect.

利益關係申報 Interest Declaration
1.

你(及/或聯名帳戶第二持有人)的配偶是否在駿昇証券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)? 如是，戶口號碼是：

Does your (and /or the Secondary Joint Account Holder’s) spouse maintain any account(s) with Quasar Securities Company Limited and its subsidiaries and affiliates which include but is not limited to Quasar Securities Company Limited? If yes, the account number is:

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）持有駿昇証券有限公司之保證金賬戶? 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 Quasar Securities Company Limited? If yes, the account number is:
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駿昇証券有限公司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 Quasar Securities Company Limited for their financial liabilities under any guarantee arrangement(s)? If yes, the account number of the guaranteed margin account is:
4.

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駿昇証券有限公司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 Quasar Securities Company Limited? If yes, the account number of the guarantor is:
注意事項 Notes

  1. 通過提供上述信息，您被視為已經同意Quasar Securities Company Limited（QSCL）收集，使用和披露您的個人信息，用於駿昇証券QSCL 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 info.sec@quasar.financial 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 Quasar Securities Company Limited（QSCL） to collect, use and disclose your personal data in connection with your application to open an account with QSCL, 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 info.sec@quasar.financial in writing.

  2. 全部帳戶持有人應向駿昇証券有限公司(“駿昇証券”)報告稅務身份的所有變化。任何有關個人資料的刪改可親臨駿昇証券的總行或分行處理。

    Account holder(s) should report all changes in his/her tax residency status and/or other personal information to Quasar Securities Company Limited ("QSCL"), you could visit the head office or branches of QSCL to amend your personal particulars.

  3. 如開戶表並非在駿昇証券的職員/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 Quasar Securities or its Associates, the account holders should comply with either one of the following procedural requirements:

    • 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駿昇証券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 QSCL; or

    • 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).

  4. 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.

  5. 為向 閣下開立投資戶口之用途，駿昇証券可能會把 閣下的姓名及聯絡資料轉移至香港境外，交予駿昇証券位於境外的伺服器處理。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 out of Hong Kong, 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.

  6. 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).

  7. 開戶後，你有可能需要親臨駿昇証券的任何分公司處理有關申請或程序。

    After the account opened, you may be required to visit Quasar Securities offices in person to handle such application/processes.

  8. 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.

  9. 閣下沒有與駿昇証券有限公司 (「駿昇証券」) 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 Quasar Securities Company Limited (“Quasar Securities”) or its Associates.

條款及細則 Terms and Condition

  1. 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.

  2. 我同意駿昇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 Quasar 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.

  3. 我確認駿昇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，並且我同意駿昇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 Quasar Securities to use my personal data on the terms of and for the purposes set out in the Personal Information Collection Statement.

  4. 我確認駿昇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。我進一步確認駿昇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.

  5. 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。駿昇証券有限公司（"駿昇証券"）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. Quasar Securities Company Limited ("QSCL") 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.

  6. 我應經常密切留意市況，駿昇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 Quasar Securities Company Limited may not be able to contact me or give me sufficient time to deposit additional funds, before forced liquidation of positions.

  7. 駿昇証券可向介紹人支付轉介費或介紹費，而該介紹人並非駿昇証券的代理人。

    Quasar Securities Company Limited may pay fees to any person(s) who referred or introduced me to Quasar Securities Company Limited (the “Introducer”), and that the Introducer is not an agent of Quasar Securities.

  8. 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 Quasar Securities Company Limited through online banking.

風險披露聲明 Risk Disclosure

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.

  1. 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.

  2. 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.

  3. 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.

  4. 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.

  5. 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.

Attachment List
身份證明文件 ID Card

身份證明文件背面 Back of ID

住址證明 Address Proof

銀行戶口證明 Bank Account Proof

轉帳證明 Bank Deposit Slip

Notes

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".

Notes

I acknowledge that I am the ultimate beneficial owner(s) in relation to the account. 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 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. 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. 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. I acknowledge that 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.

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.

Confirmation

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.

Notes
  1. Please prepare a soft copy of an ID copy, residential and correspondence address(es) proof dated within the last 3 months (P.O. box is not accepted) for all account holders with this Form.
  2. 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”) by logging on to POEMS.
  3. 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:
    1. 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
    2. 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).
  4. Third-party deposit will not be accepted. Any exception is subject to prior management approval.
  5. 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.
  6. 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).
  7. 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.
  8. 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.
  9. 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.
  10. To keep a copy of the account opening form, you can take screenshot of each page of the account opening form.
Terms and Condition

  1. I acknowledge that I am the ultimate beneficial owner(s) in relation to the account. 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 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. 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. 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. I acknowledge that 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.

  2. 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 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.

  3. 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.

  4. 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.

  5. I acknowledge that 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.

  6. I acknowledge that 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.

  7. 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.

Notes: Client has to update account particular within 30 days after any change in nationality / citizenship / tax residency status/address/ Officer Status. PSHK will suspend the relevant trading service without prior notice when client changes nationality / citizenship / tax residency status to one of the places mentioned above. Client may bear the relevant legal responsibility if he/she makes or provide misleading, false or incorrect representation and information which violates the local laws and regulations.