Individual / Joint Account

Apply in Person

To open an individual/ joint account in Zundiao Securities, please visit our office with the following documents:

1. Proof of identity ( e.g. HKID cards(s) or passport(s) )
2. Proof of residential address issued within the past three months ( e.g. utility statement, bank statement )

Apply by Mail

1. Download & Print Account Opening Form(Including Account Opening Form, Self-Certification Form and Form W-8BEN) and Client Account Agreement in our website
2. Read carefully all the terms and conditions within the Client Account Agreement
3. Fill in and sign the Account Opening Form
4. Return the completed forms to Customer Service Department of Zundiao Securities together with the following documents:
   • Proof of identity copy (e.g. HKID card(s) or passport(s) )
   • Proof of residential address issued within the past three months copy(e.g. utility statement, bank statement )
   • *Witnessing professional's sign on Account Opening Form OR **a cheque with amount not be less than HK$10,000
5. Confirmation call will be made by Zundiao’s staff within a week
6. Your new securities account will be established after the application is approved and the initial deposit is cleared
7. Customer Service Department of Zundiao Securities will send you the account number and passwords by mail or email

Online

1. Complete the Online Account Opening Form
2. Receive the Account Opening Form email and Client Account Agreement after submission
3. Read carefully all the terms and conditions within the Client Agreement
4. Send the following documents to Zundiao Securities’ office, including Signed Account Opening Form, Copy of ID card or passport, Copy of address proof within 3 months, and A cheque with amount HK$10,000*
   *It is required by the SFC that a client opening an account by mail must submit a Hong Kong bank cheque with an amount no less than HK$10,000. The cheque must bear the client's name, and the signature on the cheque must be the same as that on the AO Form to verify identity.
5. Receive the email with account number from Customer Service Department of Zundiao Securities
6. Get account password at Zundiao Securities’ Online Trading Platform
7. Zundiao Securities account is now activated

Remarks

• Mainland residents should provide their certified true copies of ID and passport/ region travel pass
• Overseas residents should provide their certified true copies of passports and residential address proof
  • *According to the Guidelines provided by SFC, witnessing (or verifying) professional should be a registered person, a Justice of Peace, or a professional person such as branch manager of a bank, certified public accountant, lawyer or notary public
  • **Cheques should be issued by a Hong Kong licensed bank bearing your name identical to your identity documents and your signature identical to the signature shown on the Form
• The sum cheques should not be less than *HK$10,000.00 made payable to
• For Securities account: Zundiao Securities Limited
• Cheques will be credited to your trading account, which will be activated after clearing

Corporate Account

Account Opening Information Statement must be accompanied by the following documents (all certified copies must be certified by a company secretary, a director, a lawyer, a certified public accountant or notary public, to be true copies):

1. Self-Certification Form - Entity;
2. Self-Certification Form - Controlling Person;
3. Form W-8BEN-E;
4. Board minutes approving opening of account;
5. A certified copy of the Memorandum and Articles of Association;
6. A certified copy of Certificate of Incorporation;
7. A certified copy of the latest 3 months for address proof of the Company's place of business in Hong Kong (e.g. bank statement or utility bill etc.);
8. HKID/ Passport copies with signatures for all director(s), shareholder(s) holding 10% or more of the voting rights/ share capital and authorized person(s);
9. The latest 3 months for proof of residential address for all director(s), shareholder(s) holding 10% or more of the voting rights/ share capital and authorized person(s)

For Companies Incorporated in Hong Kong

1. A certified copy of valid Business Registration Certificate;
2. Details of Directors in Forms D1, D2 or D3, and latest Annual Return

For Companies Incorporated in Overseas

1. A certified true copy of a company search report certified by a company registry (or similar for company incorporated overseas) or professional third part (certified true copy of a certificate of incumbency), which the report should have been issued within the last 6 months;
2. A certified copy of the Register of Directors;
3. A certified copy of the Register of Members

Asset Proof (for Professional Investors Only)

1. Portfolio of not less than HK$8 million or total assets of not less than HK$40 million or its equivalent in any foreign currency
2. Please provide either one of supporting document(s) listed below
   1. The latest audited financial statements prepared within 16 months before the account opening date; OR
   2. Custodian statements issued by registered institution or licensed corporation within 12 months before the account opening date
3. A certified copy of the Register of Members

Past investment experience and knowledge of person(s) responsible for making investment decision (for Professional Investors Only)

1. Transaction records in relevant product / market in past 2 years
2. Certified documents / Proof of knowledge and expertise in relevant product/market