ACCOUNT OPENING FORM - ffg.com.hkfb.ffg.com.hk/download/doc/accountopeningform.pdf · 2016-05-02 · ACCOUNT OPENING FORM (FOR INDIVIDUAL/ JOINT ACCOUNT/ SOLE PROPRIETOR/ PARTNERSHIP)

ACCOUNT OPENING FORM

(FOR INDIVIDUAL/ JOINT ACCOUNT/

SOLE PROPRIETOR/ PARTNERSHIP)

開戶表格

(個人/ 聯名/ 全東/ 合夥公司)

33/F, COSCO Tower, Grand Millennium Plaza,

183 Queen's Road Central, Hong Kong

香港中環皇后大道中 183 號新紀元廣場中遠大廈 33 樓

沒有達不成的夢想沒有達不成的夢想沒有達不成的夢想沒有達不成的夢想 富昌金融富昌金融富昌金融富昌金融

Ver: 20150616

33/F, COSCO Tower, Grand Millennium Plaza,

183 Queen’s Road Central, Hong Kong

香港中環皇后大道中 183 號新紀元廣場中遠大廈 33 樓

Tel 電話 ： (852) 2121 8333 Fax 傳真： (852) 2180 9168

Fulbright Securities Limited (“FSL”) 富昌證券有限公司富昌證券有限公司富昌證券有限公司富昌證券有限公司 (“富昌證券富昌證券富昌證券富昌證券”) (CE No. 中央編號: AFB820)

Fulbright Futures Limited (“FFL”) 富昌富昌富昌富昌期貨期貨期貨期貨有限公司有限公司有限公司有限公司 (“富昌富昌富昌富昌期貨期貨期貨期貨”) (CE No. 中央編號: AME963)

Ver:20150616 1

ACCOUNT OPENING FORM 開戶表格開戶表格開戶表格開戶表格 (For Individual 個人個人個人個人/Joint Account 聯名聯名聯名聯名/Sole Proprietor 獨資企業獨資企業獨資企業獨資企業/Partnership 合夥公司合夥公司合夥公司合夥公司)

Account Nature 帳戶形式帳戶形式帳戶形式帳戶形式 Individual 個人 Joint 聯名 Sole Proprietor 獨資企業獨資企業獨資企業獨資企業 Partnership 合夥公司

Account Type 帳戶類別帳戶類別帳戶類別帳戶類別 Account No. 帳戶號碼帳戶號碼帳戶號碼帳戶號碼 Account Type 帳戶類別帳戶類別帳戶類別帳戶類別 Account No. 帳戶號碼帳戶號碼帳戶號碼帳戶號碼

Securities Cash 證券現金 Futures 香港期貨

Securities Margin 證券保證金 Global Futures 環球期貨

Global Stock 環球證券 Stock Options 股票期權

CIES 投資移民 Others 其他(_____________)

Internet Trading Service 網上交易網上交易網上交易網上交易服務服務服務服務 Securities 證券 Stock Options 股票期權 Futures 期貨

A. Individual/Primary Joint Account Holder

個人個人個人個人/聯名帳戶主要持有人聯名帳戶主要持有人聯名帳戶主要持有人聯名帳戶主要持有人

1. Client Information 客戶資料客戶資料客戶資料客戶資料

客戶姓名 先生/女士 Client Name Mr./Ms.

I.D. Card/Passport No.

身份證/護照號碼

Nationality

國籍

Education Level

教育程度

□ University or above

大學或以上

□ Secondary

中學

□ Primary school or below

小學或以下

□ Others 其他

________________________

Full Residential Address

住宅地址

Home Tel No.

住宅電話號碼

Mobile Phone No.

手提電話號碼

Fax No.

傳真號碼

E-mail Address

電郵地址

2. Employment Status 工作狀況工作狀況工作狀況工作狀況

□ Employed 受僱 □ Self-Employed 自僱 □ Retired 退休 □ Housewife 家庭主婦 □ Others 其他 ______________________

Name(s) of Employer

僱主名稱:

Office Tel No.

公司電話號碼

Office Address

公司地址:

Nature of Business

業務性質:

Years of Service

服務年資:

Position

職位:

3. Financial Situation 財政狀況財政狀況財政狀況財政狀況

Source of Funding 資金來源 Annual Income (HKD)

每年收入(港元)

Asset Items

資產項目

Total Net Asset Value (HKD)

資產淨值(港元)

□ Salary 薪金 □ Commission 佣金

□ Family Income 家庭收入 □ Rental Income 租金收入

□ Retirement Fund 退休基金 □ Others 其他:

□ Business Profit 營業溢利 ____________________

□ Dividend 股息 / Interest 利息

□ Personal Savings 個人儲蓄

□ Investment Income 投資收入

□ < 120,000

□ 120,000–360,000

□ 360,001–600,000

□ 600,001–

1,200,000

□ > 1,200,000

□ Land and Property 房地產

□ Cash 現金 / Deposit 存款

□ Listed securities 上市證券

□ Vehicle(s) 車輛

□ Others 其他:___________

□ < 100,000

□ 100,000 – 300,000

□ 300,001 – 500,000

□ 500,001 – 1,000,000

□ 1,000,001 – 5,000,000

□ > 5,000,000

Ver:20150616 2

4. Investment Experience & Derivative Products Knowledge 投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識

(i) Investment Objective(s) (please select one) 投資目標 (請選擇一項)

□ Dividend Income 股息收入 □ Capital Appreciation 資本增值 □ Speculation 投機 □ Hedging 對沖

□ Others 其他 _________________________________

(ii) Investment Experience 投資經驗

□ Stock 股票 年數 Yr(s) □ Derivative Warrants 衍生認股證 年數 Yr(s)

□ Callable Bull/Bear Contracts (CBBC) 牛熊證 年數 Yr(s) □ Futures & Options 期貨及期權 年數 Yr(s)

□ Mutual Funds/Unit Trust 互惠基金/單位信託基金 年數 Yr(s) □ Hedge Funds 對沖基金 年數 Yr(s)

□ Structured Investment Products 結構性產品 年數 Yr(s) □ Fixed Income Securities 固定收益證券 年數 Yr(s)

□ Others 其他 ____________________________ 年數 Yr(s)

(iii) Assessment of Client’s Knowledge of Derivatives (please answer all questions) 客戶對衍生工具的認識評估 (請回答所有問題)

1. Have you undergoing any training or attending any courses that provide general knowledge of the nature and risks of derivatives (e.g. relevant

online or classroom courses offered by academic institutions or financial institutions)? If yes, please specify: 你是否已接受任何有關介紹一般衍

生產品之性質及風險的培訓或課程 (例如由學術機構或金融機構所提供之網上課程或教室課程)? 如有，請註明:

Name of course/seminar 課程/研討會名稱:

Organizer 主辦機構: Year of Participation 參與年份:

2. Do you have any current or previous work experience related to derivative products? If yes, please specify: 你現時或過去是否擁有與衍生產品有

關的工作經驗? 如是，請註明:

Name of employer 任職公司名稱: Position 職位:

3. Have you executed 5 or more transactions in any derivative products within the past three years? If yes, please state the derivative product(s)

you have traded: 你曾否在過去三年執行過五次或以上有關任何衍生產品的交易? 如有，請提供有關產品的名稱:

□ Callable Bull/Bear Contracts (CBBC)

牛熊證

□ Derivative Warrants

衍生認股證

□ Futures and Options

期貨或期權合約交易

□ Stock Options

股票期權

□ Synthetic Exchange Traded Funds (ETF)

合成 ETF

□ Equity Linked Products

股票掛鈎產品

□ Others (Please specify)

其他 (請註明) :

The above Client is characterized as a client 上述客戶被歸類為上述客戶被歸類為上述客戶被歸類為上述客戶被歸類為

without knowledge of derivatives 「「「「對衍生工具沒有認識對衍生工具沒有認識對衍生工具沒有認識對衍生工具沒有認識」」」」 ASSESSMENT RESULT 評估結果評估結果評估結果評估結果

(FOR OFFICAL USE ONLY 只供本公司使用只供本公司使用只供本公司使用只供本公司使用)

with knowledge of derivatives 「「「「對衍生工具有認識對衍生工具有認識對衍生工具有認識對衍生工具有認識」」」」

5. Disclosure 披露披露披露披露

1. Are you a director or an employee of any corporation licensed or registered with Hong Kong Securities and Futures Commission?

閣下是否香港證監會持牌人或註冊人之董事或僱員?

□ No

不是

□ Yes, the name of Licensed/ Registered Person:

是，持牌或註冊人名稱：___________________________________________

2. Are you an employee/account executive or the relative of employee/account executive of FSL or FFL?

閣下是否富昌證券或富昌期貨的僱員／營業經紀或該人士的親屬？

□ No

不是

□ Yes Name of Employee/Account Executive 僱員/營業經紀姓名: ____________________________

是 Relationship 關係: ____________________________

3. Are you a substantial shareholder*, a senior officer or director of any (listed) company whose shares are traded on any exchange or market?

(For Securities Account only) 閣下是否任何其股份在交易所或市場買賣的(上市)公司之主要股東*、高級人員或董事？ (只適用於證券帳戶)

□ No 不是 □ Yes. Company Name & Stock Code 是。公司名稱及上市編號: __________________________________________________

* “substantial shareholder” means, in relation to a company, a person who is entitled to exercise, or control the exercise of, 10% or more of the voting power at any

general meeting of that company. 「主要股東」指，就一間公司而言，任何人士其於該公司之任何股東大會有權行使，或可控制行使，10%或以上之投票權

4. For Securities Margin Accounts Only 只適用於證券保證金帳戶:

(i) Is your spouse a margin client of FSL? 閣下的配偶是否富昌證券的證券保證金客戶？

□ No 不是 □ Yes 是 Name of the Spouse 配偶姓名： Account No. 帳戶號碼：

(ii) Do you alone or jointly with your spouse control 35% or more of the voting rights of any corporate margin client of FSL? 閣下是否單獨或與配

偶共同控制富昌證券的任何證券保證金公司客戶 35%或以上的表決權？

□ No 不是 □ Yes 是 Company Name 公司名稱： Account No. 帳戶號碼：

Ver:20150616 3

B. Secondary Joint Account Holder

聯名帳戶第二持有人聯名帳戶第二持有人聯名帳戶第二持有人聯名帳戶第二持有人

1. Client Information 客戶資料客戶資料客戶資料客戶資料

客戶姓名 先生/女士 Client Name Mr./Ms.

I.D. Card/Passport No.

身份證/護照號碼

Nationality

國籍

Education Level

教育程度

□ University or above

大學或以上

□ Secondary

中學

□ Primary school or below

小學或以下

□ Others 其他

________________________

Full Residential Address

住宅地址

Home Tel No.

住宅電話號碼

Mobile Phone No.

手提電話號碼

Fax No.

傳真號碼

E-mail Address

電郵地址

2. Employment Status 工作狀況工作狀況工作狀況工作狀況

□ Employed 受僱 □ Self-Employed 自僱 □ Retired 退休 □ Housewife 家庭主婦 □ Others 其他______________________

Name(s) of Employer

僱主名稱:

Office Tel No.

公司電話號碼

Office Address

公司地址:

Nature of Business

業務性質:

Years of Service

服務年資:

Position

職位:

3. Financial Situation 財政狀況財政狀況財政狀況財政狀況

Source of Funding

資金來源

Annual Income (HKD)

每年收入(港元)

Asset Items

資產項目

Total Net Asset Value (HKD)

資產淨值(港元)

□ Salary 薪金 □ Commission 佣金

□ Family Income 家庭收入 □ Rental Income 租金收入

□ Retirement Fund 退休基金 □ Others 其他:

□ Business Profit 營業溢利 ____________________

□ Dividend 股息 / Interest 利息

□ Personal Savings 個人儲蓄

□ Investment Income 投資收入

□ < 120,000

□ 120,000–360,000

□ 360,001–600,000

□ 600,001–

1,200,000

□ > 1,200,000

□ Land and Property 房地產

□ Cash 現金 / Deposit 存款

□ Listed securities 上市證券

□ Vehicle(s) 車輛

□ Others 其他:___________

□ < 100,000

□ 100,000 – 300,000

□ 300,001 – 500,000

□ 500,001 – 1,000,000

□ 1,000,001 – 5,000,000

□ > 5,000,000

4. Investment Experience & Derivative Products Knowledge 投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識

(i) Investment Objective(s) (please select one) 投資目標 (請選擇一項)

□ Dividend Income 股息收入 □ Capital Appreciation 資本增值 □ Speculation 投機 □ Hedging 對沖

□ Others 其他 _________________________________

(ii) Investment Experience 投資經驗

□ Stock 股票 年數 Yr(s) □ Derivative Warrants 衍生認股證 年數 Yr(s)

□ Callable Bull/Bear Contracts (CBBC) 牛熊證 年數 Yr(s) □ Futures & Options 期貨及期權 年數 Yr(s)

□ Mutual Funds/Unit Trust 互惠基金/單位信託基金 年數 Yr(s) □ Hedge Funds 對沖基金 年數 Yr(s)

□ Structured Investment Products 結構性產品 年數 Yr(s) □ Fixed Income Securities 固定收益證券 年數 Yr(s)

□ Others 其他 ____________________________ 年數 Yr(s)

(iii) Assessment of Client’s Knowledge of Derivatives (please answer all questions) 客戶對衍生工具的認識評估 (請回答所有問題)

1. Have you undergoing any training or attending any courses that provide general knowledge of the nature and risks of derivatives (e.g. relevant

online or classroom courses offered by academic institutions or financial institutions)? If yes, please specify: 你是否已接受任何有關介紹一般衍

生產品之性質及風險的培訓或課程 (例如由學術機構或金融機構所提供之網上課程或教室課程)? 如有，請註明:

Name of course/seminar 課程/研討會名稱:

Organizer 主辦機構: Year of Participation 參與年份:

Ver:20150616 4

4. Investment Experience & Derivative Products Knowledge (cont.) 投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識投資經驗及衍生產品認識 (續續續續)

2. Do you have any current or previous work experience related to derivative products? If yes, please specify: 你現時或過去是否擁有與衍生產品有

關的工作經驗? 如是，請註明:

Name of employer 任職公司名稱: Position 職位:

3. Have you executed 5 or more transactions in any derivative products within the past three years? If yes, please state the derivative product(s)

you have traded: 你曾否在過去三年執行過五次或以上有關任何衍生產品的交易? 如有，請提供有關產品的名稱:

□ Callable Bull/Bear Contracts (CBBC)

牛熊證

□ Derivative Warrants

衍生認股證

□ Futures and Options

期貨或期權合約交易

□ Stock Options

股票期權

□ Synthetic Exchange Traded Funds (ETF)

合成 ETF

□ Equity Linked Products

股票掛鈎產品

□ Others (Please specify)

其他 (請註明) :

The above Client is characterized as a client 上述客戶被歸類為上述客戶被歸類為上述客戶被歸類為上述客戶被歸類為

□ without knowledge of derivatives 「「「「對衍生工具沒有認識對衍生工具沒有認識對衍生工具沒有認識對衍生工具沒有認識」」」」 ASSESSMENT RESULT 評估結果評估結果評估結果評估結果

(FOR OFFICAL USE ONLY 只供本公司使用只供本公司使用只供本公司使用只供本公司使用)

□ with knowledge of derivatives 「「「「對衍生工具有認識對衍生工具有認識對衍生工具有認識對衍生工具有認識」」」」

5. Disclosure 披露披露披露披露

1. Are you a director or an employee of any corporation licensed or registered with Hong Kong Securities and Futures Commission?

閣下是否香港證監會持牌人或註冊人之董事或僱員?

□ No

不是

□

Yes, the name of Licensed/ Registered Person:

是，持牌或註冊人名稱：___________________________________________

2. Are you an employee/account executive or the relative of employee/account executive of FSL or FFL?

閣下是否富昌證券或富昌期貨的僱員／營業經紀或該人士的親屬？

□ No

不是

□ Yes Name of Employee/Account Executive 僱員/營業經紀姓名: ____________________________

是 Relationship 關係: ____________________________

3. Are you a substantial shareholder*, a senior officer or director of any (listed) company whose shares are traded on any exchange or market?

(For Securities Account only) 閣下是否任何其股份在交易所或市場買賣的(上市)公司之主要股東*、高級人員或董事？ (只適用於證券帳戶)

□ No 不是 □ Yes. Company Name & Stock Code 是。公司名稱及上市編號: __________________________________________________

* “substantial shareholder” means, in relation to a company, a person who is entitled to exercise, or control the exercise of, 10% or more of the voting power at any

general meeting of that company. 「主要股東」指，就一間公司而言，任何人士其於該公司之任何股東大會有權行使，或可控制行使，10%或以上之投票權

4. For Securities Margin Accounts Only 只適用於證券保證金帳戶:

(i) Is your spouse a margin client of FSL? 閣下的配偶是否富昌證券的證券保證金客戶？

□ No 不是 □ Yes 是 Name of the Spouse 配偶姓名： Account No. 帳戶號碼：

(ii) Do you alone or jointly with your spouse control 35% or more of the voting rights of a corporate margin client of FSL? 閣下是否單獨或與配偶

共同控制富昌證券的一個證券保證金公司客戶 35%或以上的表決權？

□ No 不是 □ Yes 是 Company Name 公司名稱： Account No. 帳戶號碼：

C. Ultimate Beneficial Owner(s) of the Account and Ultimate Originator(s) of all Transaction

最終權益擁有人最終權益擁有人最終權益擁有人最終權益擁有人及及及及最終戶口交易指示發出者最終戶口交易指示發出者最終戶口交易指示發出者最終戶口交易指示發出者

1. Are you (and/or the Secondary Joint Account Holder) the ultimate beneficial owner(s) in relation to the Account? i.e. Are you acting for your own

and not for a third party? 閣下（及/或聯名帳戶第二持有人）是否此戶口最終權益擁有人？即是閣下是否為閣下本身而不是第三者處理戶口？

□ Yes 是 □ No, details of the ultimate beneficial owner(s) is/are 不是，戶口最終權益擁有人細節如下：

Name 姓名： Date of Birth 出生日期：

Passport / ID No. 護照／身份證號碼： Nationality 國籍：

Address 地址：

2. Are you (and/or the Secondary Joint Account Holder) ultimately responsible for all transaction instructed? 閣下（及/或聯名帳戶第二持有人）是

否最終戶口交易指示發出者?

□ Yes 是 □ No, details of the ultimate originator(s) is/are 不是，最終戶口指示發出者細節如下：

Name 姓名： Date of Birth 出生日期：

Passport / ID No. 護照／身份證號碼： Nationality 國籍：

D. Designated Bank Account

指定銀行戶口指定銀行戶口指定銀行戶口指定銀行戶口

Name of Bank 銀行名稱： Account No. 帳戶號碼：

Ver:20150616 5

E. Communication Method

通訊方式通訊方式通訊方式通訊方式

□ Residential Address 住址 □ Business Address 公司地址 □ Fax 圖文傳真 □ E-mail 電郵

□ Other Correspondence Address 其它通訊地址:

□ Fulbright Easy Access 富昌查數易*

* Points to Note for Client(s) who choose to receive the monthly statements and/or the daily statements (eStatements) through Fulbright

Easy Access 透過透過透過透過“富昌查數易富昌查數易富昌查數易富昌查數易”收取收取收取收取月結單及月結單及月結單及月結單及/或日結單或日結單或日結單或日結單（「（「（「（「電子結單電子結單電子結單電子結單」）」）」）」）之客戶須知之客戶須知之客戶須知之客戶須知：：：：

1. FSL and/or FFL will send the Client all eStatements to the Client by Fulbright Easy Access at the Company website in lieu of printed statements

by post. 富昌證券及/或富昌期貨可透過其網站的“富昌查數易”以電子形式發出所有電子結單，以代替郵寄方式印刷的正本。

2. The Client shall view the eStatement(s) over the Internet on the Company’s website on “as available” basis with the use of a designated

username and password provided by FSL and/or FFL to the Client. 富昌證券及/或富昌期貨會給客戶特定的網站登入帳戶和密碼，客戶應透過公

司網站取覽客戶的電子結單。

3. FSL and/or FFL shall notify the Client the availability of eStatement(s) by sending a notice (email alert) to the Client’s email address. 當客戶的電

子結單已可取覽時，富昌證券及/或富昌期貨將發出電郵通知客戶。

4. The Client shall check his/her designated email address regularly for the e-mail notice sent by FSL and/or FFL. 客戶應定期查看客戶指定電郵地

址以收取有關富昌證券及/或富昌期貨的通知。

5. FSL and/or FFL shall not be held responsible for information found on its web and any information and/or documents (including eStatements)

delivered by FSL and/or FFL to the Client by the electronic means. 富昌證券及/或富昌期貨將不為其網站資料的準確性及由富昌證券及/或富昌期

貨經電子方式傳送的資料或訊息（包括電子結單）負上任何責任。

6. The Client shall be exposed to risks associated with the electronic system including the failure of hardware and software of FSL and/or FFL and

internet service providers. The information and/or documents may be intercepted by the unknown third party. The Client may incur additional

costs for using the Fulbright Easy Access services. 富昌證券及/或富昌期貨以電子形式提供予客戶的賬戶結單，客戶將面對有關電子系統故障的

風險 (包括富昌證券及/或富昌期貨的軟件及硬體及網絡供應商的故障)。而該等資料及/或文件可能被不知名的第三者所截取。客戶或招致額外費用

方可使用“富昌查數易”服務。

7. The Client shall be the only authorised user of the said username and password. The Client shall not, and shall not attempt to, tamper with,

modify, de-compile, reverse engineer or otherwise alter in any way any part of the computer system of the FSL and/or FFL and/or gain

unauthorised access to the FSL and/or FFL 's website and computer. 客戶應是該網站帳戶和密碼的唯一授權使用者。客戶將不會、也不意圖會干

涉、更改、解編、還原工程或以任何對富昌證券及/或富昌期貨的電腦系統進行任何改動或未經認可便進入富昌證券及/或富昌期貨的特許網址和電

腦。

8. The Client shall inform FSL and/or FFL as soon as practicable upon a change in the email address. 客戶如已更改電郵地址，應在切實可行的範

圍內盡快通知富昌證券及/或富昌期貨。

9. The Client shall promptly review the eStatements upon receiving the same from FSL and/or FFL to ensure that any errors are detected and

reported to FSL and/or FFL as soon as practicable. 當客戶收到富昌證券及/或富昌期貨的電郵後，應從速查閱客戶電子結單，以確保在切實可行

的範圍內盡快發現任何錯漏並向富昌證券及/或富昌期貨提出指正。

10. The Client shall save an electronic copy in the Client's own computer storage or print a hard copy of the eStatements for future reference. 客戶應

把電子結單的電子版本儲存於客戶的電腦存儲裝置、或備存一份列印本，以作日後參考。

11. The eStatements will continue to be available for access, review and downloading by the Client for not less than the following respective specified

period from the date of the email notification to the Client: 在由發給客戶的電郵通知的日期起計一段不少於以下指明期間的時間內，電子結單會持

續可供客戶取覽、查閱及下載：

(a) Daily statement of account, contract note and receipt: 1 month 日結單：1 個月

(b) Monthly statement of account: 12 months 月結單：12 個月

12. The Client can revoke the Fulbright Easy Access services by 7 days notice to FSL and/or FFL and ask to obtain paper copies of the monthly

statements and/or the daily statements. 客戶可最少以七天通知富昌證券及/或富昌期貨撤銷“富昌查數易” 服務，並要求以紙副本獲取有關月結

單及/或日結單。

F. Direct Marketing (Please refer to Personal Information Collection Statement)

直接促銷直接促銷直接促銷直接促銷（（（（請參閱個人資料收集聲明請參閱個人資料收集聲明請參閱個人資料收集聲明請參閱個人資料收集聲明）））） □ The Client(s) expressly agree that FSL and/or FFL shall use the Client’s personal data for direct marketing as stipulated in Personal Information

Collection Statement, and wish to receive any direct marketing materials or messages from FSL and/or FFL via the following channel(s): 客戶清

楚同意富昌證券及/或富昌期貨將客戶的個人資料根據個人資料收集聲明所載使用於直接促銷，並且同意收到富昌證券及/或富昌期貨經以下途徑發

出的任何直接促銷資料或訊息：

□ Any Channel 任何途徑 □ E-mail 電郵 □ Mail 郵件 □ SMS 短訊 □ Phone 電話

□ The Client(s) do not wish FSL and/or FFL to provide the Client’s personal data to any other persons for their use in direct marketing, whether or

not such persons are members of the Fulbright Financial Group Limited. 客戶不欲富昌證券及/或富昌期貨將客戶的個人資料提供予任何其他人士

作直接促銷用途，不論該等人士是否富昌金融集團有限公司成員。

Ver:20150616 6

G. Standing Authority for Client Money and Client Securities

客戶款項及客戶證券的常設授權客戶款項及客戶證券的常設授權客戶款項及客戶證券的常設授權客戶款項及客戶證券的常設授權 1. Unless otherwise defined, the terms used in this Authority shall have the same meanings as in the Securities and Futures Ordinance, the

Securities and Futures (Client Money) Rules, the Securities and Futures (Client Securities) Rules, Options Trading Rules of SEHK, Rules of

SEOCH as amended from time to time. 除非另有說明，本授權書之名詞與《證券及期貨條例》、《證券及期貨（客戶款項）規則》、《證券及期貨（客

戶證券）規則》、《聯交所期權交易規則》、《聯交所規則》及《期權結算公司規則》不時修訂之定義具有相同意思。

2. The Client(s) acknowledge that the Client’s assets (including Monies) received or held by the licensed or registered person outside Hong Kong

are subject to the applicable laws and regulations of the relevant overseas jurisdiction which may be different from the Securities and Futures

Ordinance (Cap.571) and the rules made thereunder. Consequently, such client assets may not enjoy the same protection as that conferred on

client assets received or held in Hong Kong. 客戶確認持牌人或註冊人在香港以外地方收取或持有的客戶資產，是受到有關海外司法管轄區的適用

法律及規例所監管的。這些法律及規例與《證券及期貨條例》（第 571 條）及根據該條例制訂的規則可能有所不同。因此，有關客戶資產將可能不

會享有賦予在香港收取或持有的客戶資產的相同保障。

3. The Client(s) hereby agree to indemnity, and to keep indemnified, FSL, FFL and/or the Nominated Futures Brokers from and against all losses,

damages, interests, costs, expenses, actions, demands, claims or proceedings of whatsoever nature which they (or any of them) may incur,

suffer and/or sustain as a consequence of any transaction undertaken in pursuance of this Authority. This indemnity shall survive the revocation

of this Authority. 客戶謹此同意就富昌證券、富昌期貨及／或委任期貨經紀，因執行上述授權而可能產生、蒙受及／或承受一切虧損、損失、利息、

費用、開支、法律訴訟、付款要求索償等向富昌證券、富昌期貨及／或委任期貨經紀作出賠償，並保障富昌證券、富昌期貨及／或委任期貨經紀免

受損害。本授權被撤銷後仍繼續生效。

4. The Authority under section G shall be valid for a period of 12 months from the date of the account opening and may be extended from year to

year by written notice and confirmation issued by FSL and/or FFL until revocation of this Authority. The Client(s) can revoke this Authority by

sending a 14 days prior notice in writing to FSL and/or FFL. The notice period shall run from the date FSL and/or FFL has/have actually received

such written notice. Subject to applicable laws, such revocation shall not affect any above transfer made prior to such revocation becoming

effective.本部分(G 部分)的授權將於開戶日期起 12 個月內有效及可由富昌證券及／或富昌期貨發出書面通知及確認而每年續延至本授權書被撤銷

為止。客戶在給予富昌證券及／或富昌期貨 14 日事前通知書便可撤銷本授權書。通知期由富昌證券及／或富昌期貨確實收到該通知書當日起計。

在受制於適用法律下，該撤銷將不會影響任何上述於該撤銷生效前已作出之資金轉戶。

5. The Client(s) acknowledge and agree that this Authority shall be deemed to be renewed on a continuing basis without the Client’s written consent

if the Company issues the Client a written reminder at least fourteen (14) days prior to the expiry date of this Authority, and the Client does not

object to such deemed renewal before such expiry date. 客戶確認並同意，富昌若在本授權的有效期屆滿前 14 日之前向客戶發出通知，提醒客戶

本授權即將屆滿，而客戶沒有在授權屆滿前反對此授權續期，本授權應當作在不需要客戶以書面同意下按持續的基準已被續期。

6. Standing Authority for Client Securities (applicable to Securities Margin Account only)

客戶證券常設授權客戶證券常設授權客戶證券常設授權客戶證券常設授權 (適用於適用於適用於適用於證券證券證券證券保證金帳戶保證金帳戶保證金帳戶保證金帳戶)

a. In respect of the treatment of the Client's securities deposited with FSL as collateral, pursuant to section 148 of the Securities and Futures

Ordinance and the Securities and Futures (Client Securities) Rules, the Client hereby authorizes FSL may do any of the following without

giving the Client’s notice: 就有關一切由富昌證券代表客戶存於富昌證券處作為抵押品之證券，根據第 148 條及其下之證券

及期貨(客戶證券)規則，客戶謹此授權富昌證券可在無須通知客戶情況下：

(i) deposit any of the Client's securities with an authorized financial institution (as defined in the Banking Ordinance (Cap 155 of the Laws of

Hong Kong) as collateral for financial accommodation provided to FSL; 將任何客戶的證券存於認可財務機構 (見《銀行業條例》（香港法

例第 155 章）的定義)，作為該機構向富昌證券提供財務通融之抵押品；

(ii) apply the securities or securities collateral pursuant to a securities borrowing and lending agreement; 根據證券借貸協議規定使用證券或

證券抵押品；

(iii) deposit the securities collateral with a recognised clearing house (as defined in the Securities and Futures Ordinance) or an intermediary

licensed or registered for dealing in securities as collateral for the discharge and satisfaction of FSL's settlement obligations and

liabilities. 將證券抵押品存放於認可結算所（定義見《證券及期貨條例》）或其他持牌中介人或獲發牌從事證券交易的中介人，作為解除和

清償富昌證券結算義務和責任的抵押品。

b. The Client acknowledges that this Authority shall not affect FSL’s right to dispose of the Client's securities in settlement of:客戶確認本授權書

不影響富昌證券為以下目的而處置客戶的證券的權利：

(i) the Client's obligation to maintain the Margin (as defined in the Margin Client Agreement); 履行客戶維持保證金的義務(根據所作之定義)；

(ii) any of the Client's liability to settle a transaction in securities and/or to repay or discharge the financial accommodation provided by FSL;

履行客戶就某證券交易進行交收及／或付還或解除由富昌證券所提供的財務通融的法律責任；

(iii) any of the Client's liability owed to FSL for dealing in securities which remains outstanding after FSL have disposed of all other assets

designated as collateral for securing the settlement of that liability. 履行客戶就證券交易而對富昌證券負有的法律責任，而該法律責任是

指在富昌證券已將指定作為保證履行該法律責任的抵押品的所有其他資產處置後仍未履行的法律責任。

c. Client(s) confirm that FSL may refuse to draw on the facility granted to me to settle any transaction if client(s) do not give any authorisation

required under any applicable laws, rules or regulations. Client(s) confirm that the above authorisations are transferable by FSL or FSL’s

assigns. 客戶確認若客戶未依據任何適用法律、規則或法規的規定授予任何必要授權，則富昌證券可拒絕向客戶提供清償任何交易所需的任何

融資。客戶確認上述授權可由富昌證券或富昌證券的受讓人作出轉讓。

Ver:20150616 7

d. Client(s) understand that if FSL lends or deposits any securities in the Margin Account to a third party, the return of such securities may be

subject to FSL discharging its obligations to such third party. 客戶理解若將保證金帳戶中的任何證券出借給第三方或存放在第三方處，則此類

證券的歸還將取決於富昌證券對此等第三方所承擔責任的履行情況。

7. For Authorisation as to Transfer of Securities (applicable to Global Stock Account and Stock Options Account only)

有關股票調配授權有關股票調配授權有關股票調配授權有關股票調配授權 (適用於環球證券帳戶及股票期權帳戶適用於環球證券帳戶及股票期權帳戶適用於環球證券帳戶及股票期權帳戶適用於環球證券帳戶及股票期權帳戶)

a. In respect of the management of and dealing in the Foreign Securities (as defined in the Cash Client's Agreement or the Margin Client's

Agreement, as the case may be) in the Client's Account, the Client hereby give this Authority to FSL in relation to the Client Securities: 有關

客戶賬戶的外地證券（現金客戶協議書或保證金客戶協議書中所介定，視乎具體情況而定）之交易及管理，客戶謹此授權富昌證券處理有關客

戶在外地的客戶證券交易事宜：

(i) the Client hereby authorizes FSL, in FSL's sole discretion, without having to provide the Client with any prior notice or to obtain the prior

confirmation and/or direction of the Client to deposit the Client's Foreign Securities to a licensed securities broker or custodian nominated

by FSL (“the Custodian”) and to be held by the Custodian from time to time. 客戶謹此授權富昌證券酌情處理客戶之外地證券以作不時之

存放及持有於富昌證券委任之持牌證券經紀或託管人（“託管人”）。

(ii) this Authority does not cover any consideration the Client must pay or be paid for the depositing any of the Foreign Securities of the

Client. Any such consideration must be set out in a separate agreement between the Client and FSL. 本授權書並不涉及就富昌證券存放

客戶任何外地證券而須支付或收取的任何代價。任何代價均須由客戶與富昌證券另行簽約訂明。

(iii) until further notice, the Client's Foreign Securities in the Account will be carried by the Custodian. In the event that the Custodian acts as

custodian for the securities and other property in relation to Foreign Securities in the Account, FSL or the Custodian through FSL are

authorized, subject to Client's instructions, to register such securities in its name or the name of FSL or the Custodian or their nominees,

or cause such Foreign Securities to be registered in the name of or the nominee of a recognized depository or clearing organization. The

Client understands and acknowledges that when FSL or the Custodian holds on Client's behalf the Foreign Securities which are callable

in part by issuer, such securities will be subject to FSL or its impartial lottery allocation system in which the probability of Client's

securities being selected as called is proportional to the holdings of all clients of such securities held in bulk by or for FSL or the

Custodian. The Client further understands that FSL or the Custodian will withdraw such securities from any depository prior to the first

date on which such securities may be called unless such depository has adopted an impartial lottery system which is applicable to all

participants. The Client may withdraw uncalled securities prior to a partial call subject to compliance with applicable margin requirements

and the terms of any agreements between FSL or the Custodian and the Client. FSL or the Custodian are authorized to withdraw Foreign

Securities sold or otherwise disposed of, and to credit Client's account with the proceeds thereof or make such other disposition thereof

as the Client may direct. FSL or the Custodian are further authorized to collect all income and other payments which may become due on

the Client's Foreign Securities, to surrender for payment maturing obligations and those called for redemption and to exchange

certificates in temporary form for like certificates in definitive form, or, if the par value of any shares is changed, to effect the exchange for

new certificates. It is understood and agreed by the Client that although FSL or the Custodian will use reasonable efforts to effect the

authorization set forth in the preceding sentence, FSL or the Custodian will incur no liability for FSL's or the Custodian's failure to effect

the same.

客戶的外地證券將由託管人所持有，直至另行通知。當託管人為外地證券及其他有關外地證券的財產之託管人時，富昌證券及託管人將被

授權，在受管制於客戶指示下，將該等外地證券以富昌證券或託管人或其任命人的名義登記或致使該等外地證券以認可託管或結算機構名

義登記。客戶明白及確認當富昌證券或託管人代客持有的外地證券為可部分通知贖回證券，該等證券將受制於富昌證券或其公平的抽籤分

配系統，將客戶的證券在富昌證券或託管人的整體持有中分配。客戶再明白富昌證券或託管人將在該等證券贖回首天前由保管人提取該等

證券，除非該保管人已採用適用於所有參與者的公平抽籤分配系統。客戶在部分贖回通知前提取未贖回的證券，將受制於符合適用的保證

金要求及客戶與富昌證券或託管人的合約條款。富昌證券或託管人被授權提取已沽或其他出售，及將有關出售的得益存入客戶賬戶或其他

客戶指定方式處理外地證券。富昌證券或託管人再被授權收集有關客戶的外地證券的所有收入及其他可收的付款，可交出證券以取得終期

付款及其贖回及將臨時證書交換成正式證書，或如股票面值有變，交換新的證書。客戶明白及同意，雖然富昌證券或託管人將以合理地盡

力完成上一句子的授權，富昌證券或託管人將不因為富昌證券或託管人的失誤負上任何責任。

(iv) the Client declares, undertakes and warrants that the Client has the absolute ownership of the Client's Foreign Securities free from all

liens, charges and encumbrances during the continuance in force of this Authority save and except for those stipulated in the Margin

Client's Agreement, if applicable. 客戶聲明、承諾及保證在本授權之有效期內客戶是為客戶證券之絕對擁有人及其不會受制於任何種類的

留置權、抵押或產權負權，在保證金客戶協議書所載除外（如適用）。

b. In respect of the treatment of the Client's securities or securities collateral in relation to Exchange Traded Options Business (as defines in the

Options Trading Rules of SEHK), the Client hereby authorizes FSL to deposit any of the Client's securities with the SEOCH as SEOCH

collateral in respect of Exchange Traded Options Business resulting from the Client's instructions to FSL. FSL may do any of these things

without giving the Client notice. The Client acknowledges that this Authority shall not affect FSL's right to dispose or initiate a disposal by

FSL's associated entity of the Client's securities or securities collateral in settlement of any liability owed by or on behalf of the Client to FSL,

the associated entity or a third person.

就有關在交易所交易的期權業務（如聯交所期權交易規則所定義）處置客戶之證券，客戶謹此授權富昌證券就由於客戶之指示經富昌證券進行

在交易所交易的期權業務，客戶授權富昌證券將客戶的證券存放於期權結算公司，作為期權結算公司抵押品。富昌證券可不向客戶發出通知而

採取上述行動。客戶確認本授權不影響富昌證券為解除由或代客戶對富昌證券、富昌證券之聯繫實體或第三者所負的法律責任，而處置或促使

富昌證券的聯繫實體處置客戶之證券或證券抵押品的權利。

c. This Authority is given to FSL in consideration of FSL’s agreeing to continue to maintain the Global Stock account and/or Stock Options

account for the Client. 此賦予富昌證券之授權乃鑒於富昌證券同意繼續維持客戶之環球證券帳戶及／或股票期權帳戶。

Ver:20150616 8

d. The Client fully understands that a third party may have rights to the Client's securities and/or Foreign Securities which FSL must satisfy

before the Client's Securities can be returned to the Client. 客戶完全明白客戶的證券及／或外地證券可能受制於第三者之權利，富昌證券須

全數抵償該等權利後，方可將客戶的證券退回客戶。

8. Standing Authority for Client Money (Applicable to all accounts) 客戶款項常設授權客戶款項常設授權客戶款項常設授權客戶款項常設授權（（（（適用於所有帳戶適用於所有帳戶適用於所有帳戶適用於所有帳戶））））：：：：

a. The Client(s) hereby authorizes FSL and/or FFL to do any of the following without giving me notice: 本指示授權富昌證券及／或富昌期貨在無

須向本人發出通知的情況下作出以下任何行動：

(i) combine or consolidate any or all segregated accounts, of any nature whatsoever and either individually or jointly with others, maintained

by FSL and/or FLL and/or any companies within the group of companies (as defined in the Companies Ordinance) to which FSL and/or

FFL belongs ("the Fulbright Financial Group") from time to time and may transfer any sum of Monies to and between such segregated

account(s) to satisfy the clients' obligations or liabilities to the Fulbright Financial Group, whether such obligations and liabilities are

actual, contingent, primary or collateral, secured or unsecured, or joint or several; and 組合或合併客戶於本公司或任何本公司所屬的集團

公司 (根據《公司條例》所作之定義) (「富昌金融集團」) 內的成員公司所開設及持有任何獨立賬戶，此等組合或合併活動可以個別地或

與其他賬戶聯合進行，可將該等獨立賬戶內任何數額之款項作出轉移，以解除客戶對富昌金融集團內任何成員的義務或法律責任，不論此

等義務和法律責任是確實或突然的，原有或附帶的、有抵押或無抵押的、共同或分別的; 及

(ii) transfer any sum of Monies to any futures trading/clearing/settlement account(s) maintained by FFL with its agent broker(s) and/or

clearing agent(s) for purpose of dealing in global futures transactions for and on behalf of me, if I maintain futures trading account(s) with

FFL. 如客戶已在富昌期貨開立期貨交易帳戶，則將任何款項轉帳至富昌期貨為代表本人參與環球期貨交易買賣而向代理經紀人及╱或清算

代理人開立的任何期貨交易╱結算╱交收帳戶。

(iii) interchangeably between any of the said segregated account(s). 從任何上述的獨立賬戶之間來回調動。

b. This authority is given to FSL and/or FFL in consideration of its agreeing to continue to maintain one or more trading account(s) at my choice

with this Account Opening Form. 本授權的授予建基於富昌證券及／或富昌期貨同意按客戶在本開戶申請表中要求開立的一個或多個交易帳戶

開立及持續運作該等帳戶。

c. The Client(s) acknowledge that notwithstanding this Authority, FSL and/or FFL is /are not obliged to make any transfer abovementioned in the

first paragraph hereof, in particular but without prejudice to the generality of the foregoing, if such transfer may result into a breach of any

provision of any agreement made or to be made between FSL and/or FFL and the Client(s) (including without limitation the Agreement). 客戶

確認，儘管有本授權書，富昌證券及／或富昌期貨並無責任作出任何以上第一段所述之資金轉戶，尤其(但以不影響本段前文之一般性規定為大

前提下)若該資金轉戶可能導致違反任何客戶與富昌證券及／或富昌期貨已簽訂或將會簽訂之協議書(包括不限於「協議書」)內任何條款。

d. this Authority is given without prejudice to other authorities or rights which FSL and/or FFL and/or the Fulbright Financial Group may have in

relation to dealing in the Monies in the segregated accounts. 本授權並不損害富昌證券及／或富昌期貨及／或富昌金融集團可享有有關處理

該等獨立賬戶內款項的其他授權或權利。

e. Client(s) acknowledge that their assets (including Monies) received or held by the licensed or registered person outside Hong Kong are

subject to the applicable laws and regulations of the relevant overseas jurisdiction which may be different from the Securities and Futures

Ordinance and the rules made thereunder. Consequently, such client assets may not enjoy the same protection as that conferred on client

assets received or held in Hong Kong. 客戶確認持牌人或註冊人在香港境外代表本人持有或收取的資產（包括款項）均應符合相關海外司法

管轄區的適用法律法規規定，而該等法律法規或與《證券及期貨條例》及項下規則有所不同。因此，此類客戶資產或無法享有在香港境內持有

或收取該等客戶資產時所能享有的同等保障。

This authority has been fully explained to the Client(s), and the Client(s) understand and agree with the contents of this authority. 客戶就上述授權書

的內容已獲得解釋，並且客戶明白及同意本授權書的內容。

個人/聯名帳戶主要持有人簽署

Signature of Individual/ Primary Joint Account Holder

聯名帳戶第二持有人簽署 (只適用於聯名帳戶)

Signature of Secondary Joint Account Holder (For Joint Account only)

Ver:20150616 9

H. Joint Account Mandate (Applicable to Joint Account Client only)

聯名帳戶開戶委託書聯名帳戶開戶委託書聯名帳戶開戶委託書聯名帳戶開戶委託書 (只適用於聯名帳戶之客戶只適用於聯名帳戶之客戶只適用於聯名帳戶之客戶只適用於聯名帳戶之客戶) 1. We hereby request and authorise FSL and/or FFL to open the account(s) with FSL and/or FFL in our joint names and at any time hereafter upon

the instructions of ANY ONE/ ALL* of us: 本人兹聯同請求及授權富昌證券及/或富昌期貨用本人等聯名在富昌證券及/或富昌期貨開立買賣

帳戶辨理，並得於今後依照本人等之中 任何一人任何一人任何一人任何一人/ 全體全體全體全體* 所指示，處理下列各項事宜：

a. to open such further account or accounts in our joint names.代本人等聯名另行開立戶口。

b. to honour and pay bills of exchange drafts promissory notes or orders for payment drawn accepted or made or to accept and act upon

receipts for monies overdrawn by us or for monies owing by FSL or FFL to us on any account whatsoever or any other documents or written

instructions of whatsoever nature kind or description and to debit the same to our joint account or accounts and to carry out any instructions

in connection with our joint account or accounts notwithstanding that any such debiting or carrying out may: 該聯名戶口所發出之支付憑票或

在富昌證券或富昌期貨透支款項之收據或本人等聯名在富昌證券或富昌期貨存款之單據或任何其他文件或書面指示照予支帳，並處理一切與各

該聯名戶口有關事宜，而該等指示即使引致下列情況，仍屬有效 :

(i) direct a transfer to an account in the individual name of any one of us. 由聯名戶口調撥款項轉入本人等任何一人之私人戶口。

(ii) require FSL or FFL make payment to any one of us. 要求富昌證券或富昌期貨付款給予本人等之任何一人。

(iii) cause such joint account or accounts to be in debit or any debit balance thereon to be increased but without prejudice to FSL or FFL’s

right to refuse to allow any such debit balance or increase in debit balance. 引致各該聯名戶口產生透支或增加透支數額情況，但如有此等

情況富昌證券或富昌期貨得保留拒絕透支或增加透支數額之權利。

and we will be jointly and severally responsible for the repayment on demand of any such debit balance and interest and of any money that

FSL or FFL may from time to time advance to us on any joint loan account together with interest thereon. 本人等茲同意個別及聯同負責，一

經 貴公司通知，即當如數將所有透支款項連同應付利息及其他一切由本人等聯名向富昌證券或富昌期貨借到之款項連同應付利息一併清償，

絕無異議。

c. without in any way limiting the foregoing general request to make any advance to us by way of loan or advance or discount or in any manner

howsoever with or without security. 除上列範圍外，富昌證券或富昌期貨亦可以放款、透支、貼現或任何其他方式，不論有抵押或無抵押，給

予貸款。

d. without in any way limiting the foregoing general request to deliver any securities deeds boxes and parcels and their contents and property of

any description held in our joint name. 同時亦可移交由本人等聯名寄存富昌證券或富昌期貨之任何證券、契據、包裹或其他財物給予指名人仕

收受。

2. We authorise FSL and/or FFL to accept for collection any cheque or other documents payable to any one or more of us and to credit the proceeds

thereof to our joint account or accounts even though such cheque or order or document has been endorsed by the payee or payees thereof. 本

人等授權富昌證券及/或富昌期貨，由本人等存入富昌證券或富昌期貨而列明本人等任何一人或多人為受款人之支票，支付委託書或其他票據，雖

未經受款人背書，仍均可由富昌證券或富昌期貨接受代收，收受後記入本人等聯名戶口。

3. We authorise FSL and/or FFL to place to the credit of our joint account or accounts all sums of money, interest, dividends etc., which FSL or FFL

may receive on account of any one or more of us or our joint and several account or on our joint account. 本人等授權富昌證券或富昌期貨代本人

等個別或聯名收受之一切款項，包括利息、股息等等，均可照數記入本人等聯名帳戶內。

4. Subject to any claim or objection on the part of the Estate Duty Commissioner or any other appropriate authority, we authorise FSL and/or FFL to

hold on the death of any one of us any credit balance or balances of any account or accounts in our joint names and any securities deeds boxes

and parcels and their contents and property of any description held in our joint names to the order of the survivors or survivor of us or the

executors or administrators of the last survivor of us without prejudice to any right you may have in respect of such balance or balances securities

etc. arising out of any lien charge pledge set-off counterclaim or otherwise whatsoever or any step or any legal proceedings which FSL or FFL

may in your absolute discretion deem it desirable to take in view of any claim by any person other that the survivors or survivor of us or the

executors or administrators of the last survivor of us. 除香港遺產稅徵收主任或其他政府機關有提出要求或提出反對等情況外，本人等授權富昌證

券或富昌期貨可於本人等中任何一人身故後，代為保管各該聯名戶口之存款，與及本人等聯名寄存富昌證券或富昌期貨之任何證券、契據、包裹或

其他財物，而依照生存在世之本人等或唯一生存者之遺產承辨人或管業人之指示加以處理，而以不損害富昌證券或富昌期貨對存款、證券等等應有

之留置權、抵押權、典質權、比對權，及要求或任何其他權利為原則，又除本人等中之生存者或其遺產承辨人或管業人以外，不論何人，如有要求

享受該存款、證券等等之權益者，富昌證券或富昌期貨亦有斟酌選擇之絕對自由，對該等人士採取任何合乎需要之步驟或向法庭提出任何訴訟程序。

5. We agree that any liability whatsoever incurred to FSL or FFL by us in respect of the foregoing shall be our joint and several liability. 如有因此請

求及授權富昌證券或富昌期貨處理上述事項而致產生債務者，本人等同意個別及共同負責。

6. We agree to observe and be bounded by such of FSL or FFL’s Rules for the time being in force as will be applicable to the appropriate nature of

each of our accounts provided that if there is any conflict between the said Rules on the one hand and the foregoing terms and conditions

contained herein on the other hand the latter shall prevail. 本人等同意遵守富昌證券或富昌期貨所訂有關而適用於本人等在富昌證券或富昌期貨

所開立每一戶口之章則，及接受該等章則約束，至於該等章則與本委託書互有抵觸之處，則應以本委託書訂定之條文為準。

7. In the absence of contrary written instructions signed by all of us the foregoing conditions shall apply to each and every account of whatever

nature now or hereafter opened by FSL or FFL in our joint names. 上列條文均適用於富昌證券或富昌期貨此次或日後代本人等開立之聯名戶口，

直至本人等以聯名簽署之書面通知取消為止。

聯名帳戶主要持有人簽署

Signature of Primary Joint Account Holder

聯名帳戶第二持有人簽署

Signature of Secondary Joint Account Holder

Ver:20150616 10

I. Declaration by Client(s)

客戶聲明客戶聲明客戶聲明客戶聲明 1. The undersigned Client(s) agree to open the above account(s) with FSL and/or FFL. 以下簽名之客戶（等）同意與富昌證券及／或富昌期貨開立

上述帳戶。

2. The Client(s) have read and understood the provisions of the Cash Client's Agreement, Margin Client's Agreement and/or Futures Client’s

Agreement applicable to the type of account(s) that the Client(s) agree to open and the Client(s) accept to be bound by the same.客戶（等）已

閱讀並明白在現金客戶協議書、保證金客戶協議書及／或期貨客戶協議書中所載的適用於客戶所選擇之帳戶類別之一切條款，並接受這些條款的約

束。

3. The information contained in this Account Opening Form is true and accurate. FSL and/or FFL are entitled to rely fully on such information for all

purposes, unless FSL and/or FFL receive notice in writing of any change. 客戶（等）載於開戶表格中的資料是真實和準確的。除非富昌證券及／

或富昌期貨收到資料更改的書面通知，富昌證券及／或富昌期貨有權為任何目的信賴這些資料。

4. The Client(s) have received the English and Chinese versions of the Cash Client's Agreement (which including the Internet Securities Trading

Agreement, Stock Options Trading Agreement and Personal Information Collection Statement), Margin Client's Agreement (which including the

Internet Securities Trading Agreement, Stock Options Trading Agreement and Personal Information Collection Statement) and/or Futures Client's

Agreement (which including the Internet Futures Trading Agreement and Personal Information Collection Statement) (“Agreements”) and other

legal documents of FSL and/or FFL. 客戶（等）已收取了富昌證券及／或富昌期貨之現金客戶協議書(包括互聯網證券交易協議書、股票期權交易

協議書及個人資料收集聲明)、保證金客戶協議書(包括互聯網證券交易協議書、股票期權交易協議書及個人資料收集聲明)及／或期貨客戶協議書(包

括互聯網期貨交易協議書及個人資料收集聲明) (“協議書”) 及其他法律文件。

5. The Client(s) acknowledge that the Risk Disclosure Statement (including the relevant risks associated with trading of RMB securities and

exchange-traded derivative products) of the securities account, the Risk Disclosure and Disclaimer Statements of the futures account, the Risk

Disclosure Statement in the Stock Option Trading Agreement (if applicable) and the Risk Disclosure Statement in the Internet Securities Trading

Agreement and/or Internet Futures Trading Agreement (if applicable) were provided in a language of Client's own choice (English or Chinese)

and the Client was invited to read the Risk Disclosure Statement, the Risk Disclosure Statement in the Stock Option Trading Agreement (if

applicable) and the Risk Disclosure Statement in the Internet Securities Trading Agreement (if applicable), to ask questions and take independent

advice if the client wishes. 客戶（等）確認已按照客戶選擇的語言(英文或中文)獲得證券帳戶的風險披露聲明書(包括有關買賣人民幣證券及在交易

所買賣的衍生產品所涉及的風險)、期貨帳戶的風險披露及免責聲明書、股票期權交易協議書所載之風險披露聲明書(如適用)，及互聯網證券交易及

／或互聯網期貨交易協議書所載之風險披露聲明書(如適用)及已獲邀請閱讀該風險披露聲明書，股票期權交易協議書所載之風險披露聲明書(如適

用)，及互聯網證券交易協議書所載之風險披露聲明書(如適用)及提出問題及徵求獨立的意見(如客戶有此意願)。

6. If the Client(s) are characterized as "without knowledge of derivatives", the Client(s) further acknowledge that the Client(s) have carefully read the

relevant risks associated with investing in derivative products which specified in the Clause 22 (4) to 22 (9) of the Risk Disclosure Statement in

the Cash Client’s Agreement or Margin Client’s Agreement and/or the Risk Disclosure Statement in the Futures Client’s Agreement and fully

understood the relevant risks herewith. Although the Client(s) might not have relevant derivatives product(s) trading experience, the Client(s)

may still base on the own independent judgement of the Client(s) to request for entering into transaction(s) of derivatives product(s) and would

take all risks associated. 如客戶（等）被歸類為「對衍生產品沒有認識」，客戶（等）進一步確認已仔細閱讀在現金客戶協議書所載或保證金客戶

協議書所載風險披露聲明書內第 22(4)至 22(9)段及／或期貨客戶協議書所載之風險披露聲明書所列明的有關投資衍生產品所涉及的風險，並完全

明白其中所述之相關風險。儘管客戶可能並沒有相關衍生產品交易經驗，客戶可能基於客戶獨立判斷仍要求進行衍生產品交易。客戶願意承擔所有

相關衍生產品風險。

7. The Client(s) are NOT (1) resident(s) of the United States of America (“US”) or (2) residents of Canada (“CN”), whether for US or CN securities or

tax laws or for any other purposes. The Client(s) also confirm that the Client(s) are not acting as agent on behalf of any US resident and/or CN

resident. The Client(s) undertake to immediately notify FSL and/or FFL should the Client(s) become or be deemed to be (1) resident(s) of the

US or (2) resident(s) of CN at any future time. 無論就美國或加拿大的證券或稅務法例或其他方面而言，客戶（等）均並非（1）美國居民或（2）

加拿大居民。客戶亦確認，客戶（等）並不代表任何美國居民及/或加拿大居民行事。客戶承諾，如客戶（等）日後成為或被視作（1）美國居民或

（2）加拿大居民，將立即通知富昌證券及／或富昌期貨。

8. The Client(s) acknowledge that the Client(s) have read the Personal Information Collection Statement and agreed to the terms in it. The Client(s)

understand and acknowledge that FSL and/or FFL intends to use the Client’s personal data for direct marketing and FSL and/or FFL may not so

use the Client’s data unless FSL and/or FFL has received my/our consent to such intended use. The Client(s) expressly acknowledge, confirm

and agree that unless the Client(s) decide to opt out the use of the Client’s personal data for direct marketing as stated in Section F or by giving

notice to FSL and/or FFL at any time as stipulated in Personal Information Collection Statement, FSL and/or FFL shall use the Client’s personal

data for direct marketing as stipulated in Personal Information Collection Statement by whatsoever channels. 客戶（等）承認已詳閱個人資料收

集聲明，並完全同意其條款。客戶（等）明白及承認富昌證券及／或富昌期貨擬把客戶（等）的資料使用於直接促銷及富昌證券及／或富昌期貨須

收到客戶（等）對該資料使用的同意，否則不得如此使用該資料。客戶（等）清楚明白、承認及同意除非客戶（等）決定如第 F 部份所述或根據有

關個人資料收集聲明所載隨時通知富昌證券及／或富昌期貨而拒絕該等使用，富昌證券及／或富昌期貨能將根據個人資料收集聲明所載使用客戶

（等）的個人資料以任何途徑於直接促銷。

9. For Client using the Internet Trading Services: 適用於使用網上交易服務之客戶：

a. the Client(s) have read and understood the provisions of the Internet Trading Agreement as set out in the Cash Client’s Agreement or Margin

Client’s Agreement of FSL and/or Futures Client’s Agreement of FFL and the Client(s) accept to be bound by the same. 客戶（等）已經閱讀

並明白在富昌證券的現金客戶協議書或保證金客戶協議書及／或富昌期貨的期貨客戶協議書中，所載之互聯網交易協議的條款，並接受這些條

款的約束。

b. FSL and/or FFL will send the Internet Trading Account No. and Password to the Client(s) via “Short Message Service” (SMS) and/or email

unless otherwise requested by the Client(s) in advance. 除非客戶（等）另有要求，富昌證券及／或富昌期貨將以手提電話短訊及/或電子郵件

Ver:20150616 11

寄出網上交易帳號及密碼。

10. For Stock Options/ Futures Account Client(s): 適用於股票期權／期貨帳戶客戶：

a. FSL and/or FFL is hereby given the authorization to submit a claim with Hong Kong Futures Exchange Limited (“HKFE”)/ The Stock

Exchange of Hong Kong Limited (“SEHK”) in respect of the Client's open positions to the effect that HKFE/SEHK will calculate and collect

margin in respect of such positions on a portfolio basis. 本公司在此獲授權向香港聯合交易所有限公司(簡稱「聯交所」) ／香港期貨交易所有限公司（簡稱「期交所」）提交關於客戶之持倉由期權結算所以組合基礎計算及收取相關之按金。

b. the Client(s) were invited to read the reporting requirements and the responsibilities of reporting set out in the Rules of the HKEx and in the

Securities and Futures (Contracts Limits and Reportable Positions) Rules and related guidance notes issued by the SFC. 客戶（等）已獲邀

請閱讀列於聯交所規則、證券及期貨(合約限量及須申報的持倉量)規則及由證監會發出的申報規定及責任。

11. For Global Stock and/or Global Futures Account Client(s) : 適用於環球證券帳戶及／或環球期貨帳戶客戶：

a. the Client(s) represent, warrant, confirm and undertake as follows 客戶（等）陳述、保證、確認和承諾如下：

(i) where the Client trades any securities and futures products traded in the U.S., that the Client is not a "U.S. Person", which means any

one or more of the following (in the case of paragraphs (aa)-(cc), unless applicable laws, rules and regulations provide that such person

is not subject to the United States federal income taxation on his worldwide income): 倘若客戶買賣任何在美國交易的證券及／或期貨產

品，客戶並非「美國人士」，即指符合下文所述的任何一項或多項條件的人士(就第(aa)至(cc)段而言，若根據適用的法律、規則及規例規定

該等人士毋須就其全球範圍內的入息繳納美國聯邦入息稅，則該等人士並非美國人士)：

(aa) a citizen of the United States 美國公民；

(bb) a person that is not a citizen or national of the United States and who meets either the "green card" test or the "substantial

presence" test under the Internal Revenue Code of 1986, as amended, and/or any other applicable laws, rules and regulations for

the calendar year 並非美國公民或國民，但已符合《1986 年國內收入法》(經修訂)和／或任何其他適用的法律、規則及規例規定下

的「綠卡」測試或在相關日曆年「在境內逗留相當長時間」的測試的人士；

(cc) a person electing to be treated as a tax resident of the United States; and 選擇作為美國稅務居民的人士；及

(dd) any other person that is subject to the United States federal income taxation on his worldwide income regardless of its source, 不

論其入息來源，須就其全球範圍內的入息繳納美國聯邦入息稅的任何其他人士，

and that in the event that the Client becomes such a person, the Client will notify FSL and/or FFL immediately and will transfer all of his

holdings in securities and/or futures products traded in the United States within a month of the occurrence of the event or any other

period as determined by FSL and/or FFL, and the Client acknowledges that in that case all the income, proceeds, interest and distribution

arising from such securities and/or futures products shall be subject to the maximum withholding tax rate or any other withholding tax rate

as determined by FSL and/or FFL from time to time. 而且，倘若客戶成為「美國人士」，客戶應立即通知富昌證券及／或富昌期貨，並於

該等情況發生後一個月內（或富昌證券及／或富昌期貨決定的任何其他時限內）將其持有的所有在美國交易的證券及／或期貨產品的權益

轉讓；客戶確認，在該等情況下，因該等產品產生的所有入息、收益、利息和分派均應按最高的預扣稅稅率或富昌證券及／或富昌期貨不

時決定的任何其他預扣稅預扣。

(ii) that the Client is not a director or officer, or shareholder who holds 10% or more of the interests in the shares of, a company listed on any

stock exchange in the United States. 客戶並非在美國任何證券交易所上市的任何公司的董事或行政人員，亦非持有任何此類上市公司的

百分之十或以上股權的股東。

b. the Client(s) acknowledge that the Points to Note on Global Stock Trading and/or Points to Note on Global Futures Account (“Note”) were

provided in a language of Client's own choice (English or Chinese) and the Client(s) has read, understand, and agree to the terms set forth in

the Note. 客戶（等）確認已按照客戶選擇的語言(英文或中文)獲得投資環球證券開戶須知及／或環球期貨開戶須知(“須知”)，並已詳閱及清

楚明白並同意以上須知之內容。

12. If there is a discrepancy between English and Chinese version of the Account Opening Form, the English version shall prevail. 如開戶表格之中

英文版本文義有歧義，將以英文版本為準。

個人/聯名帳戶主要持有人簽署

Signature of Individual/ Primary Joint Account Holder

聯名帳戶第二持有人簽署 (只適用於聯名帳戶)

Signature of Secondary Joint Account Holder (For Joint Account only)

Witness 見證人見證人見證人見證人

The undersigned hereby certify 以下簽署特此核證如下：

(i) the signing of the Agreement by the Client(s); and 客戶簽署本開戶表格；及

(ii) the signing of the related identity documents of the Client(s) 見證客戶的有關身份證明文件

Name of Witness 見證人姓名：

Profession/Title 所屬專業 / 銜頭：

Signature of Witness 見證人簽署

Date 日期：

Ver:20150616 12

J. Approval of Account Opening

開開開開戶批核戶批核戶批核戶批核

Declaration by FSL Staff 富昌證券職員聲明富昌證券職員聲明富昌證券職員聲明富昌證券職員聲明

I, a licensed or registered person, hereby declare that I have provided the above Client with a copy of the Risk Disclosure Statement (including the

relevant risks associated with investing in RMB securities and exchange-traded derivative products), the Risk Disclosure Statement in the Stock

Option Trading Agreement (if applicable) and the Risk Disclosure Statement in the Internet Securities Trading Agreement (if applicable) in a language

of Client's choice (English or Chinese) and invited the Client to read the Risk Disclosure Statement referred to in the Cash Client's Agreement and/or

the Margin Client's Agreement, the Risk Disclosure Statement in the Stock Option Trading Agreement (if applicable) and the Risk Disclosure

Statement in the Internet Securities Trading Agreement (if applicable), to ask questions and take independent advice if the client wishes. If the Client

is characterized as “without knowledge of derivatives”, I further declare that I have explained to the Client the relevant risks associated with trading of

exchange-traded derivative products which specified in the Clause 22 (4) to 22 (9) of the Risk Disclosure Statement and the Client fully understood

the relevant risks herewith.

本人，以持牌人或註冊人身份，確認本人已按照上述客戶選擇的語言(英文或中文)提供風險披露聲明書(包括有關買賣人民幣證券及在交易所買賣的衍

生產品所涉及的風險)，股票期權交易協議書所載之風險披露聲明書(如適用)及互聯網證券交易協議書所載之風險披露聲明書(如適用)及提示客戶閱讀現

金客戶協議書及／或保證金客戶協議書之風險披露聲明書，股票期權交易協議書所載之風險披露聲明書(如適用)，及互聯網證券交易協議書所載之風險

披露聲明書(如適用)、亦邀請客戶如有需要可以提出問題及徵求獨立的意見。如客戶被歸類為「對衍生產品沒有認識」，本人進一步確認已向客戶解釋

在風險披露聲明書內第 22(4)至 22(9)段所列明的有關購買在交易所買賣的衍生產品所涉及的風險，及客戶已完全明白其中所述之相關風險。

Name of licensed person:

註冊人姓名：

Signature of licensed person 註冊人簽署

CE No. 中央編號： Date 日期:

Declaration by FFL Staff 富昌期貨職員聲明富昌期貨職員聲明富昌期貨職員聲明富昌期貨職員聲明

I, a licensed or registered person, hereby declare that I have provided the above Client with a copy of the Risk Disclosure and Disclaimer Statements

and the Risk Disclosure Statement in the Internet Futures Trading Agreement (if applicable) in a language of Client’s choice (English or Chinese) and

invited the Client to read the Risk Disclosure and Disclaimer Statements in the Futures Client’s Agreement, and the Risk Disclosure Statement in the

Internet Futures Trading Agreement (if applicable), to ask questions and take independent advice if the client wishes. If the Client is characterized as

“without knowledge of derivatives”, I further declare that I have explained to the Client the relevant risks associated with futures and options trading

which specified in the Risk Disclosure and Disclaimer Statements and the Client fully understood the relevant risks herewith.

本人，以持牌人或註冊人身份，確認本人已按照上述客戶選擇的語言（英文或中文）提供風險披露及免責聲明書及互聯網期貨交易協議書所載之風險

披露聲明書（如適用），及提示客戶閱讀期貨客戶協議書之風險披露及免責聲明書及互聯網期貨交易協議書所載之風險披露聲明書（如適用）、亦邀請

客戶如有需要可以提出問題及徵求獨立的意見。如客戶被歸類為「對衍生產品沒有認識」，本人進一步確認已向客戶解釋在風險披露及免責聲明書內所

列明的有關期貨及期權買賣所涉及的風險，及客戶已完全明白其中所述之相關風險。

Name of licensed person:

註冊人姓名：

Signature of licensed person 註冊人簽署

CE No. 中央編號： Date 日期:

Account Opening Approved By 開戶批核開戶批核開戶批核開戶批核

Fulbright Securities Limited / Fulbright Futures Limited

富昌證券有限公司／富昌期貨有限公司

Name 姓名：

Authorized director(s)/Responsible Officer(s)’s Signature

獲授權董事／負責人員簽署

Date 日期:

Ver:20150616 13

K. FATCA SELF-CERTIFICATION (INDIVIDUAL INVESTOR) 海外帳戶稅收合規法案聲明書海外帳戶稅收合規法案聲明書海外帳戶稅收合規法案聲明書海外帳戶稅收合規法案聲明書 (個人投資者個人投資者個人投資者個人投資者)

The Foreign Account Tax Compliance Act (“FATCA”) enacted in the United States of America (“US”) become effective 1 July 2014. The new US tax regulations require Hong Kong financial institutions to identify and report US persons to the relevant tax authority. To certify whether you are a US citizen or resident, please complete and sign this self-certification form. Please select the appropriate boxes below: 1. I certify that I am citizen of the United States of America. Yes □ No □ If yes, My Taxpayer identification no. is _________________________________ 2. I certify that I am resident of the United States of America for US federal income tax purposes. (Includes green card holder) Yes □ No □ If yes, My Taxpayer identification no. is _________________________________ CERTIFICATION I declare that I have examined the information on this self-certification and to the best of my knowledge and belief; it is true, correct, and complete. I will inform your company within 30 days if any information herein becomes incorrect. Client’s signature __________________________ Date _________________________ Client’s Name __________________________ Notes: Please complete a separate self-certification for each joint account holder.

美國制定的《海外賬戶稅收合規法案》於 2014 年 7 月 1 日起生效。此等新稅務條例要求香港金融機構識別客戶是否美國公民或居民，並向美國稅務當局匯報。現就此事懇請閣下填妥及簽署此聲明書。 請就以下問題填寫合適答案: 1. 本人聲明本人為美國公民。 是□ 否 □ 若是，本人之納稅人識別號碼為____________________________________ 2. 本人聲明本人為美國居民(包括綠卡持有者)。 是□ 否 □ 若是，本人之納稅人識別號碼為____________________________________ 聲明 本人在此聲明本人已查閱此聲明之內容，並盡本人所知及確信，聲明內容均屬真實，正確及完整。 本人同意如以上聲明有變更，將於 30 日內通知貴公司。 客戶簽署 __________________________ 日期 _________________________ 客戶姓名 __________________________ 註: 請聯名帳戶每位持有人各自填寫一份聲明書。

Ver:20150616 14

For Official Use Only

只供本公司使用只供本公司使用只供本公司使用只供本公司使用

Name of Account Executive:

- Securities Client Know to AE for: CE No.

- Stock Options Client Know to AE for: CE No.

- Futures Client Know to AE for: CE No.

Introduced by:

Document Check List

1. I.D. Card/ Passport Copy Yes

2. Address Proof (recent 3 months) Yes

3. Bank and credit Reference (if applicable) e.g. Bank statement, title deeds etc. Yes N/A

4. Employer consent letter (if applicable) Yes N/A

5. W8 Form (if applicable) Yes N/A

6. For non face-to-face client:

– Identity documents are certified by any other licensed person, staff of FSL or FFL’s affiliate

company, a JP or a branch manager of a bank, CPA, lawyer or notary public; OR

Yes N/A

– Personal cheque received and cheque copy retained Yes N/A

� issued from a licensed bank in Hong Kong Yes

� cheque amount not less than HK$10,000 and bearing the client’s name Yes

� same signature on cheque and Account Opening Form Yes

� Cheque is cleared Yes

AML Record Checking

1. Is the Client a PEP? Yes No

2. Is the Client a terrorist suspects? Yes No

3. AML Risk Category Low Medium High

Document reviewed by

Name of Staff: Signature of Staff: Date:

Account Type Commission – by Telephone Commission – by Internet Trading

- Securities Cash Brokerage (%) Min. Brokerage (%) Min.

- Securities Margin Brokerage (%) Min. Brokerage (%) Min.

- Stock Options Brokerage (%) Min. Brokerage (%) Min.

Credit/ Margin Limit

Securities Cash Securities Margin

Limit Approved by

Name of Staff: Signature of Staff: Date

Remarks