For enquiry on opening of account with BEA, please contact BEA Customer Service Hotline
at telephone number: (852) 2211 1333 or e-mail at info@hkbea.com.

For enquiry on opening of account with East Asia Securities, please call our Account Opening Hotline
at telephone number: (852) 3608 8021 or e-mail at accounts@easecurities.com.hk.

Self-Certification of New Individual Trading Account in relation to the Foreign Account Tax Compliance Act (“FATCA”) of the United States (“U.S.”)

Identification Document of the Account Holder(s)

Nationality Proof e.g. Passport (for Non Hong Kong Permanent Identity Card Holder)

Residential Address proof within 3 months, e.g. utilities bills, bank statements issued

Income proof within 3 months - monthly income not less than HK$10,000.00 OR

Liquid assets proof - not less than HK$100,000.00

HK Dollar or Multi-currency bank account of The Bank of East Asia, Limited in Hong Kong

Valid Business Registration Certificate

Certificate of incorporation and subsequent Certificate of Change of Name (if any)

Memorandum and articles of Association/ Articles of Association and amending resolutions

Minutes/ Resolution of the Board of Directors to open an account and confer authority on those who will operate it (if any)

Latest Annual Return Form AR1/NAR1 (or NC1/NNC1/NNC1G) plus all subsequent Form(s) including D2A/ND2A and D2B/ND2B (if any), Return of Allotments (SC1), Instrument of Transfer listing the particulars of the Beneficial Owner(s)

Organization chart, if any, (certified by director) showing the percentage of shareholdings, the country of incorporation and the country of business address of each intermediate company and the Beneficial Owner(s) of the company

Banker’s Reference (if any)

Documents from Directors, Beneficial Owner(s) and Authorized Signatory(ies) :

Identification Documents

Residential address proof (e.g. utility bill issued within 3 months) (if needed)

Nationality Proof e.g. Passport (for Non HK Permanent Identity Card Holder)

Permanent address proof (If permanent address is different from residential address) (if needed)

Banker’s Reference (if any)

All Directors’ Identification Information (Name, ID No. and Type)

Liquid assets proof - not less than HK$300,000.00

HK Dollar or Multi-currency bank account of The Bank of East Asia, Limited in Hong Kong

3. Upon the opening of stock options account or margin account with East Asia Securities, your password will be mailed to your correspondence address or email address depending on the trading channel(s) to be applied for.

Important Notices:

East Asia Securities Company, Limited (“EAS”) may request further information and documents, if necessary.

To comply with various regulatory requirements and operation needs, EAS will perform customer due diligence checking relying on the available information/documents. EAS reserves the sole and absolute right to accept or decline an application to open an account without providing any reason.

East Asia Securities Company Limited is a licensed corporation registered with the Securities & Futures Commission of Hong Kong and is a participant of Hong Kong Exchanges & Clearing.

Account opening and operation of such securities account is subject to the laws and regulations of the Hong Kong securities industry but there is no Security Investment Protection Corporation (USA) protection. Account holders are solely responsible for reporting their assets and capital gains/losses to the relevant tax, revenue or governmental authorities.