ACCOUNT OPENING FORM FOR INDIVIDUAL/JOINT NAME個 人 / 聯 名 賬 戶 開 戶 書

Account No.:

賬 戶 號 碼 ：

1

Personal Information �� !

Sole/Principal Applicant �� /�� !"Full Name �� (Mr./Mrs./Ms.) �� /�� /��

______________________________________ ( ____________________ )

Surname � Given Name � Chinese ��

Nationality �� _______________________________________________

�HKID Card No. �� !"#$ ______________________________

�Taiwan ID Card No. �� !"#$ __________________________

�Other ID document No. �� !"#$%&' _________________

Place of Issue �� ! ______________________________________

�Passport No. �� ! _______________________________________

Place of Issue �� ! ______________________________________

Sex �� �Male � �Female �

Marital Status �� !

�Single �� �Married ���Others, please specify �� !"# ___________________________

Home Telephone No. �� !"#

Home Fax No. �� !"#

Office Telephone No. �� !"#$

Office Fax No. �� !"#$

Mobile Phone No. �� !"#

Account Opening Form for Individual/Joint Name �� /�� !"!#

Note ��

1. Please complete all relevant sections in Block Letters �� !"#$%&'%(

2. Please tick appropriate box, where applicable �� !"#$%&'()

3. Any amendment should be crossed out and initialed �� !"#$%&'()*

4. In this Account Opening Form, unless the context otherwise requires, words denoting the singular shall include the plural and vice versa

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Account Type �� !

�Individual Account �Joint Account �Cash Account �Margin Account �Discretionary Account

�� ! �� ! �� !"# �� !"#$ �� !"#$%

Joint Applicant �� !"Full Name �� (Mr./Mrs./Ms.) �� /�� /��

______________________________________ ( ____________________ )

Surname � Given Name � Chinese ��

Nationality �� _______________________________________________

�HKID Card No. �� !"#$ ______________________________

�Taiwan ID Card No. �� !"#$ __________________________

�Other ID document No. �� !"#$%&' _________________

Place of Issue �� ! ______________________________________

�Passport No. �� ! _______________________________________

Place of Issue �� ! ______________________________________

Sex �� �Male � �Female �

Marital Status �� !

�Single �� �Married ���Others, please specify �� !"# ___________________________

Home Telephone No. �� !"#

Home Fax No. �� !"#

Office Telephone No. �� !"#$

Office Fax No. �� !"#$

Mobile Phone No. �� !"#

Suite 901, 9/F, The Hong Kong Club Building,3A Cha te r Road , Cen t ra l , Hong Kong

Tel: (852) 2867 7288 Fax: (852) 2810 0281

�� !"#$3A�� !"#9�901��� : (852) 2867 7288 �� : (852) 2810 0281

For Office Use Only �� !

Application Date: ___ / ____ / _______

(dd / mm / yyyy�

Account No.:

No. of Agreement(s): of

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12345678

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AA123668

234432

234422

268866

268868

128668888

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常富貴

中國

中國

中國

如申請人為個人客戶，請勾選 "個人賬戶" 及 "現金買賣賬戶"；如申請人為聯名客戶，請勾選 "聯名賬戶" 及 "現金買賣賬戶"。

2

Personal Information (Continued) �� !"#$

Disclosure of Relationship �� !

�The Applicant HAS NO relation with staff or director(s) of First Worldsec Securities Limited (the “Company”)

�� !"#$%&'()*+,(�� !"#$)�� !" �� �� !�The Applicant HAS relation with staff or director(s) of the Company�� !"#$%&'() � �� !Name of the Company’s staff/director(s) Relationship with the Applicant Staff ID

�� !"#$%&'( __________________________ �� !"#$ ____________________________ �� !" _________________(Note: Please complete with separate sheet, if necessary �� !"#$%&'()*+,)

�Has the Applicant’s spouse maintained an account with the company ?

�� !"#$%&'()*+,-?�Yes � �No ��Name of Spouse Account No. Name of Account’s Holder

�� !" _____________________________ �� !" __________________________ �� !"#$% _____________________________�The Applicant/Applicant’s connected person(s)/entity(ies) is/are NOT authorized person(s)/senior officer(s)/director(s)/substantial shareholder(s) of a company

listed on any exchange or market

�� !�� "#$ %!&' �� �� !"#$%&'$()*+,-./0123/01451678�The Applicant/Applicant’s connected person(s)/entity(ies) IS/ARE authorized person(s)/senior officer(s)/director(s)/substantial shareholder(s) of a company

listed on any exchange or market

�� !�� "#$ %!&' � �� !"#$%&'$()*+,-./0123/01451678Name of connected person(s)/entity(ies) Relationship with the Applicant Job title

�� !"#$%&' _____________________________________ �� !"#$ _________________________ �� ________________

(Note: Please complete with separate sheet, if necessary �� !"#$%&'()*+,)

Correspondence ��

Statements and all documents are to be forwarded to the Principal/Joint Applicant’s �� !"#$%&'( /�� !"#�E-Mail Address �� ! �Residential Address �� ! �Office Address �� !" �Correspondence Address �� !

Residential Address �� !

Office Address �� !"

Correspondence Address �� !

E-Mail Address �� !

Residential Address �� !

Office Address �� !"

Correspondence Address �� !

E-Mail Address �� !

Bank Information �� !

Bank Name �� !

Bank Account No. �� !"#

Name of Bank Account’s Holder �� !"#$

SWIFT Code ��

Bank Address �� !"#

Bank Name �� !

Bank Account No. �� !"#

Name of Bank Account’s Holder �� !"#$

SWIFT Code ��

Bank Address �� !"#

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168@gmail.com

HSBC-HK

883-884-268

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中國上海市虹橋路8號8樓8室

中國上海市長發路88號長發大樓16樓28室

中國上海市虹橋路8號8樓8室

3

Questionnaire ��

1. Investment Experience �� !

(i) Types of product(s) the Applicant has previously invested (Please tick one or more) �� !"#$%&' (��✓�� !"#$")

�Bonds/CD �� !"# �Stocks �� �Unit Trusts �� !"# �Others, please specify �� !"#�Futures & Options �� �! �Derivatives �� !" � Structured Products �� !" �None ��

(ii) Investment Experience Length �� !"#�Less than 1 year �� ! �1 - 4 years �� ! �5 - 10 years �� ! �More than 10 years �� !

2. Investment Objectives �� !

�Speculation �� �Capital Appreciation �� ! �Regular Income �� ! �Others, please specify �� !"# ________________

3. Investment Risk Tolerance �� !"#$

�Low �� �Medium �� ! �High �� �Others, please specify �� !"# __________________________________

4. Financial Position �� !

Estimated Networth (i.e. Total Assets less Total Liabilities) �� !"#$%&' !(')*+�Less than or equal to HKD500,000 �HKD500,001 to HKD1,000,000

�� !�"#500,000 ��500,001�� 1,000,000

�HKD1,000,001 to HKD5,000,000 �HKD5,000,001 or above

��1,000,001�� 5,000,000 ��5,000,001��

5. Average Monthly Income �� !"#

�Less than or equal to HKD10,000 �HKD10,001 - HKD30,000�� !�"#10,000 ��10,001�� 30,000

�HKD30,001 - HKD50,000 �HKD50,001 - HKD100,000

��30,001�� 50,000 ��50,001�� 100,000

�HKD100,001 - HKD150,000 �HKD150,001 or above

��100,001�� 150,000 ��150,001��

6. Education Level �� !

�Secondary or below �� !" �Undergraduate �� �Postgraduate �� !(Note: Complete with additional sheet(s), if necessary) (�� !"#$%&'()*+,)

7. Occupation ��

Name of Employer �� !"# __________________________________________________________________________________________________

Occupation �� ________________________________ Position �� ____________________________ Length of Service �� _________________

�Self-employed ��

8. Professional Qualification �� !

�Doctor �� �Lawyer �� �Accountant �� �Engineer ��

�Others, please specify �� !"# ____________________________________

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鴻圖大展有限公司

貿易 經理 18年

4

RISK OF SECURITIES TRADING�� !"#$

The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. It is as likely that

losses will be incurred rather than profit made as a result of buying and selling securities.

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RISK OF TRADING FUTURES AND OPTIONS

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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.

Placing contingent orders, such as “stop-loss” or “stop-limit” orders, will not necessarily avoid loss. Market conditions may make it impossible to execute

such orders. You may be called upon at short notice to deposit additional margin funds. If the required funds are not provided within the prescribed time,your position may be liquidated. You will remain liable for any resulting deficit in your account. You should therefore study and understand futures contracts

and options before you trade and carefully consider whether such trading is suitable in the light of your own financial position and investment objectives. If

you trade options you should inform yourself of exercise and expiration procedures and your rights and obligations upon exercise or expiry.�� !"#$ %&'()*+,-./0123456789:&'(+;<=>?@AB&CDEFG/HI7JKLMNO�� !"#$%&"'(% �� !"#$%&'()*+,-./0%12�� 3456+70%89:;<=>?@ABCDEF�� !"#$%&'()*+,-./0123(#45678$9:45 ;<23=;>?3(@A+BCDE<FG(HI0�� !"#$%&'()*+,-./0123-04$5-6789:;<=>-?@AB$CDEFGH'(IJK2%!LM�� !"#$%&'()!"*!"+!,-./#0*�1()!"*!"+!,-"23456

RISK OF TRADING IN LEVERAGED FOREIGN EXCHANGE CONTRACTS

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The risk of loss in leveraged foreign exchange trading can be substantial. You may sustain losses in excess of your initial margin funds. Placing contingent

orders, such as “stop-loss” or “stop-limit” orders, will not necessarily limit losses to the intended amounts. Market conditions may make it impossible to executesuch orders. You may be called upon at short notice to deposit additional margin funds. If the required funds are not provided within the prescribed time,

your position may be liquidated. You will remain liable for any resulting deficit in your account. You should therefore carefully consider whether such trading

is suitable in the light of your own financial position and investment objectives.�� !"#$%&'()*+,-./01234%&'*5671%89:;<=>0?@1ABCD#$EFGHIJKLMNJO�� !"#$%&'()*+,-./0123456789:;<(=>?@ !"#ABCD80(=EFGHIJKLMNO7�� !"#$%&'()*+,�-./01+2�#$3'�(45678)9:;<%'=>?'�@A+BC�DEFGH�� !"#$%&'()"*+,-./01234567"89:;<=>?#�

RISK OF TRADING GROWTH ENTERPRISE MARKET STOCKS�� !"#$%&'

Growth Enterprise Market (GEM) stocks involve a high investment risk. In particular, companies may list on GEM with neither a track record of profitability

nor any obligation to forecast future profitability. GEM stocks may be very volatile and illiquid. You should make the decision to invest only after due andcareful consideration. The greater risk profile and other characteristics of GEM mean that it is a market more suited to professional and other sophisticated

investors. Current information on GEM stocks may only be found on the internet website operated by The Stock Exchange of Hong Kong Limited. GEM

Companies are usually not required to issue paid announcements in gazetted newspapers. You should seek independent professional advice if you are uncertainof or have not understood any aspect of this risk disclosure statement or the nature and risks involved in trading of GEM stocks.

�� !"#$%&'()*+,-./0123456789:;<=$67>?@A:;'BCD5�� EF,�� !"4G�� !"#$%&'()*+,-."/0123456789:;<=>(?@ABC:DEFG%H"IJKL4MNOPQB�� !"#$%&'()*+,-)*./01234#567-*89:;<=>?!@AB2CDEBFG-H?IIJKL�� !"#$%&'()*+,-./0-12345%6�789:;<=>?@A0BCD !"$E0FGH+ !"IJ0�� !"#$%&'()*+,-./012345

RISKS OF CLIENT ASSETS RECEIVED OR HELD OUTSIDE HONG KONG

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Client assets 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.�� !"# $%&'()*+,!�-./0123456-78(9:;<=.>?:@ABCDE;.FGH:@ABCIJK�� !"#$(�571�)�� !"#$%&'()*+,-./012+345678)*-9:+;<=>?@ABC+&4567�� !"#

Risk Disclosure Statements �� !"#

請務必詳細閱讀本項聲明！

5

Risk Disclosure Statements (Continued) �� !"#$%&

RISK OF PROVIDING AN AUTHORITY TO REPLEDGE YOUR SECURITIES COLLATERAL ETC.�� !"#$%&'()*&"+,-"./

There is risk if you provide the licensed or registered person with an authority that allows it to apply your securities or securities collateral pursuant to a

securities borrowing and lending agreement, repledge your securities collateral for financial accommodation or deposit your securities collateral as collateral

for the discharge and satisfaction of its settlement obligations and liabilities. If your securities or securities collateral are received or held by the licensed orregistered person in Hong Kong, the above arrangement is allowed only if you consent in writing. Moreover, unless you are a professional investor, your

authority must specify the period for which it is current and be limited to not more than 12 months. If you are a professional investor, these restrictions do

not apply. Additionally, your authority may be deemed to be renewed (i.e. without your written consent) if the licensed or registered person issues you areminder at least 14 days prior to the expiry of the authority, and you do not object to such deemed renewal before the expiry date of your then existing

authority. You are not required by any law to sign these authorities. But an authority may be required by licensed or registered persons, for example, to facilitate

margin lending to you or to allow your securities or securities collateral to be lent to or deposited as collateral with third parties. The licensed or registeredperson should explain to you the purposes for which one of these authorities is to be used. If you sign one of these authorities and your securities or securities

collateral are lent to or deposited with third parties, those third parties will have a lien or charge on your securities or securities collateral. Although the licensed

or registered person is responsible to you for securities or securities collateral lent or deposited under your authority, a default by it could result in the lossof your securities or securities collateral. A cash account not involving securities borrowing and lending is available from most licensed or registered persons.

If you do not require margin facilities or do not wish your securities or securities collateral to be lent or pledged, do not sign the above authorities and ask

to open this type of cash account.�� !"#$!%&'()*+,-./01234567)89:;23"23<=>?@:;23<=>AB=CDEFGH�� !"#$%&'()*+,-./01234567089#&'(�):;<=>?@A"#$% $%&'(BCDEF �� !"#$%&'()*+,-./0123456789:;<)=>?@A(BC6D*EF3GHIJKL*3)MN9�� !"#$%&'("#$)*+,12�� !"#$%&'()*+,-./012 34)56"789:;<=:>+,?@�� !"#$%14�� !"#$%&'()*+,-./012 345#$%&.-6789:;<='>%&?,@A0B31�� !"#$%&'� ()*+,-./0123456789:;<=�>?@ABC!"(3DEFGHIJKLIMNOP�� !"#$%&'()*+,-./012'3+4/+456789:;<=/>?567@AB;<=CDEFGH/IJH�� !"#$%&'()*+,-./01 23,-.4) (5675689:;<=>7?@ABCD4EFBCD#G (�� ��!"#$%&'( )*"+,-.%/012 34256789(:;<* =>?@78�� ��!"#AB7C�� !"#$%&'(%)*�+,-./012342)56&56789:;<#$%&'(%=>?@AB56CD)EFG�� !"#$%&'()*+,-./012(3-(3456789-:45,;<=>?@ABCDE,FGHIJKLMN)��

RISK OF PROVIDING AN AUTHORITY TO HOLD MAIL OR TO DIRECT MAIL TO THIRD PARTIES

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If you provide the licensed or registered person with an authority to hold mail or to direct mail to third parties, it is important for you to promptly collect in

person all contract notes and statements of your account and review them in detail to ensure that any anomalies or mistakes can be detected in a timely fashion.

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RISK OF MARGIN TRADING�� !"#$%

The risk of loss in financing a transaction by deposit of collateral is significant. You may sustain losses in excess of your cash and any other assets deposited

as collateral with the licensed or registered person. Market conditions may make it impossible to execute contingent orders, such as “stop-loss” or “stop-limit” orders. 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 your consent. Moreover, you will remain liable for any resulting

deficit in your account and interest charged on your account. You should therefore carefully consider whether such a financing arrangement is suitable inlight of your own financial position and investment objectives.

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6

Risk Disclosure Statements (Continued) �� !"#$%&

RISK OF TRADING NASDAQ-AMEX SECURITIES AT THE STOCK EXCHANGE OF HONG KONG LIMITED�� !"#$%&'()*+,-./01234#$%34567

The securities under the Nasdaq-Amex Pilot Program (“PP”) are aimed at sophisticated investors. You should consult the licensed or registered person and

become familiarised with the PP before trading in the PP securities. You should be aware that the PP securities are not regulated as a primary or secondary

listing on the Main Board or the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited.�� !"#$%&'()*+,-./(�� !"#)�� !"#$%&'()*+,")*-./"012 !345678"#$�� !"#$%&'()*+,)-./0123456789:!;2 <=345678>(?@-ABCDEFGHIJKL�� !"#$%&'$()*%)+,-"./0123456

RISK OF DERIVATIVE PRODUCT

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A derivative product is a product linked with underlying investment assets. The value of a derivative product may derive from and depend on the return of

the underlying assets and, sometime, its value fluctuates sharply. The operation and maintenance of a derivative product may be very complex and risks

associated with a derivative product are higher than those of other non-derivative financial or credit products. The value of a derivative product may fall asrapidly as it may rise or become worthless at or before maturity. A derivative product may only be suitable for advanced investors in the light of its complicated

structure. This notice is not intended to disclose, advise and/or explain all risks as they may not be exhaustive. You should carefully read the specifications,

descriptions, prospectus, term sheet, offering or constitution documents of the derivative product you intend to invest. In addition, you are strongly advisedto seek independent and professional advice from legal, tax, financial and all other professional advisers when you consider necessary. Also, it is your sole

responsibility to take into account your risk tolerance, experience and objectives in making your investment decision. You should exercise your own judgment

when making your decision and enter into such transaction at your own risk.�� !"#$%&'()*+,-!"./0123456%&'()*-789:;-.<=>/0-?@AB1CDEFGHI�� !"#$%&'()*+,-.� !"#,/0&'12(� !,3456789"#:� !"#,;<$=>=?-5�� !"#$%&'()*+,-./0123456789:;<=>?-@AB@C+D-EF1GHI;JK4LMNIOP�� !"#$%&'()*+,-./01234560#*78&9:;<=&>?)@A)BCD)EF4G)HI,JKL�� !"#$%&'()*+,-./01234567897:;<=>?@ABCDEFG?@HIJ�*KLMNOPQR3�� !"#$%&'()*+,-./0#123456/7�89:;"<=��>?;@A��&B89:CDE#$%1

RISK OF STRUCTURED PRODUCT

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The risk of loss in the structured products may be substantial in certain circumstances. You are advised not enter into a transaction in respect of structuredproduct unless you understand the nature thereof and the extent to risk exposure. You should carefully consider whether the transactions are fit for you in

the light of your investment experience, financial position, investment objectives and other relevant investment horizon. The return on a structured productmay be higher than the traditional financial products whereas it carries additional or extra risks. An investment in the structured product is not equivalent to

an investment in the underlying assets and you have no rights in respect of such underlying assets. The value of the underlying assets may go down as well

as up and past performance is not necessarily a guide to future performance. The value of a structured product may become worthless at or before maturity.You should have been equipped with sufficient knowledge, ability and experience to evaluate the merits and risks of entering into transactions relating to the

structured products, should act in reliance solely upon your own judgment. The above represents only some of the risks generally associated with investing

in the structured products and does not purport to disclose all of the risks thereof. You are advised to carefully read the contents of the relevant offering andconstitution documents, term sheets and confirmation to understand the features of and the specific risks in connection with a structured product. In case of

doubt, please consult your legal, tax, financial adviser or other professional advisers you consider appropriate before making an investment decision.

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7

Facsimile Authority and Indemnity �� !"#$%

1. The Applicant hereby requests the Company, if the Company considers fit, to accept and execute any facsimile instruction, directions, communications or

requests (“Facsimile Instruction”) in relation to the service provided by or account maintained with the Company given by the Applicant or person purportsto be the Applicant.

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2. In consideration of the Company from time to time agreeing to accept the Facsimile Instruction, the Applicant hereby represents and warrants to andundertakes with the Company that: -

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(a) the Company may require the Facsimile Instruction to contain an identification code or test as designated or specified by the Company from time to

time;

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(b) the Company is, in its absolute discretion, entitled to require from the Applicant confirmation of any of the Facsimile Instruction in such form as the

Company specify before executing the same and reserves its rights to refuse to follow or act upon the Facsimile Instruction without offering anyreason. Further, the Company shall not be liable to any loss or damages the Applicant may suffer or sustain by reason of the Company’s refusal to

accept the Facsimile Instruction;

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(c) the Company is also entitled to treat all the Facsimile Instruction which are transmitted to the Company as duly authorized by and absolutely bindingon the Applicant provided that the Facsimile Instruction purports to be transmitted by the Applicant and the Company has exercised due diligence

and skill when acting on the same. The Company has no obligation to verify the authenticity of the Facsimile Instruction prior to following the Facsimile

Instruction;�� !"#$%&'()* +,-./0-./1230456789:;< !"#=>-./?@AB +C-./8 �� !"#$%&'()*+,#$%-./,&0123456789:�� ;<=>#$%?@:�� &�?AB

(d) unless otherwise agreed between the Company and the Applicant, the Applicant shall deliver the original hard copy of the Facsimile Instruction to

the Company immediately following the transmission of the Facsimile Instruction. Without prejudice to the generality of foregoing provision, theCompany will not be liable for any consequence whatsoever if the original hard copy of the Facsimile Instruction is or has not been received by the

Company. For the avoidance of doubt, the Applicant agrees and declares that it is the Applicant’s sole responsibility to tender the original hard copy

of the Facsimile Instruction to the Company. Should the original hard copy fail to reach the Company for whatsoever cause, the Company shall beentitled to treat the Facsimile Instruction as final and conclusive evidence in relation to the relevant service and/or transaction;

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(e) where any of the Facsimile Instruction is given by facsimile machine and followed by delivery of the original thereof, a specific statement made by

the Applicant that the Facsimile Instruction has been given by facsimile machine together with the date of the transmission of facsimile shall be

unequivocally annotated on the original hard copy. The Company will not be held liable for any result, directly or indirectly, due to the absence ofsuch annotation in any case including, without limitation, duplicated payment or transfer and any loss or damage suffered or sustained by the Applicant

arising from the duplicated payment or transfer.

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(f) the Company will not be liable for any failure or delay in executing any of the Facsimile Instruction by reason of any cause beyond the Company’scontrol including, without limitation, any breakdown or failure of transmission or communication facilities for whatsoever reason, or breakdown of

or delay or error in transmission or communication for any other reason; and�� !"#$%&'()*+,-./01234�56789:;.+,-.<=7>?/7.+,@A-.BC56789�� !"#$%&"'&()*+,-./"%012345!6(+,-789:;<=;>?

(g) the Applicant will fully indemnify the Company from and against all claims, proceedings, liabilities, losses and expenses (including legal costs) resulting

directly or indirectly from the Company executing any of the Facsimile Instruction.�� !"#$%&'()*+,-./01231456789:;<=->;<=?';@ABCDEFG<=HIJKLMN�� !"#$%&'()*

請務必詳細閱讀！

8

Facsimile Authority and Indemnity (Continued) �� !"#$%&'(

3. The Company is authorized to debit any of the Applicant’s account with the Company in discharge and satisfaction of the Applicant’s liability to the Company

hereunder.�� !"#$%&'(�� )#$%*+,-./012345678�� 9#:;<=#$%*>'?

4. Where the Applicant consists of two or more persons, the representations, warranties, undertakings and indemnities given herein shall be deemed to be

given by all the parties of the Applicant jointly and severally.

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5. This Indemnity shall be governed by and construed in all respects in accordance with Hong Kong laws. The Applicant irrevocably submits to the non-

exclusive jurisdiction of the Hong Kong Courts but the Company shall be entitled to enforce this Indemnity in courts of other competent jurisdiction asthe Company may select.

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9

Applicant Declarations �� !"

1. The Applicant has read, understood and agreed to be bound by the Terms and Conditions of Investment Service provided by the Company and receipt of

a copy thereof is acknowledged.

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2. The Applicant has read, understood and agreed to be bound by the terms of Facsimile Authority and Indemnity annexed hereto, as if the Applicant has

signed the Facsimile Authority and Indemnity.

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3. The Applicant hereby confirms that the information above given is true, correct and complete and authorizes the Company to verify from any source as

the Company may consider fit. The Applicant also undertakes to notify the Company immediately of any changes to the above information.

�� !"#$%&'()!*+!,-./0123456789:;<=>�� ?@AB#$%&C89DE/FGHIJ3��

4. The Applicant hereby confirms that the Applicant has been invited to read the Risk Disclosure Statements herein carefully.

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5. The Applicant hereby confirms that the Applicant is not a resident of the United States of America (�US�) or Canada (�CN�), whether for US or CN

securities or tax laws or for any other purposes. The Applicant also confirms that the Applicant is not acting as agent on behalf of any US and/or CN

resident. The Applicant undertakes to immediately notify the Company should the Applicants (in case of a joint account, any one of the Applicant) becomeor be deemed to be resident of US or CN at any future time.

�� !"#$%&'()*+,-./)0123)456789#�� :;<'()*+,-=>?�� ;@ABCD'(�� !"#$%&'()*+,-'().-/0123,456789:23;<)=>?@/�ABCDE�� !"#,FG�� !"#$

6. The Applicant confirms that the Applicant is not currently employed by any licensed or registered person to carry out regulated activities as defined in

the Securities and Futures Ordinance (�Ordinance�). Otherwise, the Applicant understands that the Applicant is required to provide to the Companywritten consent from the Applicant’s employer before the Applicant can open the account. The Applicant undertakes to promptly notify the Company if

the Applicant becomes or ceases to be employed by any licensed or registered person to carry out regulated activities.

�� !"�� #$%&'()*+,-./0123456789:;<= (�� !") �� !"#$%&'()*+,-.*�� !"#$%&'()*+,-./01234"#$56789:��;<=>?@(ABC@(4DEFGHIAJKLM�� !"#$%&'()*+,-./�Note: A licensed person means a licensed corporation licensed under the Ordinance. A registered person means a registered institution registered under the Ordinance.

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7. The Applicant has been advised to seek, and the Applicant has done or will do so if neccessary, independent professional advice on any service providedby the Company as well as legal implication of this Account Opening Form, Terms and Conditions of Investment Service and all other documents the

Applicant has signed or may sign.

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8. The Applicant understands and confirms that the Chinese version of the terms and conditions of this Account Opening Form and all other related documents

are for reference only and that the English version thereof will prevail if there is discrepancy between the two versions.

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Sole/Principal Applicant’s Signature Joint Applicant’s Signature�� /�� !"#$ �� !"#$

Date�� (dd�/mm�/yyyy�)

In the presence of:

�� !" :

Name of Witness

�� !"

���常富貴

22/07/2013

常富貴

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請務必詳細閱讀步驟三之見證人士請詳細參閱網頁內步驟三列明之見證人士之要求及所需提交之證明文件！

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10

For Office Use Only �� !

DECLARATION BY ACCOUNT EXECUTIVE �� !"#$%&

I have provided the Risk Disclosure Statements to the Applicant and have invited him/her to carefully read the Risk Disclosure Statements, ask questionsand take independent professional advice if he/she wishes before signing this Account Opening Form.

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I have already explained to the Applicant that if he/she is currently employed by any registered or licensed person to carry out regulated activities under theOrdinance, the Applicant is required to provide to the Company a written consent if his/her employer is in support of this application.

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Signature of Account Executive �� !" Name of Account Executive �� !"

________ / ________ / _____________

Date�� (dd� /mm� /yyyy�) CE No. �� !

Customer type: �New customer �Existing customer �Staff �Staff Relative

Appointed AE:

Referral by Staff:

1. Completion of the opening form �

2. Verification and witness of applicant(s)’ signature(s) �

3. Information and documentation checked �

4. Proof of residential address of latest three months �

5. Consent letter issued and signed by applicant’s employer (if applicable) �

6. Financial Proof �

7. Trading Limit �

8. Credit Limit �

9. Commission Rate (multi market) �

Approved and accepted by: Data Input by: Clerk Supervisor

Date: (dd/mm/yyyy) / / Application completion date: (dd/mm/yyyy) / /

Remarks ��

本公司專用

請到最後一頁

Remarks ��

本公司專用請到最後一頁

SIGNATURE CARD ��

Account Name �� ! Account No. �� !

Name of Officer in Charge �� !"(Company Account only �� !"#$%)

Signing Arrangement �� ! :

� Any of �� � � Other �� _________________________________________

� All ��

Client’s Signature(s) (applicable to Individual / Joint Name account) /

Signature(s) of Authorized Person(s) (applicable to limited company) /

Signatures of all Partners (applicable to partnership) / Signature of SoleProprietor (applicable to sole proprietorship) and company chop (if any)

�� !"#$ /�� !"#$%&'()*+,-./0"#$%�� !"#$% !&'()*+�� !"#$%��&'()*+,-./%01*________________________________________________________________________

(2)

Name

��

ID / Passport No.

�� /�� !

Position Telephone No.

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(4)

Name

��

ID / Passport No.

�� /�� !

Position Telephone No.

�� �� !

Specimen of Company Chop (For Company A/C)

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(1)

Name

��

ID / Passport No.

�� /�� !

Position Telephone No.

�� �� !

(3)

Name

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ID / Passport No.

�� /�� !

Position Telephone No.

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FOR OFFICE USE ONLY �� !

Check and Approved by �� !"

Specimen Signature �� !

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