40085-95579
(852) 2823-0388
English
The Hong Kong Investor Identification System and the Off-Exchange Securities Transaction Reporting System were implemented on March 20, 2023, and September 25, 2023, respectively. Under these systems, when a trading instruction is submitted to or arranged for execution by the HKEX trading system, or when an exchange participant reports an off-exchange transaction to the HKEX in accordance with the Exchange Rules, the relevant trading instruction or transaction report to the HKEX must include an identification code assigned to the relevant client ("Brokerage Client Code"). Changjiang Securities Brokerage (HK) Limited Brokerage (HK) Limited is required to seek client consent, obtain the latest client identification information from each relevant client, and submit this information, along with the client's Broker Client Code, to the database maintained by the SEHK and/or the Securities and Futures Commission (SFC).
In accordance with the requirements of the SFC, our firm is obliged to collect up-to-date client identification particulars from clients. The accepted identity documents for client identification, listed in order of priority, are set out below:
(a) Individual Clients
1. Hong Kong Identity Card
2. National Identification Document
3. Passport
(b) Corporate / Institutional Clients
1. Legal Entity Identifier (LEI) registration documents
2. Certificate of Incorporation
3. Business Registration Certificate
4. Other relevant documents
(c) Trust Clients
The identification information of the trustee shall comply with the requirements applicable to individual or corporate clients as specified above.
Please note that the SFC mandates clients to provide identification particulars strictly in accordance with the above order of priority for identity document types. You are also required to furnish our firm with updated client identification particulars from time to time to ensure that the client records held by us remain current.
Room 3605-3611, 36th Floor, COSCO Tower, 183 Queen's Road Central, Hong Kong
40085-95579
(852) 2823-0388
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