龍匯證券有限公司 |

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Account Opening

How to open a Securities Trading Account

Topper Dragon serves you with a convenient and easy securities trading account opening procedure.

Download, fill-in and print the relevant forms under the column of “Individual / Joint Account” / “Corporate Account”. Please read the Client’s Agreement carefully. Bring the required forms and all supporting documents to the head office of Topper Dragon. Your signature has to be witnessed by our representative.

Individual / Joint Account- Documents required Corporate Account Opening Form - Documents required

Individual / Joint Account- Documents required

1(i). Hong Kong Permanent Resident :
The certified true copy of HKID card

1(ii). Non-Permanent HK Residents or Non-HK Residents :
Certified true copy of the valid ID Card (both sides) / passport (including the nationality)

2. Residential address proof within 3 months of issue
(For non-Hong Kong residents, bank statements issued by a bank in an equivalent jurisdiction)
3. Bank account information copy
4. Download, fill-in and print the following required forms:
(i) Account Opening Form (Individual)
(ii) Signature Specimen Form (Individual)
(iii) W-8BEN Form (Individuals)
(iv) Questionnaire on Derivatives’ Knowledge [if applicable]
(v) W-9 Form [if applicable]
(vi) Trading Authorization Form [if applicable]

5. Complete and return the required forms together with all supporting documents and a cheque of HK$10,000 bearing the signature, made payable to “Topper Dragon Securities Limited – Clients’ A/C” at 8/F, CS Tower, 50 Wing Lok Street, Sheung Wan, Hong Kong for certification (signing and witnessing) by our representative.

Corporate Account Opening Form – Documents required

1. Certified copy of Memorandum and Articles of Association
2. Certified copy of Certificate of Incorporation and any subsequent Certificate of Incorporation of Change of name (if necessary)
3. Certified copy of Annual Return and any subsequent Notification of Changes of Secretary and Directors
4. Certified copy of Business Registration;
5. Certified Copy of Board resolution authorizes the opening of an account with Topper Dragon Securities Limited
6. Information of Major Banker(s)
7. Certified Copy of Identity Card(s) of all directors and persons who are authorized to operate the account, with signatures;
8. Information of major shareholders or ultimate owner of the company.
9. Please download, fill-in and print the following required documents:
(i) Account Opening Form (Corporate)
(ii) Signature Specimen Form (Corporate)
(iii) Self-Certification Form – Entity
(iv) Self-Certification Form – Controlling-Person
(v) W-8BEN-E Form (Entities)
(vi) Questionnaire on Derivatives’ Knowledge [if applicable]
(vii) W-9 Form [if applicable]

10. Complete and return the required forms together with all supporting documents and a cheque of HK$10,000 bearing the signature(s) and with the name of the institution pre-printed on it, made payable to “Topper Dragon Securities Limited – Clients’ A/C” at 8/F, CS Tower, 50 Wing Lok Street, Sheung Wan, Hong Kong for certification (signing and witnessing) by our representative.

Remarks:
Due to different nature and business of companies, Topper Dragon Securities Limited reserves the right to obtain additional information of the institution
The cheque must be encashed and cleared. The trading account will only be activated until the cheque is cleared.