其他帳戶持有人 ( 如適用 ) Particulars of the Co-Applicant (If any)

Transcription

1 帳戶號碼 : Account No. 史考特證券 ( 香港 ) 有限公司 Scottrade (Hong Kong) Limited 證監會第一類受規管活動的持牌法團 ( 中央編號 :AYH939) SFC licensed corporation in respect of Type 1 regulated activity (CE No.: AYH939) 香港中環德輔道中 68 號萬宜大廈 7 樓 室 Nos , 7/F Man Yee Building, No.68 Des Voeux Rd, Central, Hong Kong 帳戶交收均由結算經紀 Scottrade, Inc. 處理 Scottrade, Inc. is a clearing broker for the account 現金證券帳戶申請表格 Cash Securities Account Opening Form 該現金證券帳戶申請表格, 將會連同史考特證券 ( 香港 ) 有限公司的帳戶協議書 ( 會有可能因應需要而作補充 更正或修改 ) 會作為日後史考特證券 ( 香港 ) 有限公司向閣下提供有關現金證券帳戶服務的協議 閣下同意讓 Scottrade, Inc. 擔任結算經紀, 為閣下提供協議所述的交易之執行, 結算, 交收及保管等服務 閣下在簽署該表格前必需先細閲帳戶申請表格及史考特證券 ( 香港 ) 有限公司帳戶協議書的內容 This Cash Securities Account Opening Form ( Account Application ), together with the Scottrade (Hong Kong) Limited Account Agreement (as the same may be supplemented, amended and modified from time to time) shall form part of the agreement made between you and Scottrade (Hong Kong) Limited ( Company ) in relation to this Cash Securities Account and the services provided in relation thereto. You also agree that Scottrade, Inc. will acts as the Clearing Broker for execution, clearance, settlement and custody of U.S. securities for your account. You must read this Account Application and the Scottrade (Hong Kong) Limited Account Agreement carefully before signing this Account Application. 閣下必須填妥以下所有資料, 並提供下列有關文件 : You should fill in ALL information as below, and provide supporting documents: 所有帳戶持有人的有效身份證明文件副本 ( 身份證或護照 ) A copy of a valid identity document (e.g. identity card / passport) of the Applicant and Co-Applicant (if any). 最近 3 個月內寄予閣下的住址證明副本 ( 如 : 銀行結單或水電煤氣賬單 ) A copy of residential address proof issued within the last 3 months (e.g. bank statement or utilities bill) W-8BEN 表格 ( 簽署必須與帳戶申請表格一致 ) W-8BEN Form (Signature must be matched with this Account Application) 帳戶持有人 Particulars of the Applicant 其他帳戶持有人 ( 如適用 ) Particulars of the Co-Applicant (If any) 先生 Mr. 太太 Mrs. 女士 Ms. 先生 Mr. 太太 Mrs. 女士 Ms. 英文姓名 English Name 英文姓名 English Name 中文姓名 Chinese Name 出生日期 / / Date of Birth ( 月 MM) ( 日 DD) ( 年 YY) 國籍 Nationality 中文姓名 Chinese Name 出生日期 / / Date of Birth ( 月 MM) ( 日 DD) ( 年 YY) 國籍 Nationality 身份證或護照號碼 ID/Passport No. 簽發地點 Place of Issue 身份證或護照號碼 ID/Passport No. 簽發地點 Place of Issue 電子郵件地址 ( 確認通知將以電郵發送, 故務必保證正確 ) Address (Notices are sent by so ensure that it MUST be correct) 電子郵件地址 ( 確認通知將以電郵發送, 故務必保證正確 ) Address (Notices are sent by so ensure that it MUST be correct) 居住地址 ( 必須與住址證明一致, 請勿填寫郵政信箱 ) Home Address (Must match with address proof, P.O. box not acceptable) 永久居住地址 ( 如與居住地址不同 ) Permanent Address (If different from Home Address) 居住地址 ( 必須與住址證明一致, 請勿填寫郵政信箱 ) Home Address (Must match with address proof, P.O. box not acceptable) 永久居住地址 ( 如與居住地址不同 ) Permanent Address (If different from Home Address) 手提電話 Mobile phone 工作電話 Office phone 住宅電話 Home phone 傳真 Fax 閣下是否為史考特證券或史考特證券 ( 香港 ) 的現有客戶? Are you an existing customer of Scottrade Inc. or the Company? 是 Yes ( 帳戶號碼 Acct No.) 受僱資料 ( 必須填寫 ) Employment (Must fill in) 受僱情況 Employment Status 自僱 Self-employed 全職 Employed 學生 Student 退休 Retired 家庭主婦 Homemaker 其他 ( 請註明 )Others (please specify) 現有受僱公司名稱 Current Employer Name 手提電話 Mobile phone 工作電話 Office phone 住宅電話 Home phone 傳真 Fax 閣下是否為史考特證券或史考特證券 ( 香港 ) 的現有客戶? Are you an existing customer of Scottrade Inc. or the Company? 是 Yes ( 帳戶號碼 Acct No.) 受僱資料 ( 必須填寫 ) Employment (Must fill in) 受僱情況 Employment Status 自僱 Self-employed 全職 Employed 學生 Student 退休 Retired 家庭主婦 Homemaker 其他 ( 請註明 )Others (please specify) 現有受僱公司名稱 Current Employer Name 職位 Position 任職年期 Years with employer 職位 Position 任職年期 Years with employer 業務類型 Nature of Business 辦公室地址 Office Address 業務類型 Nature of Business 辦公室地址 Office Address

2 郵寄地址 Mailing Address 寄往居住地址 Mailed to home address 寄往辦公室地址 Mailed to office address 寄往下列地址 Mailed to address listed below: 郵寄地址 Mailing Address 寄往居住地址 Mailed to home address 寄往辦公室地址 Mailed to office address 寄往下列地址 Mailed to address listed below: 帳戶持有人財務資料 ( 必須填寫 ) Financial Information (MUST fill in) of the Applicant 流動資產淨值 Liquid Asset Value 總資產淨值 Total Net Asset Value 全年收入 Annual Income 預期資金來源 Expected Source of funds 資金來源地 Origin of Source of Funds HK$1,000,001 HK$2,000,000 > HK$2,000,001 HK$1,000,001 HK$2,000,000 HK$2,000,001 HK$4,000,000 > HK$4,000,001 < HK$120,000 HK$120,001 HK$250,000 HK$250,001 HK$500,000 HK$500,001 HK$1,000,000 > HK$1,000,001 工作 Employment 投資 Investment 儲蓄 Savings 遺產 Inheritance 贈給 Gifts 養老金 Pension 獎學金 Scholarship 其他 ( 請註明 ) Others (please specify): 香港 Hong Kong 中國 China 其他 ( 請註明 ) Others (please specify): 帳戶持有人投資經驗及目標 ( 必須填寫 ) Investment Experience and Objective (MUST fill in) of the Applicant 美股投資經驗 Investment Experience in U.S. Equities 投資目標 Investment Objective 承受風險能力 Risk Tolerance 無 None 少於一年 Less than a year 一至三年 1-3 years 三至五年 3-5 years 五年以上 More than 5 years 資本增值 Capital Gain 對沖 Hedging 投機 Speculation 其他 ( 請註明 ) Others (Please specify): 保守 ( 資產價值波動承受能力較低 ) Conservative (Able to tolerate and accept small fluctuation in capital value although this is not guaranteed) 中等 ( 資產價值波動承受能力高於 保守 程度, 同時亦可承受資本跌低於起初投資本金的可能性 ) Moderate (Able to tolerate and accept fluctuation in capital value which is higher than that which can be tolerated and accepted by a Conservative investor, and your capital may fall below your investment level) 進取 ( 資產價值波動承受能力高於 中等 程度, 同時亦可承受大幅虧損的可能性 ) High (Able to tolerate and accept fluctuation in capital value which is higher than that which can be tolerated and accepted by a Moderate risk level investor, and substantial loss in investment) 帳戶持有人衍生產品的認知評估 ( 必須填寫 ) Derivative Products Knowledge Assessment (MUST fill in) of the Applicant 曾參與買賣的衍生產品 Type of Derivative Products Executed Before 衍生產品的認識 Knowledge of Derivative Products 無 None 認股權證 Warrants 供股權 Rights Issue 交易所買賣基金 Exchange Traded Fund(ETF) 無 None 目前在或曾經在金融行業任職專業人士最少一年, 並對相關產品熟悉 Currently work or previously worked in the relevant financial sector for at least one year in a professional position that involves the related product 曾經參加過相關產品的培訓課程 Underwent training or studied courses which are related to the product 其他 ( 請註明 ) Others (please specify): 閣下是否在過去三年内執行過五宗或以上衍生產品交易? Have you executed five or more transactions in derivative products within the past three years? 是 Yes 其他帳戶持有人 ( 如適用 ) 財務資料 ( 必須填寫 ) Financial Information (MUST fill in) of the Co-Applicant (If any) 流動資產淨值 Liquid Asset Value 總資產淨值 Total Net Asset Value 全年收入 Annual Income 預期資金來源 Expected Source of funds HK$1,000,001 HK$2,000,000 > HK$2,000,001 HK$1,000,001 HK$2,000,000 HK$2,000,001 HK$4,000,000 > HK$4,000,001 < HK$120,000 HK$120,001 HK$250,000 HK$250,001 HK$500,00 HK$500,001 HK$1,000,000 > HK$1,000,001 工作 Employment 投資 Investment 儲蓄 Savings 遺產 Inheritance 贈給 Gifts 養老金 Pension 獎學金 Scholarship 其他 ( 請註明 ) Others (please specify): 資金來源地 Origin of Source of Funds 香港 Hong Kong 中國 China 其他 ( 請註明 ) Others (please specify):

3 其他帳戶持有人 ( 如適用 ) 投資經驗的及目標 ( 必須填寫 ) Investment Experience and Objective (MUST fill in) of the Co-Applicant (If any) 美股投資經驗 Investment Experience in U.S. Equities 投資目標 Investment Objective 無 None 少於一年 Less than a year 一至三年 1-3 years 三至五年 3-5 years 五年以上 More than 5 years 資本增值 Capital Gain 對沖 Hedging 投機 Speculation 其他 ( 請註明 ) Others (Please specify): 承受風險能力 Risk Tolerance 保守 ( 資產價值波動承受能力較低 ) Conservative (Able to tolerate and accept small fluctuation in capital value although this is not guaranteed) 中等 ( 資產價值波動承受能力高於 保守 程度, 同時亦可承受資本跌低於起初投資本金的可能性 ) Moderate (Able to tolerate and accept fluctuation in capital value which is higher than that which can be tolerated and accepted by a Conservative investor, and your capital may fall below your investment level) 進取 ( 資產價值波動承受能力高於 中等 程度, 同時亦可承受大幅虧損的可能性 ) High (Able to tolerate and accept fluctuation in capital value which is higher than that which can be tolerated and accepted by a Moderate risk level investor, and substantial loss in investment) 其他帳戶持有人 ( 如適用 ) 衍生產品認知評估 ( 必須填寫 ) Derivative Products Knowledge Assessment (MUST fill in) of the Co-Applicant (If any) 曾參與買賣的衍生產品 Type of Derivative Products Executed Before 衍生產品的認識 Knowledge of Derivative Products 無 None 認股權證 Warrants 供股權 Rights Issue 交易所買賣基金 Exchange Traded Fund(ETF) 無 None 目前在或曾經在金融行業任職專業人士最少一年, 並對相關產品熟悉 Currently work or previously worked in the relevant financial sector for at least one year in a professional position that involves the related product 曾經參加過相關產品的培訓課程 Underwent training or studied courses which are related to the product 其他 ( 請註明 ) Others (please specify): 閣下是否在過去三年内執行過五宗或以上衍生產品交易? Have you executed five or more transactions in derivative products within the past three years? 是 Yes 相關身份披露 Disclosures of Identity 閣下是否為香港證監會或美國證券交易管理局持牌或註冊機構的董事或僱員? Are you a director or employee or representative of an intermediary licensed or registered with the Securities and Futures Commission in Hong Kong or the Securities Exchange Commission in the U.S? 是 *, 帳戶持有人 / 其他帳戶持有人 ** Yes* for Applicant / Co-Applicant** ( 如是, 請註明 If yes, please specify): 法團名稱 Intermediary Name: 職位 Position: 中央編號 CE No.: * 請提供法團機構的書面同意書 Please also provide a written consent from the intermediary. * 閣下或親屬是否為本公司的董事或持牌員工? Are you or your relatives currently a director or licensed representative of our Company? 是 *, 帳戶持有人 / 其他帳戶持有人 Yes* for Applicant / Co-Applicant ( 如是, 請註明 If yes, please specify): 姓名 Name: 職位 Position: 關係 Relationship: 閣下是否為美國證券交易管理局 (SEC) 所規定的美國上市公司 控股人員 或 附屬人員?( 包括持股 10% 以上的股東 董事或決策人 ) Are you a control person or affiliate of a U.S. public company as defined by the U.S. Securities Exchange Commission? (Include 10% shareholder, director and policymaking officer) 是 *, 帳戶持有人 / 其他帳戶持有人 Yes* for Applicant / Co-Applicant ( 如是, 請註明 If yes, please specify): 公司名稱及交易代碼 Company name and trading symbol: 職位 Position: (i) 閣下 ; 及 / 或 (ii) 閣下之配偶 伴侶 子女及 / 或父母 ; 及 / 或 (iii) 閣下子女之配偶或伴侶 ; 及 / 或 (iv) 與閣下關係密切的人 ## 是否現在或曾經就任何城市 地區或國家擔任重要公職 ( 例如 : 國家元首 政府首長 資深從政者 / 重要政黨幹事 高級政府官員 高級司法官員 高級軍事官員 國有企業高級行政人員或宗教領袖 )?Are (i) you; and/or (ii) your spouse, partner, child(ren) and/or parent(s); and/or (iii) spouse(s) or partner(s) of your child(ren); and/or (iv) your close associate(s) ## currently or previously entrusted with prominent public functions (e.g. Heads of State, Heads of government, senior politicians / important political party officials, senior government officials, senior judicial officials, senior military officials, senior executives of any state-owned enterprises or religious leaders) for any city, region or country? ## 如某人符合以下説明, 該人即屬與某名個人 ( 首述個人 ) 關係密切的人 :(a) 該人為與首述個人有密切業務關係的個人, 包括屬法人或信託的實益擁有人的個人, 而首述個人亦是該法人或信託的實益擁有人 ; 或 (b) 該人是屬某法人或信託的實益擁有人的個人, 而該法人或信託是為首述個人的利益而成立的 ## a person is a close associate of an individual if the person is: (a) an individual who has close business relations with the first-mentioned individual, including an individual who is a beneficial owner of a legal person or trust of which the first-mentioned individual is also a beneficial owner; or (b) an individual who is the beneficial owner of a legal person or trust that is set up for the benefit of the first-mentioned individual. 是 *, 帳戶持有人 / 其他帳戶持有人 Yes* for Applicant / Co-Applicant ( 如是, 請註明 If yes, please specify): 閣下在過去 7 年中曾經破產或遞送破產申請? Has you ever been declared bankrupt, or served with a bankruptcy petition during the last 7 years? 是 *, 帳戶持有人 / 其他帳戶持有人 Yes* for Applicant / Co-Applicant ( 如是, 請註明 If yes, please specify):

4 客戶確認及簽署 Agreement, Acknowledgement, Declaration and Execution by Client(s) To: Scottrade (Hong Kong) Limited and Scottrade, Inc.: I I/We hereby agree, acknowledge, declare and confirm that: (a) I/we apply to open this Cash Securities Account ( Account ) with Scottrade (Hong Kong) Limited ( Company ) subject to the terms in the Scottrade (Hong Kong) Limited Account Agreement ( Agreement ) as the same may be supplemented, amended and modified from time to time; (b) all documents relating to the opening of the Account (including this Account Application and the Agreement) shall form part of the agreement made between the Company and me/us in relation to the Account, and I/we have read and understood the provisions of the Agreement, and agree to be bound by the same as supplemented, amended and modified from time to time; (c) I/we am/are the ultimate beneficial owner(s) of the Account and I/we am/are ultimately responsible for originating the instructions in relation to transactions conducted through the Account; (d) I/we understand that the Company does not provide me/us with any investment recommendation or advice regarding the suitability or profitability of any investment and I/we should seek independent professional advice if I/we consider necessary; (e) I/we understand that any investment profiling questionnaire and the results are for information purposes only and do not constitute investment advice or recommendation by the Company of any kind, nor any offer or solicitation to trade in any investment products; (f) the information and representations contained in this Account Application are true, accurate and complete, and I/we will promptly notify the Company of any material changes affecting the information contained herein. The Company is entitled to rely fully on the information and representations contained in this Account Application for all purposes until the Company receives notice in writing of any changes, and the Company is authorized at any time to contact anyone, including my/our employers, banks, brokers or any credit agency, for the purpose of verifying the information provided on this Account Application; (g) I/we understand that I/we may not be able to deal with certain derivative products if I/we do not have sufficient knowledge in such products; (h) the Risk Disclosure Statements set out in Schedule 1 to the Agreement and the Agreement were provided to me/us in a language of my/our choice (English or Chinese) and I/we was/were invited to carefully read the Risk Disclosure Statements set out in Schedule 1 to the Agreement and the Agreement, to ask questions and take independent advice if I/we wish; (i) I/we have carefully considered the Risk Disclosure Statements set out in Schedule 1 to the Agreement and recognize that trading in investment products involves a high degree of risk. I/We confirm that I/we am/are financially able to assume such risks and sustain any losses resulting from such trading and voluntarily confirm that trading in investment products is suitable for me/us having regard to my/our financial situation, investment experience, risk tolerance (including the risk of loss of capital) and investment objectives; (j) I/we have read and understood the Scottrade Privacy Policy set out in the Agreement. I/We agree that the personal data in relation to any individual(s) provided to the Company may be used, disclosed and/or transferred by the Company for such purposes and to such persons in accordance with the said Scottrade Privacy Policy. I/We expressly agree and consent to the Company transferring all data relating to myself / ourselves outside Hong Kong to Scottrade Inc.; (k) I/We agree that for a Joint Account, if one Account holder dies, his/her interest passes to the surviving Account holder. Agreement with Scottrade, Inc. I/We understand that the Company uses Scottrade, Inc. as clearing broker for execution, clearing, settlement and custody of U.S. securities. In consideration of my/our subscribing to the services hereunder, and Scottrade, Inc. providing execution, clearing, settlement and custody services in respect of U.S. securities, Scottrade, Inc. accepts direct responsibility to me/us for the performance of these services and to this extent both me/us and Scottrade, Inc. expressly agree that Scottrade, Inc. shall be treated as a party to the Agreement. I/We further understand that Scottrade, Inc. will be liable to me/us for any default in respect of these services, and that I/we have recourse only against Scottrade, Inc. and not against the Company in respect of these services. In particular, the Company shall not be liable to me/us for execution, clearing, settlement and custody of U.S. securities or any default by Scottrade, Inc. Consent to provision of Trade Documents by Access through Electronic Services I/We hereby expressly consent to the provision of Trade Documents (as defined in the Agreement) to me/us via my/our access to such Trade Documents through the Access Service (as defined in the Agreement). I/We agree that the address listed in this Account Application shall be my/our designated address for any notices (if any) to be sent to me/us in respect of the Access Service. If there is any change to such designated address, I/we agree to inform the Company as soon as practicable. If I/we fail to provide the Company a valid designated address, The Company shall reserve the right to close my/our Account. I/We acknowledge that I/we understand and accept the following risks: (a) I/We am/are required to have appropriate computer equipment and software, internet access and a specific address provided and designated for using the Access Service. (b) Internet and services may be subject to certain information technology risks and disruption. (c) I/We may incur additional costs for using the Access Service. (d) I/We will not be notified of the posting of the Trade Documents unless I/we have not reviewed any Trade Documents after its posting for two (2) Exchange Business Days (as defined in the Agreement), in which case will be my/our only notice that Trade Documents have been posted and I/we shall check regularly my/our designated address for such notice. (e) I/We may be required to pay a reasonable charge for obtaining a hard copy of any Trade Document that is no longer available for access and downloading through the Access Service. I/We acknowledge that I/we have been advised of the following matters: (a) I/We shall promptly review the Trade Documents after each transaction and at the end of each month to ensure that any errors are detected and reported to the Company as soon as practicable. (b) I/We shall save an electronic copy in my/our own computer storage or print a hard copy of the Trade Documents for future reference. 致 : 史考特證券 ( 香港 ) 有限公司及 Scottrade, Inc.: 本人 / 吾等同意, 承認, 聲明和確認 : (a) 本人 / 吾等在史考特證券 ( 香港 ) 有限公司 ( 貴公司 ) 根據史考特證券 ( 香港 ) 有限公司客戶協議書 ( 協議書 ) 內所列載的條款 ( 可不時予以補充 修訂及更改 ) 申請開立本現金證券帳戶 ( 帳戶 ); (b) (c) (d) (e) (f) (g) (h) (i) (j) 所有與開立帳戶相關的文件 ( 包括本帳戶申請表格及協議書 ) 將構成本人 / 吾等與貴公司之間就帳戶作出的協議的一部分, 本人 / 吾等已閱讀及明白協議書所列載的條款 ( 可不時予以補充 修訂及更改 ), 並同意接受該等條款約束 ; 本人 / 吾等為帳戶的最終實益擁有人, 及就通過帳戶所進行的交易而言, 本人 / 吾等為最初負責發出該項交易的指示的人 ; 本人 / 吾等清楚明白貴公司並不向本人 / 吾等提供任何投資建議或就任何投資的合適程度或盈利預測提供任何意見, 而本人 / 吾等認爲有需要時, 本人 / 吾等應徵求獨立專業意見 ; 本人 / 吾等清楚明白, 任何投資風險評估問卷及其結果僅供參考, 並不構成貴公司的任何投資意見或建議, 亦不會構成向本人 / 吾等提出買賣任何投資產品的要約或招攬 ; 本帳戶申請表格內所記載的資料和陳述是真實, 準確和完整, 本人 / 吾等亦會從速通知貴公司影響本帳戶申請表格內所記載的資料的任何重大變化 貴公司有權為所有目的完全信賴帳戶申請表格內所記載的資料和陳述, 直至貴公司收到任何資料改變的書面通知, 而貴公司被授權隨時聯絡任何人士, 包括本人 / 吾等的僱主 銀行 經紀或任何信貸機構, 以核實帳戶申請表格上提供的資料為目的 ; 本人 / 吾等清楚明白, 如本人 / 吾等就某些衍生產品沒有足夠認識, 則本人 / 吾等有可能不可就該等產品進行交易 ; 載於協議書內附表 1 的風險披露聲明及協議書已根據本人 / 吾等所選擇的語言 ( 英文或中文 ) 向本人 / 吾等提供, 以及本人 / 吾等已被獲邀請細閱載於協議書內附表 1 的風險披露聲明及協議書的內容, 提出問題及徵求獨立的意見 ( 如本人 / 吾等有此意願 ); 本人 / 吾等已仔細考慮載於協議書內附表 1 的風險披露聲明的內容, 並了解到買賣投資產品涉及高度風險 本人 / 吾等已確認本人 / 吾等有經濟能力以承擔該等風險及承受任何因該等買賣而導致的損失, 並自願地確認, 考慮到本人 / 吾等的財政狀況 投資經驗, 風險承受能力 ( 包括資本損失的風險 ) 和投資目標, 本人 / 吾等適合買賣投資產品 ; 本人 / 吾等已閱讀及明白協議書內所記載的史考特隱私政策 本人 / 吾等同意提供予貴公司的就任何個人有關的個人資料可按照史考特隱私政策使用 披露和 / 或轉移至史考特隱私政策所提及的用途和人士 本人 / 吾等明確表示同意貴公司將所有有關本人 / 吾等的資料轉移至香港以外給 Scottrade, Inc.; (k) 當開立聯名帳戶時, 如果有其中一位帳戶持有人不幸過身, 本人 / 吾等同意將所有關於他 / 她的權益轉移至另一位倖存的帳戶持有人 與 Scottrade, Inc 的協議 本人 / 吾等清楚明白貴公司使用 Scottrade, Inc. 作為結算代理以執行 結算 交收及託管美國股票 本人 / 吾等在考慮簽署本協議以申請服務時, Scottrade, Inc. 為閣下提供協議所述的美國證券交易之執行, 結算, 交收及保管等服務 已接受 Scottrade, Inc. 向本人 / 吾等對相關服務的表現直接向我 / 我們負上責任, 並且明確地表示同意 Scottrade, Inc. 將成為合約的一方, 及清楚明白 Scottrade, Inc. 將向本人 / 吾等承擔就提供該等服務的任何違約責任, 本人 / 吾等有權只限對 Scottrade, Inc. 所提供的服務進行追討, 並不會對貴公司就該等服務提供而提出索償 尤其是, 本人 / 吾等亦清楚明白, 貴公司均不會向本人 / 吾等就執行 結算 交收及託管美國股票或 Scottrade, Inc. 的任何違約負上法律責任 同意透過電子服務以提供交易文件 本人 / 吾等明確表示同意透過登入服務 ( 定義記載於協議書內 ) 的方式以獲取交易文件 ( 定義記載於協議書內 ). 本人 / 吾等同意就登入服務發送至本人 / 吾等的任何通知 ( 如有 ) 將發送至本人 / 吾等列於帳戶申請表格內的指定電子郵件地址 如該指定電子郵件地址有任何變化, 本人 / 吾等同意將在切實可行範圍內盡快通知貴公司 如本人 / 吾等未能向貴公司提供有效的指定電子郵件地址, 貴公司有權關閉本人 / 吾等的帳戶 本人 / 吾等確認本人 / 吾等已明白並接受下列風險 : (a) 以使用登入服務, 本人 / 吾等需要有適當的電腦設備和軟件, 登入互聯網服務及提供和指定一個特定的電子郵件地址 (b) 互聯網和電子郵件服務可能會受到某些資訊科技風險和破壞的影響 (c) 使用登入服務, 本人 / 吾等可能需支付額外的費用 (d) 本人 / 吾等將不另行被通知交易文件的張貼, 除非本人 / 吾等在交易文件已被張貼後兩 (2) 個交易所營業日 ( 定義記載於協議書內 ) 後仍未覆核任何交易文件, 在此情況下, 電子郵件將會是為一通知本人 / 吾等交易文件已被張貼, 本人 / 吾等應就該等通知定期檢查本人 / 吾等的指定電子郵件地址 (e) 本人 / 吾等可能須支付合理的費用以取得任何已經不可再通過登入服務獲取及下載的交易文件的印刷本 本人 / 吾等確認本人 / 吾等已被建議下列事項 : (a) 本人 / 吾等會在每個交易後和每個月月底應從速覆核交易文件, 以確保任何錯誤可在切實可行範圍內盡快被檢測出來和報告給貴公司 (b) 本人 / 吾等會將交易文件的電子拷貝儲存於本人 / 吾等的電腦或列印出來以供將來參考

5 根據 證券及期貨 ( 客戶款項 ) 規則 的常設授權 Standing Authority under the Securities and Futures (Client Money) Rules 根據 證券及期貨 ( 客戶款項 ) 規則, 本人 / 吾等謹此授權史考特 ( 香港 ) 有限公司, 就史考特 ( 香港 ) 有限公司代表本人 / 吾等在香港持有或收取並存放於一個或多個獨立帳戶内的任何款項 ( 下稱 客戶款項 ) 而言, 史考特 ( 香港 ) 有限公司有權將客戶款項的任何數額調動至 Scottrade, Inc. 在香港境外維持的獨立帳戶內, 以支付或解決本人 / 吾等對史考特 ( 香港 ) 有限公司和 / 或 Scottrade, Inc. 和 / 或任何第三方的義務和 / 或法律責任 本人 / 吾等確認., 給予本常設授權並不會損害史考特 ( 香港 ) 有限公司和 / 或 Scottrade, Inc. 就有關客戶款項而可能有的其他授權或權利 本常設授權將自本人 / 吾等簽署帳戶申請表格之日起計持續十二個月有效, 有效期直至並包括在自簽署帳戶申請表格之日起計的第十一個月的最後一天 本人 / 吾等可給予史考特 ( 香港 ) 有限公司至少 7 日的預先書面通知, 撤銷此常設授權 書面通知可向史考特 ( 香港 ) 有限公司在帳戶申請表格上列明的指定地址遞交或史考特 ( 香港 ) 有限公司可書面通知本人 / 吾等用作此用途的其他地址 本人 / 吾等清楚明白, 若史考特 ( 香港 ) 有限公司在本常設授權有效期屆滿前至少 14 日以書面提醒本人 / 吾等該常設授權即將屆滿, 而本人 / 吾等在有關常設授權屆滿前沒有表示反對其續期, 則該常設授權應被視為無需本人 / 吾等書面同意而持續地續期 本人 / 吾等已被解釋有關常設授權, 而本人 / 吾等完全明白及同意其内容 Pursuant to the Securities and Futures (Client Money) Rules, I/we hereby authorize the Company, with respect to any money held or received by the Company in Hong Kong in one or more segregated account(s) on my/our behalf (Client Monies), to pay or transfer any sum of the Client Monies to Scottrade, Inc. for the purpose of settling any of my/our obligations and/or liabilities to the Company and/or Scottrade, Inc. and/or any third party and/or to any segregated account(s) maintained by Scottrade, Inc. outside of Hong Kong I/We acknowledge that this standing authority is given without prejudice to other authorities or rights which the Company and/or Scottrade, Inc. may have in relation to the Client Monies. This standing authority will remain effective for twelve (12) months commencing from the date of me/us signing this Account Application up to and including the last day of the eleventh (11th) month next after the date hereof. This standing authority may be revoked by me/us giving the Company7-day written prior notice addressed to the Company's address specified in this Account Application or such other address which the Company may notify me/us in writing for this purpose. I/We understand that this standing authority shall be deemed to be renewed on a continuing basis without my/our written consent if the Company issues me/us a written reminder at least 14 days prior to the expiry date of the relevant authority, and I/we do not object to such deemed renewal before such expiry date. This standing authority has been explained to me/us and I/we understand and agree with the contents of the same. 如中英文條款有任何差異, 一概以英文版本為準 In case of any discrepancy between the English and Chinese versions of this Account Application and the Agreement, the English versions shall prevail. 帳戶持有人簽署 Signed by Applicant 帳戶持有人姓名 Name of Applicant 日期 Date 其他帳戶持有人簽署 ( 如適用 ) Signed by Co-Applicant (If any) 其他帳戶持有人姓名 Name of Co-Applicant 日期 Date 見證客戶簽署及身份證明文件驗證 ( 並非由客戶填寫 *) Certification of Client Signature and Identity Proof (Filled in NOT by client*) 本人已見證及驗證上述客戶之簽署及有關其身分證明文件之正本 I have witnessed the signature and inspected the original identity documents of the above-named client(s). * 注 : 見證人必須是史考特證券 ( 香港 ) 有限公司之持牌員工 證監會持牌人士 太平紳士 執業會計師 律師或公證人, 請提供有效的身份證明 * Note: Witness MUST BE Scottrade (Hong Kong) Limited s licensed representative, an SFC licensed person, justice of the peace, certified public accountant, lawyer or notary public. Please provide proof of identity. 日期 Date: 簽署及驗證 Signed and Certified by: 姓名 Name: 職業及職銜 Occupation / Title: 執業牌照號碼 ( 如適用 ) License No.(if applicable): 註冊人士之聲明 ( 僅供內部填寫 ) Declaration by Licensed Representative of Scottrade (Hong Kong) Limited (For Internal Use Only) 本人, 以註冊人士身份, 確認本人已按上述客戶選擇的語言版本, 為其解釋史考特證券 ( 香港 ) 有限公司的證券 期貨及期權買賣條款內之風險披露聲明, 並已邀請該客戶閱讀該等條款 提出問題及徵求獨立的意見 ( 如客戶有此意願 ) I, a licensed representative of Scottrade (Hong Kong) Limited, hereby confirm that I have provided to the above client(s) the Scottrade (Hong Kong) Limited Account Agreement and the Risk Disclosure Statements contained in the said Agreement in the language of the above client s / clients choice (English or Chinese) and that I have invited the client(s) to read the said Agreement and the said Risk Disclosure Statements, to ask questions and to take independent advice if the client(s) wish(es). 日期 Date: 註冊人士簽署 Signed by Licensed Representative of Scottrade (Hong Kong) Limited: 姓名 Name: 中央編號 CE Number: 公司授權及簽署 ( 僅供內部填寫 ) Authorized and Approved by the Company(For Internal Use Only) 公司授權人士簽署 Signed by the Authorized Person of Scottrade (Hong Kong) Limited: 姓名 Name: 日期 Date:

6 Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding (Rev. February 2006) OMB No Department of the Treasury Section references are to the Internal Revenue Code. See separate instructions. Internal Revenue Service Give this form to the withholding agent or payer. Do not send to the IRS. Do not use this form for: Instead, use Form: A U.S. citizen or other U.S. person, including a resident alien individual W-9 A person claiming that income is effectively connected with the conduct of a trade or business in the United States W-8ECI A foreign partnership, a foreign simple trust, or a foreign grantor trust (see instructions for exceptions) W-8ECI or W-8IMY A foreign government, international organization, foreign central bank of issue, foreign tax-exempt organization, foreign private foundation, or government of a U.S. possession that received effectively connected income or that is claiming the applicability of section(s) 115(2), 501(c), 892, 895, or 1443(b) (see instructions) W-8ECI or W-8EXP Note: These entities should use Form W-8BEN if they are claiming treaty benefits or are providing the form only to claim they are a foreign person exempt from backup withholding. A person acting as an intermediary W-8IMY Note: See instructions for additional exceptions. Part I Identification of Beneficial Owner (See instructions.) 1 Name of individual or organization that is the beneficial owner 2 Country of incorporation or organization 3 4 Type of beneficial owner: Individual Corporation Disregarded entity Partnership Simple trust Grantor trust Complex trust Estate Government International organization Central bank of issue Tax-exempt organization Private foundation Permanent residence address (street, apt. or suite no., or rural route). Do not use a P.O. box or in-care-of address. 5 Mailing address (if different from above) 6 U.S. taxpayer identification number, if required (see instructions) 7 SSN or ITIN EIN 8 Reference number(s) (see instructions) Foreign tax identifying number, if any (optional) Part II Claim of Tax Treaty Benefits (if applicable) 9 I certify that (check all that apply): a The beneficial owner is a resident of within the meaning of the income tax treaty between the United States and that country. b If required, the U.S. taxpayer identification number is stated on line 6 (see instructions). c The beneficial owner is not an individual, derives the item (or items) of income for which the treaty benefits are claimed, and, if applicable, meets the requirements of the treaty provision dealing with limitation on benefits (see instructions). d The beneficial owner is not an individual, is claiming treaty benefits for dividends received from a foreign corporation or interest from a U.S. trade or business of a foreign corporation, and meets qualified resident status (see instructions). e The beneficial owner is related to the person obligated to pay the income within the meaning of section 267(b) or 707(b), and will file Form 8833 if the amount subject to withholding received during a calendar year exceeds, in the aggregate, $500, Special rates and conditions (if applicable see instructions): The beneficial owner is claiming the provisions of Article of the treaty identified on line 9a above to claim a % rate of withholding on (specify type of income):. Explain the reasons the beneficial owner meets the terms of the treaty article: Part III Notional Principal Contracts 11 I have provided or will provide a statement that identifies those notional principal contracts from which the income is not effectively connected with the conduct of a trade or business in the United States. I agree to update this statement as required. Part IV Certification Under penalties of perjury, I declare that I have examined the information on this form and to the best of my knowledge and belief it is true, correct, and complete. I further certify under penalties of perjury that: 1 I am the beneficial owner (or am authorized to sign for the beneficial owner) of all the income to which this form relates, 2 The beneficial owner is not a U.S. person, 3 The income to which this form relates is (a) not effectively connected with the conduct of a trade or business in the United States, (b) effectively connected but is not subject to tax under an income tax treaty, or (c) the partner s share of a partnership s effectively connected income, and 4 For broker transactions or barter exchanges, the beneficial owner is an exempt foreign person as defined in the instructions. Furthermore, I authorize this form to be provided to any withholding agent that has control, receipt, or custody of the income of which I am the beneficial owner or any withholding agent that can disburse or make payments of the income of which I am the beneficial owner. Sign Here Signature of beneficial owner (or individual authorized to sign for beneficial owner) Date (MM-DD-YYYY) Capacity in which acting For Paperwork Reduction Act Notice, see separate instructions. Cat. No Z Form W-8BEN (Rev ) Printed on Recycled Paper

7 Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding (Rev. February 2006) OMB No Department of the Treasury Section references are to the Internal Revenue Code. See separate instructions. Internal Revenue Service Give this form to the withholding agent or payer. Do not send to the IRS. Do not use this form for: Instead, use Form: A U.S. citizen or other U.S. person, including a resident alien individual W-9 A person claiming that income is effectively connected with the conduct of a trade or business in the United States W-8ECI A foreign partnership, a foreign simple trust, or a foreign grantor trust (see instructions for exceptions) W-8ECI or W-8IMY A foreign government, international organization, foreign central bank of issue, foreign tax-exempt organization, foreign private foundation, or government of a U.S. possession that received effectively connected income or that is claiming the applicability of section(s) 115(2), 501(c), 892, 895, or 1443(b) (see instructions) W-8ECI or W-8EXP Note: These entities should use Form W-8BEN if they are claiming treaty benefits or are providing the form only to claim they are a foreign person exempt from backup withholding. A person acting as an intermediary W-8IMY Note: See instructions for additional exceptions. Part I Identification of Beneficial Owner (See instructions.) 1 Name of individual or organization that is the beneficial owner 2 Country of incorporation or organization 3 4 Type of beneficial owner: Individual Corporation Disregarded entity Partnership Simple trust Grantor trust Complex trust Estate Government International organization Central bank of issue Tax-exempt organization Private foundation Permanent residence address (street, apt. or suite no., or rural route). Do not use a P.O. box or in-care-of address. 5 Mailing address (if different from above) 6 U.S. taxpayer identification number, if required (see instructions) 7 SSN or ITIN EIN 8 Reference number(s) (see instructions) Foreign tax identifying number, if any (optional) Part II Claim of Tax Treaty Benefits (if applicable) 9 I certify that (check all that apply): a The beneficial owner is a resident of within the meaning of the income tax treaty between the United States and that country. b If required, the U.S. taxpayer identification number is stated on line 6 (see instructions). c The beneficial owner is not an individual, derives the item (or items) of income for which the treaty benefits are claimed, and, if applicable, meets the requirements of the treaty provision dealing with limitation on benefits (see instructions). d The beneficial owner is not an individual, is claiming treaty benefits for dividends received from a foreign corporation or interest from a U.S. trade or business of a foreign corporation, and meets qualified resident status (see instructions). e The beneficial owner is related to the person obligated to pay the income within the meaning of section 267(b) or 707(b), and will file Form 8833 if the amount subject to withholding received during a calendar year exceeds, in the aggregate, $500, Special rates and conditions (if applicable see instructions): The beneficial owner is claiming the provisions of Article of the treaty identified on line 9a above to claim a % rate of withholding on (specify type of income):. Explain the reasons the beneficial owner meets the terms of the treaty article: Part III Notional Principal Contracts 11 I have provided or will provide a statement that identifies those notional principal contracts from which the income is not effectively connected with the conduct of a trade or business in the United States. I agree to update this statement as required. Part IV Certification Under penalties of perjury, I declare that I have examined the information on this form and to the best of my knowledge and belief it is true, correct, and complete. I further certify under penalties of perjury that: 1 I am the beneficial owner (or am authorized to sign for the beneficial owner) of all the income to which this form relates, 2 The beneficial owner is not a U.S. person, 3 The income to which this form relates is (a) not effectively connected with the conduct of a trade or business in the United States, (b) effectively connected but is not subject to tax under an income tax treaty, or (c) the partner s share of a partnership s effectively connected income, and 4 For broker transactions or barter exchanges, the beneficial owner is an exempt foreign person as defined in the instructions. Furthermore, I authorize this form to be provided to any withholding agent that has control, receipt, or custody of the income of which I am the beneficial owner or any withholding agent that can disburse or make payments of the income of which I am the beneficial owner. Sign Here Signature of beneficial owner (or individual authorized to sign for beneficial owner) Date (MM-DD-YYYY) Capacity in which acting For Paperwork Reduction Act Notice, see separate instructions. Cat. No Z Form W-8BEN (Rev ) Printed on Recycled Paper