1. Maintenance Form
Application and Service Request

Customer Name:

Date:

Customer ID Number:

Service Selected:

Please review all of your information and update accordingly if appropriate. Your signature in this Application shall be the specimen signature for inMotion deposit accounts and One Account (if applicable).

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Current

New

Full Name in English

Please check this box if you do not have any Chinese Name

Please enter all letter(s) and digits of your HKID card number without the bracket, e.g. A1234567 for HKID card no. A123456(7)

Date of Birth (DD/MM/YYYY)

Current

New

Nationality (Please declare all country(ies)/ region(s))

In case you have "One Account" (Investment Account) in our Bank, please provide employer consent letter if you are currently employed by any licensed corporation or registered institutions as defined in Securities and Futures Ordiance. Otherwise, the aforesaid account(s) will not able to perform any trading.

Current

New

Current

New

Not applicable to insurance products / HKCB Finance Limited products. If needed, please contact our staff for assistance

Address

Pinyin Address

The update of the residential phone number, office phone number and/or the mobile number will not be applied to insurance products / HKCB Finance Limited products. If needed, please contact our staff for assistance.

If multiple mobile number is provided, the first number inputted will be treated as primary mobile number for receiving SMS from our Bank.

Please note that the phone number(s) you provided below will overwrite the existing record(s) with the Bank. If you would like to keep any original phone number(s), please be reminded to input the respective number(s) as well in the instruction.

Not applicable to change of SMS and email notification related to Joint Name Securities Account.

Current

New

Residential Phone Number

Office Phone Number

Mobile Number

SMS only for Price Alert for Securities Trading

The Language option is applicable for SMS / Email Alert for Investment Service E-Alert, including Investment Notification, Order Confirmation & Price Alert, etc.
The Investment Service eAlert Type and Language of eAlert will be applied to all individual and joint name investment accounts

Part 1: Tax Residence for US Citizenship / U.S. Residence

Under penalty of perjury, I certify that:

1. The number shown on this certification is my correct taxpayer identification number;

2. Unless otherwise indicated below, I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; 

3. I am a U.S. citizen or other U.S. person; and

4. The FATCA code(s) entered on this certification (if any) indicating that I am exempt from FATCA reporting is correct.

 

For a U.S. person, you are required to provide the certifications contained herein. The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholdings."

Part 2: Tax Residence for the Country(ies) other than U.S.

Please complete the following section indicating (i) where the Account Holder is a resident for tax purposes and (ii) the Account Holder's Taxpayer Identification Number ("TIN") or its functional equivalent for each country / jurisdiction indicated. If the account holder is tax resident in more than five countries / jurisdictions, please provide a further certification.

Tax Residence for the country(ies) other than US

Reason A: The country / jurisdiction where the Account Holder is resident for tax purpose but does not issue TINs to the Account Holder

Reason B: No TIN is required (Note: Only select this reason if the authorities of the country / jurisdiction or tax residence entered above do not require the TIN to be disclosed)

The information provided here would not supersede all previous ones. All previous tax residence information provided (as the case may be) should remain unchanged.</br>The above certification provided in Part 2 is specifically required with respect to the collection, retention and use of the above data as necessarily required in section 50C(3) of the Inland Revenue Ordinance for a reportable account and a non-reportable account for the purpose of automatic exchange of financial account information.</br>I acknowledge and agree that (i) the information contained in Part 2 on this certification is collected and may be kept by the financial institution for the purpose of automatic exchange of financial account information, and (ii) such information and information regarding the account holder and any reportable account(s) may be reported by the financial institution to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region of the People's Republic of China in which the account(s) is/are maintained and exchanged with tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes pursuant to the competent authority agreements to exchange financial account information.</br>For the information provided in Part 2 on this certification, I also acknowledge that it is an offence under the Inland Revenue Ordinance if any person, in making a self-certification, makes a statement that is misleading, false or incorrect in a material particular knowingly or in a reckless manner. [A person who commits the offence is liable on conviction to a fine at level 3 (i.e. HKD 10,000).]

I acknowledge that I have received and understood the Bank's "Notice to Customers and Other Individuals Relating to the Personal Data (Privacy) Ordinance and the Code of Practice on Consumer Credit Data".

(Please check ("✓") the box if Customer does not wish the Bank to provide his/her personal data to any other persons (whether or not any other member of the Group and/or any of their respective branches or offices) for their use in direct marketing whether or NOT for gain.)

The above represents my present choice whether or not to receive direct marketing contact or information. This replaces any choice communicated by me to the Bank prior to this request.

I acknowledge that my above choice applies to the direct marketing of the classes of products, services and/or subjects as set out in the Bank's "Notice to Customers and Other Individuals. Relating to the Personal Data (Privacy) Ordinance and the Code of Practice on Consumer Credit Data. I may refer to the Notice on the kinds of personal data which may be used in direct marketing and the classes of persons to which my personal data may be provided for them to use in direct marketing.

Personal Information

Current

New

Nationality, Marital Status, Education Level

Current

New

Employment Status

Current

New

Address

Current

New

Contact Details

Current

New

FATCA & CRS Self Certification (Personal Customer)

Part 1: Tax Residence for US Citizenship / U.S. Residence

Under penalty of perjury, I certify that:

1. The number shown on this certification is my correct taxpayer identification number;

2. Unless otherwise indicated below, I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; 

(Please tick if applicable)
I am subject to backup withholding for whatever reason(s) including that l have been notified by the IRS that I have failed to report all interest and dividends on my tax return.

3. I am a U.S. citizen or other U.S. person; and

4. The FATCA code(s) entered on this certification (if any) indicating that I am exempt from FATCA reporting is correct.

 

For a U.S. person, you are required to provide the certifications contained herein. The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholdings."

Part 2: Tax Residence for the Country(ies) other than U.S.

Please complete the following section indicating (i) where the Account Holder is a resident for tax purposes and (ii) the Account Holder's Taxpayer Identification Number ("TIN") or its functional equivalent for each country / jurisdiction indicated. If the account holder is tax resident in more than five countries / jurisdictions, please provide a further certification.

Tax Residence for the country(ies) other than US

Reason A: The country / jurisdiction where the Account Holder is resident for tax purpose but does not issue TINs to the Account Holder

Reason B: No TIN is required (Note: Only select this reason if the authorities of the country / jurisdiction or tax residence entered above do not require the TIN to be disclosed)

Important Disclosure

The information provided here would not supersede all previous ones. All previous tax residence information provided (as the case may be) should remain unchanged. The above certification provided in Part 2 is specifically required with respect to the collection, retention and use of the above data as necessarily required in section 50C(3) of the Inland Revenue Ordinance for a reportable account and a non-reportable account for the purpose of automatic exchange of financial account information. I acknowledge and agree that (i) the information contained in Part 2 on this certification is collected and may be kept by the financial institution for the purpose of automatic exchange of financial account information, and (ii) such information and information regarding the account holder and any reportable account(s) may be reported by the financial institution to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region of the People's Republic of China in which the account(s) is/are maintained and exchanged with tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes pursuant to the competent authority agreements to exchange financial account information. For the information provided in Part 2 on this certification, I also acknowledge that it is an offence under the Inland Revenue Ordinance if any person, in making a self-certification, makes a statement that is misleading, false or incorrect in a material particular knowingly or in a reckless manner. [A person who commits the offence is liable on conviction to a fine at level 3 (i.e. HKD 10,000).]

Direct Marketing Opt-Out Request

I acknowledge that I have received and understood the Bank's "Notice to Customers and Other Individuals Relating to the Personal Data (Privacy) Ordinance and the Code of Practice on Consumer Credit Data".

Provide Personal Data To Other Persons

I understand that the Bank may provide my personal data to other persons (whether or not such persons are members of the Group and/or any of their respective branches or offices) for their use in direct marketing, whether or not in return for money or other property. I do not wish the Bank to provide my personal data to any other persons (whether or not such persons are members of the Group and/or any of their respective branches or offices) for their use in direct marketing. Whether or not in return for money or other property.

Provide Personal Data To Other Persons

I understand that the Bank may provide my personal data to other persons (whether or not such persons are members of the Group and/or any of their respective branches or offices) for their use in direct marketing, whether or not in return for money or other property. I wish the Bank to provide my personal data to any other persons (whether or not such persons are members of the Group and/or any of their respective branches or offices) for their use in direct marketing. Whether or not in return for money or other property.

Deposit Consent

After careful consideration, I hereby give you consent and authorize the staff of the Bank to access and utilise my deposit information maintained with the Bank (whether under the account(s) in single name or joint name) for investment and wealth management purposes (the "Consent"). I understand and confirm that the Consent shall remain in effect unless and until I give the Bank written notice to revoke the Consent.

After careful consideration, I do not agree to authorize the staff of the Bank to access and utilise my deposit information maintained with the Bank (whether under the account(s) in single name or joint name) for investment and wealth management purposes.

Documents Upload

Signature

Acknowledgment

I acknowledge that I have read and fully understood and agreed to be bound by the terms in the Customer Declaration and Important Notice.

I acknowledge that I have read and fully understood and agreed to be bound by the terms in the Customer Declaration and Important Notice. I also confirm my signature below in the Form shall be the specimen signature for inMotion deposit accounts and One Account (if applicable).

Customer Declaration

1. I acknowledge that I am fully responsible for my own tax affairs, and that I am solely liable for understanding and complying with any legal, tax, foreign exchange control or regulatory obligations that may apply to me in any relevant jurisdiction. I confirm that I have and will continue to fully comply with relevant laws and regulations. During the tenure of business relationship, I will not carry out any transactions, or aid and abet, or facilitate the laundering of the related proceeds that links to unlawful activities, including but not limited to tax evasion, drug trafficking, other indictable offence, money laundering or transactions with terrorists, through my accounts with CNCBI. I understand my tax status and transaction activity is subject to screening and monitoring as part of CNCBI's AML review in compliance with Hong Kong's regulatory requirements.

2. Subject to applicable laws, I hereby consent for the Bank to disclose and share information, documentation or certification concerning myself, my beneficiaries and third parties for whom I am acting as agent, including but not limited to my personal and account information or records, with any third party, including but not limited to any legal, regulatory, government, tax or law enforcement body within or outside of Hong Kong as is required for the Bank to provide services to me, including where necessary to establish my/our tax liability in any jurisdiction and also reporting of any reportable accounts) that may be reported to the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region of the People's Republic of China in which the accounts) is/are maintained and exchanged with tax authorities of another jurisdiction or jurisdictions in which the account holder may be resident for tax purposes pursuant to the competent authority agreement to exchange financial account information.

3. I acknowledge and agree that any payment by the Bank, including any payment made under the General Terms and Conditions and all applicable Specific Terms and Conditions referred to in the General Terms and Conditions (the "Applicable T&Cs") may be subject to withholding and deduction as required under applicable laws, regulations, directives and guidelines, including under any Foreign Law Requirement (as defined in the Applicable T&Cs). Any amount as withheld may be held in whatever account or in whatever manner determined by the Bank at its sole discretion.

4. No provision in this declaration and other sections of this instruction form shall prejudice any consent, representation, undertaking or indemnity given by me (or on my behalf) or any other obligation or liability undertaken by me (or on my behalf) under or in connection with any other agreement between myself and the Bank, including but not limited to the Applicable T&Cs.

5. I acknowledge and agree that the electronic digitized signatures I apply on the following document(s) are representations of my signature and are legally valid and binding as if I had signed the document(s) with ink or paper in accordance with the mandate.

FATCA and CRS Self Certification

6. I undertake to advise the Bank of any change in circumstances which affects the tax residency status of the individual identified in this form or causes the information contained herein to become incorrect, and to provide the Bank with a suitably updated self-certification form within 30 days of such change in circumstances.

Important Notice

1. The Investment Service E-Alert is provided by China CITIC Bank International Limited (the “Bank”) based on the terms provided herein.

2. The Bank will endeavor to notify the Customer of such information which the Bank determines in its absolute discretion through the Investment Service E-Alert which may cover confirmation of fully executed orders, partially executed and remaining cancelled orders. The Bank does not undertake to ensure that the Customer will be successfully notified under any circumstances.

3. An Investment Service E-Alert will be sent to the Customer by way of SMS or text message to the mobile number or the email address registered with the Bank respectively in respect of a securities transaction. No further notification calls will be made.

4. Information provided via the Investment Service E-Alert is for information only, and not evidence of its contents. Formal advices and statements will be sent to customers in accordance with the relevant terms and conditions.

5. Any such information and/or communication (including but without limitation to confirmation of securities transaction) sent by way of Investment Service E-Alert shall be deemed to be a valid and effective notice. If Customers have any enquiries on the contents of the Investment Service E-Alert, please contact the Bank.

6. Customers will be, at their own costs, responsible for acquiring and maintaining appropriate equipment, connection with a telecommunication company and the associated expenses incurred for the purpose of receiving the information delivered by the Bank through the Investment Service E-Alert.

7. Customers may select Traditional/ Simplified Chinese or English as the preferred language for the Investment Service E-Alert. If Chinese is preferred, Customers should make sure that their equipment support the relevant Chinese characters display.

8. Customers should ensure that there will be sufficient storage capacity to receive their SMS or email messages.

9. SMS message cannot be diverted to other phone numbers. If a Customer diverts the Customer’s registered mobile number to another phone number, the respective SMS messages will still be sent to the Customer’s mobile number registered previously.

10. Customers may be able to receive the SMS Investment Service E-Alert overseas if roaming service is available to and utilized for their registered mobile telephone numbers. Customers would need to contact their telecommunications service providers for details of the arrangement and roaming charges.

11. Customers are advised to notify the Bank promptly of any change of Customers’ information on the Bank’s record that is used for the purpose of Investment Service E-Alert.

12. The Bank is not responsible for any failure or delay in sending any information to the Customers, or for any error, misdirection, corruption or interception of any information sent via the Investment Service E-Alert. The Bank is not responsible for any event beyond its control including any error, malfunctioning or failure of any software, equipment or system.

13. The Bank does not warrant and shall not be responsible for the accuracy, reliability, security, completeness or timeliness of the Investment Service E-Alert. The Bank shall not assume any liability for any losses or damages whatsoever which may be incurred by the Customers in connection with the use of the Investment Service E-Alert.

14. The Bank reserves the right to modify, expand or reduce the scope of the Investment Service E-Alert from time to time, or otherwise terminates the Investment Service E-Alert at its sole discretion at any time without notice. The provisions set out in this Important Notice may be amended, supplemented or terminated at any time by the Bank.

15. Chinese Name must be in use with the Chinese Correspondence Address.

16. The type of Chinese characters shown in the identification document will be used for Chinese name (if any).

17. The type of Chinese characters provided by customer in this Instructions Form will be used for Chinese correspondence address.

18. Chinese correspondence address is ONLY applicable to districts determined by the Bank from time to time (e.g. Mainland China, but excluding Hong Kong).

19. The Chinese name and address are only applicable to the services specified by the Bank from time to time. The English correspondence address provided by customer shall be the same as the Chinese correspondence address. The Bank shall, when it considers appropriate, use the English address for correspondence address.

20. PO Box is not allowed for Residential Address, and Correspondence Address of credit card and any loan accounts.

21. For account of HKCB Finance Limited and service of insurance company, please fill in respective form of "HKCB Finance Limited" and the insurance company.

22. For instruction to be effective, please allow at least 2 business days from the date of receipt of this form. The information will be updated to all credit card accounts if you are holding more than one credit card with us.

 
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