DOCUMENT CHECKLIST

List of Required Know Your Customer (KYC) & Anti-money laundering (AML) Documents

FOR INDIVIDUAL CUSTOMER

The following documents are required:

  1. Identity card / passport
  2. OTCxpert Personal Account Opening Form
  3. Proof of valid residential address within three months
  4. Relevant funding sources
FOR CORPORATE CUSTOMER
HONG KONG LIMITED COMPANIES
  • Valid Business Registration Certificate (BR)
  • Certificate of Incorporation (CI)
  • Latest Annual Return (AR1)
  • Memorandum of Association and Articles of Association (M & A)
  • Identity card / passport of all directors and shareholders with 25% or more shareholding
  • Proof of valid residential address within three months of all directors and shareholders with 25% or more shareholding
  • Company’s bank statement issued within last 3 months

OVERSEAS LIMITED COMPANIES

  • Valid Business Registration Certificate (BR) or equivalent
  • Certificate of Incorporation (CI) or equivalent
  • Certificate of Incumbency issued within last 6 months
  • Register of Members
  • Register of Directors
  • Memorandum of Association and Articles of Association (M & A)
  • Identity documents of all directors and shareholders with 25% or more shareholding
  • Proof of valid residential address within three months of all directors and shareholders with 25% or more shareholding
  • Company’s bank statement issued in last 3 months

SOLE PROPRIETOR

  • Valid Business Registration Certificate (BR)
  • Extract of information on the Business Register
  • Identity card / passport of owner
  • Proof of valid residential address within three months of owner
  • Company’s bank statement issued within last 3 months

PARTNERSHIP

  • Valid Business Registration Certificate (BR)
  • Extract of information on the Business Register
  • Identity card / passport of all partners
  • Residential address proofs of all partners
  • Company’s bank statement issued within last 3 months
CHINA COMPANIES
  • Valid Business Licenses
  • Identity documents of legal person
  • Proof of valid residential address within three months of legal person
  • Company’s bank statement issued last month

Remarks : Additional documents may be required at the discretion of our compliance department