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Securities Trading Services

Hong Kong Investor Identification Regime ("HKIDR") and Over-the-counter Securities Transactions Reporting Regime ("OTCR")

Please be informed that the Securities and Futures Commission ("SFC") announced that Hong Kong Investor Identification Regime has been launched on 20 March 2023 and the Over-The-Counter Securities Transaction Reporting Regime will be launched on 25 September 2023. Under Hong Kong Investor Identification Regime and the Over-The-Counter Securities Transaction Reporting Regime (“new regime”)1, you must provide consent to the Bank so as to enable the Bank and/or ABCI Securities Company Limited ('ABCI Securities") to assign a unique Broker-to-Client Assigned Number ("BCAN") to you and your securities orders or transfer in/transfer out instructions. In addition, the Bank and/or ABCI Securities will also submit your BCAN together with your client identification data ("CID") (including but not limited to client's name, identity document(s)' ("ID") issuing country or jurisdiction, ID type and ID number on the ID) to the the Stock Exchange of Hong Kong ("SEHK").

 

In accordance with the guidelines of the SFC, we write to inform you of the waterfall of the identity documents ("waterfall") below and request you to provide the Bank an identity document(s) required under the waterfall (if not already provided) or update identity document information, as appropriate, to comply with the new regime. You should provide the identity document that is first mentioned in the order of priority below, unless you do not hold such document, the next mentioned document should be provided, and so forth:

 

(i)  For an individual client, the order of priority should be: (1) Hong Kong identity card; (2) national identification document; (3) passport (Note: Exit-entry Permit for Travelling to and from Hong Kong and Macao, HKSAR Document of Identity for Visa Purposes and Permit for Proceeding to Hong Kong and Macao are not accepted);

(ii) For a corporate client, the order of priority should be: (1) legal entity identifier (LEI) registration document; (2) certificate of incorporation; (3) business registration certificate; (4) other equivalent documents.

 

As the new regime may collect, store, process, use, disclose and transfer personal data (including CID and BCAN(s)) relating to you, you must submit the following consent and required identity document(s) (if applicable) to the Bank. Otherwise, after the implementation of the new regime, the Bank will not be able to carry out your buy orders or transfer in instructions, but only can carry out your sell orders or transfer out instructions of your existing holdings of securities (if any).

 

Individual account / corporate account client please complete "Hong Kong Investor Identification Regime and Over-The-Counter Securities Transaction Reporting Regime - Consent (Individual / Corporate Account)"2 and:

1)  e-mail to the Bank's Private Wealth Management Department: Pwm-dept@abchina.com.hk, or

2)  mail to the Bank: Attn: Private Wealth Management Department, 25/F, Agricultural Bank of China Tower, 50 Connaught Road Central, Hong Kong

If there is any material change to your CID or other information, and/or the availability of your identity document of a higher priority, you should mail the completed "Notification of Change of Customer Information for Individual / Corporate Customer" and cop(ies) of your identity document(s):

1)  to the Bank: Attn: Private Wealth Management Department, 25/F, Agricultural Bank of China Tower, 50 Connaught Road Central, Hong Kong

 

If you have any questions, please feel free to contact your Relationship Manager or call Customer Service Hotline at (852) 2861 7900.

 

Remark:

1 The exact effective date is to be announced by the SFC. Please refer to SFC website for details (https://www.sfc.hk/en/Rules-and-standards/Investor-Identification-and-OTC-Securities-Transactions-Reporting).

2 It is expected to take effect within 5 working days after the Bank receive your Consent.

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Introduction

    To enrich your investment portfolio and enhance the utilization of your wealth, we offer Hong Kong stock and global bond trading services to our private banking customers. Please approach our staff if you are interested to discuss your wealth management needs and obtain further information on our service offering.

 

Risk Disclosure & Important Notice

The following risk disclosure statements cannot disclose all the risks involved. You should undertake your own research and study before you trade or invest.

1. This promotional material is for reference only, the content herein does not constitute any offer, solicitation or recommendation of any investment product or service. The details, amount, time and any other information thereof are subject to relevant terms and conditions of the investment product or service with the Bank.

2. Investment involves risks. The price of securities may move up or down and may become valueless. There is an inherent risk that losses may be incurred rather than profit made as a result of buying and selling stocks and bonds. Investors should carefully read the risk factors contained in the relevant offering documents before making any investment decisions.

3. You should carefully consider whether any investment product or service mentioned herein is appropriate for you in view of your personal circumstances and investment goals. If you are in doubt, we suggest you seek independent financial and professional advice before investing.

4. The Bank reserves the rights to change, suspend or terminate the above products, services or promotional offers and to amend or terminate the relevant terms and conditions at any time at its sole discretion without prior notice. In case of any dispute(s), the decision of the Bank shall be final.

5. You may visit the website of the Investor Education Centre of the Hong Kong Securities and Futures Commission at for more relevant information.