Acknowledgement by Client. 聲明 We do not wish the CMB International Securities Limited to use our personal data in direct marketing via the following channel(s) (please use “✓” to select the channel(s)):- □ Electronic Channels □ Mail □ Personal Call If you return this Form without ticking any of the above boxes, it means that you do not wish to opt-out from any form of CMB International Securities Limited (CMBIS)’s direct marketing. □ To improve and provide more comprehensive services to our customers, CMBIS may provide your personal data to other members of the Group*and any other persons for their use in direct marketing of financial, insurance, credit card, securities, commodities, investment, banking and related services and products and facilities and so forth. Please tick “✓” this box if you do not wish CMBIS to provide your personal data to the above persons for the above purposes. *The “Group” means CMBIS and its holding companies, branches, subsidiaries, representative offices and affiliates, wherever situated. Affiliates include branches, subsidiaries, representative offices and affiliates of CMBIS’s holding companies, wherever situated. The above represents your present choice regarding whether or not to receive direct marketing materials, and CMBIS’s intended provision of your personal data to other members of the Group* for their use in direct marketing. This replaces any choice communicated by you to CMBIS prior to this application. Please note that your above choice applies to the direct marketing of the classes of products, services and/or subjects as set out in CMBIS’s Data Policy Notice. Please also refer to the said Notice on the kinds of personal data which may be used in direct marketing and the classes of persons to which your personal data may be provided for them to use in direct marketing. 我司不欲招銀國際証券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"✓"選擇渠道 ） □ 電子渠道 □ 郵件 □ 專人電話 如貴公司沒有在以上任何方格內以"✓"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際証券有限公司（招銀証券）任何形式的直銷推廣。 □ 為改善及提供更全面的服務予招銀証券的客戶，招銀証券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信 用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣。 若貴公司不欲招銀証券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"✓"號表示。 *「本集團」指招銀証券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地。 以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀証券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴 公司之前已告知招銀証券的選擇。請注意，貴公司以上的選擇適用於根據招銀証券的「資料政策通告」上所載的產品，服務及/或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使 用。 We confirm and represent that the information on this Client Information Form and documents provided in connection with this application is true, complete and correct and that the representations in the attached agreement are accurate. CMB International Securities Limited (CMBIS) is entitled to rely fully on such information and representations for all purposes, unless it receives notice in writing of any changes. CMBIS is authorized at any time to contact anyone, including client’s banks, brokers or any credit agency, for the purpose of verifying the information provided on this Client Information Form. 我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際証券有限公司（招銀証券）接到更改有關本資料表格內容的書面通知，否則招銀証券可完全依賴這些資料及陳述做一切用途。客戶授權招銀証券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述。 Pursuant to FATCA or applicable local laws, We hereby consent to CMBIS to report my personal data to the U.S. applicable local regulators or tax authorities where necessary in order to comply with FATCA or applicable local laws. 根據FATCA或相關當地法律，我司同意向招銀証券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律。 We, the undersigned Client, acknowledge and confirm that we have read, understood and accepted the provisions of the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, and agree to be bound by each of the above as amended and/or supplemented from time to time. We have been referred to the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, in both English and Chinese and have been explained by a staff named below in a language of our choice and that we are invited to read the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, ask questions and take independent advice if we wish. 我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明 書，提出問題及徵求獨立的意見（如我司有此意願）。 We agree and confirm the Specimen Signature(s) herein under will be used to verify all written instructions given relating to the operation of the Account(s). 我司同意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示。 We declare that We have read and agreed and consented to the Terms of Business for Professional Investors. We further warrant and represent that the execution of the Terms of Business for Professional Investors as a deed and where applicable is in accordance with the applicable laws. (Our signature(s) will be used to verify any written instructions to operate the account). We also ensure that the information provided in the "Investment Risk Preference Questionnaire" is true to us and is solely based on our own circumstances and judgment, and we accept your assessment. At the same time, We confirm that if there is any situation/condition happened to affect our risk tolerance level, we must take the initiative to require CMBIS to reassess our risk tolerance level. Otherwise we shall bear all the consequences resulting therefrom. 我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述， 簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風 險取向分析問卷》所填寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔。 Date 日期 ： Signature with Company Chop 客戶簽名（加蓋公司印章） Name of Signatories 簽字人姓名
Appears in 1 contract
Samples: www.cmbi.com.hk
Acknowledgement by Client. 聲明 We do not wish the CMB International Securities Limited to use our personal data in direct marketing via the following channel(s) (please use “✓” to select the channel(s)):- □ Electronic Channels □ Mail □ Personal Call If you return this Form without ticking any of the above boxes, it means that you do not wish to opt-out from any form of CMB International Securities Limited (CMBIS)’s direct marketing. □ To improve and provide more comprehensive services to our customers, CMBIS may provide your personal data to other members of the Group*and any other persons for their use in direct marketing of financial, insurance, credit card, securities, commodities, investment, banking and related services and products and facilities and so forth. Please tick “✓” this box if you do not wish CMBIS to provide your personal data to the above persons for the above purposes. *The “Group” means CMBIS and its holding companies, branches, subsidiaries, representative offices and affiliates, wherever situated. Affiliates include branches, subsidiaries, representative offices and affiliates of CMBIS’s holding companies, wherever situated. The above represents your present choice regarding whether or not to receive direct marketing materials, and CMBIS’s intended provision of your personal data to other members of the Group* for their use in direct marketing. This replaces any choice communicated by you to CMBIS prior to this application. Please note that your above choice applies to the direct marketing of the classes of products, services and/or subjects as set out in CMBIS’s Data Policy Notice. Please also refer to the said Notice on the kinds of personal data which may be used in direct marketing and the classes of persons to which your personal data may be provided for them to use in direct marketing. 我司不欲招銀國際証券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"我司不欲招銀國際證券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"✓"選擇渠道 ） □ 電子渠道 □ 郵件 □ 專人電話 如貴公司沒有在以上任何方格內以"✓"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際証券有限公司（招銀証券）任何形式的直銷推廣"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際證券有限公司（招銀證券）任何形式的直銷推廣。 □ 為改善及提供更全面的服務予招銀証券的客戶，招銀証券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信 用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣為改善及提供更全面的服務予招銀證券的客戶，招銀證券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣。 若貴公司不欲招銀証券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"若貴公司不欲招銀證券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"✓"號表示。 *「本集團」指招銀証券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地本集團」指招銀證券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地。 以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀証券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴 公司之前已告知招銀証券的選擇。請注意，貴公司以上的選擇適用於根據招銀証券的「資料政策通告」上所載的產品，服務及以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀證券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴公司之前已告知招銀證券的選擇。請注意，貴公司以上的選擇適用於根據招銀證券的「資料政策通告」上所載的產品，服務及/或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使 用或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使用。 We confirm and represent that the information on this Client Information Form and documents provided in connection with this application is true, complete and correct and that the representations in the attached agreement are accurate. CMB International Securities Limited (CMBIS) is entitled to rely fully on such information and representations for all purposes, unless it receives notice in writing of any changes. CMBIS is authorized at any time to contact anyone, including client’s banks, brokers or any credit agency, for the purpose of verifying the information provided on this Client Information Form. 我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際証券有限公司（招銀証券）接到更改有關本資料表格內容的書面通知，否則招銀証券可完全依賴這些資料及陳述做一切用途。客戶授權招銀証券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際證券有限公司（招銀證券）接到更改有關本資料表格內容的書面通知，否則招銀證券可完全依賴這些資料及陳述做一切用途。客戶授權招銀證券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述。 Pursuant to FATCA or applicable local laws, We hereby consent to CMBIS to report my personal data to the U.S. applicable local regulators or tax authorities where necessary in order to comply with FATCA or applicable local laws. 根據FATCA或相關當地法律，我司同意向招銀証券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律根據FATCA或相關當地法律，我司同意向招銀證券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律。 We, the undersigned Client, acknowledge and confirm that we have read, understood and accepted the provisions of the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, and agree to be bound by each of the above as amended and/or supplemented from time to time. We have been referred to the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, in both English and Chinese and have been explained by a staff named below in a language of our choice and that we are invited to read the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, ask questions and take independent advice if we wish. 我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明 書，提出問題及徵求獨立的意見（如我司有此意願我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，提出問題及徵求獨立的意見（如我司有此意願）。 We agree and confirm the Specimen Signature(s) herein under will be used to verify all written instructions given relating to the operation of the Account(s). 我司同意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示我司同 意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示。 We declare that We have read and agreed and consented to the Terms of Business for Professional Investors. We further warrant and represent that the execution of the Terms of Business for Professional Investors as a deed and where applicable is in accordance with the applicable laws. (Our signature(s) will be used to verify any written instructions to operate the account). We also ensure that the information provided in the "Investment Risk Preference Questionnaire" is true to us and is solely based on our own circumstances and judgment, and we accept your assessment. At the same time, We confirm that if there is any situation/condition happened to affect our risk tolerance level, we must take the initiative to require CMBIS to reassess our risk tolerance level. Otherwise we shall bear all the consequences resulting therefrom. 我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述， 簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風 險取向分析問卷》所填寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述，簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風險取向分析問卷》所填 寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔。 Date 日期 ： Signature with Company Chop 客戶簽名（加蓋公司印章） (If applicable) 客戶簽名加蓋公司印章 (如適用) Name of Signatories 簽字人姓名簽字人姓名 Date 日期 ：
Appears in 1 contract
Samples: www.cmbi.com.hk
Acknowledgement by Client. 聲明 We do not wish the CMB International Securities Limited to use our personal data in direct marketing via the following channel(s) (please use “✓” to select the channel(s)):- □ Electronic Channels □ Mail □ Personal Call If you return this Form without ticking any of the above boxes, it means that you do not wish to opt-out from any form of CMB International Securities Limited (CMBIS)’s direct marketing. □ To improve and provide more comprehensive services to our customers, CMBIS may provide your personal data to other members of the Group*and any other persons for their use in direct marketing of financial, insurance, credit card, securities, commodities, investment, banking and related services and products and facilities and so forth. Please tick “✓” this box if you do not wish CMBIS to provide your personal data to the above persons for the above purposes. *The “Group” means CMBIS and its holding companies, branches, subsidiaries, representative offices and affiliates, wherever situated. Affiliates include branches, subsidiaries, representative offices and affiliates of CMBIS’s holding companies, wherever situated. The above represents your present choice regarding whether or not to receive direct marketing materials, and CMBIS’s intended provision of your personal data to other members of the Group* for their use in direct marketing. This replaces any choice communicated by you to CMBIS prior to this application. Please note that your above choice applies to the direct marketing of the classes of products, services and/or subjects as set out in CMBIS’s Data Policy Notice. Please also refer to the said Notice on the kinds of personal data which may be used in direct marketing and the classes of persons to which your personal data may be provided for them to use in direct marketing. 我司不欲招銀國際証券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"✓"選擇渠道 ） □ 電子渠道 □ 郵件 □ 專人電話 如貴公司沒有在以上任何方格內以"✓"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際証券有限公司（招銀証券）任何形式的直銷推廣。 □ 為改善及提供更全面的服務予招銀証券的客戶，招銀証券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信 用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣。 若貴公司不欲招銀証券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"✓"號表示。 *「本集團」指招銀証券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地。 以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀証券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴 公司之前已告知招銀証券的選擇。請注意，貴公司以上的選擇適用於根據招銀証券的「資料政策通告」上所載的產品，服務及以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀証券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴公司之前已告知招銀証券的選擇。請注意，貴公司以上的選擇適用於根據招銀証券的「資料政策通告」上所載的產品，服務及/或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使 用。 We confirm and represent that the information on this Client Information Form and documents provided in connection with this application is true, complete and correct and that the representations in the attached agreement are accurate. CMB International Securities Limited (CMBIS) is entitled to rely fully on such information and representations for all purposes, unless it receives notice in writing of any changes. CMBIS is authorized at any time to contact anyone, including client’s banks, brokers or any credit agency, for the purpose of verifying the information provided on this Client Information Form. 我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際証券有限公司（招銀証券）接到更改有關本資料表格內容的書面通知，否則招銀証券可完全依賴這些資料及陳述做一切用途。客戶授權招銀証券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述我司在此確認在客戶資料表 格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際証券有限公司（招銀証券）接到更改有關本資料表格內容的書面通知，否則招銀証券可完全依賴這些資料及陳述做一切用途。客戶授權招銀証券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述。 Pursuant to FATCA or applicable local laws, We hereby consent to CMBIS to report my personal data to the U.S. applicable local regulators or tax authorities where necessary in order to comply with FATCA or applicable local laws. 根據FATCA或相關當地法律，我司同意向招銀証券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律。 We, the undersigned Client, acknowledge and confirm that we have read, understood and accepted the provisions of the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, and agree to be bound by each of the above as amended and/or supplemented from time to time. We have been referred to the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, in both English and Chinese and have been explained by a staff named below in a language of our choice and that we are invited to read the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, ask questions and take independent advice if we wish. 我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明 書，提出問題及徵求獨立的意見（如我司有此意願）。 We agree and confirm the Specimen Signature(s) herein under will be used to verify all written instructions given relating to the operation of the Account(s). 我司同意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示。 We declare that We have read and agreed and consented to the Terms of Business for Professional Investors. We further warrant and represent that the execution of the Terms of Business for Professional Investors as a deed and where applicable is in accordance with the applicable laws. (Our signature(s) will be used to verify any written instructions to operate the account). We also ensure that the information provided in the "Investment Risk Preference Questionnaire" is true to us and is solely based on our own circumstances and judgment, and we accept your assessment. At the same time, We confirm that if there is any situation/condition happened to affect our risk tolerance level, we must take the initiative to require CMBIS to reassess our risk tolerance level. Otherwise we shall bear all the consequences resulting therefrom. 我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述， 簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風 險取向分析問卷》所填寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述，簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風險取向分析問卷》所填寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔。 Date 日期 ： Signature with Company Chop 客戶簽名（加蓋公司印章） Name of Signatories 簽字人姓名
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Samples: www.cmbi.com.hk
Acknowledgement by Client. 聲明 We do not wish the CMB International Securities Limited to use our personal data in direct marketing via the following channel(s) (please use “✓” to select the channel(s)):- □ Electronic Channels □ Mail □ Personal Call If you return this Form without ticking any of the above boxes, it means that you do not wish to opt-out from any form of CMB International Securities Limited (CMBIS)’s direct marketing. □ To improve and provide more comprehensive services to our customers, CMBIS may provide your personal data to other members of the Group*and any other persons for their use in direct marketing of financial, insurance, credit card, securities, commodities, investment, banking and related services and products and facilities and so forth. Please tick “✓” this box if you do not wish CMBIS to provide your personal data to the above persons for the above purposes. *The “Group” means CMBIS and its holding companies, branches, subsidiaries, representative offices and affiliates, wherever situated. Affiliates include branches, subsidiaries, representative offices and affiliates of CMBIS’s holding companies, wherever situated. The above represents your present choice regarding whether or not to receive direct marketing materials, and CMBIS’s intended provision of your personal data to other members of the Group* for their use in direct marketing. This replaces any choice communicated by you to CMBIS prior to this application. Please note that your above choice applies to the direct marketing of the classes of products, services and/or subjects as set out in CMBIS’s Data Policy Notice. Please also refer to the said Notice on the kinds of personal data which may be used in direct marketing and the classes of persons to which your personal data may be provided for them to use in direct marketing. 我司不欲招銀國際証券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"我司不欲招銀國際證券有限公司使用我司的個人資料經以下渠道作直銷推廣（請以"✓"選擇渠道 ） □ 電子渠道 □ 郵件 □ 專人電話 如貴公司沒有在以上任何方格內以"✓"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際証券有限公司（招銀証券）任何形式的直銷推廣"號顯示貴公司的選擇，即代表貴公司並不拒絕招銀國際證券有限公司（招銀證券）任何形式的直銷推廣。 □ 為改善及提供更全面的服務予招銀証券的客戶，招銀証券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信 用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣為改善及提供更全面的服務予招銀證券的客戶，招銀證券可能會將貴公司的個人資料提供予「本集團」*其他成員及其他人作其包括財務、保險、信用卡、證券、商品、投資、銀行及相關服務和產品及授信的直銷推廣。 若貴公司不欲招銀証券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"若貴公司不欲招銀證券提供貴公司的個人資料予以上人士作以上用途，請閣下在這方格上以"✓"號表示。 *「本集團」指招銀証券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地本集團」指招銀證券及其控股公司、分行、附屬公司、代表辦事處及附屬成員，不論其所在地。附屬成員包括卡公司的控股公司之分行、附屬公司、代表辦事處及附屬成員，不論其所在地。 以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀証券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴 公司之前已告知招銀証券的選擇。請注意，貴公司以上的選擇適用於根據招銀証券的「資料政策通告」上所載的產品，服務及以上代表貴公司現在對是否接收直銷推廣資料，以及對招銀證券擬將貴公司個人資料提供予「本集團」*其他成員作其直銷推廣的選擇，亦取代任何貴公司之前已告知招銀證券的選擇。請注意，貴公司以上的選擇適用於根據招銀證券的「資料政策通告」上所載的產品，服務及/或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使 用或標的類別的直銷推廣。請貴公司參考該通告上以得知在直銷推廣上可使用的個人資料的種類，以及貴公司的個人資料可提供予甚麼類別的人士以供該等人士在直銷推廣中使用。 We confirm and represent that the information on this Client Information Form and documents provided in connection with this application is true, complete and correct and that the representations in the attached agreement are accurate. CMB International Securities Limited (CMBIS) is entitled to rely fully on such information and representations for all purposes, unless it receives notice in writing of any changes. CMBIS is authorized at any time to contact anyone, including client’s banks, brokers or any credit agency, for the purpose of verifying the information provided on this Client Information Form. 我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際証券有限公司（招銀証券）接到更改有關本資料表格內容的書面通知，否則招銀証券可完全依賴這些資料及陳述做一切用途。客戶授權招銀証券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料及陳述我司在此確認在客戶資料表格所提供的資料及文件全部為真實、完整和正確，以及附上的協議中的陳述均屬準確。除非招銀國際證券有限公司（招銀證券）接到更改有關本資料表格內容的書面通知，否則招銀證券可完全依賴這些資料及陳述做一切用途。客戶授權招銀證券可隨時聯絡任何人包括客戶的銀行、經紀或任何信貸機構等，核實本資料表內的資料 及陳述。 Pursuant to FATCA or applicable local laws, We hereby consent to CMBIS to report my personal data to the U.S. applicable local regulators or tax authorities where necessary in order to comply with FATCA or applicable local laws. 根據FATCA或相關當地法律，我司同意向招銀証券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律根據FATCA或相關當地法律，我司同意向招銀證券匯報我的個人資料到美國或適用的當地監管機構或稅務機關，並在必要時為符合FATCA或適用的當地法律。 We, the undersigned Client, acknowledge and confirm that we have read, understood and accepted the provisions of the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, and agree to be bound by each of the above as amended and/or supplemented from time to time. We have been referred to the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, in both English and Chinese and have been explained by a staff named below in a language of our choice and that we are invited to read the Cash Client’s Agreement / Margin Client’s Agreement and other related documents and terms, including (inter alia) the Risk Disclosure Statement and Personal Data Protection Statement, ask questions and take independent advice if we wish. 我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明 書，提出問題及徵求獨立的意見（如我司有此意願）。 We 我司為下述簽署客戶已閱讀過、明白及接受貴公司附上的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於內含風險披露聲明及個人資料收集聲明書，並且同意受不時經修改及／或補充的該等文件所約束。我司並已獲展示中英文本的現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，及獲以下職員按照我司所選擇的語言解釋明白；及我司已獲邀閱讀現金客戶協議書／保證金客戶協議書及其他相關文件及條款，包括但不限於風險披露聲明及個人資料收集聲明書，提出問題及徵求獨立的意見（如我司有此意願）。We agree and confirm the Specimen Signature(s) herein under will be used to verify all written instructions given relating to the operation of the Account(s). 我司同意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示我司同 意並確定下列簽署式樣將被用作核證任何就帳戶運作之書面指示。 We declare that We have read and agreed and consented to the Terms of Business for Professional Investors. We further warrant and represent that the execution of the Terms of Business for Professional Investors as a deed and where applicable is in accordance with the applicable laws. (Our signature(s) will be used to verify any written instructions to operate the account). We also ensure that the information provided in the "Investment Risk Preference Questionnaire" is true to us and is solely based on our own circumstances and judgment, and we accept your assessment. At the same time, We confirm that if there is any situation/condition happened to affect our risk tolerance level, we must take the initiative to require CMBIS to reassess our risk tolerance level. Otherwise we shall bear all the consequences resulting therefrom. 我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述我司聲明，我司已閱讀及同意《專業投資者業務條款》和《專業投資者申請書》。我司亦保證及陳述，簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風險取向分析問卷》所填 寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形， 簽署《專業投資者業務條款》為契約是符合適用法律的。（我司的簽署印鑒樣式將被用作核實任何對該帳戶進行操作的書面指示）。我司亦保證《投資風 險取向分析問卷》所填寫之資訊為我司真實的意思，完全獨立依據自身情況和判斷做出上述答案，並接受貴行評估意見。同時確認如我司發生可能影響自身風險承受能力的情形，再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔再次購買金融產品時必須主動要求銀行重新對我司進行風險承受能力評估。否則由此導致的一切後果由我司承擔。 Date 日期 ： Signature with Company Chop 客戶簽名（加蓋公司印章） (If applicable) 客戶簽名加蓋公司印章 (如適用) Name of Signatories 簽字人姓名簽 字 人 姓 名 Date 日 期 ：
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