The Security Acknowledgement Form is a mandatory document required by Hong Kong securities regulations for financial institutions engaging in securities trading with clients. This document must be executed before allowing clients to trade in securities and serves as evidence that the client understands the risks and nature of securities investments. The form includes specific acknowledgments required by the Securities and Futures Commission (SFC) of Hong Kong, covering areas such as risk disclosure, suitability assessment, and regulatory compliance. It is particularly important in the context of Hong Kong's sophisticated financial markets and regulatory framework, where investor protection and regulatory compliance are paramount. The document needs to be updated periodically to reflect changes in regulatory requirements and market conditions.
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1. Investor Information: Details of the investor including full name, ID/passport number, address, and contact information
2. Account Information: Securities account details and reference numbers
3. Risk Disclosure Statement: Mandatory risk disclosures as required by Hong Kong securities regulations
4. Investor Acknowledgements: Specific confirmations by the investor regarding understanding of risks, receipt of relevant documentation, and investment suitability
5. Regulatory Declarations: Standard declarations required by Hong Kong securities regulations and SFC guidelines
6. Execution Block: Signature section including date, witness requirements, and company chop (if applicable)
1. Professional Investor Status: Additional section required if the investor qualifies as a Professional Investor under Hong Kong law
2. Derivative Products: Additional acknowledgements required if the account will trade in derivative products
3. Margin Trading: Specific risk acknowledgements required if margin trading will be permitted
4. Electronic Trading: Additional acknowledgements for electronic trading platform access
5. Foreign Securities Trading: Additional risk disclosures for trading in foreign securities
1. Schedule 1 - Risk Disclosure Statements: Detailed risk disclosure statements as required by SFC regulations
2. Schedule 2 - Fee Schedule: Breakdown of applicable fees, charges, and commissions
3. Appendix A - Supporting Documents: List of required supporting documents (e.g., ID copy, address proof)
4. Appendix B - Declaration of Tax Status: FATCA and CRS related declarations if applicable
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Wealth Management
Asset Management
Securities Trading
Private Banking
Corporate Banking
Retail Banking
Financial Technology
Relevant Teams
Legal
Compliance
Risk Management
Front Office
Operations
Client Services
Documentation
Internal Audit
Regulatory Affairs
Relevant Roles
Compliance Manager
Legal Counsel
Risk Officer
Investment Advisor
Relationship Manager
Securities Trader
Operations Manager
Client Services Manager
Account Opening Officer
Documentation Specialist
Regulatory Affairs Director
Internal Auditor
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