Securities Page Futures Page

Open Account

 

First Step: Open Account

 

Online Application

Please download and fill in the following application form, and post the completed form to Southwest Securities International Securities Limited Customer Services Department along with an individual / company's supporting documents. Download application form: "Securities Account / Securities Margin Account / Stock Options Account / Futures Account"

Appointment for Account Opening

Please make an appointment through email (swsc_dept_cs@swsc.hk) or call our Customer Services Officer (2238 9378) for the appointment.

Apply in Person

Please visit SWSI for the account opening, and our Customer Services Officer will process your application.

 

Please prepare the Related Documents:
 

Individual / Joint Account - Please prepare the following documents

  • Copy of Personal Identification Document: E.g. HKID / Passport.

  • Copy of Residential address Proof: Public Institution’s Letter / Bank's Letter / Phone Bill / Government Department's Letter issued within the last 3 months ( P.O Box and Business Address are not accepted for  Residential Address / Correspondence Address ).

  • New clients can designate a bank account (a Hong Kong or overseas bank account) for fund withdrawal upon account opening. Clients shall provide copies of bank statement or passbook(the document must be in full on which Client’s name, bank name and bank account number must be clearly shown) for verification purpose.

Reminder:
Residential address proof is not required in case your address on the Client's Agreement is the same as the one on your Second-generation identity card.
If you are not the Hong Kong citizen, you must provide proof of existing nationality. Under the law, where a person claims that he/she has the right of abode in the HKSAR, the burden of proving the claim shall lie on that person.

 

 

Sole Proprietor / Partnership Account - Please prepare the following documents

  • Copy of Personal Identification Document: E.g. HKID / Passport.

  • Copy of Residential address Proof: Public Institution's Letter / Bank's Letter / Phone Bill / Government Department's Letter issued within the last 3 months  ( P.O Box and Business Address are not accepted for Residential Address / Correspondence Address ).

  • Copy of Company Address Proof.

  • Copy of Business Registration Certificate (Only Applicable to Hong Kong Registered Company).

  • Copy of Certificate of Incorporation.

  • Copy of Personal Identification Document of Guarantor.

  • Copy of Address Proof of Guarantor.

 

Corporate Limited Account - Please prepare the following documents

  • Copy of Personal Identification Document of All Director(s) and Authorized Person (if applicable): E.g. HKID / Passport.

  • Copy of Company Address Proof: Public Institution's Letter / Bank's Letter / Phone Bill / Government Department's Letter issued within the last 3 months. ( P.O Box not accepted )

  • Copy of Business Registration Certificate (Only Applicable to Hong Kong Registered Company).

  • Copy of Certificate of Incorporation.

  • Copy of Memorandum & Articles of Association.

  • Copy of Latest Annual Return & Notification of changes of Director (if applicable) (Non-HK Registered Company should also provides Register of Director & Register of Shareholder).

  • Copy of Personal Identification Document of Guarantor.

  • Copy of Residential address Proof of Guarantor.

Reminder:
For the Copy of Memorandum & Articles of Association, and Copy of Latest Annual Return & Notification of changes of Director: must have the Certified True Copy.
Please be noted that the Company can request you to provide with additional information and documents for identity verification and account opening purpose.

 

Second Step: Account Opening Witness

 

The Account Opening Witness procedure can be completed in case SWSI's Financial Consultant is a witness of your account opening.

If you are "Online Appointment Booking" customer, please arrange a qualified witness to process the Account Opening Witness and provide the proof of the professional qualification. Qualified witness includes: Justice of Pease or a professional person such as a branch manager of a bank, certified public accountant, lawyer or notary public.

You can also make an appointment for the Account Opening Witness through email (swsc_dept_cs@swsc.hk).

Reminder:
Account Opening Witness is not required in case you provide a bank cheque, which (1) can be drawn by a licensed bank in Hong Kong, and (2) with the signature that is the same as the one on the Client’s Agreement, and (3) with the amount not less than HKD10,000.
For the applicant who does not wish to provide us with the said cheque, the signing of the account opening documents and the sighting of the relevant identity document should have to be certified by certified public accountant(practicing), lawyer or notary public. Please be noted that  provide the proof of the professional qualification and the name card of the certified person should be sent along with your application.

 

Third Step: Successful Application

 

When we receive your application forms and documents, your application will be processed as soon as possible.

Successful applicant will receive our "Successful Application notification through email / Welcome letter".

Successful applicant with Online Trading will receive "Online Trading Account Login Name and Password" through email.