DOCUMENT CHECKLIST

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

FOR INDIVIDUAL CUSTOMER

For transactions of HKD 2000 to 99999, the following documents are required:

  1. Identity card / passport
  2. OTCxpert Personal Account Opening Form

For transactions of HKD 100000 or above, an additional of the following document is required:
– Proof of valid residential address within three months

For transactions of HKD 200000 or above, an additional of the following document is required:
– Relevant funding sources

FOR CORPORATE CUSTOMER

HONG KONG LIMITED COMPANIES

  1. OTCxpert Company Account Opening Form
  2. Business registration (BR)
  3. Certificate of Incorporation (CI)
  4. Company’s bank account statement (required only 1 of the last 3 months)
  5. Director ID /passport (if applicable) 
  6. Latest Annual Return Report (AR1)
  7. Company’s Memorandum of Association and Articles of Association (M&A)
  8. Identity documents of all directors (with 25% or more shareholding)
  9. Residential address proof of all shareholders (with 25% or more shareholding)

OVERSEAS LIMITED COMPANIES

  1. OTCxpert Company Account Opening Form
  2. Valid Business Registration Certificate (BR) or equivalent
  3. Certificate of Incorporation (CI) or equivalent
  4. Certificate of Incumbency issued within last 6 months
  5. Register of Members
  6. Register of Directors
  7. Memorandum of Association and Articles of Association (M & A)
  8. Identity documents of all directors and shareholders with 25% or more shareholding
  9. Proof of valid residential address within three months of all directors and shareholders with 25% or more shareholding
  10. Company’s bank statement issued in last 3 months

SOLE PROPRIETOR

  1. OTCxpert Company Account Opening Form
  2. Valid Business Registration Certificate (BR)
  3. Extract of information on the Business Register
  4. Identity card / passport of owner
  5. Proof of valid residential address within three months of owner
  6. Company’s bank statement issued within last 3 months

PARTNERSHIP

  1. OTCxpert Company Account Opening Form
  2. Valid Business Registration Certificate (BR)
  3. Extract of information on the Business Register
  4. Identity card / passport of all partners
  5. Residential address proofs of all partners
  6. Company’s bank statement issued within last 3 months

MAINLAND COMPANIES

  1. OTCxpert Company Account Opening Form
  2. Valid Business Licenses
  3. Identity documents of legal person
  4. Proof of valid residential address within three months of legal person
  5. Company’s bank statement issued last month

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