CheckList (Individual Investors)

 

1. KNOW YOUR CUSTOMER （KYC）

 

2. Self-Certification Form /FATCA

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3. Investor Risk Profile Questionnaire

 

4. Risk Disclosure Statement

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5. ID card/Passport

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6. Proof of address (Bills or bank statement from past three months)

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7. Proof of assets (Bank statement from past three months)

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CheckList (Corporate)

 

1. INVESTMENT MANAGEMENT AGREEMENT

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2. KNOW YOUR CUSTOMER （KYC）（Controlling Person）

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3. KNOW YOUR CUSTOMER （KYC）（Corporate）

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4. FATCA

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5. ANTI-MONEY LAUNDERING（AML） & COUNTERING THE FINANCING OF TERRORISM CONTROLS

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6. Risk Disclosure Statement

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7. Investor Risk Profile Questionnaire

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8. Self-Certification_Form

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9. ID Card/Passport of all directors

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10. Proof of address of all directors (Bills or bank statement from past three months)

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11. Proof of assets (Bank statement from past three months)

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Please ensure that the requested documents are certified (CTC)

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1. Business Registration

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2. Certificate of Incorporation

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3. Certificate of Incumbency

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4. Board Resolution

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5. Memorandum & Articles Of Association

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6. Register of Directors (ROD)

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7. Register of Members (ROM)

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8. Organizational Chart

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