HT Welcome Letter Sec (Eng) By Mail

@ddmmmyyyy@

@Client_Name@

@Address1@ Account Executive: @AEEngName@
@Address2@ Contact Number: (852) @DirTel@

@Address3@

Dear Customer(s),

Re: Account Activation

Thank you very much for choosing Haitong International as your investment partner. We are pleased to inform you that your following account(s) has been activated on 5-Feb-2018. You may now place orders through your Account Executive or via e-channels.

Account Name: @Client_Name@

Online Login ID

Margin Securities account

@ClientID@

If you are being our client(s) for the first time, please complete the following steps to activate your account(s):

1. An activation code will be sent via SMS to your registered mobile phone number at the time of account opening to enable you to use online trading services instantly. If you do not receive the said activation code via SMS, please notify us as soon as practicable. (Please refer to the notes on back page for details of dispatch method and validity term of code)

2. For first-time login using the activation code: please visit the front page of our website at www.htisec.com; click the “Client Login” button in the top right corner and select “Securities Trading”; click “Activation Code Login” and enter both Login ID and SMS Activation Code as instructed; answer the password setup question as requested and set a new 6-8 digit alphanumeric password. (Please refer to our e-trading Service Guide for more specific details about account activation methods.)

3. If you have not registered a mobile phone number, we will mail the login password to your registered address. Please visit the front page of our website at www.htisec.com; click the “Client Login” button in the top right corner and select “Securities Trading”; then directly enter your “Login ID” and “Password”.

4. After completion of account activation and new password setup, you may start to trade online and enjoy our comprehensive professional services.

5. Besides online trading, you may also place orders through our staff by giving an express instruction, either verbally or in writing, to our staff.

We would like to share with you a few notes on wise and smart investing:

Funds and Securities Deposit: You are reminded not to pass funds or securities to any third party (including Account Executive). You shall deliver funds or physical scrip to Customer Service Department directly for further action. Also, you shall contact Customer Service Department for all non-trading matters (such as orders for deposit and withdrawal of funds or securities and change in client particulars). You may refer to our company website for details of funds deposit methods and addresses of our Headquarters Customer Service Centre and different branches that offer securities deposit services.

Funds deposit methods: http://www.htisec.com/en-us/fund-deposit
Branch addresses: http://www.htisec.com/en-us/contact-us/brokerage-and-margin-financing

Funds and Securities Withdrawal: We offer various ways for you to withdraw funds from your account(s). You may directly contact our Customer Service Hotline for assistance during office hours. Besides, you may place a fund withdrawal order through the online securities trading platform. You may also download the “Request for Fund Withdrawal or Account Transfer” form from our website and send instructions to Customer Service Department through fax or email as listed on the Company’s website. For securities withdrawal, you may download the “Securities Withdrawal/Transfer/Change Holder’s Name Form” from our website and fax the completed form to our Settlement Department at (852) 2537 7647 or email to csdept@htisec.com.

Non-discretionary Nature: Your account(s) is a Non-discretionary Trading Account in nature, which means none of our staff is allowed to be an Authorized Person to run the account(s) on your behalf. You shall directly contact Customer Service Department for arrangement if you request our staff to run your trading account on your behalf.

Regular Review of Account Statement: Where there is any account activity, we will send a statement to your mailing address or email address (if eStatement service subscribed) to inform you of any change in your account(s), including funds and securities deposit and withdrawal and transaction details, etc. You are advised to promptly review all the transactions and the latest account position shown on the account statement. Should there be any discrepancy or enquiry, please contact our Customer Service Department immediately.

Regular Update of Personal Particulars: In case of any change in personal particulars, you are advised to inform us by giving instructions through the online securities trading platform or download the “Change of Personal Particular & eStatement Service Form” from our website and directly submit the completed form to Customer Service Department. Besides, in order to ensure high quality of our services and compliance with the relevant regulatory requirements, we will regularly remind you of the need to update your personal particulars to ensure your details registered with us are the most up-to-date.

Reminder on Securities Subscription: You can apply for subscription of securities newly listed and/or issued on SEHK through Haitong International. However, please be reminded that the closing times and dates for filing such an application through Haitong International may be different from those set forth in the relevant prospectuses and/or offering documents. Please visit our company website for details regarding an application for subscription of newly listed securities or contact your Account Executive directly. We will not accept any request for cancellation of new share subscription after our prescribed deadline.

Account Margin Limit/ Single Stock Limit (for Margin Securities Account only): The Margin Limit stated on this notification is for your reference only. For the most updated margin limit of your account, please refer to the latest statement we deliver to you. To enhance the risk control and safeguard the interest of client, we have set single stock limit / margin limit on account level for securities margin lending against a single stock / well diversified portfolio. Any margin loan to a client with a single stock concentration up to a certain percentage of the portfolio will be treated as a single stock portfolio. In case of breaching single stock limit / margin limit, we will send a letter to inform you, you are kindly requested to make good the excess single stock limit amount / excess margin limit amount immediately. Failure in settling the excess amount may initiate forced liquidation of part of or all of the positions in the account(s) without further notice. You are reminded that you will still be liable to any debit balance remaining in the account(s) after the liquidation.

Margin Financing Ratio and Debit Interest Rate: You can check the most updated Margin Financing Ratio of securities listed on the Stock Exchange of Hong Kong through the online securities trading platform. For Margin Financing Ratio of A shares of North Bound Trading of Shanghai – Hong Kong Stock Connect or securities listed in overseas markets, please contact our Customer Service Department or your Account Executive for enquiry. You are reminded that our company has sole discretion to change the Margin Financing Ratio from time to time without prior notice. For the standard interest rate charged by our company, please refer to the “Fees & Charges” page on our website.

Read and Understand Risk Disclosures: To understand various types of risks, you are reminded to draw attention to the risk disclosures specified on relevant Trading Account Terms and Conditions and its related Appendices. You may also refer to our company website for the contents.

For Cash Securities Trading Account:
http://www.htisec.com/sites/default/files/HTIS-061-1117%20%28E%29.pdf
For Margin Securities Trading Account:
http://www.htisec.com/sites/default/files/HTIS-062-1017-E.pdf
For Stock Options Trading Account: http://www.htisec.com/sites/default/files/Options%20Trading%20Account%20Terms%20and%20Conditions_EN.pdf

Fees and Charges: You are reminded to draw attention to the securities services related Fees and Charges, which are available in our company website at http://www.htisec.com/en-us/fees-and-charges. Please be reminded that our company has sole discretion to make any change or amendment on the Fees and Charges at any time without prior notice.

Renminbi (RMB) Margin Financing Surcharge: With effect from 1 February 2017, a Surcharge(s) of RMB Margin Financing for securities account(s) will be charged. The RMB Margin Financing Surcharge is based on current market circumstances and our Company may adjust the rate in accordance with market dynamics. We will update the Surcharge of RMB Margin Financing from time to time and publish the rate of surcharge on our company website after 10 a.m. of the day of change. For the latest information regarding the Surcharge of RMB Margin Financing, please refer to the “Hong Kong Stock and China A Shares Trading Fee Schedule and Overseas Stock Trading Fee Schedule” section in our company website at http://www.htisec.com/en-us/fees-and-charges.

Compulsory Currency Transfer and Conversion Arrangement (if applicable): To ensure customer’s timely settlement of outstanding balances arising from different securities trading markets and to avoid unnecessary interest charges due to delay or omission of fund transfer, we have implemented the Compulsory Currency Transfer and Conversion Arrangement. For the details of the aforesaid arrangement, please refer to our company website at http://www.htisec.com/sites/all/themes/hitong/files/Compulsory%20Currency%20Transfer

%20and%20Conversion%20Arrangement%20for%20Securities%20Accounts_EN.pdf.

Derivative Position and Reporting Limits: Regulators may impose a reportable obligation to a person who trades in derivative products with positions held exceeding prescribed limits set out by relevant regulators and/or exchanges from time to time. Accordingly, you will have a responsibility to report your positions held to designated parties. You are advised to observe applicable requirements which are posted on website of relevant regulators and/or exchanges.

The Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap 571Y of the Laws of Hong Kong), the relevant Trading Rules of HKEx and the Guidance Note on Position Limits and Large Open Position Reporting Requirements of the Hong Kong Securities and Futures Commission (“Guidance Note on Large Open Position Reporting”) set out relevant requirements and position limits for trading in futures and options contracts in Hong Kong. No person may hold or control futures and options contracts in excess of the limit prescribed under the relevant contract specifications from time to time. Any person holding or controlling a reportable open position in futures and options contracts shall notify the Futures Exchange within the prescribed timeframe. For more information, please refer to the Regulatory Framework and Rules session of the HKEx website at http://www.hkex.com.hk/eng/market/dv_tradfinfo/lop.htm, as well as the Hong Kong Securities and Futures Commission website at www.sfc.hk for details about the Guidance Note on Large Open Position Reporting.

CRS & FATCA : The effective date of Common Reporting Standard (“CRS”) in Hong Kong is 1 January 2017 and the Automatic Exchange of Information will take effect starting from 2018. For Foreign Account Tax Compliance Act (“FATCA”) and Common Reporting Standard Policies of Haitong International Securities Group Limited and its subsidiaries (together “HTISG”), please refer to http://www.htisec.com/sites/default/files/FATCAandCRSPolicyofHTISGLeaflet.pdf. For more information related to Common Reporting Standard, please refer to the notice on our website http://www.htisec.com/sites/all/themes/hitong/files/what-is-news/20161228_en.pdf and Frequently Ask Questions Section http://www.htisec.com/en-us/faq/General/6246 .

Importance of Cyber Security: You should be mindful of the security threats and risks while trading online, and take reasonable practices to protect your personal information.

1. Safeguard your Password: Your account information, such as account number, login ID and password, is important personal information of yours. Please safeguard them with due care and NEVER disclose to anyone else, including our Hong Kong and mainland staff. Under no circumstances will our staff require your password in order to serve you. You are recommended to set a strong password for your online account and change it regularly. The password should not be stored in computers, mobile phones or placed in plain sight. Please do not use a single password for all your accounts e.g. email account or banking account.

2. Avoid Suspicious Hyperlink: You should type the website address or use a bookmark to enter our company website. Please avoid accessing our website via hyperlink embedded on external email, search engine or unusual pop-up window. In case there is abnormally slow computer response or unexpected step required, please do not log in your online account.

3. Use Secured Device for Trading: To ensure the online trading safety, you should use secured or trusted computer or mobile device to trade, and never use public computer or network connection to access your online account. Please always log out the website or system after your trade has been finished. In order to protect your trading device, you are advised to activate the auto-lock function, and install up-do-date reputable anti-virus software or application. Data security and privacy issue should always be considered when you download and install any software or application.

Should you wish to know more about our service or the above mentioned, please contact your Account Executive 0, who is primarily responsible for your affairs, at (852) @DirTel@. In addition, you can also contact our Customer Service Officers at (852) 35833388; they are always at your service.

Wish you a rewarding investment and thank you again for choosing Haitong International.

For and on behalf of
Haitong International Securities Company Limited

Paul Tsang

Director-Customer Services


1. Dispatch of activation code via SMS is only applicable to individual clients with registered mobile phone number, covering the opening of a securities, futures, bullions or leveraged forex trading account. The online login password of company accounts and joint accounts would be mailed to clients’ registered address.
2. The SMS activation code will be valid for 7 days only, whereas password sent by mail will remain permanently valid.
3. Online login password sent by mail will be received by Hong Kong clients within 1-3 days and by Chinese and overseas clients within a period ranging from 3 days to 2 weeks.