Select Page

Hong Kong Law

May 2015

Best Boutique Firm 2014

Asian Legal Business Awards

This newsletter is for information purposes only.

Its contents do not constitute legal advice and it should not be regarded as a substitute for detailed advice in individual cases. Transmission of this information is not intended to create and receipt does not constitute a lawyer-client relationship between Charltons and the user or browser. Charltons is not responsible for any third party content which can be accessed through the website.

If you do not wish to receive this newsletter please let us know by emailing us at:

Dominion Centre,12th Floor
43-59 Queen's Road East, Hong Kong

Tel: + (852) 2905 7888
Fax: + (852) 2854 9596


Charltons - Hong Kong Law Newsletter - Issue 291 - 22 May 2015

Hong Kong SFC KYC and Account Opening Obligations

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

Circular concerning Know Your Client and Account Opening Procedures

Know your client procedures in Hong Kong

Signing of Client Agreement

Hong Kong SFC KYC rules

Hong Kong Securities and Futures Commission SFC

Paragraph 5.1 of SFC Code of Conduct

SFC certification process

Accuracy of client information

KYC Checklist
KYC Checklist
Account Opening Process