FAQ General Enquiry 1. What is the Customer Services Hotline of ICBCI? Should you have any questions, please feel free to contact our Customer Service Hotline from 8:30 to 18:00 between Monday and Friday: Existing client whose securities account number begins with 02, Please call our Investment Services Customer Service Hotline (852) 2683-6000 Existing client whose securities account number begins with 01, Please call our Institutional Sales Customer Service Hotline (852) 2683-3198 Account Opening 2. What types of account can I open with ICBCI? Individual/ Joint/ Corporate Account Accounts with ICBC International Securities Limited - Cash Securities Account/ Margin Securities Account (Non-Internet/ Internet) - Stock Options Account (Non-Internet/ Internet) Accounts with ICBC International Futures Limited - Futures & Options Account (Non-Internet/ Internet) 3. How to open a securities / futures / stock options account at ICBCI? Please call our Customer Service Hotline to make an appointment, and visit our office with the necessary supporting documents for establishment of accounts. Investment Services Customer Service Hotline: (852) 2683-6000 Institutional Sales Customer Service Hotline: (852) 2683-3198 4. What supporting documents do I need to provide? Clients are required to complete the relevant account opening agreements and forms, and provide the following documents: Individual/ Joint Account 1. Personal Identification Document (e.g. a valid Hong Kong Identity Card or a valid passport) of account holder(s) 2. A copy of residential/ permanent address proof from the recent 3 months (e.g. bank statement, utilities bill) (Further information may be required for identity verification purpose) Corporate Account 1. Proof of Registered office address/Place of business address (within 3 months) 2. Board Resolution or equivalent for (1) account opening and (2) conferring authority on those who will be operating the account (please refer to the company’s memorandum & articles of association for the number of directors required to sign the Minutes of the Meeting) 3. List of all authorised persons 4. Specimen signatures of all account signatories 5. Personal Guarantee from substantial/major shareholders or Directors 6. Business registration certificate (for HK incorporated company) 7. Certificate of incorporation 8. Certificate of incumbency(within 6 months) (for overseas incorporated company) 9. Register of directors and members (for overseas incorporated company) 10. Memorandum & articles of association 11. ID card/ Passport copy and address proof of at least 2 authorised persons 12. ID card/ Passport copy and address proof of at least 2 directors including the managing director 13. ID card/ Passport copy and address proof of substantial shareholders/ ultimate beneficial owner 14. Ownership structure to identify the individuals who are the ultimate principal beneficial owners *Please provide originals of the documents or TRUE COPIES CERTIFIED by an accounting firm/law firm/company which provides company secretarial services. 5. How do I apply internet trading service? You can complete and sign our 《 Acknowledgement of Internet Trading (First Schedule)》while opening account with us or after opening account with us. You are required to change your trading password the first time you access your account via internet. 6. What happens if I forget my passwords? You can contact your designated Account Manager or call our Customer Service hotline to request your password reset. Once we have verified your identity, we will reset the password and send it to you via email or by post. Please login to internet trading using the password provided and change it immediately for security reason. 7. How do I make changes to my correspondence information with ICBCI? To change your address, contact telephone number, email address, bank account information etc., please download, complete and return the《Client Information Change Request Form》to us. Your request will be handled after verifying your identity. Trading Service 8. What methods can I use to place my order? By phone: You can call your designated Account Manager or our Customer Service Hotline to place an order, obtain stock quotes, inquire order status and account balance etc.. Internet trading: You can access our website: www.icbci.com.hk to use our internet trading platform or download software to place an order, obtain stock quotes, inquire order status and account balance etc.. 9. What products can I trade through ICBCI internet securities trading platform? All stocks and warrants listed on The Stock Exchange of Hong Kong Limited. 10. How to get real time quotation of Hong Kong stock market? All new clients are entitled to free real time snapshot quotation when they login ICBCI internet trading platform. If necessary, you can contact your designated Account Manager or call our Customer Service hotline to apply for real time streaming quotation. 11. How many orders types on the internet? Auction Limit Order (ALO), Auction Order (AO) (SELL ONLY), Enhance Limit Order (ELO), Special Limit Order(SLO), Limit Order(LO) 12. Can I place a "Good Till Cancel" order on the internet? No, it is not accepted. 13. Can I place an overnight order on the internet? Yes. After the close of the trading day, you can input orders anytime except our maintenance period from 4:00pm to 4:30pm every day. Orders will be rejected during the maintenance period. Otherwise, orders will be stored in our system and will be submitted to the Exchange next trade day. 14. Will an order be automatically submitted to the Exchange if the order price is out of 20 spread during trading session? No, it will be rejected. 15. Does ICBCI provide short sell service on the internet? No, we do not provide any short sell service. 16. Can I amend or cancel an internet order by calling my designated Account Manager or Customer Service hotline? Yes. 17. What should I do if I cannot access the internet trading platform? If you fail to access the internet trading platform, you can contact your designated Account Manager or call our Customer Service Hotline to place an order, obtain stock quotes, inquire order status and account balance etc.. Fund/Securities Deposit & Transfer 18. How can I obtain transaction record(s) of my account? Monthly account statement summarizes all activities in your account during any specific month and will be sent to your mailing address or email address at the beginning of the next month. Daily account statement will also be sent to your mailing address or email address the next business day once any transactions are made. 19. How can I deposit funds？ If you deposit funds to one of our bank accounts, please fax your deposit slip to your designated Account Manager or to our Settlement Department at (852) 2683-3611 / (852) 2683-3612. Kindly indicate your account name and securities / futures account number on the deposit slip. The funds will be credited to your account once the deposit is verified. Client can also deposit funds to your designated sub-account opened at ICBC (Asia). You are NOT REQUIRED to fax us the pay-in slip or transaction record. The funds will be credited to your securities account once the deposit is verified. Overseas and mainland client can deposit funds by remittance. 20. Where should I make my fund deposits? HKD Deposits into Securities Account 1. Bank of China (Hong Kong) Limited Bank Name：Bank of China (Hong Kong) Limited Address：Bank of China Tower, 1 Garden Road, Central, Hong Kong Swift Code：BKCHHKHH A/C Name：ICBC International Securities Limited A/C No (HKD A/C)：012-875-0-041416-8 2. Hong Kong & Shanghai Banking Corp., Hong Kong Bank Name：Hong Kong & Shanghai Banking Corp., Hong Kong Address：1 Queens Road, Central, Hong Kong Swift Code：HSBCHKHH A/C Name：ICBC International Securities Limited A/C No (HKD A/C)：808-509731-001 3. ICBC (Asia) Sub-account Bank Name：Industrial and Commercial Bank of China (Asia) Ltd. Address：33/F, ICBC Tower, 3 Garden Road, Central, Hong Kong SWIFT Code：UBHKHKHH A/C Name：Client’s name (in English) A/C No：Client’s designated account number (client will be informed by mail) USD Deposits into Securities Account Hong Kong & Shanghai Banking Corp., Hong Kong Bank Name：Hong Kong & Shanghai Banking Corp., Hong Kong Address：1 Queens Road, Central, Hong Kong Swift Code：HSBCHKHH A/C Name：ICBC International Securities Limited A/C No (USD A/C)：808-509731-201 HKD Deposits into Futures Account Hong Kong & Shanghai Banking Corp., Hong Kong Bank Name：Hong Kong & Shanghai Banking Corp., Hong Kong Address：1 Queens Road, Central, Hong Kong Swift Code：HSBCHKHH A/C Name：ICBC International Futures Limited A/C No (HKD A/C)：808-556385-001 21. How can I withdraw funds? You can contact your designated Account Manager or call our Customer Service Hotline. To process the fund withdrawal, the designated bank account must be in the name of the client. On the other hand, please download and fill in the Withdrawal/Deposit Approval form and submit it to our company. Your request will be handled after verifying your identity. 22. How can I deposit physical stock? Client needs to deliver the physical stock to ICBCI office in person and our company will deposit it to CCASS Depository for client. Note: Physical stocks deposited into your account are subject to acceptance by the Central Clearing and Settlement System (CCASS) and/or the Share Registrar. Having sold the physical deposited stock, client need to wait 10 working days (starting from the day of stock deposit to Hong Kong Securities Clearing Company (HKSCC)) to withdraw the selling amount. 23. How can I withdraw physical scrip? You can contact your designated Account Manager or our Customer Service Hotline. Our company will notify client to collect the stock by phone, client needs to collect and confirm the receipt of physical stock in person at ICBCI office upon notification. 24. How can I transfer stocks from other brokers to ICBCI? Please download and fill in the Settlement Instruction form and submit it to your designated Account Manager. Client needs to notify your counterparty or custodian. Stocks will be deposited into your account once the stock is received from your broker/custodian through CCASS. Client may need the following settlement details: Participant Name：ICBC International Securities Limited Participant No： B01866 Technical Support Login Problem Basic Setting The following setup is highly recommended: Equipment Recommended Configurations Personal Computer PP4 1.6GHz , 512MB RAM or above (Processor) Modem Broad Band Operating System English/Chinese Windows XP Browser Internet Explorer 5.5 or above (with 128 bit cipher strength), with the following options enabled: Java script Java 1.6.0_03 or above Cookies SSL 2.0 and SSL 3.0 Close all third party SSL encryption software Remark: Internet Explorer 8 is under testing, some function(s) may not working properly Resolution 1024 x 768 or better display 25. If I cannot see the login page, what should I do? Click [Tools] on top toolbar in Internet Explorer, then [Options]. Go to [Advanced] and try to change the settings under [Security]. The following table shows different possible combinations (" " denotes checked): Setting Case I Case II Case III Case IV PCT 1.0 N/A N/A SSL 2.0 SSL 3.0 Blank Blank TLS 1.0 After changing the setting, restart your computer and login again. 26. I am using the recommended browser but still have problems in retrieving some of your pages. What should I do? You should check your modem settings or your connection to your Internet Service Provider (ISP). If you are still experiencing slow transmission, you may call our Customer Service hotline during office hours for assistance. 27. What should I do if I do not get a response after clicking a hyperlink or icon? Please check your modem settings or the connection to your Internet Service Provider (ISP). Besides, it may be due to heavy internet traffic hours, quality of telephone line, speed and quality of modem, server capacity etc. A minimum modem speed of 56K is recommended. If you encounter slow or no response at our site, please check if there is a similar problem at another site; or you can contact us and give us all the particular of the incidents. 28. If you cannot see real time quotation, please try the following: 1. For IE6.0 users, click [Tools] on top toolbar in Internet Explorer, then [Internet Options]. Go into [Privacy], click [Advanced] and check the box [Override automatic cookie handling] to activate all cookies. 2. Then go into [General] and click [Delete Files], check the box [Delete all office content], press [OK] and restart your computer. 3. Non IE6.0 users are suggested to upgrade your browser to IE6.0. 4. If your computer is behind a firewall or proxy server, please ensure the TCP outgoing port 80 and 443 or 8044 is open. You may need to contact your IT department for assistance. 29. In what ways will your Internet Trading System protect my personal information? We provide several security measures which include: 1. Secure Socket Layer (SSL) with 128-bit strong encryption 2. Authentication of account number and password 3. Automatic logoff if no activity is detected after 30 minutes 30. How can I clear the disk cache in Internet Explorer? You can clear the cache regularly to increase the performance by only a few steps: 1. Open the "Tools" menu and select "Internet Options" 2. Click the "General" category and choose "Temporary Internet files" 3. Click "Delete Files" 4. Click the box beside "Delete all offline content" 5. Press "OK" 31. If I cannot see the trading applet, what should I do? 1. Check if you have installed Java VM. 2. Try clear the browser cache by following the above steps. 3. Try uncheck the “User next-generation Java Plug-in” by following steps: Open the "Control Panel" and open "Java" Click the "Advanced" tab page Locate the “Java Plug-in” category Uncheck the “User next-generation Java Plug-in” Restart Internet Explorer 32. What software should I install before logging to ICBCI internet trading platform? JAVA software should be installed and you can download it from www.java.com. Please restart your computer after installation. Technical 33. What should I do if I cannot access the internet trading platform of your company? If you fail to access the internet trading platform of our company, you can contact your designated Account Manager or call our Customer Service Hotline to place an order, obtain stock quotes, inquire order status and account balance, and request a withdrawal. 34. Why do I sometimes need to log in again? To enhance security, you will be automatically log out if there is no activity for a certain period after you log in to prevent unauthorized usage. You will need to log in again in such circumstances. 35. Why do I get an "Already Logged In" message when I attempt to log in? To prevent unauthorized usage, our internet trading platform does not allow simultaneous log in. You may also be prohibited to log in if you failed to log out properly or you have been timed-out earlier. You may call our sales staff for assistance in such circumstances. 36. Must I have Cookies / Java script enabled on my Internet browser? Yes. The procedures for enabling Cookies / Java script may vary among different browsers. Please kindly refer to "Help" function of your Internet browsers. 37. Is it safe to trade through internet? Our company is committed to provide a safe platform for internet trading. However, there do exist certain inherent risk in trading through internet. Please read the Risk Disclosure provided by our company in this respect. 38. How can I help to enhance security? To protect your interest, please ensure confidentiality of your passwords and change them at certain time intervals. Please also avoid use of passwords that are easily guessed by others. Log out after using the internet trading platform to prevent unauthorized usage. 39. Why there are so many unreadable characters in your website? For English based operation system, the browser probably could not display Chinese character normally. You can install some plug-in programs specially designed to view Chinese character. If you still encounter the problem, we recommend you to view the English version. 40. What does my browser always show “404 access denied”? This is because you are unauthorized to enter this site. If you should be authorized to enter the site, please contact your Internet Service Provider for assistance.
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