Please refer to the detailed list below for the documents you will need to submit during the application process. Sections 2-5 cover different legal entity forms. You can also refer to the appendix for location based documentation requirements tips.

Section 1: Individuals and PPTA(business representative)*

  1. Proof of ID - Valid passport /IDs

    1. HK permanent Resident - HK Permanent ID

    2. Others - Passport (at least valid for 6 months)

*Person purports to act on behalf of the customer


Section 2: Corporate

  1. Entity Formation documents

    1. A copy of the original

      1. Certificate of Incorporation and/or;

      2. Business Registration

  2. Memorandum and Articles of Association / Constitution / By-laws / Operating Agreement.

  3. An official Company Report or Government Documents

    1. issued within the last 12 months, including:

      1. A list of current directors,

      2. A list of ultimate beneficial owners (natural person), and their percentage of holdings, etc.

    2. For offshore jurisdiction such as BVI, Cayman Islands, Seychelles): Please provide a certificate of incumbency issued within 6 months.

    3. For Hong Kong entity -

      1. The most recent NAR1 or NNC1(for recently incorporated entities with no NAR1 available) form

  4. An ownership structure up to the UBO (natural person) level

    1. Dated and signed by director

    2. Declaration of if there are any bearer shares within the company structure

  5. All UBOs KYC verification documents

    1. refers to Section 1.

  6. For Corporate Director(s)

    1. refers to Section 2.


Section 3: Trust

  1. Entity Formation documents(if applicable)

    1. Certificate of registration/formation

    2. Certificate of Business Registration

  2. Full Executed Trust Deed

  3. Identification documents(refers to individual/corporate identification requirements) for:

    1. Trustee(s)

    2. Settlor(s)

    3. Protector(s)/ Enforcer(s)/ Appointer(s)

    4. Beneficiaries

    5. An individual who is entitled to a vested interest in more than 25% of the capital of the trust property, whether the interest is in possession or in remainder or reversion and whether it is defeasible or not;

    6. An individual who has ultimate control over the trust.


Section 4: Partnership

  1. Entity Formation documents(if applicable)

    1. Certificate of Incorporation/formation

    2. Certificate of Business Registration

  2. Executed partnership deed/agreement

  3. List of all partners

  4. Partners verification documents

    1. Individual partners refer to Section 1.

    2. Corporate partners refer to Section 2.

  5. For Limited partnership

    1. General partner verification

      1. refers to Section 2

    2. Limited Partner verification

      1. A list of Limited Partners and

      2. proof of IDs for Individual partners refer to Section 1

      3. Corporate partners refer to Section 2

      4. If unable to provide any of the above, please provide an AML Attestation Letter/declaration issued by the General Partner or the Fund Administrator stating the reason together with any relevant supporting document(s) to confirm the identity of the Limited Partners. (Our Compliance Team will review on a case by case basis)

  6. For all ultimate beneficial owner (natural person) verification

    1. refer to Section 1.


Section 5: Foundations

  1. Entity Formation Document(if applicable)

    1. Certificate of Registration

  2. Foundation Documentation

    1. Showing information including but not limited to the Founder, the Council, advisory board and appointment of beneficiaries For example,

      1. Foundation Charter/ Article of Association

      2. Annual General Meeting Minutes

  3. Beneficiaries Verification

    1. A Register of Beneficiaries

    2. Verification documents for beneficial owner(s) who hold 25% or more interest)

      1. Individual beneficiaries refer to Section 1

      2. Corporate beneficiaries refer to Section 2

      3. Trust beneficiaries refer to Section 3

      4. Partnership beneficiaries refer to Section 4

  4. Councillors(or equivalent) Verification

    1. A Register of Beneficiaries

    2. Verification documents for Councillors

      1. Individual Councillors refer to Section 1.

      2. Corporate Councillors refer to Section 2.

      3. Trust Councillors refer to Section 3

      4. Partnership Councillors refer to Section 4


Section 6 Person purports to act on behalf of the customer(PPTA) (Business Representative)

Require:

  1. Proof of ID - Valid passport /IDs

    1. HK permanent Resident - HK Permanent ID

    2. Others - Passport

  2. Verify the authority

    1. Relationship proof

      1. Name card with a title

      2. Declaration/ Authorisation letter issued by the board of director


Appendix: Location based documentation requirements tips:

Cayman Islands

  1. Certificate of incorporation

  2. Certificate of incumbency, including the following

    1. status of company(good standing)

    2. list of directors

    3. list of shareholders

  3. Articles of Association

BVI

  1. Certificate of incorporation

  2. Certificate of incumbency, including the following

    1. status of company(good standing)

    2. list of directors

    3. list of shareholders

  3. Articles of Association

USA, Delaware

  1. Certificate of incorporation

  2. Certificate of good standing

  3. Corporate ownership structure chart, preferably certified by 3rd party

  4. Articles of Association/ By Laws

Hong Kong

  1. Company Registry document (NAR1 or NNC1)

  2. Business Registration Certificate (BR) [valid and not expired]

  3. Certificate of Incorporation

Singapore

  1. ACRA Biz Profile

  2. Article of association

  3. Certificate of incorporation

UAE - Dubai

UAE Certificate of Incorporation

UAE Certificate of Good Standing

Memorandum & Articles of Association

  • Incorporation Certificate

  • Memorandum & Articles of Association (MOA)

Dubai Free-Zone:

  • Incorporation Certificate

  • Memorandum & Articles of Association (MOA)

  • Trade Licence

Read more: Who is a beneficial owner and why do I need to provide this information?

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