表单信息

風險評估問卷(個人)

RISK PROFILE QUESTIONNAIRE (INDIVIDUAL)

(to be completed by the representative of joint holders, if applicable) 由聯名持有人之代表填寫（如適用）

1. The following Risk Profile Questionnaire (the “Profile”) is intended to assist you to understand your risk acceptance level and your willingness to accept risk. The result is derived from the information you provided to AMC Wanhai Securities Limited (CE: ASS782) (the “Company”). Inaccurate, incomplete or outdated information may affect the profiling results. If the information provided is changed, it is recommended that you should conduct the profiling again as the profiling result may be different. The result of the Profile is merely for your consideration and reference only and it should not be considered as recommendation or advice on the suitability of any investment product, nor does it constitute any offer or solicitation to buy or sell any investment products. 以下的風險評估問卷（「風險評估」）的主要用途是協助了解閣下的風險承受能力及願意承担風險的程 度。此風險評估乃根據閣下向萬海證券有限公司 (中央牌照號碼: ASS782)（「本公司」）提供的資料而 編列。倘若資料有欠準確或有欠完備又或過時，風險取向結果或會受到影響。所提供資料若有改變，閣下 應再進行風險評估，因為屆時取向結果可能有所不同。本取向旨在協助閣下明白本身的投資需要及個人風 險取向，並僅供閣下考慮及參考。本風險評估不應被視作有關是否適合買賣任何投資產品的建議或意見， 亦不構成有關買賣任何投資產品的要約或招攬。


2. It is important to understand that the risk category to which any investment product is currently classified may change from time to time. The risks arising from any transaction in relation to such investment product may not correspond to your risk tolerance level reflected in the Profile which you have completed. 閣下應明白任何投資產品的現有風險等級會不時改變，而有關該等投資產品的交易所產生的風險未必與閣下的個人風險評估所反映的風險承受能力相符。


3. Concentration ratio of an investment in a particular product is a percentage showing the amount of such investment in aggregated term against customer’s total investible assets. It is one of the methods employed for the diversification of risk. 集中程度比率是於單一產品的總投資，佔客戶可投資資產總額的百分比，乃其中一種分散風險的方法。


Generally speaking, investment in a particular product should not constitute more than certain percentages of the customer’s total investible assets. Although your risk tolerance level may match the risk rating of a product, the product may not match your profile if the purchase of the product leads to a high degree of concentration with respect to your total investible assets. 一般而言，客戶於某產品的投資，不應超過閣下可投資資產總額的某一個百分比。儘管閣下的風險承受能力可能與某產品的風險等級相符，但若閣下買入該產品，導致可投資資產組合過份集中，該項產品則可能不符合閣下的理財取向。


4. The Company does not make any representation or warranty and shall have no liability whatsoever as to the completeness or accuracy of the information contained in this Profile and in respect of any consequences should you choose to rely on the information herein contained. 本公司對於本風險評估所載資料的完備性或準確性並不作出任何聲明或保證，亦不會就閣下倚賴該等資料所招致的任何後果而承擔任何責任。


5. You agree to notify the Company in writing within 14 days in the event of any change to the information you have provided to us in this form. 如閣下提供给本公司的资料有變化，閣下應該在 14 天内書面通知本公司


6. Where inconsistency exists between the English and Chinese version, the English version shall prevail. 英文與中文文本如有歧異，概以英文文本為準

Total Score for Question 1 to 11 (Please circle the correct one) 第一至第十一題總分（請圈出適當選擇）:

Total Score 總分	Risk Level 風險類型	Suitable Product Risk 合適之產 品風險類型	Investor Risk Profile 投資風險分析
0 to 30 0 至 30	Conservative 保守型	Low 低	Refer to investors who are suitable for relatively low risk asset classes and price fluctuation which achieve better yield than deposits and inflation rate. 此類投資者適合低風險類型及低度價格波動的投資，以取得比一般存款及通漲較高的回報。
31 to 60 31 至 60	Balanced 均衡型	Medium 中	Refer to investors who are suitable for medium risk asset classes and price fluctuation which achieve long term capital gain. 此類投資者適合中風險類型及中度價格波動的投資，以取得長期資本增長。
Higher than 60 高於 60	Aggressive 進取型	High 高	Refer to investors who are suitable for relatively high risk asset classes and significant price fluctuation which achieve high growth of capital. 此類投資者適合高風險類型及高度價格波動的投資，以取得迅速的資本增長。

客戶聲明 & 簽名

Customer statement & signature

11.DECLARATION BY CLIENTS 客戶聲明

• I/We (the undersigned) hereby confirm that all information entered in electronic form contained in this Account Opening Form is complete and correct. 本人/吾等(以下簽署人) 謹此確認本「開戶表格」以上所載所有以電子形式輸入的資料均屬完整及正確。


• I/We acknowledge, understand and agree that AMC Wanhai Securities Limited will be able to use and rely on such information to operate an account of my own. 本人/吾等承認、明白及同意萬海證券有限公司將可使用及依賴該等資料以操作本人/吾等以上的帳戶。


• I/We confirm that I/We agree to the selection, consent, statement, disclosure, "Client Declaration", "Risk Disclosure Statement – Securities Trading Account", "Automatic Exchange of Financial Account Information" , "Notice to Customers on the Personal Data (Privacy) Ordinance" , "Foreign Account Tax Compliance Act Statement"(if applicable) , "Terms & Conditions" , "Standing Authority for Margin Client" (if applicable), "Personal Information Collection Statement concerning Northbound Trading of China Connect Securities"(if applicable). "Personal Information Collection Statement concerning Investor Identification and OTC Securities Reporting Regime"(if applicable).
 本人/吾等確認本人/吾等同意本「開戶表格」以上所有所載的選擇、同意、聲明、披露、 "客戶聲明"、 "風險披露聲明書 – 證券交易帳戶" 、 "自動交換財務帳戶資料" 、 "有關《個人資料（私隱）條例》的通知" 、 "海外帳戶稅收合規法案聲明書"(如適用) 、 "條款及條件" 、 "保證金客戶常設授權"(如適用)、 "深滬港通北向交易的個人資料收集聲明"(如適用)、 "關於實施投資者識別及場外證券匯報制度之客戶資料收集聲明"(if applicable). 。


• I/We further acknowledge and confirm that I/We was/were fully explained the contents of the above account opening form in the language I understand (English or Chinese). 本人/吾等再承認並確認已就上述開戶表格的內容按照本人/吾等明白的語言(英文或中文)獲得充分的解釋。


• I/We have read and agreed to the required information in electronic form. (In case of any discrepancies between the English and Chinese versions of this Account Opening Form, the Englishversion shall prevail.) 本人/吾等並已閱讀及同意有關以電子形式輸入的所須資料。 (本「開戶表格」之中英文本文義如有歧異，請以英文本為準。)


I/We hereby also confirm my/our request for opening the Account with AMC Wanhai. Before opening the Account, I/we have read and understood the contents of all the account opening documents including but not limited to those specified above (“All Those Terms”), in a language of my/our choice and I/we agree, accept and confirm all the provisions therein and agree to be bound by All Those Terms. 本人/吾等確認其證券帳戶是按本人/吾等的要求下開立。在開立該等帳戶前,本人/吾等已按照本人/吾等所選擇的語言閲讀所有包括但不限於以上 所述的開戶文件 (“該等條款”)內的條款, 並明白，接受及同意該等條款及內容。 本人/吾等亦完全理解並同意覆行所有該等條款並受其約束。


AMC Wanhai is further and hereby authorized to accept any fax and/or email message from me/us as the original instruction, and I/we shall fully indemnify AMC Wanhai from and against all losses, damages, interest, costs, expenses, actions, demands, claims, proceedings whatsoever which may incur, suffer or sustain as a result of or arising from the exercise of that instruction. I/we hereby waive any liabilities for AMC Wanhai that may arise from these authorizations. 本人/吾等特此授權萬海證券可通過傳真及/或電子郵件收取其交易指示通知。 本人/吾等將完全承擔賠償萬海證券因行使該指示而產生的所有損 失、損害、利息、費用、開支、行動、要求、索賠、任何訴訟。 本人/吾等特此免除萬海證券所有由該等授權可能產生的任何責任。


The Joint Account Clients (“Such Person”) have authorized AMC Wanhai to accept the instructions of any one or all of Such Person. Such Person shall have the authority to handle the operation of the Account and exercise all rights, powers and discretion pursuant to All Those Terms on behalf of any of the Joint Account Clients. AMC Wanhai shall not be required to give notice to or obtain authorization from any one or all the Joint Account Clients in respect of such instructions. Any act, instructions, directions and/or authorization of any Such Person shall be binding on the other Joint Account Clients. 聯名帳戶 ("聯名人") 已授權萬海證券接受任何一位或所有聯名人的指示。 該聯名人有權代表任何聯名帳戶内人士處理帳戶的運作, 並根據該 等條款内的所有聯名人行使權利、權力和酌情權。 萬海證券不須就該等指示向任何一位或所有聯名人發出通知或獲得授權。 聯名人的任何行 為、指示、指示及/或授權, 均對其它聯名帳戶人具有約束力。


AMC Wanhai shall have the absolute discretion to change, amend, delete or substitute any terms and provision of All Those Terms and notify the Client of the same, and the Client shall be responsible to check and read all the relevant amendment from time to time. 萬海證券擁有絕對酌情權更改、修改、刪除或替代所有該等條款的內容並通知客戶。 客戶有責任不時檢查和閱讀所有相關的修訂。


AMC Wanhai is further and hereby authorized at any time to contact any person or persons, including my/our banks, brokers, advisers or any credit agency, for or relating to the purpose of verifying the information provided by me in this Account Opening Form. 本人/吾等現授權萬海證券在任何時間接觸任何人包括本人/吾等往來銀行，經紀，顧問或任何信貸機構，以核實開戶申請表格中所提供有關資料。

Transfer HK$10,000 or above from Client’s Hong Kong bank account to our account. 以客戶名下的香港銀行帳戶轉帳港幣$10,000 元或以上至本公司帳號 Client is required to send bank transfer proof to Email: cs@wanhaisec.com 客戶需把轉帳截圖及賬戶證明電郵至: cs@wanhaisec.com

If the witness for opening account is registered notary, certified doctor, certified accountant or lawyer, please send us the witness's HKID copy and name card by local mail. 若開戶見證人為註冊公證人、註冊醫生、註冊會計師或律師，請連同見證人之身份證副本及名片寄回本公司。

- Mail cheques to AMC Wanhai Securities Limited 郵寄支票至本公司 ; - Cheques must be issued by Bank in Hong Kong 支票須為香港銀行發出 ; - The name on Cheques must be the same as the name of applicant's passport/ID card 支票上的姓名須與申請人身份證/護照相同 ; - The signature on the cheque must be the same as the electronic signature of account opening 支票上的簽署須與開戶的電子簽署相同 ; - The cheque amount must be more than HK$10,000 支票金額為港幣$10,000元或以上 ; - Please write “AMC Wanhai Securities Limited (Clients’ A/C)” on the head of cheque 抬頭請寫「萬海證券有限公司」。

Our customer service will contact you to make an appointment as soon as possible. 我們的客戶投資服務部職員會盡快與閣下聯絡及預約時間。 Address: 1605, West Tower, Shun Tak Centre, 168-200 Connaught Road, Central, Hong Kong 地址︰ 香港中環干諾道中168-200號信德中心西座1605室 Please visit our office in person with the following documents: 請閣下攜帶以下所需文件： - Copy of valid identification document (e.g. HK Permanent ID Card/ Passport) 香港身份証或護照正本 - Proof of residential address within 3 months (e.g. utility bills, bank statements) 最近3個月內的住址證明，如公用服務(水/電/煤氣/電話)帳單或銀行結單等 If you have any question, please feel free to contact us at (852) 3702 7021 如有查詢，請致電熱線 (852) 3702-7021。

• If you are an employee or consultant of licensed bank / Hong Kong Exchange and Clearing Limited / Licensed Corporation under Securities and Futures Commission, please provide the employer consent letter. 如閣下屬於持牌銀行 / 香港交易及結算所有限公司 / 證監會持牌機構 職員或顧問，請先徵求受僱機構發出開戶同意書。

13.Documents Upload 上傳所需文件