Account Opening

A. Account Opening Procedure


■ Apply in Person

Bring along the following documents and come to our office in person and fill in the Account Opening Form:

  • Hong Kong Identity card or passport of the account holder(s)
  • Address proof dated within the latest three months, e.g. bills from public utilities, bank statement

If you have any enquiries, please call customer services hotline (852) 3959 9800.

■ Apply by mail

  1. Download & Print Forms - Account Opening Form (Individual / Joint Account) & W-8BEN / W-9 Form
  2. Read the Client Agreement, complete and sign the Account Opening Form, & W-8BEN/W-9 Form
  3. Professional witness1 verify the Account Opening Form with the full name and signature
  4. Mail the Account Opening Form, copy of passport / HKID and address proof to our office: Rm 1208, 12/F, Wing On Centre, 111 Connaught Road Central, Sheung Wan, Hong Kong
  5. If there is no witness to sign and approve the Account Opening Form, applicants can enclose the Account Opening Form together with the copy of passport/HKID, address proof and a bank cheque mail to us.
The cheque must be:
  • Bearing your name identical to your identity documents and your signature identical to the signature shown on the Account Opening Form
  • Issued by a Hong Kong licensed bank
  • The sum not less than HK$10,000
  • Made payable to “Sorrento Securities Limited”
  • Cheque will be credited to your trading account after clearing

B. Required Documents

■ Individual / Joint Account
HK Client Mainland Client
The identity document (e.g. ID Card or passport)2 √ √
Proof of residential address within 3 months (e.g. bank letters, water/electricity bills or credit card statement) √
Proof of residential address within 3 months (e.g. bank letters, water/electricity bills or credit card statement)
If residential address is different from that in mainland ID card, client has to provide proof of residential address		 √
Exit/entry Permit for Travelling to/from HK/China (applicable to mainland client only) (if applicable)

■ Corporate Account
HK Company Overseas Company
Board Resolution √ √
Certified true copies of the Hong Kong ID Card(s) or Passport(s) of all Authorized Persons, Directors and Ultimate beneficial owner(s)2 √ √
Certified true copies of address proof within the last 3 months of all Authorized Persons, Directors and Ultimate beneficial owner(s)2 √ √
Certified true copy of Register of Members and Register of Directors2 √
Certified true copy of Certificate of Incorporation2 √ √
Certified true copy of Memorandum and Articles of Association2 √ √
Certified true copy of Certificate of Incumbency (issued within last 6 months)2 √
Certified true copy of Business Registration Certificate2 √ (if applicable)
Certified true copy of Latest Annual Return2 √
Certified true copy of Latest Audited Accounts/ Certificate of Good Standing2 (if applicable) (if applicable)
Company Group Chart (signed by Director) (if applicable) (if applicable)
Note1: The witnessing (or verifying) professional must be a registered person or a professional person (e.g. registered accountant, lawyer).
Note2: Copies of those documents set out above must be certified as a true copy by certified public accountant (CPA), lawyer, or notary public.