尊敬的客戶：

根據證券及期貨事務監察委員會(證監會)公佈，內地與香港股票市場交易互聯互通機制下的滬股通及深股通將於2018年第三季度實施引入滬深港通北向交易投資者識別碼制度。

在此制度下，國元証券經紀(香港)有限公司（「我司」）須向每位北向交易的客戶編派一個唯一的券商客戶編碼。每位券商客戶編碼與該特定客戶的客戶識別信息配對，該信息包括客戶名稱、身份證明文件的簽發國家、類別及號碼。我司須向香港交易所提交載有其所有北向交易客戶的券商客戶編碼與客戶識別信息的配對文件。

為此，我司需要得到閣下的明確同意，否則，我司將無法向閣下提供或繼續提供北向交易服務。如閣下希望於此北向交易投資者識別碼制定實施後仍繼續進行北向交易操作，請閣下填寫及簽署“中華通北向交易買賣（投資者識别碼模式）及個人資料收集聲明”*，並將已簽署的聲明電郵或郵寄我司。否則，於相關制度實施後，閣下將不能再進行北向交易的買入，只能將現有持倉沽出。

地址：香港中環干諾道中3號中國建設銀行大廈22樓
邮箱：cs@gyzq.com.hk
*表格下載連接：http://www.gyzq.com.hk/category.aspx?NodeID=21    

如對上述事宜有任何查詢，歡迎隨時致電客戶專用熱綫：（86）400-888-1313或（852）3769-6828與客戶服務主任或閣下之客戶經理聯絡。

感謝閣下一直以來對國元國際的支持！

2018年8月21日

 

Re: Implementation of Investor Identification for Northbound trading under Stock Connect

Dear Valued Client,

The Securities and Futures Commission announced that an investor identification regime for Northbound (“NB”) trading under Mainland-Hong Kong Stock Connect will be implemented by the 3^rd Quarter of 2018.

Under the regime, Guoyuan Securities Brokerage (Hong Kong) Limited is required to assign a unique Broker-to-Client Assigned Number (“BCAN”) to each of our NB trading clients. Each BCAN should be mapped to the Client Identification Data (“CID”) of that particular client which includes the client’s name, identity document issuing country, ID type and ID number. Guoyuan Securities Brokerage (Hong Kong) Limited is required to submit the BCAN-CID mappings of all our NB trading clients in a single file to the Stock Exchange of Hong Kong (‘’SEHK”).

Please sign and return the “Client Consent on Northbound China Stock Connect Orders (Investor Identification Model) and the Personal Information Collection Statement”*to us by mail or e-mail. If we do not receive the signed acknowledgement letter from you, we will not be able to execute your trading instructions or we required to restrict execution of your Northbound trading instructions to sell-orders only in compliance with SEHK requirements when the investor identification regime comes into effect.

Address: 22/F, China Construction Bank Building, 3 Connaught Road Central, Central, Hong Kong
Email: cs@gyzq.com.hk  
*link : http://www.gyzq.com.hk/category.aspx?NodeID=21  

If you have any enquiries about the above matters, please feel free to call our Customer Hotline at (86)400-888-1313 or (852)3769-6828 to contact the Customer Service Officer or your Account Manager.

Thank you for continues supporting to Guoyuan International!

21^th , August, 2018