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E1 表格 E1 Form Application to Participate in Electronic Market Trading (applicable to limited liability company) To: The Chinese Gold & Silver Exchange Society (“CGSE”) Our company is qualified in trading 99 Gold and will like to apply for the following products:(Please the applicable □): (Chinese) Member Name (English) Membership No. Renminbi Kilobar Gold Loco London Gold / Silver 9999 Tael Gold Loco Silver (Must be an address registered with CGSE) Applying Applying Address Section A Information of Member Company’s Directors (applicable to limited liability company) Director HKID/Passport No. Appointment Date (Day / Month / Year) * If there is any inconsistency between the English and Chinese version, the version in Chinese shall prevail. Document1 ….1/5 Section B Member Liquid Capital Liquid Capital(No less than HK$1,500,000)1 Category 1. Nominal Value Exchange Rate 5 Bank Savings 2 Discount Discounted Value HK$(0%) RMB(5%) US$(5%) JPY(5%) Euro(5%) 2. Gold 3 (5%) 3. HSI constituent stocks trading in HKEX 4 (20%) 4. Bank Guarantee (0%) 合計: Section C Contact Person (For the purpose of this application) Name Position Phone No. Mobile No. Facsimile Email Address Section D Emergency Contact (For the purpose of this application. Must be reachable at all time) 1st Emergency Contact (Must be written and notified CGSE once changes are made.) Name Position Phone No. Mobile No. Facsimile Email Address 2nd Emergency Contact (Must be written and notified CGSE once changes are made.) Name Position Phone No. Mobile No. Facsimile Email Address Document1 ….2/5 Section E Other Information 1 Valid copy of Business Registration (BR) signed by member Executive Manager 2 The most recent copy of Annual Return (AR1) signed by member Executive Manager (in case of shareholding changes, please submit to CGSE copy of Bought & Sold Note signed by member Executive Manager) 3 The most recent audited financial report (acceptable Asset Class ONLY includes assets in Hong Kong such as properties, bank balance, gold, and stocks trading in HKEx. Net assets must be no less than HK$5 Million. The Balance Sheet / Statement of Financial Position must separately display company and clients’ bank balance. Please also outline the details (bank name, account number, account type, and balance) of the clients’ account(s). 6 4 Signed Bank Direct Debit Authorization i/ if applying for Loco London Gold / Silver trading, please submit 2 original Direct Debit Authorization (one for HKD account and one for USD account) to OCBC Wing Hang Bank (Gold & Silver Branch); ii/ if applying for Renminbi Kilobar Gold trading, please submit one original Direct Debit Authorization (RMB account) to OCBC Wing Hang Bank (Gold & Silver Branch) or Bank of China (Hong Kong): OCBC Wing Hang Bank (Gold & Silver Branch), or Bank of China (Hong Kong) iii/ if applying for 9999 Tael Gold trading, the settlement bank account is identical to the one used for 99 Tael Gold trading. The account details are given as follow: (Bank name) (Branch) Hong Kong Dollar Account No.: ;7 iv/ if applying for Loco Silver trading, the settlement bank account is identical to the one used for 99 Tael Gold trading. The account details are given as follow: (Bank name) (Branch) Hong Kong Dollar Account No.: ;7 5 If applying for Loco Silver trading, member’s Spot Silver settlement repository account name and number are as follow: Loomis International (HK) Limited: Account Name: Account No.: 6 Pay to The Chinese Gold & Silver Exchange Society the following fees: i/ HK$10,000 Electronic Trading System Application Fee; ii/ HK$7,500 Electronic Trading System Usage Deposits (Equivalent to 3 months monthly fee, refundable upon system termination); □ □ □ □ □ □ □ □ Document1 □ □ ….3/5 □ □ □ iii/ Refundable Deposits: HK$200,000 (Loco London Gold / Silver); and / or RMB500,000 or gold bullion of equivalent value (Renminbi Kilobar Gold) Signed and completed Telecommunication service application (Original submit to service provider and copy submit to CGSE for reference) Electronic Trading Training Course application form Business Plan and Proposal (F386) □ □ 7 8 9 Note: 1. Clients’ monies CANNOT be included in Liquid Capital Filing. 2. Please attach original bank certificates, bank certified copy of bank statements, or CGSE’s Executive Manager certified copy of bank statements. On the document, please highlight the amount used to calculate liquid capital. 3. Please attach purchase receipt or vault deposit proof. 4. Please attach copy of share certificates (certified by member’s Executive Manager) or original monthly statements from brokerage firm. 5. Based on exchange rate on filing day. 6. If the date of the audited financial report has lapsed over 6 months, please submit the two most recent months’ management accounts (same standard). 7. If member is currently applying for 99 Gold trading, please submit original HKD account Direct Debit Authorization to OCBC Wing Hang Bank (Gold & Silver Branch). Document1 ….4/5 Section F Member Declarations Our company (Member Name) 1. Declare that the Board of Directors (if the member is a limited liability company) of this company has passed a resolution and agreed to apply to become a member of CGSE. If this application is approved, our company agrees to comply with CGSE’s constitutions, bylaws, rules, regulations and codes which may be amended from time to time. Any violations of the above will result in disciplinary actions from CGSE; 2. Understand that if the company participates in CGSE’s Renminbi Kilobar Gold trading, the company is obligated to comply with CGSE’s Electronic Trading Regulation appendix 2 rule (3) and (4); 3. Declare that information and documents used in this application is complete, truthful, accurate and they do not conceal any material facts from CGSE in any way; 4. Undertake to update the information on this application by written notices promptly after any relevant changes are made; 5. Understand that any fraudulent and/or misleading claims will result in disciplinary actions from CGSE; 6. Consent CGSE to disclose relevant information of our company to the Government of HKSAR and/or relevant regulatory organization(s); 7. Consent that in case of discrepancy of trading data, the record stored by CGSE shall prevail; 8. Undertake that our company will at least use the electronic trading system for 12 months (starting date determined by CGSE) and pay HK$2,500 per month as electronic system fee; 9. Undertake that our company will report to CGSE all transactions with clients in relation to Loco London Gold / Silver, Renminbi Kilobar Gold, and/or 9999 Tael Gold and retrieve transaction code from CGSE once this application is approved. Violations of the above will be penalized by CGSE’s Executive & Supervisory Committee. Penalties include (but are not limited to) removal from the CGSE Recognized E-Trade Member list, terminating our company’s electronic trading platform with CGSE, and/or disciplinary actions if sees fit; and 10. Undertake that all trades with transaction code are transacted either between our company and other CGSE members through CGSE’s electronic trading platform or between our company and clients of our company. Member Company Seal Executive Manager Name: Document1 Executive Manager Signature Date: ….5/5