FAQ

Hong Kong Investor Identification Regime (“HKIDR”) and Over-the-counter Securities Transactions Reporting Regime (“OTCR”)

Provision of Client Consent and other frequently asked questions

What kind of client needs to submit my “Client Consent Form – Hong Kong Investor Identification Regime and Over-the-counter Securities Transactions Reporting Regime” (“Client Consent”)?

Client Consent is only applicable to clients who maintain individual and/or joint account with Everbright Securities International.

Last Update: 2022-06-07

I have more than one trading account in Everbright Securities International. Do I need to provide separate Client Consent for each account?

Client Consent is obtained and maintained at client level. Clients who maintain accounts under Everbright Securities Investment Services (HK) Limited (“EBSISHK”), Everbright Securities Digital Finance (HK) Limited (“EBSDFHK”) and China Everbright Securities (HK) Limited (“CESHK”) are only required to provide one Client Consent to us.

Last Update: 2022-06-08

Are all account holders of my joint account required to provide their Client Consent?

Yes, all account holders of joint account are required to provide their consent and sign on the same Client Consent.

Last Update: 2022-06-07

Can I withdraw my “Client Consent” after submission?

Client may withdraw his/her Client Consent previously submitted to us anytime. Please be reminded that withdrawal of Client Consent may mean that Everbright Securities International will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

Last Update: 2022-06-07

I have already submitted my “Client Consent” for Shanghai-Hong Kong Stock Connect / Shenzhen-Hong Kong Stock Connect. Do I need to submit another separate “Client Consent” again?

Client is required to provide separate client consent for the HKIDR and OTCR even if previous client consent is submitted for Shanghai-Hong Kong Stock Connect / Shenzhen-Hong Kong Stock Connect.

Last Update: 2022-06-07

Is there acknowledgement to my “Client Consent” upon submission?

No acknowledgement will be sent to client upon submission. Client is strongly advised to keep a record of the Client Consent he/she has submitted to us.

Last Update: 2022-06-07

What are the personal data to be submitted by Everbright Securities International to the SEHK and/or the SFC?

EBSI may collect, store, process, use, disclose and transfer personal data relating to clients (including CID and BCAN(s) together with any requisite data relating to your transaction and/or account as required by the Regulatory Rules (as defined below)) as required for EBSI to provide services to clients in relation to securities listed or traded on SEHK or traded on any over-the-counter market, network or facility and for complying with the rules and requirements of SEHK and the SFC (“Regulatory Rules”) in effect from time to time.

Last Update: 2022-06-07

I have already submitted the client consent with another broker. Do I need to submit Client Consent to Everbright Securities International again?

Each broker is required to obtain independent Client Consent from its clients.

Last Update: 2022-06-07

Is my “Broker-Client Assigned Number” (“BCAN”)" in Everbright Securities International same as that with other brokers?

Each broker, including Everbright Securities International, is required to assign to each of the clients a unique BCAN.

Last Update: 2022-06-07

If I do not submit "Client Consent", can I still trade via my account?

Failure to provide Everbright Securities International with your personal data or Client Consent may mean that Everbright Securities International will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

Last Update: 2022-06-07

How to submit the signed Client Consent?

For account holder of individual and or joint trading account(s), you may sign and return Client Consent to your Wealth Manager or directly return the signed Client Consent to us by post to the following address: 28/F, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong.
In addition, if you are the account holder of individual trading account(s), you may choose to provide your Client Consent to us through one of the below channels:

Online Trade Portal
mobile trading platform
Online submission via https://www.ebshkfg.com/hkidr/tc

Last Update: 2024-11-11

Can I submit the "Client Consent" after the deadline?

There is no actual deadline for submission. However, once the HKIDR is officially launched by SEHK and the SFC, Everbright Securities International will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any) if no Client Consent is obtained from client. Therefore, Client can submit Client Consent anytime they wish.

Last Update: 2022-06-07