Important Notice of Amendments of General Terms & Conditions and Risk Disclosure Statement (“General Terms & Conditions”) and the severe weather arrangements of our services

Hong Kong Exchanges and Clearing Limited (“HKEX”) has announced the implementation of arrangements for maintaining normal operations of the Hong Kong securities and derivatives markets during severe weather conditions (“SWT”) on 23 September 2024. In light of SWT, we have:
(i) conducted assessments to identify the operational changes required for implementing SWT;
(ii) reviewed and amended our General Terms & Conditions to ensure they remain applicable and appropriate having regard to SWT.

For the purposes of SWT arrangements, “severe weather” means the scenario where a typhoon signal No. 8 or above or a black rainstorm warning is issued by the Hong Kong Observatory, or an “extreme conditions” announcement is made by the Hong Kong Government. The arrangements after the implementation of SWT are summarised in Schedule I to this notice. The key changes to the General Terms & Conditions are summarised in Schedule II to this notice.

To mitigate the risk of settlement failures on the SWT Day (ie any day from Monday to Friday except a Hong Kong public holiday on which severe weather falls), you are strongly encouraged to pre-fund your payment obligations.

The changes to the General Terms & Conditions and the SWT arrangements will take effect from 23 September 2024 (“Effective Date”). A full copy of the revised General Terms & Conditions is available at "Documents → CTBC PB T&C" of this website on or after the Effective Date. Alternatively, you may contact your Relation Manager to obtain a copy of the revised General Terms & Conditions. Please note that the revised General Terms & Conditions will be binding on you on or after the Effective Date. From the Effective Date, any references to the General Terms & Conditions in any other terms and conditions, contracts, agreements or documents entered into or to be entered into between us shall be deemed to be references to the revised General Terms & Conditions.

Should you have any questions, please contact your Relation Manager.

Yours faithfully,
CTBC Bank Co., Ltd

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* This Announcement Applicable to Hong Kong Account Booking Client Only
Notification: Launch of Hong Kong Investor Identification Regime (“HKIDR”)

Dear Customers,
We would like to draw your attention to below notification requirements in respect of the Hong Kong Investor Identification Regime (“HKIDR”) to be launched tentatively in the later part of Q4 2022 at the earliest and the Over-the-counter Securities Transaction Reporting Regime (“OTCR”) in the later part of Q2 2023 at the earliest.
Please refer to diagram on the right side for action required for each customer type.

Please refer to the following for further details about the requirements of the HKIDR and OTCR:
1) Under the HKIDR, the Bank will assign a unique Broker-Client Assigned Number
("BCAN") to each Brokerage client so as to enable the Bank to provide to the same to the Stock Exchange of Hong Kong ("SEHK") together with their Client Identification Data ("CID"), including client’s Full Name, ID Issuing Country/Region or Jurisdiction, ID Type & ID Number shown in the identification document for processing their securities orders.
In addition, the Bank will also submit the client’s CID in respect of transfer of shares in connection with an OTC Securities Transaction or deposit/withdrawal of a physical share certificate relating to ordinary shares of a company, or units of a REIT, listed in SEHK for reporting to the SFC under the OTCR.
2) According to the requirements of the SFC, clients should know and understand the list of priority of the identity documents and provide an identity document required under the list (if not already provided) or updated identity document information, as appropriate, in order to comply with the requirements of HKIDR and OTCR.
3) CID of clients should be collected from the identity document which is first mentioned in
the list below save that where the clients do not hold such document, the next mentioned
document should be used and so forth. For example, corporate clients with legal entity
identifier (“LEI”) should provide their LEI registration document to us.
(i) For an individual client’s order of priority:
(1) HKID card;
(2) National Identification Document; or
(3) Passport1
(ii) For a corporate client's order of priority:
(1) Legal Entity Identifier "LEI" Registration Document;
(2) Certificate of Incorporation;
(3) Business Registration Certificate; or
(4) Other equivalent Identity Documents
(iii) For a client that is a trust: the trustee’s information and priority as in (i) or (ii) above (as the case may be). However, in the case of a trust which is an investment
fund, CID of the asset management company or the individual fund, as appropriate, which has opened a trading account with the Bank should be obtained.
4) Please note that failure or refusal to provide the CID in accordance with the order of priority may mean that the Bank 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) upon implementation of the HKIDR and OTCR.
1 Note: Exit-entry Permit for Travelling to and from Hong Kong and Macao, Permit for Proceeding to Hong Kong and Macao and HKSAR Document of Identity for Visa Purposes are not accepted
5) Clients are deemed to have warranted and represented to the Bank that all account
information (including CID) provided to the Bank is valid, true, complete, accurate and upto-date. Clients should promptly notify the Bank of any material change to their CID or other information, and/or higher priority change of their identity document. For the avoidance of doubt, the Clients are also deemed to have given consent to the Bank to disclose such changes to their CID or other information, and/or higher priority change of their identity document to the SEHK and/or SFC for reporting.
If we do not receive any objections from clients within 14 days from the date of this notification, clients are deemed to have accepted all the provisions and obligations under this notification.
For enquiries, please contact us.
In case of any discrepancy or inconsistency between the English and Chinese versions hereof, the English version apply and prevail.

(a) Leaflet on the HKIDR (prepared by SFC, please click link as below)
https://www.sfc.hk/-/media/EN/files/COM/PDF/HKID_regime_leaflet_Eng_Aug_2021.pdf
(b) Pamphlet Tips on the HKIDR (Please click link as below)
https://www.sfc.hk/-/media/EN/files/SOM/HKIDROTCR/Investor-Education/Pamphlet--Tips-on-the-Investor-Identification-Regime_English.pdf?rev=b60e6cfdd27741978688838fc1b4f6ed&hash=9F68846F8B582A83010D5DD7FCD92CD0
(c) Unlocking Investor ID (Full Video, please click link as below)
https://d3nv6maja2jqhl.cloudfront.net/HKIDR_video_16082022.mp4
(d) Unlocking Investor ID (Highlights, please click link as below)
https://d3nv6maja2jqhl.cloudfront.net/HKIDR_video_19082022.mp4

CTBC Bank Co. Ltd., Private Banking

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* This Announcement Applicable to Hong Kong Account Booking Client Only
If the information of your instruction is provided completely and correctly, in principle the money will be credited to your account within two to five working days from the business day next to the remittance date.

Notice of Handling Procedures for Following up Mis-transfer of Funds:

Please be remind that if there is any mis-transfer of fund from your account, please contact our service hotline (+852 29161888) immediately. Besides, we would also like to remind you the followings:

(a) Please exercise due care when you make fund transfer instructions and, please double check if the fund recipient is correct to any avoid error.
(b) For any mis-transferred fund to an incorrect recipient, please call our service hotline (+852 29161888) to report the case.
(c) For any unknown fund received or deposited to your account, please report the case to our service hotline (+852 29161888) and arrange for returning the fund.
(d) Please be remind that refusal to return the fund where you are not the correct recipient would invoke possible criminal liability.

CTBC Bank Co. Ltd., Private Banking