Securities Trading
Services
Carlyon Securities Limited
(SFC Central No.: BJI399)
We specialize in providing comprehensive securities brokerage services. Our current trading products include stocks listed on the Hong Kong Stock Exchange, bonds, ETFs, and derivatives such as warrants, covered warrants, and callable bull/bear contracts. The company is also a Hong Kong Clearing Participant (Participant ID: B02088), offering services including share placement and underwriting, IPO subscription, and US dollar bond underwriting.
Cash Account Opening Process
In-Person Account Opening
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Original personal identification documents of all account holders (e.g., Hong Kong ID card or passport).
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Proof of address issued within the last three months (e.g., utility bills or bank statements).
Account Opening by Mail
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W-8BEN Form / W9 Form
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Self-Certification Form - Individual/Entity
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Anti-Money Laundering and Counter-Terrorist Financing Questionnaire
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Customer Identification Information and Brokerage Client Coding Consent Form (Click to Download Documents)
Steps to Open an Account by Mail
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Carefully read the standard account opening terms, application form, risk disclosures, and relevant rules and code pamphlets. Complete the account opening documents.
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A witness must fill in their name and sign the account opening form.
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Submit copies of personal identification documents and proof of address issued within the last three months.
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Mailing Address: Unit E, 22/F, Tower A, Billion Plaza, 1 Wang Kwong Road, Kowloon Bay, Hong Kong.
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Carlyon staff will contact the client within one week to confirm the account opening.
Witness Requirements
The witness must be a registered person under the SFO, a Justice of the Peace, or a professional (e.g., certified public accountant or lawyer). If the applicant is unable to have the account opening form signed and confirmed by a witness, they may mail the completed account opening form, along with copies of their personal identification documents (e.g., Hong Kong ID card or passport), proof of address issued within the last three months, and a bank cheque to the company.
The cheque must meet the following requirements:
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The cheque signatory must match the name of the account applicant and the signature on the account opening form.
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The cheque must be issued by a licensed bank in Hong Kong.
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The amount must be no less than HKD 10,000.
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The cheque must be made payable to "Carlyon Securities Limited."
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The cheque amount will be deposited into the client's trading account after clearance.
Fund Deposit and Withdrawal Methods
Withdrawal Methods
Submit the withdrawal request to the company before 11:00 AM. After verification, the funds will be transferred via cheque to the client's designated bank account.
Deposit Methods
Clients can deposit funds into the following bank accounts under "Carlyon Securities Limited":