Latest Regulations for Complex Products Trading Service

Important Note: Latest Regulations for Complex Products[1] Trading Service (Effective from July 2019)

Dear Customer,

To comply with Hong Kong SFC’s latest regulations, starting from 6 July 2019, CSCI will take the following arrangements:

  1. 1. CSCI will only provide investment recommendation service and complex products trading service to clients who have completed the risk profiling process; and
  2. 2. CSCI will only provide derivative products (e.g. futures contract, option contract, warrant) trading services to clients who have completed derivative knowledge assessment and have been characterized as having derivative knowledge.

Please complete and return Investment Profile Due Diligence form to finish the procedure of risk profiling process and derivatives knowledge assessment; otherwise, you may not receive investment advisory services and trade complex and derivative products.

The online Investment Profile Due Diligence form can be accessed via our company website or CSCI Trading App. Our company website address:

You can also provide us the completed and formally signed Investment Profile Due Diligence form by post before 6 July 2019.

Our Office Address:
? ? ? ? China Securities (International) Brokerage Company Limited
? ? ? ? 18/F, Two Exchange Square,
? ? ? ? Central, Hong Kong
? ? ? ? ATTN: Wealth Management and Brokerage Department

If you have any enquiries, please feel free to contact your Relationship Manager or call our Service Hotline: 400-1208-108 / General Line: 3465-5600 for assistance.

Yours faithfully,
China Securities (International) Brokerage Company Limited

[1] Paragraph 5.5 of the Guidelines on Online Distribution and Advisory Platforms, A complex product is an investment product whose, terms, features and risks are not reasonably likely to be understood by a retail investor because of its complex structure.

According to the list of examples of Non-complex and complex products issued by SFC, complex products including but not limited to:

  • ??Derivatives traded on an exchange: Futures contracts, Equity derivatives (e.g., DWs, CBBCs and listed share options), Synthetic ETFs and futures-based ETFs, L&I products and etc.
  • ??Other complex products: Complex bonds (perpetual, subordinated or convertible bonds), derivative funds, hedge funds, SFC-authorized unlisted structured investment products (including SFC-authorized equity-linked deposits, equity-linked instruments/investments, etc.), other non-exchange-traded structured investment products, Security tokens and etc.
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About Us

China Securities (International) Finance Holding Company Limited (“CSCI”) was established and registered in Hong Kong in July 2012. Our parent company, CSC Financial Co., Ltd. (“CSC”) is a large-scale, nationwide, comprehensive securities company with a registered capital of RMB6.1 billion, approved by China Securities Regulatory Commission (CSRC).

CSCI is committed to establish itself as a full-service investment banking enterprise. Through our Corporate Finance, Asset Management, Securities Brokerage, Investment Research and Financing businesses, we provide a wide range of investment banking products and services to meet the needs of corporations, institutional and wealth management clients. As the flagship entity to enter into the global capital markets, we have engaged a team of young, enthusiastic, industry-savvy and trustworthy professionals and management talent; all are possessed of extensive investment banking, brokerage and asset management experience. We assist our Mainland clients to develop and expand their overseas business and partner with international clients to reach out China business opportunities.

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Please refer to Chinese version. Thanks.