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GENEVIEVE ASSET MANAGEMENT Advisory Portfolio Management Terms of business and Personal Account Opening Forms
Account Number
Account Manager
Branch Code
Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong. Tel: 852 xxxxx Email: admin@genevieve-ch.com Tower 1 Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong. Tel: 852 5808 2971 Fax: 852 3020 8767 Email: admin@genevieve-ch.com ,
C L I E N T I N F O R M A T I O N
Address (if less than three years, please state previous address)
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Occupation/Profession
Marital Status
Fax No. Email Website Applicant(s) Estimated Gross Annual Income Applicant(s) Source of Income
Contact Information
A S S E T I N F O R M A T I O N
Source of Funds
Total Assets
I Investment time horizon (s) N V E S T M Investment liquidity requirements E (current plan to use assets before noted goals are met) N T I Previous Investment experience N (stocks/bonds/time deposits/mutual funds/bank accounts/other) F O R M Years of Investment experience A T I O N
Desired rate of return on investment
List other debts/loans and their current estimated balance and rate interest.
9. If the client instructs Genevieve AM to hold their Share Certificates in safekeeping, the Company may hold those Securities at its Branches or any other location where it is customary for the company to keep its Securities. The Companys responsibility shall be limited to the same degree of care exercised in the custody of its own securities the same issue and for the same aggregate amounts may be delivered to the Client in lieu of those originally deposited by the client.
official signatures of the aforementioned account and may be used for verification at all times and for all purposes. 10. Every communication sent by Genevieve AM to 4. All transactions in Securities in this account are subject to the constitutions, by-laws, customs, rules and regulations of the exchanges or markets where the transaction is executed. 5. All trade prices will be quoted in $US.the company is not responsible for exchange rate fluctuations or losses. 6. Any monies held by Genevieve AM from time to time to Customers credit are payable on demand, need not be segregated and may be used by the company in the ordinary conduct of its business. 7. The client will pay to the company all commissions and charges for each transaction. 8. The personal information supplied to the company is deemed to be truthful and accurate. Commitment To Your Privacy: Protecting our clients privacy is important to us. The purpose of this notice is to explain the information we collect about our clients, how we use it, and to state our commitment to inform you, and to respond to any questions you may have. Clients who have read this privacy notice, and have expressed no objections, and have completed the New Account Application, are deemed t o have agreed with our privacy policies as outlined below. Information We Collect: In the ordinary course of business, we collect, retain and use information about our clients financial situation in order to service them as well as we can. This information is collected from several sources and may include information we receive from our clients whether in writing, in person, by telephone, electronically or on applications or other forms and may include information about their transactions with us, our affiliates, and others which may consist of information about account balances and counterparties to transactions; information we receive from credit reporting companies such as credit reports; and information collected from self-regulatory organizations in the investment industry. Information We Disclose: We do not sell any information about our clients. Only upon our clients specific request will information such as name, income, and assets be shared with our affiliates. From time to time and when we deem it necessary to facilitate the handling of our relationship with our clients, we will share appropriate information with third parties as permitted by law. We only share information that is required for third parties to perform their job. For example, we may disclose information to third parties such a s data processing providers for statement mailing and check printing, and securities broker dealers when using them to execute orders; to government entities, and self-regulatory organizations in the investment industry, in response to obligatory provision of information, and as otherwise requested by our clients. Security of Information: Genevieve AM maintain physical, electronic, and procedural safeguards to guard our clients personal information. We have strict internal policies against unauthorized use or disclosure of client information. Our clients information is accessible only to employees who need it to conduct our clients financial affairs or provide services to them. Our employees, and our account management practices, are governed by extensive regulatory procedures, and by internal procedures. Genevieve AM staff are reminded on a regular basis of their obligations with regard to the confidentiality of client information through employee training, and by operating procedures. 12. This agreement supersedes all previous agreements between the Client and Genevieve AM its Directors and Officers cannot be held liable for any losses or damages incurred as a result of investment advice provided. 11. The Client may close their Account at any time by giving written notice. Genevieve AM reserves the right to terminate the Clients Account at any time and for any reason the Client shall be deemed to have been received and acknowledged as correct, approved and consented to by the client unless the company receives a written notification objection within 30 days after it has been sent to the Client.
Either / any one of us Any two of us All of us jointly Single account Joint tenants
Vista Capital
(Note: Unless otherwise specified, Investments are deemed held as joint tenants, Investment pass automatically to survivor if joint tenants. Investments of deceased tenant in common pass according to terms of will or intestacy) Signature of Primary Applicant Representative Signature: (specify)
(Block Capitals)
For each Beneficial owner and all account signatories we require: (i) Completed Investment Account Opening Form (ii) Completed W8 form for non-U.S. persons
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Authorised Signatories
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