E1 表格
E1 Form
Application to Participate in
Electronic Market Trading
(applicable to limited liability company)
To: The Chinese Gold & Silver Exchange Society (“CGSE”)
Our company is qualified in trading 99 Gold and will like to apply for the following
products:（Please  the applicable □）:
(Chinese)
Member Name
(English)
Membership No.
 Renminbi Kilobar Gold
 Loco London Gold / Silver
 9999 Tael Gold
 Loco Silver
(Must be an address registered with CGSE)
Applying
Applying Address
Section A
Information of Member Company’s Directors (applicable to limited liability company)
Director
HKID/Passport No.
Appointment Date
(Day / Month / Year)
* If there is any inconsistency between the English and Chinese version, the version in Chinese shall prevail.
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Section B
Member Liquid Capital
Liquid Capital（No less than HK$1,500,000）1
Category
1.
Nominal Value
Exchange
Rate 5
Bank Savings 2
Discount
Discounted
Value
HK$(0%)
RMB(5%)
US$(5%)
JPY(5%)
Euro(5%)
2.
Gold 3
(5%)
3.
HSI constituent
stocks trading in
HKEX 4
(20%)
4.
Bank Guarantee
(0%)
合計：
Section C
Contact Person (For the purpose of this application)
Name
Position
Phone No.
Mobile No.
Facsimile
Email Address
Section D
Emergency Contact (For the purpose of this application. Must be reachable at all time)
1st Emergency Contact (Must be written and notified CGSE once changes are made.)
Name
Position
Phone No.
Mobile No.
Facsimile
Email Address
2nd Emergency Contact (Must be written and notified CGSE once changes are made.)
Name
Position
Phone No.
Mobile No.
Facsimile
Email Address
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Section E
Other Information
1 Valid copy of Business Registration (BR) signed by member Manager
2 The most recent copy of Annual Return (AR1) signed by member Manager (in case of
shareholding changes, please submit to CGSE copy of Bought & Sold Note signed by
member Manager)
3 The most recent audited financial report (acceptable Asset Class ONLY includes assets
in Hong Kong such as properties, bank balance, gold, and stocks trading in HKEx. Net
assets must be no less than HK$5 Million. The Balance Sheet / Statement of Financial
Position must separately display company and clients’ bank balance. Please also
outline the details (bank name, account number, account type, and balance) of the
clients’ account(s). 6
4 Signed Bank Direct Debit Authorization
i/ if applying for Loco London Gold / Silver trading, please submit 2 original Direct
Debit Authorization (one for HKD account and one for USD account) to OCBC
Wing Hang Bank (Gold & Silver Branch);
ii/ if applying for Renminbi Kilobar Gold trading, please submit one original Direct
Debit Authorization (RMB account) to OCBC Wing Hang Bank (Gold & Silver
Branch) or Bank of China (Hong Kong):
OCBC Wing Hang Bank (Gold & Silver Branch), or
Bank of China (Hong Kong)
iii/ if applying for 9999 Tael Gold trading, the settlement bank account is identical to
the one used for 99 Tael Gold trading. The account details are given as follow:
(Bank name)
(Branch)
Hong Kong Dollar Account No.:
;7
iv/ if applying for Loco Silver trading, the settlement bank account is identical to the
one used for 99 Tael Gold trading. The account details are given as follow:
(Bank name)
(Branch)
Hong Kong Dollar Account No.:
;7
5 If applying for Loco Silver trading, member’s Spot Silver settlement repository account
name and number are as follow:
Loomis International (HK) Limited:
Account Name:
Account No.:
6 Pay to The Chinese Gold & Silver Exchange Society the following fees:
i/
HK$10,000 Electronic Trading System Application Fee;
ii/ HK$7,500 Electronic Trading System Usage Deposits (Equivalent to 3 months
monthly fee, refundable upon system termination);
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iii/ Refundable Deposits:
HK$200,000 (Loco London Gold / Silver); and / or
RMB500,000 or gold bullion of equivalent value (Renminbi Kilobar Gold)
Signed and completed Telecommunication service application (Original submit to
service provider and copy submit to CGSE for reference)
Electronic Trading Training Course application form
Business Plan and Proposal (F386)
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Note:
1. Clients’ monies CANNOT be included in Liquid Capital Filing.
2. Please attach original bank certificates, bank certified copy of bank statements, or CGSE’s manager
certified copy of bank statements. On the document, please highlight the amount used to calculate liquid
capital.
3. Please attach purchase receipt or vault deposit proof.
4. Please attach copy of share certificates (certified by member’s Manager) or original monthly statements
from brokerage firm.
5. Based on exchange rate on filing day.
6. If the date of the audited financial report has lapsed over 6 months, please submit the two most recent
months’ management accounts (same standard).
7. If member is currently applying for 99 Gold trading, please submit original HKD account Direct Debit
Authorization to OCBC Wing Hang Bank (Gold & Silver Branch).
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Section F
Member Declarations
Our company
(Member Name)
1. Declare that the Board of Directors (if the member is a limited liability company) of this
company has passed a resolution and agreed to apply to become a member of CGSE. If this
application is approved, our company agrees to comply with CGSE’s constitutions, bylaws,
rules, regulations and codes which may be amended from time to time. Any violations of the
above will result in disciplinary actions from CGSE;
2. Understand that if the company participates in CGSE’s Renminbi Kilobar Gold trading, the
company is obligated to comply with CGSE’s Electronic Trading Regulation appendix 2 rule
(3) and (4);
3. Declare that information and documents used in this application is complete, truthful,
accurate and they do not conceal any material facts from CGSE in any way;
4. Undertake to update the information on this application by written notices promptly after any
relevant changes are made;
5. Understand that any fraudulent and/or misleading claims will result in disciplinary actions
from CGSE;
6. Consent CGSE to disclose relevant information of our company to the Government of
HKSAR and/or relevant regulatory organization(s);
7. Consent that in case of discrepancy of trading data, the record stored by CGSE shall prevail;
8. Undertake that our company will at least use the electronic trading system for 12 months
(starting date determined by CGSE) and pay HK$2,500 per month as electronic system fee;
9. Undertake that our company will report to CGSE all transactions with clients in relation to
Loco London Gold / Silver, Renminbi Kilobar Gold, and/or 9999 Tael Gold and retrieve
transaction code from CGSE once this application is approved. Violations of the above will
be penalized by CGSE’s Executive & Supervisory Committee. Penalties include (but are not
limited to) removal from the CGSE Recognized E-Trade Member list, terminating our
company’s electronic trading platform with CGSE, and/or disciplinary actions if sees fit; and
10. Undertake that all trades with transaction code are transacted either between our company
and other CGSE members through CGSE’s electronic trading platform or between our
company and clients of our company.
Member Company Seal
Manager Name:
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Member Manager Signature
Date:
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