CFS Account Application Form

Individual Account Opening Form
The information provided by you will be treated in the strictest confidence. Before we can act for you, you must complete and
return this application to onboarding@cfsm.co.uk. If you require further assistance please call us on +44 (0)207 323 0207.
PERSONAL DETAILS
Title Mr Country/s of Taxation China
National Tax Payer No 310104199204147210
Forename Lei (i.e. INN or NIN)
Middle Name/s Nationality China
Surname Xu Passport/National ID No 310104199204147210
Do you have other
Date of Birth Yes No
14.04.1992 Nationality?
Town/City of Birth 　Xuhui District Other Nationality
Country of Birth Shang Hai Mobile Phone xvz142857@qq.com
Country of Residence China Email 13818834050
ADDRESS DETAILS
Current Address Room 101, No. 78, Meilong 11th village, Xuhui District,
(incl. Post Code and Country) Shanghai 200030
At address less than 3 years?
(If ‘Yes’ please provide previous address)
Yes No
Previous Address
(incl. Post Code and Country)
BANK DETAILS
Name of Bank Industrial and Commercial Bank of China
Bank address Hangzhou Wenyan sub branch Sort Code
Account Name Ru Yi Zhang IBAN
Account Number 6222021001052147995 Swift/BIC Code ICBKCNBJHZU
POLITICAL EXPOSURE
Politically exposed persons are individuals who are or have been, at any time in the preceding year, entrusted with prominent public
functions e.g. Heads of State, politicians, government / judicial / military officers, executives of state-owned corporations, important
political party officials, etc. In addition, a “Politically Exposed Person” includes the immediate family members of a Politically Exposed
Person such as spouses, children, parents and other relatives. Politically Exposed Persons includes even close associates like advisors,
secretaries and other associates of a Politically Exposed Person.
Are you/either of you a Politically Exposed Person (PEP)? Yes No
If ‘Yes’, please provide details below:
SOURCE OF FUNDS
Please indicate what source of funds will be used to fund your trading account:
1. Employment
2. Ownership of the Company
3. Inheritance
4. Savings & Investments
5. Sale of Property/Business
6. Other
CURRENT FINANCIAL SITUATION

INCOME EXPENSE
Employed Investment Employed Investment
Source / Type
Retirement Other Retirement Other
Weekly Monthly Weekly Monthly
Frequency
Quarterly Annually Quarterly Annually
Amount after tax (inc. Employed Investment Employed Investment
currency) Retirement Other Retirement Other
CFS Management Ltd, 55 Riding House Street, London, W1W 7EE | Email: corporate@cfsm.co.uk | Web: www.cfsm.co.uk |
CFS Management Ltd is registered in England and Wales. Company number: 02960433.
Authorised and regulated by the Financial Conduct Authority (reg no. 171480).
1
ASSETS
PROPERTY & LAND INVESTMENTS
Residential Status Owner Tenant Bank or Savings ￥
Value of Main Residence Wrap, Investment & Trading a/c
Value of Secondary Residence ISA & NISA
Land Investment Bonds & Trusts
Other Other
LIABILITIES
LONG-TERM LIABILITIES CURRENT LIABILITIES
Primary Residence Mortgage Credit Card
Additional Property Mortgage Current Loans & Overdrafts
Other Long-term Loans Other Current Loans
TOTAL NET WORTH
(inc. currency
CLIENT CATEGORISATION
afforded the most regulatory protection as they are less experienced or
Retail
knowledgeable than sophisticated investors in the below categories
High Net Worth Investor (please read and complete the declaration in Appendix 1)
Sophisticated Investor (please read and complete the declaration in Appendix 1)
If you have selected ‘Yes’ to either of the above, then please review Appendix 1 to ensure that you meet the requirements set out, and can
make the declaration therein. Please sign and date the relevant investor certificate in Appendix 1.
a person who would normally be considered a Retail client but who meets the
Elective Professional
criteria set out below
In order to be categorised as an Elective Professional Client, the Company must meet both the qualitative test and the quantitative
test:
Qualitative Test
The information must be gathered to demonstrate that the Company is capable of making its own investment decisions and has
an understanding of the risks involved. If the Company is an entity, this assessment should be performed in relation to the person
authorised to carry out transactions on its behalf;
Quantitative Test
The Client must meet two of the following. Please check which two boxes the Client meets in these criteria:
a) The Client has carried out transactions, in significant size, on the relevant market at an average frequency of
10 per quarter over the previous four quarters;
b) The size of the Client’s portfolio, including cash deposits, exceeds €500,000; and
c) The Client works or has worked in the financial sector for at least one year in a professional position,
which requires knowledge of the transactions or services envisaged
PORTFOLIO MANDATE
Purpose of opening an account Speculation
SERVICES REQUIRED MAIN CURRENCY (tick one) ADDITIONAL CURRENCY
Execution Only GBP GBP
Advisory USD USD
Discretionary EUR EUR
Safeguarding/Asset Other Other
Administration
Non-Standard Investments
Please tick boxes that you do NOT wish to apply to your mandate.
Exchange-traded Derivatives
Over-the-Counter Derivatives Speculative Foreign Exchange
Structured Products Contracts for Differences
Private Investment Opportunities Warrants
Private Equity Funds Property Funds
2
YOUR KNOWLEDGE, EXPERIENCE & APPROPRIATENESS
Occupation liberal professions
Job Title manager
　
Name of Employer Lei Xu
Employment Status Employed Self-employed Contractor Student Unemployed Retired
PREVIOUS TRADING ACTIVITY & EXPERIENCE

Do you currently hold any of the following types of investments?
Shares In AIM Stocks Yes No Fixed income Yes No
Share in unlisted companies Yes No Cryptocurrency Yes No
Warrants, Futures or Options Yes No Wallet address
I have invested in the following types of investment products listed below (list all applicable):
Experience level Number of years of Monthly frequency
1 (little experience) to 5 (very W-Week; M-Monthly; SA-
experience
experienced) Semi-Annually; A- Annually
Money Market Funds
Mutual Funds/ Unit Trusts
Foreign Exchange (Speculative and Non-
Speculative) 5 5years W
Over-the-Counter FX Options/ Dual
Currency Deposits
Fixed Income
Equities
Exchange-Traded Funds
Property Funds
Contracts for Differences
Hedge Funds
Listed Options/ Warrants
Futures
CDOs/ CBOs/ CLOs
Private Equity Funds 5 3years W
Private Investment Opportunities
Other OTC Derivatives/ Structured
Products
INVESTMENT OBJECTIVES
Anticipated value of investable assets with CFS 5K USD
Which of the following best describes your overall investment objectives?
INCOME Seeking a return in the form of income rather than capital appreciation
BALANCED Seeking a return in the form of both income and capital appreciation
CAPITAL GROWTH Seeking a return in the form of capital appreciation rather than income
CAPITAL PRESERVATION Seeking to maintain principal by investing in securities with low risk
HIGH INCOME Seeking a high income by investing in securities, which generate interest or dividends
SHORT TERM TRADING
Seeking to increase principal by high-risk securities
AND SPECULATION
What is the average length of time that you hold Investments?

SHORT TERM / 0-18 MONTHS
MEDIUM TERM / 18-36 MONTHS
LONG TERM / 36+ MONTHS
3
ADVISORY and DISCRETIONARY CLIENTS ONLY
(Only complete this section if you have applied for an Advisory or Discretionary Service, otherwise please go to page 5)
Please complete the following details, one of our brokers will contact you to confirm all the details and go through the advisory or
discretionary service that CFS offers.
RISK PROFILE
Primary Investment Objective
Please select and enter into the box on the right the option number most appropriate to you
1. To preserve the value of my investments
2. To earn income from my investments, and to do so, I am willing to accept some small to moderate degree of
risk to their value
3. To see the value of my investments grow over time and at the same time generate income from investments,
and to do so I am willing to accept a moderate to the high degree of risk to their value
4. To earn a high income and acknowledge that the greater the income I earn usually means the greater the risk
to the value of my investments
5. To see my investments grow substantially over time and to do so I am willing to accept a high degree of risk to 5
their value
Attitude towards Investing
Please select and enter into the box the option number most appropriate to you
1. Very conservative attitude toward investing
2. Relatively conservative attitude toward investing
3. Moderate and balanced attitude toward investing
4. Prepared to take a proportionate amount of risk in investing 5
Speculative and adventurous attitude toward investing
Awareness
As a hypothetical example the average annual return on an investment in a global equity index is expected (but not guaranteed) to be, for
example, 6%, yet the expected range of returns is +20% and -20%. I would consider investing the following percentage of my assets held with
you in this type of product:
1. Invest less than 10%
2. Invest between 10% and 25%
3. Invest between 25% and 50%
4. Invest between 50% and 75% 5
5. Invest greater than 75%
Attitude to Loss of Value of Investments
I would change my investment strategy if my portfolio of investments fell by:
1. Up to 5%
2. 5% to 10%
3. 10% to 15%
4. 15% to 25% 5
5. 25% or more
Attitude to Volatility
Volatility is a measure of the rise and fall of the value of investments within a period of time. Levels of volatility indicate interim fluctuations in
markets and do not reflect realised losses to your Portfolio
1. I am not willing to accept any volatility and with to preserve and protect my capital
2. I am concerned about volatility and am willing to accept lower returns in order to limit the chance of loss
3. I want the potential for growth and can accept some losses to the value of my investments
4. I want my investments to grow faster than inflation and can accept greater losses to their value 5
5. I want high returns and can accept substantial losses across my investments to do so
Risk Indicator
Now please add up all results in the framed boxes above, then divide by 5 and round to the nearest full number. 5
Risk Indicator Risk Level Definitions
The typical investor in this category is a conservative investor who generally
1. Low-Risk Tolerance
looks to preserve capital whilst accepting a relatively low level of return
The typical investor in this category looks for a balance of capital appreciation
2. Moderate Risk Tolerance
and income generation through investment in low to moderate risk products
The typical investor in this category has a more pronounced appetite for risk
3. Medium Risk Tolerance
for all or a portion of the investor's portfolio
4
The typical investor in this category looks for enhanced returns by investing
4. Enhanced Risk Tolerance
in moderate to high-risk products
The typical investor in this category seeks to maximise returns by investing in
5. High-Risk Tolerance
high-risk products
If you wish to change your Risk Indicator from the number entered above, please explain in detail why you have amended your
Risk Indicator and sign below to indicate that you are prepared to accept the level of risk you have indicated.
I hereby declare my Risk Indicator is 5

I hereby agree that I am prepared to accept the degree of risk you have indicated
Signature Date 07/07/2022
POWER OF ATTORNEY (optional)

If you wish to grant a power of attorney in favour of a person to enable that person to act on your behalf generally or for particular
purposes in relation to your account or accounts with CFS, please complete the power or attorney below.
Information on any attorney should be provided below as well as proof of identity and proof of residential address documentation
in relation to the attorney.
Whose signature appears below to be the applicant’s attorney until CFS shall receive written instructions from the applicant
revoking this power of attorney.
Notwithstanding that the applicant may in the meantime exercise any of the powers in question, in connection with the operation
of the applicant’s account(s) with CFS, the attorney may (tick as appropriate):
General Power of Attorney Act on the applicant’s behalf in all matters relating to the applicant’s accounts
Limited Power of Attorney Act on the applicant’s behalf in relation to the following matters only (please specify)
The applicant requests that CFS acts on the above instructions and confirms that CFS is under no obligation to ascertain or enquire
into the purpose for which any of the said powers have been granted. The applicant agrees to ratify all acts done, instructions or
consents given, decisions made, contracts and agreements signed and deeds executed on the applicant’s behalf under the
authority of this Power of Attorney.
Revocation of this Power of Attorney shall not affect any liability, commitment or obligation in any way resulting from transactions
initiated or instructions given prior to such revocation.
This Power of Attorney shall be governed by and construed in accordance with English law.
ATTORNEY APPLICANT
Signature Signature
Name Name
Date Date
5
DECLARATIONS
We understand that in accordance with EU Money Laundering Directive, CFS Management Ltd is required to verify our
identity.
We understand that CFS Management Ltd will rely on the information provided in opening this account and represent that
the information is correct and complete.
We agree to notify you promptly of any material change to the company or our circumstances.
AGREE DISAGREE
We confirm that, for our benefit and protection we have received, read and understood CFS Management Ltd.’s Terms of
Business, Client Agreement and Fee Schedule carefully before signing this application form, including but not limited to, the
risk warnings and disclosures, the order execution policy and the charges.
We understand that the company will be bound by these Terms of Business and if we do not understand any point then we
should ask for further information before signing and returning this application form.
AGREE DISAGREE
We understand that in accordance with the General Data Protection Regulation (GDPR) CFS Management Ltd is required to
get your consent for the following:
a) That we may obtain, record and hold personal data for officers, directors, shareholders and beneficiaries of the
company;
b) That we may disclose this information to a credit reference or fraud prevention agency, which may keep a record
of that information;
c) That such credit reference or fraud prevention agency may disclose the fact that a search of its records was made
to its other customers for the purposes of assessing the risk of giving credit, to prevent fraud and to trace debtors.
AGREE DISAGREE
Marketing Consent
We would like to send you important information regarding the following services and products.
Please confirm your consent to send you communications regarding:
Financial promotions I/We CONSENT I/WE DO NOT CONSENT
Events we are hosting I/We CONSENT I/WE DO NOT CONSENT
New products or services I/We CONSENT I/WE DO NOT CONSENT
Full details of the reasons we hold your data and your rights are contained in our Privacy Policy which is available on our
website at https://cfsm.co.uk/wp-content/uploads/2020/07/privacy_policy_cfs.pdf
You can find more information about GDPR at the Information Commissioner’s Office website: https://ico.org.uk/
Signature
Name Lei Xu
Date 07/07/2022
6
APPENDIX 1
Only to be completed by clients who have asked on page 1 of the application to be treated as a High Net Worth Investor or
Sophisticated Investor
HIGH NET WORTH INVESTOR STATEMENT
I declare that I am a certified high net worth individual for the Financial Services and Markets Act 2000 (Financial
Promotion) Order 2005.
I understand that this means:
I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct
Authority;
a) the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
b) by signing this statement I may lose significant rights;
c) I may have no right to complain to either of the following:
i) the Financial Conduct Authority; or
ii) the Financial Ombudsman Scheme;
d) I may have no right to seek compensation from the Financial Services Compensation Scheme
I am a certified high net worth individual because at least one of the following applies:
a) I had, during the financial year immediately preceding the date below, an annual income to the value of
£100,000 or more;
b) I held, throughout the financial year immediately preceding the date below, net assets to the value of £250,000
or more. Net assets for these purposes do not include:
i) the property which is my primary residence or any loan secured on that residence;
ii) any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and
Markets Act 2000 (Regulated Activities) Order 2001(a); or
iii) any benefits (in the form of pensions or otherwise) which are payable on the termination of my service or
my death or retirement and to which I am (or my dependants are), or maybe, entitled.
I accept that I can lose my property and other assets from making investment decisions based on financial promotions.
By giving this declaration I am aware that it is open to me to seek advice from an authorised person who specialises in
advising on unlisted shares and unlisted debt securities.
I confirm that I am a high net worth investor as detailed above as I meet at least one of the listed requirements
Name Date
SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

I declare that I am a self-certified sophisticated investor for the Financial Services and Markets Act 2000 (Financial
Promotion) Order 2005.
I understand that this means:
a) I can receive promotional communications made by a person who is authorised by the Financial Conduct
Authority which relates to investment activity in unlisted shares and unlisted debt securities;
b) The investments to which the promotions will relate may expose me to a significant risk of losing all of the
property invested.
I am a self-certified sophisticated investor because at least one of the following applies:
a) I am a member of a network or syndicate of business angels and have been so for at least the last six months
prior to the date below;
b) I have made more than one investment in an unlisted company in the two years prior to the date below;
c) I am working, or have worked in the two years prior to the date below, in a professional capacity in the private
equity sector, or the provision of finance for small and medium enterprises;
d) I am currently, or have been in the two years prior to the date below, a director of a company with an annual
turnover of at least £1 million.
I accept that I can lose my property and other assets from making investment decisions based on financial promotions.
By giving this declaration I am aware that it is open to me to seek advice from an authorised person who specialises in
advising on unlisted shares and unlisted debt securities.
I confirm that I am a high net worth investor as detailed above as I meet at least one of the listed requirements
Name Date 07/07/2022
7

CFS Account Application Form

Uploaded by

Copyright:

Available Formats

You might also like

CFS Account Application Form

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CFS Account Application Form

Uploaded by

Copyright:

Available Formats

Individual Account Opening Form

CURRENT FINANCIAL SITUATION

PREVIOUS TRADING ACTIVITY & EXPERIENCE

What is the average length of time that you hold Investments?

I hereby declare my Risk Indicator is 5

Signature Date 07/07/2022

POWER OF ATTORNEY (optional)

SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

You might also like