- CLSA Asia-Pacific Terms of Business
- CLSA Asia-Pacific Securities Dealing Services Annex
- Australia Terms of Business
- Australia Markets Terms Schedule
- Australia Research Terms Schedule
- CITIC Securities Americas, LLC’s General Terms and Conditions of Business
Securities Dealing Services Market Annexes with Risk Disclosure Statement
- Hong Kong
- Hong Kong – Bond Annex
- Hong Kong – China Connect
- Indonesia
- Japan
- Malaysia
- People’s Republic of China
- Philippines
- Singapore
Custody Services
Direct Market Access / Electronic Trading
- Asia-Pacific Direct Market Access Services Annex
- Hong Kong Crossing Engine Service Annex
- User Guidelines for Hong Kong Crossing Engine Services
- Australia – Crossing System Public Disclosure
- Australia – Crossing System User Guide (Non Public)
- Japan Crossing Engine User Guidelines
- Japan Crossing Engine Annex
CATS (CITICS Automated Trading System)
- Terms of Use（使用条款)
- Notice to Client（使用注意事项)
- Consent Letter Related to Personal Data（个人信息相关同意函)
- Machine Translation Disclaimer（机器翻译免责声明)
Margin Financing – Hong Kong Market – CLSA Limited
Fixed Income Trading – CITIC Securities International Global Markets Limited
- CSIGM Terms and Conditions
- Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
- Tax Information and Common Reporting Standard Addendum
Futures/Options
Global Portfolio Trading
Bond & Structured Notes, Fund Transactions, and Product Financing – Citic Securities Singapore Global markets Pte. Ltd.
- Product Financing Terms and Conditions
- Bonds and Structured Notes Transactions – Annex
- Fund Transactions – Annex
Personal Data Protection
- CLSA Personal Data Protection Law Annex
- Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
- Privacy Policy – Australia
FATCA
CITIC Securities Europe B.V.
- CITICS Europe General terms and conditions of business
- CITICS Europe Order execution and order handling policy
- CITICS Europe Conflicts of interest policy
- CITICS Europe Client privacy notice
- CITICS Europe Complaints Handling Information
CITIC Securities (UK)
- CITICS (UK) General terms and conditions of business
- FATCA Annex
- CITICS (UK) Order execution policy
- CITICS (UK) Conflicts of interest policy
- DEA Disclosure Notice
- EMIR MIFID II Pricing and Fees Disclosure Document for Clearing Services on UK Central Counterparties
- FIA Clearing member Direct and Indirect Clearing Disclosure
- Futures Best Execution and Client Order Handling Policy
- Regulatory Disclosures Module
- Risk Disclosures Futures
- Risk of TTCA Disclosure Notice
- Client categorization notice
- CITICS (UK) Client privacy notice
- CITICS (UK) Complaints Handling Information
CITIC Securities Korea Documentation
- CITIC Securities Korea – Terms of Business
- CITIC Securities Korea – Securities Dealing Services Annex
- CITIC Securities Korea – Agreement on Opening of Equity Trading Accounts
- CITIC Securities Korea – Agreement on Opening of Derivatives Trading Accounts
- CITIC Securities Korea – DMA Service Terms and Conditions
- CITIC Securities Korea – Form of Consent Letter
- CITIC Securities Korea – Letter of Client (Identification of Director and Beneficial Owner)
- CITIC Securities Korea – Information Letter on the Methods to Accept / Process Trade Order
CITIC Securities Malaysia Documentation
Best Execution Policy Statements
- Hong-Kong-Best-Execution-Policy
- Australia – Best Execution obligation disclosure
- Japan Best Execution Policy Statement
- Singapore Best Execution Policy
Other Notices and Policies
- Notification to Singapore clients
- ASIC Class Order Disclosure
- Hong Kong Risk Explanation Statement for Exchange-traded Derivatives
- Notice to Canadian Client for the Purpose of the CLSA Global Markets Pte Ltd Asian Securities Programme (Certificates)
- Singapore – Explanation of Effect of Being Treated as an Accredited Investor under the Consent Provisions
- Japan Insider Registration Requirement
- Japan Basic policy for antisocial forces