Hong Kong Stock Commission and Service Charges

**Unless indicated, all charges are in HKD, or its equivalent in foreign currencies, which based on the rate quoted in bank for reference.

**Odd lots also charged as Board Lot.                                              Last Updated: 30/10/2014                 

Securities Trade-Related Services

Items Charges Remarks
1. Brokerage Via Internet:0.15% of consideration or Negotiable
Via Telephone:0.25% of consideration or Negotiable
Min. $100 or Negotiable
Min. $100 or Negotiable
2. Stamp Duty
 (Charged on behalf of HKSAR)
0.10% of consideration Rounded up to the nearest dollar
3. Trading Levy
 (Charged on behalf of SFC)
0.0027% on gross consideration Effective from 1st Nov 2014
4. Trading Fee
(Charged on behalf of HKEX)
0.005% on gross consideration  
5. Settlement Fee 0.003% on gross consideration Min. $5
Max. $200

Settlement-Related Services

Items Charges Remarks
1. Transfer Deed HKD/CNY $5 for each transfer deed  
2. Physical Stock Withdrawal HKD/CNY $50 for each registered eligible securities and HKD/CNY $3.50 per Board Lot  
3. Physical Stock Deposit Fee Free of charge HKD/CNY $5 for each transfer deed stamp duty(if applicable)
4. Stock Deposit Fee Free of charge  
5. Settlement Instruction
(SI / ISI)
Stock Deposit – Free of charge
Stock Withdrawal – 0.005% of market value of eligible securities
Note: If Real Time Settlement is required, HKD/CNY $300 for each such instruction.
Min. HKD/CNY $50
Max. HKD/CNY $300
6. Multi-counter Transfer Instruction HKD/CNY $30 for each instruction  
7. Compulsory Stock Buy-in 0.50% of market value of eligible securities (based on the closing price shown on HKEx) which subject to a maximum of HKD/CNY $100,000 and handling fee of HKD/CNY $300   

IPO Subscription Services

Items Charges Remarks
1. Yellow Form Subscription Free of charge  
2. Electronic Subscription HKD/CNY $30 per application Non-refundable
3. Financing Subscription HKD/CNY $100 per application Non-refundable

Nominee Services and Corporate Actions

Items Charges Remarks
1. Scrip Fee (Charged on behalf of CCASS) HKD/CNY $1.50 per Board Lot  
2. Change of Registration at Registrar HKD/CNY $6 per scrip and handling fee of HKD/CNY $50 per stock  
3. Dividend and other Distribution and Bonus and Debt Securities Interest Collection Service Fee 0.20% of the aggregate of cash amount Min. HKD/CNY $20
Max. HKD/CNY $10,000
4. Rights Issue Entitlement Collection Service Fee HKD/CNY $1.50 per Board Lot and handling fee of HKD/CNY $30 per stock  
5.Excess Rights Subscription HKD/CNY $1 per Board Lot  
6. Offer/Open Offer/Preference Offer Collection Service Fee HKD/CNY $1.50 per Board Lot  
7. Offer/Open Offer/Preference Offer Subscription HKD/CNY $1 per Board Lot and handling fee of HKD/CNY $30 per stock  
8. Bonus Shares or Scrip Dividend Collection Service Fee HKD/CNY $1 per Board Lot and handling fee of HKD/CNY $30 per stock  
9. Take-over Offer or Privatization HKD/CNY $1 per Board Lot, stamp duty and handling fee of HKD/CNY $30 per stock  
10. Stock Splitting /Consolidation HKD/CNY $1 per Board Lot and handling fee of HKD/CNY $30 per stock  
11. Warrant Exercise/CBBCs Mandatory Call Event HKD/CNY $1 per Board Lot and handling fee of HKD/CNY $30 per stock  
12. Handling Fee for Conversion, Redemption and Corporate Actions of Registered and bearer Debt Securities HKD/CNY $60 per instruction /announcement  

Other Services

Items Charges Remarks
1. Handling Charge for Unclaimed Entitlements HKD/CNY $500 per claim application in respect of unclaimed entitlements of a stock or (if the gross cash amount of the unclaimed entitlements is less than HKD/CNY $500) the gross cash amount, plus 0.50% of the aggregate of cash amount which subject to a minimum of HKD/CNY $20 Min. HKD/CNY $20
2. Returned Cheque Charges HKD/CNY $200   
3. Stop-payment Charges HKD/CNY $200   
4. Retrieving Daily Combined Statement/Monthly Statement Within 3 Months :  Free of charge
Over 3 Months  :  By electronic way: HKD$30 / By postage: HKD$50  
 
 

Note:

The above Charges are subject to revision from time to time without prior notice.

For enquiries, please contact us at (852) 2588-9088.