Effective Date: 1st September, 2022
Securities Trade-Related Services
| Items | Charges | Remarks |
|---|---|---|
| 1.) Brokerage | Via Internet：0.25% of Transaction Amount or Negotiable Via Telephone：0.25% of Transaction Amount or Negotiable | Min. $100 or Negotiable Min. $100 or Negotiable |
| 2.) Stamp Duty | 0.13% of Transaction Amount | Rounded up to the nearest dollar Charged on behalf of HKSAR |
| 3.) Trading Levy | 0.0027% on Transaction Amount | Effective from 1st Nov 2014 Charged on behalf of SFC |
| 4.) Trading Fee | 0.00565% on Transaction Amount | Charged on behalf of HKEX |
| 5.) Settlement Fee | 0.003% on Transaction Amount | Min charge HKD5 Max Charge HKD200 |
| 6.) FRC Transaction Levy | 0.00015% on Transaction Amount |
Settlement-Related Services
| Items | Charges | Remarks |
|---|---|---|
| 1.) Transfer Deed | HKD $5 for each transfer deed | Collected on behalf of CCASS |
| 2.) Physical Stock Withdrawal | 0.05% of stock value Min HKD100 per stock | HKD3.50 per Board Lot, if less than one lot, it will still be calculated as one lot (Collected on behalf of CASSS) Customers must handle the stock transfer procedures by themselves. |
| 3.) Physical Stock Deposit Fee | Free of charge | HKD5 for each transfer deed stamp duty |
| 4.) Stock Custodian Fee | Free of charge | |
| 5.) Settlement Instruction （SI / ISI） | Deposit - Free of charge Withdrawal – 0.05% of stock value Min HKD100 per stock | |
| 6.) Cash customer overdue settlement interest | Prime Rate + 6% p.a. |
IPO Subscription Services
| Items | Charges | Remarks |
|---|---|---|
| 1.) Yellow Form Subscription | HKD50 per application | Payment is required regardless of whether the application is successful or not |
| 2.) Electronic Subscription (EIPO) CCASS Application | HKD $50 per application | Payment is required regardless of whether the application is successful or not |
Nominee Services and Corporate Actions
| Items | Charges | Remarks |
|---|---|---|
| 1.) Scrip fee | HKD1.5 per lot | Charged on behalf of CCASS |
| 2.) Diviidend/Scrip Dividend | 0.5% of the amount Minimum charge HKD30 | Plus Clearing Fee 0.12% Collected by CCASS |
| 3.) Collection of Shares, Include bonus shares, shares of listed or non-listed company. | HKD2 per lot Minimum charge HKD20 | Plus Charges from Share registrar |
| 4.) Collection of rights, include pre-emptive rights, public offer rights, rights issue, stock options | HKD20 per stock | Plus Charges from share registrar |
| 5.) Stock exchange, privatization, takeover, public offering, pre-emptive subscription, exercise of warrants of rights, etc. | HKD2 per lot Minmum charge HKD20 | HKEX charges HKD0.8 per lot |
| 6.) Stock Splitting/Consolidation | Free of Charges | |
| 7.) Fees for Conversion, Redemption and Corporate Actions of Registered and non-registered Debt Securities | HKD60 per instruction/announcement |
Securities/Contract Maturity Charges
| Service items (CBBC Mandatory Call, Expiration/In-the-Money Derivative Warrant Exercise) | Charges | Remarks |
|---|---|---|
| 1.) No cash value | Free of charge | |
| 2.) Has cash value | HKD100 per stock | HKEX charges HKD0.8 per lot |
Other Services
| Items | Charges | Remarks |
|---|---|---|
| 1.) Returned Cheque Charges | HKD100 per Cheque Plus bank charges | |
| 2.) Termination Cheque Payment Fee | HKD200 |
Request for return of daily/monthly statement
| Items | Charges | Remarks |
|---|---|---|
| 1.) Daily/Monthly Statement within the last 3 months | e-Statement - free of charge HKD50 per copy per Daily/Monthly by post | |
| 2.) Daily/Monthly Statement over 3 months | e-Statement – HKD50 per copy per Daily/Monthly HKD50 per copy per Daily/Monthly by post |
Remarks: Cash dividends will be distributed in the currency of CCASS
The Charges Determined by HKSCC are subject to change without prior notice
The above charges are for reference only and may be revised by the company at any time without prior notice