Services Charge

Effective Date: 1st September, 2022

Securities Trade-Related Services

1.) BrokerageVia 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 AmountRounded up to the nearest dollar
Charged on behalf of HKSAR
3.) Trading Levy

0.0027% on Transaction AmountEffective from 1st Nov 2014
Charged on behalf of SFC
4.) Trading Fee0.00565% on Transaction AmountCharged on behalf of HKEX
5.) Settlement Fee0.003% on Transaction AmountMin charge HKD5
Max Charge HKD200
6.) FRC Transaction Levy0.00015% on Transaction Amount

Settlement-Related Services

1.) Transfer DeedHKD $5 for each transfer deedCollected on behalf of CCASS
2.) Physical Stock Withdrawal0.05% 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 FeeFree of chargeHKD5 for each transfer deed stamp duty
4.) Stock Custodian FeeFree 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 interestPrime Rate + 6% p.a.

IPO Subscription Services

1.) Yellow Form SubscriptionHKD50 per applicationPayment is required regardless of whether the application is successful or not
2.) Electronic Subscription (EIPO)
CCASS Application
HKD $50 per applicationPayment is required regardless of whether the application is successful or not

Nominee Services and Corporate Actions

1.) Scrip feeHKD1.5 per lotCharged on behalf of CCASS
2.) Diviidend/Scrip Dividend0.5% of the amount Minimum charge HKD30Plus 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 optionsHKD20 per stockPlus 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 SecuritiesHKD60 per instruction/announcement

Securities/Contract Maturity Charges

Service items
(CBBC Mandatory Call, Expiration/In-the-Money
Derivative Warrant Exercise)
1.) No cash valueFree of charge
2.) Has cash value
HKD100 per stockHKEX charges HKD0.8 per lot

Other Services

1.) Returned Cheque ChargesHKD100 per Cheque Plus bank charges
2.) Termination Cheque Payment FeeHKD200

Request for return of daily/monthly statement

1.) Daily/Monthly Statement within the last 3 monthse-Statement - free of charge
HKD50 per copy per Daily/Monthly by post
2.) Daily/Monthly Statement over 3 monthse-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