HK Securities Limited Services Charges
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Brokerage | (Negotiable) | Min. $100 (Netgotiable) | T+2 |
| Stamp Duty | $1 per $1,000 of consideration (0.1%) (Any fraction of $1,000 of consideration shall be rounded up to the nearest $1,000) |
Min. $1 (Any fraction of $1 in Stamp Duty payable shall be rounded up to the nearest $1) |
T+2 |
| Transaction Levy (Securities and Bonds) | 0.0027% of consideration | N/A | T+2 |
| Trading Fee (Securities and Bonds) | 0.005% of consideration | N/A | T+2 |
| CCASS Fee (Securitiess and Bonds) | 0.002% of consideration | Min. $2, Max. $1000 | T+2 |
| Financial Transactions Tax (applies to Italian resident companies, e.g. #1913) |
Net trade balance (positive) x Weighted Average Price of purchases x Tax Rate The applicable tax rate to transfers of Shares performed on the Hong Kong Stock Exchange is 0.20% (exceptionally increased to 0.22% for year 2013 only). |
N/A | T+2 |
| Stocks Custodian Fee (for margin clients only) |
$0.015 per board / odd lot | N/A | Last working day of each month |
| Bonds Custodian Fee | Margin clients: $0.015 per board (or odd) lot. Cash clients: free. CIES clients: free for HKEx listed bonds; $50.00 per month and per account for non-HKEx listed bonds. |
N/A | Last working day of each month |
| Coupon Interest Collection Fee | HKEx listed bonds: free Non-HKEx listed bonds: 0.5% of the interest amount (applicable to all types of account including Margin, Cash and CIES) |
Min. $50.00, Max. $1,000.00 | Date of event |
| IPO / Placement Application | $100 per transaction $100 cancelation penalty |
N/A | Date of Event |
Settlement Instruction (SI)
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Delivery | 0.01% of gross value of last trading day’s closing price plus input fee $5 |
Min. $50 Max. $1,000 |
Date of Event |
| Receive | Free | N/A | Date of Event |
| Interest (for Margin Account only) |
Prime rate + 3% per annum (except for special agreement) |
N/A | Last day of each month |
| Stock Withdrawal | $5 per board / odd lot | Min. $50 | Date of delivery |
| Stock Deposit | Free | N/A | Date of delivery |
Dividend and Bonus
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Cash Dividend / Scrip Option | 0.5% of cash dividend | Min. $20, Max. $15,000 | Deduct from cash dividend |
| Bonus Shares / Bonus Warrants | $2 per board / odd lot (based on no. of bonus shares / warrants) |
Min. $20, Max. $500 | Bonus allocation date |
Corporate Actions
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Share Subdivision / Share Consolidation / Re-organisation | $50 per transaction | N/A | Two working days after the Date of Event |
| Rights / Warrants Subscription | $0.80 per board / odd lot plus $100 handling charge (plus scrip fee, if any) |
Max. $10,000 | Date of Event |
| Privitisation /Cash Offer | $2 per board / odd lot $1 for 500 lots thereafter (plus stamp duty & scrip fee) |
Min. $20 (exclude stamp duty & scrip fee) |
Deduct from cash consideration |
| Share Exchange | $2 per lot/odd lot | Min $20 Max. $20,000 |
Two working days after the Date of Event |
Claim
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Dividend / Bonus Claim | $400 per claim (charged whether the claim is succeed or not) plus Dividend / Bonus Collection Charge (plus any out-of-pocket expenses) ） |
N/A | Date of Dividend / Bonus Allocation |
Registration ,Transfer and Other Charges
| Transaction Type | Charge | Min. & Max. Charge | Settlement Date |
|---|---|---|---|
| Share register on book-close date for entitlement collection | $2 per board / odd lot | N/A | Date of entitlement allocation |
| Statement Re-print | $80 per month | N/A | Date of Event |
| Dormant Account | $100 per year | N/A | If an account is dormant in the past year, handling fee to be charged in January of the following year. |
| Bounced Cheque | $200 per cheque per transaction |
N/A | Date of Event |
| Mailing Statement | $20 per month | N/A | Last working day of each month |
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