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Hong Kong Stocks

Please noted that changes or amendment of the information might be made at any time without prior notice. If you have any enquiry, please contact your account executive or our customer service hotline on (852) 2919 2919

Trading/Custodian Services 

Transaction Type  Charges  Min. & Max. Charges  Settlement Date 

Brokerage 

(Negotiable) 

Min. HK$100  
(Negotiable) 

T+2 

Stamp Duty 

0.13% of consideration 

Min. HK$1 
(Any fraction of HK$1 in stamp duty payable shall be rounded up to the nearest HK$1) 

T+2 

Transaction Levy (Securities and Bonds) 

0.0027% of consideration 

N/A 

T+2 

FRC Transaction Levy (including initial public offer share (“IPO Shares”) and preferential offer for IPO Shares) 

0.00015% per side of the consideration (rounded to the nearest cent) 

N/A 

T+2 

Trading Fee (Securities and Bonds) 

0.005% of consideration 

N/A 

T+2 

CCASS Fee (Securities and Bonds) 

0.002% of consideration 

Min. HK$2 
Max. HK$1,000 

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) 

HK$0.015 per board / odd lot 

N/A 

Last working day of each month 

Bonds Custodian Fee 

Margin clients: HK$0.015 per board (or odd) lot 
Cash clients: Free 
CIES clients: Free for HKEx listed bonds; HK$50 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. HK$50  
Max. HK$1,000 

Date of event 

IPO / Placement Application 

HK$100 per transaction 
HK$100 cancelation penalty 

N/A 

Date of Event 



Settlement Instruction (SI)

Transaction Type Charges Min. & Max. Charges Settlement Date

Delivery 

0.01% of gross value of last trading day’s closing price plus handling fee HK$300 (per stock) 

N/A 

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 

HK$5 per board / odd lot 

Min. HK$50 

Date of delivery 

Stock Deposit 

Free 

N/A 

Date of deposit 



Dividend and Bonus

Transaction Type Charges Min. & Max. Charges Settlement Date

Cash Dividend / Scrip Option 

0.5% of cash dividend 

Min. HK$20 
Max. HK$15,000 

Deduct from cash dividend 

Bonus Shares / Bonus Warrants 

HK$2 per board / odd lot 
(based on no. of bonus shares / warrants) 

Min. HK$20 
Max. HK$500 

Bonus allocation date 

 

Corporate Actions 

Transaction Type Charges Min. & Max. Charges Settlement Date

Share Subdivision / Share Consolidation / Re-organization 

HK$50 per transaction 

N/A 

Five working days after the Date of Event 

Rights / Warrants Subscription 

HK$0.8 per board / odd lot plus HK$100 handling charge 
(plus scrip fee, if any) 

Max. HK$10,000 

Date of Event 

Privatization / Cash Offer 

HK$2 per board / odd lot 
HK$1 for 500 lots thereafter 
(plus stamp duty & scrip fee) 

Min. HK$20 
(exclude stamp duty & scrip fee) 

Deduct from cash consideration 

Share Exchange 

HK$2 per lot / odd lot 

Min. HK$20 
Max. HK$20,000 

Two working days after the Date of Event 



Claim

Transaction Type Charges Min. & Max. Charges Settlement Date

Dividend / Bonus Claim 

HK$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 Charges Min. & Max. Charges Settlement Date

Share register on book-close date for entitlement collection 

HK$2 per board / odd lot 

N/A 

Date of entitlement allocation 

Statement Re-print 

HK$80 per month 

N/A 

Date of Event 

Dormant Account 

HK$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 

HK$200 per cheque per transaction 

N/A 

Date of Event 

Mailing Statement 

HK$20 per month 

N/A 

Last working day of each month 

Asset Proof Application / Audit Confirmation

HK$300 per proof per application

N/A 

Date of Event

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