Overseas Stock Trading Fee Schedule

Transcription

1 Overseas Stock Trading Fee Schedule Items A. US Stock Trading... 2 B. China Shanghai B Share Stock Trading... 4 C. Japan Stock Trading... 5 D. Australia Stock Trading... 6 E. Singapore Stock Trading... 7 F. Korea Stock Trading... 8 G. Taiwan Stock Trading... 9 H. Canada Stock Trading I. UK Stock Trading J. Other for Securities Account Note: Changes or amendment of the information might be made at any time without prior notice.

2 A. US Stock Trading (based on transaction amount) 0.25% US$30 Commission (Via US stock 0.15% US$12.8 Electronic Penny Stock (Stock price below USD 1) 0.15% US$12.8 i Clearing Fee % (For Sale Trade Only) US$0.01 Envelope Settlement Service (ESS) fee USD300 or USD600 (Depend on the transfer agent) per stock per trade side per trade date (Applicable securities reference list in v) FINRA Trading Activity Fee USD per share (For Sale Trade Only), : USD0.01 Maximum: USD5.95. vi) Other USD per executed share ** **Applicable to OTCBB, PinkSheet & BATS of US trading markets with the transaction quantity more than 100,000 share of US Penny Stocks( Penny Stock means those stocks with Stock Price below USD 1). **Note: Buy and sell orders are considered different orders for commission calculation. Each fully or partially filled order will also be treated as separated trades and commissions are calculated separately. 2. Financing i) Margin Account Financing Charge (Margin Account Financing) Remarks Selective Constituent Stocks of Dow Jones Industrial Average Index/ NASDAQ 100 Index/ S&P 500 Index (in Annual interest rate)* HSBC Prime rate + 4% Cash Account Overdue Interest (Overdraft in Cash Account) Margining beyond the discount value HSBC Prime rate + 9% - HSBC Prime rate + 9% *With effect from 1 July 2018

3 3. Scrip Handling, Settlement-Related Services and Corporate Actions i USD 100 per stock ESS fee: USD100 per stock (Applicable to securities inhttp:// Waived ESS fee: USD100 per stock (Applicable to securities in v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 1% US$5 4. Account Maintenance i) Custody Fee Waived US Custodian Admin Charge USD 25 per stock Stock transfer from Online Account to Offline (AE) account / Stock transfer from Margin Account to Cash Account i American Depositary Receipts (ADRs) Custody Fee# USD 0.01~0.05 per share (per book close) # American Depositary Receipts (ADRs) Custody Fee are Pass-Thru that charged by ADR custody agents and passed through to ADR holders. These fees are not collected during trading, but will be deducted by ADR custody agents at a scheduled time, no matter if the account is still holding such stocks. Click here for more information about ADRs. 5. Information Services i) US stock real-time quotation HK$ Physically settled shares Item On the basis of individual instruction for trading / deposit/ withdrawal of shares i) Physically settled shares Each physically settled share not settled via Depository Trust & Clearing Corporation (DTCC) is to be subject to a handling charge of up to USD 600. The list of physically settled shares is updated from time to time. For enquiry of the list, please contact your Account Executive or our Customer Service Department.

4 B. China Shanghai B Share Stock Trading China Shanghai B share (USD) China Shenzhen B share (HKD) (based on (based on transaction amount) transaction amount) 0.3% US$35 0.3% HK$100 Commission (Via Electronic 0.2% US$25 0.2% HK$100 i Stamp Duty 0.1% (For Sale Order Only) Tx Levy % % - v) Clearing Fee % (Max HK$500) vi) Other Settlement fee 0.05% - Administrative fee 0.002% - - Note:*All B Shares trading through online channel will be first charged by offline commission rates of Shanghai B Shares 0.3% (Min.35 USD) or Shenzhen B Shares 0.3% (Min. 100 HKD), the commission will be rebated to client at the end of next calendar month by calculating the difference and credit directly into client's Haitong online trading account. 2. Scrip Handling, Settlement-Related Services and Corporate Actions China Shanghai B share (USD) China Shenzhen B share (HKD) i USD 50 per stock HKD 200 per stock USD 30 per stock HKD 100 per stock v) Collection Fee of Cash/Scrip Dividend (based on (based on dividend amount) dividend amount) 1% US$5 1% HK$50 3. Account Maintenance i) Custody Fee Waived

5 C. Japan Stock Trading (based on transaction amount) 0.3% (Min JPY3,000) Other Transaction Fee: JPY2,500 per stock(plus Consumption Tax)* * The Consumption Tax is subject to change as announced by the Japanese Government, and no prior notice will be made for such change. As at 17 March 2017, the consumption tax rate is 8% 2. Financing i) Margin Account Financing Charge (Margin Account Financing) Remarks Selective constituent stocks tradable in Tokyo Stock Exchange (in Annual interest rate)* HSBC Prime rate + 4% Cash Account Overdue Interest (Overdraft in Cash Account) Margining beyond the discount value HSBC Prime rate + 9% - HSBC Prime rate + 9% *With effect from 1 July Scrip Handling, Settlement-Related Services and Corporate Actions i JPY5,000 (plus Consumption Tax)* JPY5,000 (plus Consumption Tax)* v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 1% 1000 * The Consumption Tax is subject to change as announced by the Japanese Government, and no prior notice will be made for such change. As at 17 March 2017, the consumption tax rate is 8% 4. Account Maintenance (based on the market value of the portfolio ) i) Custody Fee 0.15% JPY500 Remarks: Custodian fee will be charged semi-annually on portfolios at June 30 and December 31 every year. Should the payment day is not a trading day, charges will be calculated on the last trading day of the month. Please note that stocks sold before the payment day and have not been settled are still subject to custodian fee unless they are settled on or before the payment day.

6 D. Australia Stock Trading (based on transaction amount) 0.5% AUD Financing i) Margin Account Financing Charge (Margin Account Financing) Remarks Selective constituent stocks tradable in Australian Securities Exchange (in Annual interest rate)* HSBC Prime rate + 4% Cash Account Overdue Interest (Overdraft in Cash Account) Margining beyond the discount value HSBC Prime rate + 9% - HSBC Prime rate + 9% *With effect from 1 July Scrip Handling, Settlement-Related Services and Corporate Actions i AUD 50 per stock Waived v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 4. Account Maintenance 1% AUD 10 Charge per stock maimum i) Custody Fee AUD 30 AUD 100 Remarks: Custodian fee will be charged semi-annually on portfolios at June 30 and December 31 every year. Should the payment day is not a trading day, charges will be calculated on the last trading day of the month. Please note that stocks sold before the payment day and have not been settled are still subject to custodian fee unless they are settled on or before the payment day.

7 E. Singapore Stock Trading USD stock SGD stock HKD stock i) Commission (Via (based (based (based Non - electronic on transaction on transaction on transaction amount) amount) amount) 0.3% USD % SGD % HKD 300 Tx Levy % % % i Clearing Fee Equities Warrants Equities Warrants Equities Warrants % 0.05% (Max USD 160) % 0.05% (Max SGD 200) % 0.05% (Max HKD 1,252) 2. Financing i) Margin Account Financing Charge (Margin Account Financing) Remarks Selective constituent stocks tradable in Singapore Exchange (in Annual interest rate)* HSBC Prime rate + 4% Cash Account Overdue Interest (Overdraft in Cash Account) Margining beyond the discount value HSBC Prime rate + 9% - HSBC Prime rate + 9% *With effect from 1 July Scrip Handling, Settlement-Related Services and Corporate Actions USD 30 per stock / SGD 40 +USD 30 / SGD 40 Courier Charge per stock *Additional registration fee may be imposed subject to the Broker's discretion. USD 50 / SGD 70 per stock + USD 30 / SGD 40 Courier Charge per stock *Additional registration fee may be imposed subject to the Broker's discretion. i USD 30/ SGD 40 per stock Waived v) Collection Fee of Cash/Scrip (based on dividend amount) Dividend 1.5% SGD 10 / USD Account Maintenance Custody Fee Waived

8 F. Korea Stock Trading (based on transaction amount) 0.4% US$50 Sales Tax Normal 0.3% (For Sale trade only) - OTC 0.5% (For Sale trade only) - 2. Scrip Handling, Settlement-Related Services and Corporate Actions i N/A v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 1% US$5 3. Account Maintenance i) Custody Fee Waived

9 G. Taiwan Stock Trading (based on transaction amount) 0.3% NT$1500 Sales Tax 0.3% (For Sale trade only) i Transaction Fee NTD 1,500 per stock ^Order Placement Fee At or below 2 million: 30/order Above 2 million: 10 dollars for each additional 1 million transaction (Less than 1 million also count a million) ^This Order Placement Fee is only applicable to Full-cash Delivery Stock. For the stock list of Full-cash Delivery Stock, please refer to the website of the Taiwan Stock Exchange: Regardless of whether the order is ultimately completed, clients are still need to pay the fee after an order is placed. 2. Scrip Handling, Settlement-Related Services and Corporate Actions i N/A v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 3. Account Maintenance 1% US$10 (based on the market value of the portfolio ) i) Custody Fee 0.1% US$5 Remarks: Custodian fee will be charged semi-annually on portfolios at June 30 and December 31 every year. Should the payment day is not a trading day, charges will be calculated on the last trading day of the month. Please note that stocks sold before the payment day and have not been settled are still subject to custodian fee unless they are settled on or before the payment day.

10 H. Canada Stock Trading (based on transaction amount) 0.5% CAD 150 Note:Trading of Exchange Traded Fund not provided. 2. Scrip Handling, Settlement-Related Services and Corporate Actions i CAD 135 per stock Waived v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 1% CAD 5 3. Account Maintenance i) Custody Fee Waived

11 I. UK Stock Trading (based on transaction amount) 0.5% Min GBP 50/ USD 80/ EUR 70 (Per Order) Stamp Duty 0.5 % (Applicable for purchases of UK companies' shares) Case by case for purchases of foreign companies' shares with share register in UK, for instance, 1.0% for Irish companies' shares) - (Additional stamp duty of GBP1 will be imposed if the gross consideration is over GBP10,000) i Overseas Brokerage Fee Case by case for buy/sell transactions of foreign companies' shares with share register in UK, 2. Scrip Handling, Settlement-Related Services and Corporate Actions for instance, 0.1% for Irish companies i GBP 50 per stock Waived v) Collection Fee of Cash/Scrip Dividend (based on dividend amount) 1% GBP 5 3. Account Maintenance i) Custody Fee Waived

12 J. Other for Securities Account i) Dormant Account Fee Free of charge Account Maintenance Fee HK$10 for each securities client per month i Bank Service Dishonored Cheque Telegraphic Transfer (T.T.) HK$100 per dishonored cheque According to the Bank's actual expenses Fee for Claiming Unclaimed Benefit Entitlements HK$350 per claim v) Request of Historical Account Statement Within past 3 months Within past 4 to 12 months Over past 12 months Free HK$100 per statement HK$200 per statement vi) Stock Balance or Account Confirmation Fee (Request of $300 per account per certification Account Certification) v Third Party Authorization Handling Each accepted authorization application Each accepted annual renewal of Fee authorization (For Individual or Joint Account) HK$100 Free vi Renminbi (RMB) Margin Financing (at annual interest rate) With effect from 1 February 2017, a surcharge (at Annual interest rate) of RMB margin financing for securities account will be charged. Example: For margin financing pledged by securities denominated in RMB and/or RMB overdraft in overseas securities markets, a surcharge (at annual interest rate) will be charged in additional to the existing interest charge. * With effective from 1 February 2017, this is the RMB margin financing surcharge which is based on current market circumstances and our Company may adjust the rate in accordance with market dynamics. We will update the Surcharge of RMB Margin Financing from time to time and publish the rate of surcharge on our company website after 10 a.m. of the day of change.