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Hong Kong stock business – market data

Hong Kong stocks real-time quote service

In order to provide better service, CMB International’s customers will grant immediate real-time quotation service after successfully open an US stock trading account.

Platform Fee(monthly) Quotes(monthly)
Mobile APP "壹隆环球" Free Infinite
Online trading platform Free 1000

Customers can also choose the following Hong Kong stocks live streaming quotation, charts and information services at preferential prices:

Service provider HK customer fee(monthly) China mainland fee(monthly)
AAstock HK$ 360 HK$ 230
Chief HK$ 320 HK$ 200

Note: China mainland customers are required to provide address proof copy.

HK stock business – commission fees

HK stock trading service:

Item Fee Minimum maximum
Commission
Trading commission fee Via telephone order placing
(including Grey Market)
0.25% of transaction value HK$100/RMB88 --
Via on-line trading 0.20% of transaction value HK$80/RMB68 --
*** No platform usage fee ***
Transaction Fee:
Stamp Duty^ 0.10% of transaction amount (rounded up to the nearest dollar) HK$1 --
HKEx Trading Fee^ 0.005% of transaction amount -- --
Transaction Levy^ 0.0027% of transaction amount -- --
Investor Compensation Levy Suspended -- --
CCASS Stock Settlement Fee^ 0.002% Of transaction amount HK$2 HK$100
Trading Tariff Waived

Scrip Handling and Settlement-Related Services

Item Fee Minimum Maximum
Physical Scrip Deposit Fee HK$ 30 per stock HK$ 30 --
Physical Scrip Withdrawal Fee HK$ 8 per board lot per stock HK$ 50 per stock --
Settlement Instruction (SI) Fee Deposit Free of charge -- --
Withdrawal Stock Clearing Fee: 0.002% of market value
(based on previous closing price)
HK$2 HK$100
Handling Charge: HK$ 5 per board lot (Odd lot is treated as one board lot) HK$ 50 per stock --
Investor Settlement Instruction (ISI) Fee Deposit Free of charge -- --
Withdrawal Stock Clearing Fee: 0.002% of market value (based on previous closing price) K$2 HK$100
Handling Charge: HK$ 5 per board lot (Odd lot is treated as one board lot) HK$ 50 per stock --
Compulsory Buy-In Default penalty: 0.25% of market value (based on previous closing price),plus related charges -- --

Nominee Services and Corporate Actions

Item Fee Minimum Maximum
Scrip Fee HK$/CNY 1.5 per board lot -- --
Collection of Cash Dividend or Other Cash Benefit 0.25% of cash dividend / cash benefit amount HK$/CNY 30 HK$/CNY 20,000
Collection of Bonus Shares/Scrip Dividend / Rights / Warrant HK$/CNY 30 per stock -- --
Rights / Warrant Exercise HK$/CNY 0.80 per board lot, plus HK$/CNY 50 per stock -- HK$/CNY 20,000
Excess Rights Application HK$/CNY 0.80 per board lot -- --
Tendering Shares /Cash Benefit Under A Takeover Bid HK$/CNY 0.80 per board lot, plus HK$/CNY 50 per stock -- --
Share Consolidation / Split Free of Charge -- --

Account service

Item Fee
Custody Fee Free of Charge (except for independent custody agreement)
Physical daily/monthly statements A monthly flat rate of HK$20 per account
Re-issue of Statement of Account Within 12months:free of charge
over 12months:HK$50 per copy
Audit Confirmation Free of charge
Confirmation of Share Balance / Asset Verification HK$ 100 per copy
Business Registration /Company Search for New Account HK$ 150 Charged at the time of securities a/c opening (applicable to limited company only)
Dormant Account Fee Monthly Fee HK $100

Other services

Item Fee
IPO Subscription Non-financing HK$/CNY 30 per transaction
Financing HK$/CNY 100 per transaction
Fee for Change of Registration at Share Registrar HK$ 2.50 per board lot, plus HK$ 100 per stock
Capital Investment Entrant Scheme HK$ 10,000 per annual
Handling Charge of Unclaimed Benefits Entitlement HK$/CNY 500, plus 0.25% of cash benefit amount
Bank Services Charge Local Bank Transfer or Telegraphic Transfer ( HKD or other Foreign Currency )
Currency Currency Fee
HKD HKD 300
CNY CNY 200
USD USD 30
Others (Equivalent to USD 30)
Returned Cheque Charge HK$ 200 per returned cheque
Stop Payment Charge HK$ 200 per instruction


HK stock margin financing services
Service Handling fee
Interest** Annual interest P*+3%
Margin call notice If account margin ratio is above 110%

Note:

^ Fees and charges determined and collected by the Government of the Hong Kong SAR, Securities and Futures Commission “SFC” or HKEx are subject to change without prior notice.

*P is Bank’s prime interest rate

** Interest is calculated daily and debited at the end of each month. If the day is a bank holiday, we will debit on the previous working day.

Global securities trading services:

Shanghai-Hong Kong Stock Connect / Shenzhen-Hong Kong Stock Connect (Northbound trading)
Item Fee Minimum Maximum
Commission charges:
Brokerage Fee Via telephone 0.25% of transaction amount RMB 80 --
Via on-line trading 0.20% of transaction amount RMB 60 --
***No platform service charges***
Standard fees:
Charge rate Charge rate Payable to
Handling fee 0.00487% of transaction amount (each buy/sell side) Shanghai Stock Exchange
Securities management fee 0.002% of transaction amount (each buy/sell side) China Securities Regulatory Commission
Transfer fee 0.004% of transaction amount (each buy/sell side) China Clear's / CCASS
Stamp duty 0.10% of transaction amount (Seller only) China State Administration of Taxation
Custody fee 0.008% of portfolio value / 365 (daily calculation) CCASS
 
Shanghai B Shares / Shenzhen B Shares
Item Fee Minimum Maximum
Commission charge:
Brokerage 0.30% of transaction amount US$ 30 (Shanghai) --
  0.30% of transaction amount HK$ 200(Shenzhen)  
Standard charges:
Stamp Duty 0.10% of transaction amount(Subject to sell transaction only) -- --
Transaction Levy 0.00487% of transaction amount -- --
SCRC Fee 0.002% of transaction amount -- --
Clearing Fee 0.05% of transaction amount -- HK$500(Shenzhen)
Dividend Collection Fee 0.25% of cash dividend amount US$ 15(Shanghai) --
  0.25% of cash dividend amount HK$100(Shenzhen)  
Bonus Collection Fee US$15per stock(Shanghai) -- --
  HK$100per stock(Shenzhen)    
 
Germany Stock
Item Fee Minimum Maximum
Brokerage Fee (via telephone instructions only) From 0.5% EUR 70/US$80 --
Settlement Fee EUR 10 per transaction -- --
Other global stock market (please contact our customer service)
Item Fee Minimum Maximum
Brokerage Fee Negotiable -- --
US stock Business – commission rates
US stock
Item Fee Minimum Maximum
commission:
Brokerage fee
(exclude over the counter and pink sheets market)
0.3% Of transaction amount US$28 --
No platform usage charges
Other fees:
Stock Transfer (through US Depository Agents) US$ 30 per stock -- --
Dividend Collection Fee Dividend Tax: 30% of gross dividend amount -- --
Handling Charge: 0.25% of gross dividend amount US$3 --
Bonus Collection Fee US$ 3 per stock -- --
Compulsory Corporation Action Fee US$ 25 per transaction -- --
Voluntary Corporation Action Fee US$ 20 per transaction -- --
Handling Charge for Issuing Voting Instruction Letter US$ 30 per transaction -- --
ADR Depository Fee (Subject to the fees charged by ADR Depository Agents) US$ 0.02 per unit per annum -- --
Independent custody agreement escrow fee Negotiable    


Margin financing service
Service Handling Fee
Interest** Annual Interest rate P*+3%
Margin call notice If account margin ratio is above 110%

Notes: 

*P is Bank’s prime interest rate

** Interest is calculated daily and debited at the end of each month. If the day is a bank holiday, we will debit on the previous working day.

In order to provide better service, CMB International is offering our customers whom successfully opened US stock account to use the following US stocks real-time quotes and information services at preferential prices.

Market data:

  Fee(Monthly)
Mobile APP "壹隆环球" Free
On-line trading platform US$10

Notes: 

1. Effective from 01 June 2018.

2. There may be other charges involved。CMB International reserve the rights to amend any Fees or charges without prior notice.

OTC market – commission rates
Funds
Item Fee Minimum Maximum
Subscription Determined by the respective Fund House -- --
Redemption Determined by the respective Fund House -- --
Bonds
Item Fee Minimum Maximum
Brokerage fee Subject to maximum of 1% -- --
Bond Redemption Waived -- --
Custody fee (Monthly basis) Market Value as of Month End * Custody Fee Rate (0.05% per annum) /12 (charged on monthly basis) # -- --
Bond Deposit/Withdrawal US$65 per transaction (waived for deposit) -- --
Exercise of convertible bond into shares US$65 per transaction -- --
Corporate action USD65 per transaction -- --
Structured Notes
Item Fee Minimum Maximum
Subscription Negotiable -- --
Custody fee (Monthly basis) Market Value as of Month End * Custody Fee Rate (0.05% per annum) /12 (charged on monthly basis) # -- --

# The above fees are not applicable to bonds which are listed on the Hong Kong Stock Exchange. Example, Hong Kong iBonds. Service charges of Hong Kong stock trades shall apply.

Minimum order size: US$200,000 or HKD$2,000,000 for US bonds; USD200,000 equivalent for non-USD denominated bonds

Remarks:

1. Odd lots are charge as board lots

2. Additional fees may apply. Commissions and fees are subject to change without notice.

Address: 45th & 46th Floor, Champion Tower, 3 Garden Road, Central, Hong Kong

Telephone: (852)3900 0888 Fax:(852)3761 8788

Copyright ? 2019-2020 CMB International Capital Corporation Limited. All rights reserved.

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