Fees and Charges | 東皓證券 Sunfund Securities

Securities Trading

Service item	Fee % (based on transaction amount)	Minimum
Commission (Internet Trading)	0.25 (negotiable)	HK $50
Commission (Telephone)	0.25	HK $100
IPO grey market trading commission (Phone dealing)	0.25	HK $200
Stamp Duty *	0.10 (rounded up to the nearest dollar)	-
Trading Fee *	0.005	-
FRC Transaction Levy *	0.00015	-
Transaction Levy *	0.0027	-
Investor Compensation Levy *	-	-
CCASS Fee *	0.004 (including 0.002% collected by CCASS)	HK $5

* The other fees of trading in listed RMB denominated securities would be calculated in HKD and cleared in RMB through CCASS.

IPO subscription

Service item	Fee
Handling Fee – Cash application	HK $38（refundable if not allocated）
Handling Fee – Margin financing	Standard handling fee:HK $100 98% Margin Loan handling fee:HK $400
Margin financing interest rate (for reference)	3% - 4.38% p.a. (subjected to the announcement)
Levy, FRC Transaction Levy, Trading fee, Brokerage fee	1.00785%（based on the allocation amount)

* Regardless of the IPO application is not being allotted or cancellation, the incurred handling fees and financing interest must be paid and non-refundable.

Depository Services

Service item	Fee	Minimum
Physical Scrip Deposit	HK $5 for each transfer deed	HK $5
Jumbo Certificate Deposit	Each Certificate HK$100	HK $100
Physical Scrip Withdrawal	$5 per board lot	HK $50 per stock
CCASS Settlement Instruction (SI) - Deposit	Free of Charge	-
CCASS Settlement Instruction (SI) - Withdrawal	HK $5 per board lot	HK $500 per stock
CCASS Investor Settlement Instructions (ISI)	Delivery ISI: 0.01% of the stock value based on the last closing price Receive ISI: Free of Charge	HK $50 per stock

Bonds Trading

Service item	Fee %	Minimum
Trading Commission	Negotiable	US$100.00
Custody Fee	0.03% of Nominal Value/Annum Per Quarter	US$80.00
Handling & Delivering	US$500.00 Per Transaction
Maturity	US $150 per bond
Early Redemption / Withdrawal	US$150 per bond
Coupon Receiving	0.6% on coupon	US$100.00

Funds Trading

Service item	Fee %	Minimum
Subscription Fee	Negotiable	US$100.00
Custody Fee	0.03% of investment amount per Quarter	US$80.00

Other Services

Service item	Fee	Minimum	Maximum
Custody Fee (Above HK$5,000,000)	Securities market value X 0.0125% per half year	-	-
Dormant Account Fee (No transaction for more than one year)	HK$100 per month	-	-
Scrip Fee	HK$1.5 per board lot	-	-
Corporate Action Fee for Rights / Collection Fee of Bonus Issue	HK $1 per board lot	HK$50	-
Excess Rights Shares	Handling Charge HK $20	HK$20	-
Cash Dividend Collection Fee / Scrip Dividend Collection Fee	0.3% of dividend collected	HK$30	-
Handling Charge for Claiming Unclaimed Benefits Entitlement	Dividend collected X 0.5%； Handling Charge HK $300； CCASS and Register Handling Charge HK $400	-	-
Corporate Action (Cash Offer, Privatization)	Gross Amount X 0.25%； CCASS Fee Each lot : HK$0.80；Stamp Duty (if applicable)	HK$100	-
Request for Historical Statements (by post)	Within past 6 months: HK $10 per page； Beyond past 6 months up to 7th year: $20 per page	-	-
Request for Historical Statements (by email)	Within past 6 months: HK $5 per page； Beyond past 6 months up to 7th year: $20 per page	-	-
Receive Statement and Contract note by post	HK$50 per month	-	-
Securities Default on Settlement Date	No. of Shares x T+2 closing price x 0.1%； CCASS Fee: No. of Shares x T+2 closing price x 0.5%	HK$100	-
Bounced Cheque	Handling Charge HK $150； Accrued Interest	HK$150	-
Stop Payment (Cheque payment)	HK $100 per cheque	-	-
Fund Transfer by CHATS	Per instruction Hong Kong : HK$100； Oversea: HK$300 – HK$500	-	-

Margin Financing

Service item	Fee
General Margin Account Interest	Prime rate quoted by BoC + 3%
General Margin Account Interest (loan amount exceed marginable value)	Prime rate quoted by BoC + 6%
Cash Account Debit Balance Interest	Prime rate quoted by BoC + 6%
Other Interest	Negotiable

BoC = Bank of China (Hong Kong) Limited
The fees is subject to change without prior notice.