Other Fees & Charges
ItemDescription of fees
Dividend Collection/Scrip Dividend Collection (Local Stock)
Collection Fee 0.5% of Total Div. Amount (Min HKD30, Max HKD2,500)
Scrip Fee HKD2.5/Lot (HKD1.5 is collected by HK Clearing)
Dividend Collection/Scrip Dividend Collection (Stock Option)
Collection Fee 0.5% of Total Div. Amount (Min HKD30, Max HKD2,500)
Bonus Collection/Bonus Warrant Collection
Handling Charges HKD30
Scrip Fee HKD2.5/Lot (HKD1.5 is collected by HK Clearing)
Rights Collection
Scrip Fee HKD2.5/Lot (HKD1.5 is collected by HK Clearing)
Rights Subscription
Handling Charges HKD30
Corporation Action Fee HKD1.2/Lot (HKD0.8 is collected by HK Clearing)
Warrant / Covered Warrant Conversion
Handling Charges HKD30
Corporation Action Fee HKD1.2/Lot (HKD0.8 is collected by HK Clearing)
Accept Cash Offer
Handling Charges HKD30
Corporation Action Fee HKD1.2/Lot (HKD0.8 is collected by HK Clearing)
Stamp Duty HKD1 per HKD1,000 Transaction Amount
SI Fee - via CCASS
Stock Deposit Free
Stock Withdrawal Stock Value 0.01% (Min HKD3) + Handling charges HKD200
ISI Fee - via Investor Participant
Stock Deposit Free
Stock Withdrawal HKD20/Stock
Stock Deposit - Physical
Stamp Duty HKD5/Pcs (For beneficial owner only, collected by HK Revenue Department)
Deposition Fee Free
Stock Withdrawal - Physical
Handling Charges HKD100 (No limited Stock Amount)
Action Charges HKD5/lot (HKD3.5 is collected by HK Clearing)
Registration Fee
Handling Charges HKD200
Scrip Fee HKD2.5 /Lot
Dividend Claim
Handling Charges Min HKD400/case (HKD200 is collected by HK Clearing)
IPO Application / Stop Cheque
Handling Charges HKD100
Returned Cheque
Handling Charges HKD100 and related bank interest
Duplicate Copy of Statement
Within 3 months Free
Beyond 3 months HKD30/Set
Interest Rate on Credit Balance
Balance in excess of HKD30,000 0%
Margin Interest Rate
Hong Kong Stocks and Foreign Stocks P# + 3%
Grade Based Margin Interest*
Grade 1 Stock Margin Value On the First HKD50,000,2.875% (HKD Prime Rate# - 2.5%)
On the Next HKD50,000 or above, 4.875%  (HKD Prime Rate# - 0.5%)
Other Stock Margin Value 8.375% (HKD Prime Rate# + 3%)
Call For Deposit 10.375% (HKD Prime Rate# + 5%)
Interest for Late Payment
Custodian Account P# + 5%
Reference Letter
Handling Charges HKD100
Italian Financial Transaction Tax (Collected for Italian Government)

Government Tax

(Italian companies with market capitalization

of more than Euro 500m and listed in Hong Kong)

0.1% On the net purchase amount

(Tax deduction from the intraday netting permitted based on the weighted

average purchase price and the net purchase share quantity executed on the same day)

US Person - FATCA Administration Fee(On account basis)
Handling Charges HKD 5500(per calendar year)
Remittance
CHATS  HKD 150
Telegraphic Transfer  HKD 400
Hong Kong Shares Proxy Voting>
Handling Charges  HKD 100 per stock
Statement Administrative Fee
Administrative Fee  Paper statement : HKD 20 per month^ (Each Category will charged quarterly**)
 E-statement : Free
Depository and withdrawal of US IPO/Placement/Significant Position shares (subject to RO’s approval)***
Special Transfer-in fee USD 53 per instruction
Special Transfer-out fee 0.05% of market value of shares with min USD100 per instruction.
Withdrawal fee - Physical Additional fee is applied on a case-by-case base.
Special monthly custodian fee 0.05% p.a. of end-of-month market value of shares divided by 12, with minimum of USD10. (If Phillip use custodian in addition to Phillip Capital Inc.)

* For local stock and Grade Based Margin client only.
* Fees are charged in CNY for the Hong Kong shares settled in CNY.
# Standard Chartered Hong Kong Dollar Prime Rate.
^ Charges will be waived for existing customers aged 65 or above.
** HK Stocks, Global Stocks, Stock Options, Futures, Foreign Futures and Forex will be each deemed as one category.
> The handing charge of Hong Kong Shares Proxy voting fee will be effective on 1 AUG 2018.
***Client needs to understand that shares received are expected to be FULLY sold via Phillip Sec HK. Even though a transfer-out / certificate withdrawal is completed with normal fees, our company reserves the rights to pursue a claim and debit on the shortfall any time without prior notice.

Above charges are for reference only, there are subject to change without prior notice.

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Tel : (852) 2277 6555
Fax : (852) 2277 6008
Email : cs@phillip.com.hk

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