Collection and distribution of cash dividend or cash distribution or cash bonus or cash interest.

Fee also applicable to Units and foreign securities.

Handling fee for conversion, redemption and corporate actions of registered and bearer debt securities

Conversion, redemption and corporate actions of registered and bearer debt securities, including Exchange Fund Notes, specified instruments and CMU Instruments.

Where there is automatic conversion or redemption of non-eligible registered or bearer debt securities including Exchange Fund Notes, specified instruments and CMU Instruments, the handling fee shall be payable.

Fee also applicable to foreign securities.

$30 per instruction / announcement.

Fee debited on input or event date.

Corporate actions service fee

Common Nominee services provided for non-debt securities in relation to all corporate actions other than the collection of cash dividends, cash distribution and bonuses, bonus shares, stock  dividends, corporate voting, stock splitting or stock consolidation.  Fee also applicable to foreign securities and the applications for issue and redemption of units*.

$0.80 per board lot subject to a maximum of $10,000 per instruction per account. Odd lots also charged at $0.80 each (Fee calculated on stock quantity balances on which the corporate actions are to be taken).

Fee debited on event dates of corporate actions.

Warrant conversion, voluntary takeover, tender offer, or open offer of foreign securities.

$600 per instruction (plus out-of-pocket expenses incurred by HKSCC, if any, will be borne by the participants).

Fee debited on date of submission of instruction.

$200 per claim application in respect of unclaimed entitlements of a stock or (if the gross cash amount of the unclaimed entitlements is less than $200) the gross cash amount.

Fee is additional to other fees for relevant nominee services.

Fee is payable on successful claim application.

Registration and transfer fee

Notes:

HKSCC may incur payments for re-registration of registered Eligible Securities as well as non-Eligible Securities and in relation to adjustments for entitlements in respect of late deliveries under the CNS System.

$1.5 per board lot (for collection on book close dates and effective dates of corporate actions) on net increase in aggregate holdings in board lots of registered securities in balances in the stock accounts of a participant since the date on which fee was last collected by HKSCC. Odd lots also charged at $1.5 each.

Nil for Exchange Fund Notes, specified instruments, CMU Instruments and foreign securities.

Fee is debited on one of the following collection dates:-

(i) Book-close date announced by the issuer of registered securities for determining the registered holders and their registered holdings that qualify for receipt of cash and non-cash entitlements, (other than for receipt of out-of-money right issue entitlements determined by reference to the closing nominal prices of the underlying securities on the first ex-date, i.e., two trading days prior to the relevant book-close dates, for attendance at meetings and votings solely without receipt of any entitlement and for stock conversion into other Eligible Securities only);

(ii) Event date of corporate actions other than share splitting or consolidation, stock conversion into eligible securities or corporate actions involving no cash distribution to the registered holders).

Fee is subject to revision if registration and transfer fee is changed by share registrars.

HKSCC may, on written applications of Participants, grant concessions to the Participants with respect to all or part of the registration and transfer fee and HKSCC may charge a handling charge of $1,000 per application.  HKSCC shall stipulate the circumstances, and the criteria to be satisfied, for the grant from time to time.

Concession may be granted on a written application by the Participants if their CCASS participantship is altered due to their business restructuring.

A concessionary registration and transfer fee of $2.50 per certificate will be charged in respect of large denomination registered share/Debt Securities certificates deposited in CCASS instead of the normal registration and transfer fee. Each such registered share/Debt Securities certificate must represent at least 1,000 board lots. Such fee will be debited at the time of deposit. The number of Board Lots represented by such large denomination registered share/Debt Securities certificates will not be included in the calculation of the normal registration and transfer fee debited on the relevant collection date.

To tender instruction via CCASS terminal.

$5 per instruction.

Fee is debited on input date.

Handling fee for electronic application instruction for new issue shares.

$5 per instruction.

Fee is debited on input date.

Bank charges on foreign currency benefits and entitlements distribution.

Disbursements and out-of-pocket expenses in connection with nominee services.

Actual amounts incurred by HKSCC.

Recovery of bank charges from Participants will be deducted at source at the time of distribution of entitlements to participants.

Actual amounts incurred by HKSCC.

Recoveries of disbursements and out-of-pocket expenses are additional to other fees for relevant nominees services and will be debited or deducted as when incurred by HKSCC.