Securities

Futures
 
 
 
Index > Product and Services > Securities
 
 

Emperor Securities Limited provides comprehensive and reliable brokerage services to both individual and corporate clients as well as offering securities margin-financing services to enable clients to capture favourable investment opportunities.

 
Transaction Type  
Charge
Min. & Max. Charge
Settlement Date
 
Brokerage
(Negotiable)
Min. $100 (Netgotiable)
T+2
 
Stamp Duty
$1 per $1,000 of consideration (0.1%)
(Any fraction of $1,000 of consideration shall be rounded up to the nearest $1,000)
Min. $1
(Any fraction of $1 in Stamp Duty payable shall be rounded up to the nearest $1)
T+2
 
Transaction Levy (Securities and Bonds)
0.004% of consideration
N/A
T+2
 
Trading Fee (Securities and Bonds)
0.005% of consideration
N/A
T+2
 
CCASS Fee (Securitiess and Bonds)
0.002% of consideration
Min. $2, Max. $1000
T+2
 
Stocks Custodian Fee
(for margin clients only)
$0.015 per board / odd lot
N/A
Last working day of each month
 
Bonds Custodian Fee
$0.015 per board/ consideration
N/A
Last working day of each month
 
IPO / Placement Application
$100 per transaction
$100 cancelation penalty
N/A
Date of Event
 
Settlement Instruction (SI)
 
(1) Delivery
0.01% of gross value of last trading day’s closing price
plus input fee $5
Min. $50
Max. $1,000
Date of Event
 
(2) Receive
Free
N/A
Date of Event
 
Interest
(for Margin Account only)
Prime rate + 3% per annum
(except for special agreement)
N/A
Last day of each month
 
(1)Stock Withdrawal
$5 per board / odd lot
Min. $50
Date of delivery
 
(2)Stock Deposit
Free
N/A
Date of delivery
 
Dividend and Bonus
 
(1) Cash Dividend / Scrip Option
0.5% of cash dividend
Min. $20, Max. $15,000
Deduct from cash dividend
 
(2) Bonus Shares / Bonus Warrants
$2 per board / odd lot
(based on no. of bonus shares / warrants)
Min. $20, Max. $500
Bonus allocation date
 
Corporate Actions
 
(1)
Share Subdivision / Share Consolidation / Re-organisation
$50 per transaction
N/A
Two working days after the Date of Event
 
(2)
Rights / Warrants Subscription 
$0.80 per board / odd lot
plus $100 handling charge
(plus scrip fee, if any)
Max. $10,000
Date of Event
 
(3)
Privitisation /Cash Offer
$2 per board / odd lot
$1 for 500 lots thereafter
(plus stamp duty & scrip fee)
Min. $20
(exclude stamp duty & scrip fee)
Deduct from cash consideration
 

(4) Share Exchange
$2 per lot/odd lot
Min $20
Max. $20,000
Two working days after the Date of Event
 
Dividend / Bonus Claim
$400 per claim (charged whether the claim is succeed or not)
plus Dividend / Bonus Collection Charge
(plus any out-of-pocket expenses)
N/A
Date of Dividend / Bonus Allocation
 
Registration and Transfer
 
(1)
Share register on book-close date for entitlement collection
$2 per board / odd lot
N/A
Date of entitlement allocation
 
(2)
Share register on book-close date but not involve any entitlement
$1 per board / odd lot
N/A
(a) If no book-close date is announced by the issuer of the registered securities in the past 12 months, 31st December to be deemed a book-close date. The relevant scrip fee to be charged after 31st December.
(b)
2 working days after the book-close date announced by the issuer of the registered securities without receipt of any entitlement
 
Statement Re-print
$80 per month
N/A
Date of Event
 
Dormant Account
$50
N/A
If an account is dormant in the past 12 months, handling fee to be charged after the expiry date of the past 12 months.
 
Bounced Cheque
$200 per cheque
per transaction
N/A
Date of Event
 
 

Note: Changes or amendment of the information might be made at any time without prior notice. If you have any enquiry, you are welcome to contact your account executive or our customer service hotline on (852) 2919 2919.
 
  1. Sufficient Cash / Deposit Amount should be deposited into the bank account of "Emperor Securities Limited" ("ESL") before placing a buy order.
  2. If the Client deposits cheque into the bank account of "Emperor Securities Limited", he/she can place buy order only if his/her cheque has been cleared.
  3. Client is required to deposit all outstanding unsettled amount on or before 15:00 (HK Time) on the Settlement Day which is to ensure sufficient fund is available in the account for settling the stocks purchased. Otherwise, ESL may force sell out the unsettled stocks of such client after 15:00 on the same day.
 

If client cannot settle all outstanding unsettled amount, ESL will charge the client with a standard interest rate (which is subject to adjustment from time to time without notifications) until all outstanding unsettled amount has been settled.

 
  1. If you want to withdraw any credit balance from your securities account, you can call our Customer Service Dept at (852) 2919 2919. If you are using our online trading platform, you can also give us fund withdrawal instruction. After checking on your funding status, we shall deposit the sum into your own designated bank account. ESL will deposit a cheque into the designated bank account as provided by the client.
  2. Normally, if fund withdrawal instruction is received before noon, it can be handled on the same bank day.
  3. If you require bank remittance, a handling charge will be imposed.
  4.. For selling physical scrip, the respective sale proceeds are not allowed to be withdrawn unless the stock has been deposited to ESL for over 10 working days and has been proved genuine by The Hong Kong Clearing.
 
  Client can freely transfer cash among the accounts in his/her name under ESL by:-
     
  giving written and signed cash transfer instruction via fax (852) 2574 1515 / (852) 2836 2777 or in person.
 
  1.
Physical Scrip
  Client are required to deposit physical scrip at ESL headquarter or branches in person. A receipt with regard to the stock deposit will be issued immediately.
     
  2. Settlement Instruction ("SI")
    Client can deposit stock by SI through CCASS by:
  giving written and signed SI via fax (852) 2574 1515 / (852) 2836 2777 or in person.
 
  1.
Physical Scrip
    Client can request to withdraw physical scrip by:
  giving written and signed stock withdrawal instruction via fax (852) 2574 1515 / (852) 2836 2777 or in person.
     
  2. Settlement Instruction ("SI")
    Client can withdraw stock by SI through CCASS by:
  giving written and signed SI instruction via fax (852) 2574 1515 / (852) 2836 2777 or in person; or
  Client is required to collect the physical scrip in person within one month from the instruction date.
  After that period, the stock will be deposited back to CCASS.
  Client is required to pay the wihdrawal fee again if client request withdrw that physical scrip again.
 
 
Client can freely transfer stocks among the accounts in his/her name under ESL by:-
  giving written and signed stock transfer instruction via fax (852) 2574 1515 / (852) 2836 2777 or in person
 
 
 
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