The General Securities Fees include Securities Transactions, Securities Deposit / Withdrawal and Custody, and the standard brokerage fee is calculated based on each transaction amount (minimum charge: HKD100 / RMB100). Under the Securities Club, membership tiers are categorised into Diamond Star, Gold Star, Silver Star and Bright Star with corresponding fees and charges. For details, please visit the Bank's website.

You can open a securities account at any of our designated branches with securities trading services or via Internet Banking. To open a securities account via Internet Banking, you are only required to answer questions and confirm terms and conditions according to pre-set procedures to complete the formality of opening an account.

• Market Order is an order which customers do not specify the price. A Market Order that is entered into the trading system during the Continuous Trading Session will be executed at the current bid/ask price at the time when the order is processed.
  
  
• An At-auction Order is an order with no specified price and enjoys a greater matching priority than an At-auction Limit Order (AUO).
  
  
• An At-auction Limit Order is an order with a specified price input during the Pre-opening Session. A Buy Order with a specified price higher than or equal to the final Indicative Equilibrium Price (IEP), or a Sell Order with a specified price lower than or equal to the final Indicative Equilibrium Price will be matched at the final Indicative Equilibrium Price.
  
  
• Enhanced Limit Order (ELO) allows matching of up to 10 price queues (i.e. the best price queue and up to the 10th queue at 9 spreads away) at a time provided that the matched price is equal to or better than the limit price.

You may place an order to sell odd lot stocks via Internet Banking, Mobile Banking, any of our branches or the manned investment trading hotline. The selling price for the odd lot stock in the market is generally lower than the prevailing market price of board lot stocks. If the quantity of odd lot stocks has been accumulated to reach one board lot, they can be sold at the market price of board lot stocks. In addition, when selling odd lots through Internet Banking or Mobile Banking, you can choose “Sell with Odd Lot” option and input the quantity and the price for selling the odd lots (if no options is indicated, the odd lots will be sold at the market price for odd lots).Odd lot stocks purchased through “Monthly Stock Savings Plan” can be sold at the market place of board lot stocks. Customers may place orders to sell odd lots stocks through Internet Banking or Mobile Banking by inputting the prevailing market price of board lot stocks.

Upon opening a securities account, you must register for SMS service for order confirmation purpose. After registration, you will receive a SMS confirmation for orders placed via designated branches with securities trading service, manned investment trading hotline or Automated Stock Trading Hotline. Customers who have opened securities account earlier can register for order confirmation via SMS at any of our designated branches with securities trading service. We will provide order confirmation services via email for online transactions. Customers can personally register to receive additional SMS for online order placement and confirmation at any of our designated branches with securities trading service or via Internet Banking.

The system will display transactions conducted through Internet Banking, Mobile Banking (if applicable), Phone Banking (if applicable), manned investment trading hotline, or designated branches with securities trading service over the past 10 trading days. You can review the detailed transaction records regarding stock withdrawal or deposit conducted in the past 45 days (excluding the current day) using the “transaction reference number” via Internet Banking. For NCB Wealth Management, Enrich Banking and i-Free Banking customers, they can search and review records of stock withdrawal and deposit conducted in the past 90 days (excluding the current day).

Corporate actions are designated into two categories: “Application via electronic channels” and “Application via non-electronic channels”. Corporate Actions under “Application via electronic channels” refer to applications of corporate actions made through Internet Banking. These include rights issues, IPOs, share offers, pre-emptive rights, dividend options and offers (depending on the contents and terms of corporate actions). Corporate Actions under “Application via Non-electronic channels” refer to instructions submitted through any of our designated branches with securities trading service or the manned investment trading hotline.

• White Form: Customers subscribing to IPO shares under their own name should use the White Form. Those who have been successfully allotted with the new shares will receive the share certificates. Customers must deposit the share certificates into a securities account with a bank or a brokerage firm before trading.
  
  
• Yellow Form: Customer submitting the Yellow Form will have the allotted shares deposited directly in the securities account of a bank or a brokerage firm in CCASS. The bank or brokerage firm will simultaneously credit the shares into their securities account. The allotted shares can be traded on the first day of listing.

You can apply for IPO financing via Internet Banking, Mobile Banking, any designated branch with securities trading service. We offer financing amount of up to 90% of the subscription amount. Margin amount is subject to the requirements stipulated by us. You may check via Internet Banking, Mobile Banking, any of our branches and Customer Services Hotline. Moreover, Interest for IPO financing is accrued daily.

Securities margin trading is a contracted transaction entered into between a customer and a bank. Upon the purchase of shares, you are only required to pay a specified portion of the entire purchase monies as deposit for conducting such transaction. As the stocks are purchased in the form of a loan, the stocks acquired are regarded as collateral for that loan. For all purchase transactions made via cash securities accounts, you should have the full monies required in place. For all purchase transaction made via securities margin accounts, you are only required to have enough margin deposit in place for conducting transactions. We will provide 40% to 60% leverage rate for various types of selected stocks and reserves the right to review and adjust the leverage rate without prior notice to customers.

Family Securities Accounts is a brand-new “family wealth management” concept that enables you maintain up to 4 family securities accounts in addition to your own securities account. Each Family Securities Account can be assigned the names of your family members for easy identification to conveniently enjoy securities trading, Monthly Stocks Savings Plan and nominee services, as well as to plan your family’s financial goals. You can conduct securities trading transactions with your Family Securities Accounts via Internet Banking, Mobile Banking, Automated Stock Trading Hotline, manned investment trading hotline and at any of our branches.

The minimum monthly contribution is HKD/RMB1,000 (including banking commission and other fees), in which the minimum contribution amount for particular stocks is HKD/RMB500. A maximum of two stocks can be invested in with a monthly contribution amount of HKD/RMB1,000. For each additional stock, any additional contribution may be made in integral multiples of HKD/RMB500. A maximum of 20 stocks can be selected under the same plan. Customers must pay the agreed contribution amount to us on the tenth calendar day of each month. If such day is not a stock trading day in Hong Kong, the contribution amount should be paid on the next stock trading day.

The Club comprises four tiers of membership, namely Diamond Star, Gold Star, Silver Star and Bright Star. Your membership status will be determined according to the accumulated securities transaction amount or Investment Assets Value* of your same-name securities accounts and securities margin accounts. The higher the accumulated securities transaction amount or the higher Investment Assets Value, the higher the membership status. During the membership period, when your accumulated securities transaction amount or Investment Assets Value fulfils the designated requirement, your membership will be upgraded on the first day of the following month which in turn entitles you to more privileges. If neither your accumulated securities transaction amount nor Investment Assets Value fulfils the requirements of your membership status when your membership expires, your membership will be downgraded accordingly. The accumulated securities transaction amount will be reset upon granting of new membership or expiry of existing membership. You can readily access your membership information through the monthly statements of securities accounts, those of integrated accounts, via Internet Banking or Mobile Banking.

* Investment Assets Value includes the value of the following investment items under your name (sole-name account and joint-name account will be calculated separately) in the prevailing month: the average amount of the total day-end balance of Securities, Securities Margin, Bonds, Certificate of Deposit, Funds, Structured Notes, Equity Linked Investments, Currency Linked Investments, Structured Investments, Investment Deposit, Precious Metal / FX Margin, Precious Metals.