| Fund Deposit |
| Clients may deposit funds into First Capital Securities Limited (“Company”) through the following methods: |
 |
1. By Deposit / Bank Transfer on or before 4:00 p.m. on T+2. Clients may deposit or directly transfer funds to the following designated banks of First Capital Securities Limited :
| Name of Bank |
|
|
Account No |
| BOC Hong Kong |
|
【HKD】 |
012-875-00557856 |
| BOC Hong Kong |
|
【CNY】 |
012-875-06049142 |
Please write down clearly the client name and account no. on the pay-in slip, and submit by fax on (852) 3166 6820 before 4:00 p.m. on deposit day. If the client cannot fax the pay-in slip to our Company, please contact us on (852) 3166 6832 for confirmation of cash received. |
 |
2. For settlements, clients shall pay the settlement amount on or before 4:00 p.m. on T+2. If clients fail to pay the settlement amount on or before 10:00 a.m. on T+3, the stocks will be sold by our Company without further notice. |
|
Deposit Interest Rate (Subject to change without prior notice)
| 【HKD】 |
Below $10,000 |
0% |
p.a. $10,000 or above |
0% p.a. |
| 【CNY】 |
Below $10,000 |
0% |
p.a. $10,000 or above |
0% p.a. |
Interest will be paid on the last working day of each calendar month. |
| Fund Withdrawal |
| Clients may withdraw surplus funds or funds from the securities account maintained with our Company by fulfilling the following instructions:- (Please submit your request on or before 12:00 noon, Monday - Friday, for same day execution. All instructions received after 12:00 noon, Saturday, Sunday or Public Holiday will be processed on the next working day. All cheques are made payable to clients by crossed cheques.) You may contact our Customer Services Department on (852) 3166 6832 or complete and sign the “Fund Withdrawal Form”, and fax it to our Company on (852) 3166 6820 for processing. The cheque will be deposited into the designated bank account of the client or the client may pick up the cheque in person at our office. |
| Stock Deposit |
| Clients may deposit or transfer stocks to our Company through the following methods: |
|
1. Clients may deposit stocks with associated stock certificates to our office by completing and signing a “Physical Stock Deposit Form” and “Standard Form of Transfer” (Note: The deposited stock cannot be traded until ten working days following acceptance/processing by the Share Registrar). |
|
The client may complete the “Settlement Instruction (SI) / Investor Settlement Instruction (ISI) Form” and return it to us in person or by fax on (852) 3166 6820 for processing. The stock will be transferred by a Licensed Corporation / Registered Institution to the client’s securities account with our Company via the Central Clearing And Settlement System (CCASS). For same day settlement of local securities, the instructions must reach our Company by 12:00 noon. |
| Stock Withdrawal |
| Clients may withdraw or transfer stocks from our Company through the following methods: |
|
Clients must fill out and sign the “Physical Stock Withdrawal Form” and return it to our office in person or by fax on (852) 3166 6820. Stock withdrawal processes require three business days to complete after instructions from the client is received.
|
|
Clients must fill out and sign the “Settlement Instruction (SI) / Investor Settlement Instruction (ISI) Form” and return it to our office in person or by fax on (852) 3166 6820. The stock will be transferred to the designated Licensed Corporation / Registered Institution or Investor Account as notified by the client via the Central Clearing And Settlement System (CCASS). If the client wishes to settle the stock on T+2, the aforesaid form must reach our Company on or before 12:00 noon on day T+1. For same day execution (Monday – Friday), please submit your instructions on or before 12:00 noon. |
| Note: HKEX Participant ID : B01998. AMS Broker No. : 7297, 7298, 7299. |
