Cash / Margin Account :

• Cash or Margin Account (Individual / Joint / Sole Proprietorship / Partnership)
• Cash or Margin Account (Corporate Account)
• Client Agreement Terms & Condition (Securities)
• Personal Information Collection Statement Under HKIDR and OTCR

US Markets :

• W-8BEN (Individual Account)
• W-8BEN-E (Corporate Account)
• Form W-9 (For US Tax Resident)

Futures :

• Futures Account Application Form (Individual / Joint / Sole Proprietorship / Partnership)
• Futures Account Application Form (Corporate Account)
• Client Agreement Terms & Condition (Futures)

• Application Form for Online Trading Account and Price Quote Service (For Existing Stock/ Options Client)
• Application for Internet Futures Trading Access (For Existing Client)

• Application for E-Statement
• Application for Physical Statement

• Change of Information Notice
• Change of Registered Bank Detail
• Applicant's Consent to Use of Personal Data
• Identity Declaration Form

• Trading Authorisation - Individual
• Trading Authorisation - Individual (Futures)
• Trading Authorisation - Corporate
• Trading Authorisation - Corporate (Futures)

• Self-Certification Form - Individual (Individual / Joint / Sole Proprietorship)
• Self-Certification Form - Entity (Partnership / Corporate Account)
• Self-Certification Form - Controlling Person (Partnership / Corporate Account)
• Subscriber Self-Certification Form

• Adjustment of Reference Cost Request Form
• Client Stock Withdrawal
• Online Fund Withdrawal (HKD)
• Fund Withdrawal (HKD/ Foreign Currency)
• Declaration for Trading of Taiwan Securities
• Personal Information Collection Statement Under HKIDR and OTCR
• Personal Information Collection Statement Concerning Northbound China Connect Orders (Individual/ Corporate Client)
• Information Collection Statement Concerning Northbound China Connect Orders (Institutional Client)
• Client Money Standing Authority
• Monthly Stock Savings Plan Form
• Third Party Deposit Application Form
• Financial Background Update Form (For Individual Client)
• Financial Background Update Form (For Corporate Client)
• Risk Profiling Questionnaire
• Derivative Knowledge Assessment Questionnaire

Corporate actions (CA) are events initiated by a listed company that affects the rights attaching to the company's issued shares.

Some events are simple, mandatory and no action is required from shareholders (e.g. cash dividend) while others are more complex, optional and a response from shareholders is required (e.g. rights issue, privatisation).

Purpose of a corporate action can be:

• Distribute income (e.g. cash or stock dividend, bonus issue)
• Raise capital (e.g. rights issue, open offer)
• Restructure issued capital (e.g. share subdivision/consolidation, warrant exercise)
• Reorganise the company (e.g. spin-off, takeover and privatisation)

Normally, prices will be adjusted on all the types of corporate action on the ex-date. The prices fluctuation situations mostly happen on the CA announcement date or know latest news date, which is reflected the market expectation changes. For example, major shareholder may offer premium price to purchase existing shareholding of privatization which will affect market price to increase. Vice versa, company announced rights issue at discounted price for existing shareholders for subscription to raise monies which may be affect market price to drop.

For Company Announcement:

Under HKEX website > Market Data > Stock Quote Lookup > could be search by specific stock code or see the latest company announcement.

For the Entitlement Corporate Action only:

Under HKEX website > Market Data > Stock Quote Lookup > could be see maximum the past 5 years entitlement records under the lower portion.

Under T+2 settlement system, stocks will trade ex-entitlement on the business day immediately before the last registration date. The date is so called "ex-date". 

The ex-date is the date on or after which the stock will be traded without the specific entitlement (e.g. dividend).

Ex-date is an important reference date to investors and all market players. Stock exchange, clearing house, stockbrokers, information vendors and custodian banks all have ex-dates maintained in their market systems. Any error of ex-dates will affect orderly trading of the stock.

UOB Kay Hian is listed on the Singapore Exchange, the biggest fully licensed broker in South East Asia (UOBK: SP). We provide investment services to institutional and private clients globally for over 100 years. We are also a member of United Overseas Bank (UOB) Group. UOB is rated Moody's Aa1 and S&P AA-. We have a dedicated team of over 60 research analysts actively covering more than 400 listed companies and winning multiple international awards.

Download UTRADE HK mobile app from App Store or Google Play, and click "Not a client yet? Open an account today" on the homepage. Follow the instructions and upload the following supporting document, together with your electronic signature:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Proof of bank account opened at a licensed bank in Hong Kong
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• According to SFC’s requirement, the proof of HK$10,000 deposit to UOB Kay Hian (Hong Kong) Limited via ‘FPS’* (Faster Payment System).

*Please enter the ‘Reference Number’ in the ‘Remark’ column on the online banking interface. The Reference Number is shown in the ‘Upload Bank Receipt’ section.

We will contact you shortly after you have uploaded all the documents and application and you will also receive the password and welcome email. After that, you can login to UTRADE mobile and web platform to start your investment journey.

If you want to visit UOB Kay Hian (Hong Kong) Limited to open an account, please click here for details.

You can also apply for account opening by mail. For details, please click here.

You need to complete the Client Information Statement (Cash or Margin Account). The Client Information Statement can be downloaded from the "Forms" section.

Please submit the completed form with copies of the following documents:

• Photocopy of the Hong Kong permanent I.D. Card / I.D. and Passport or Valid Official Identity Document (with biodata page containing the bearer’s photograph and biographical details) of each individual/joint account holder
• Residential Address Proof (e.g. electricity bill, bank statement, etc., dated within 3 months)
• Copy of bank proof (e.g. bank statement or bank book) is required document for registered bank account number
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• W-8BEN Form (if applicant intends to trade in the US Market)

According to the requirement of SFC, you are required to mail a personal crossed cheque of not less than HK$10,000.

• It should be payable to "UOB Kay Hian (Hong Kong) Limited"; AND
• It should pre-print your name as shown in your HKID/ Passport; AND
• It should be drawn on your Hong Kong Licensed Bank account; AND
• It should bear identical signature as shown on the Account Opening Form

The cheque will be deposited into your account. You may use it to start trading or withdraw any time.

You can also bring the following documents to our headquarters / branches in person. We will arrange a witness to verify your identification document and your signature on the application form:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Copy of bank proof (e.g. bank statement or bank book) is required document for registered bank account number
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)

You can also invite certified public accountants, lawyers or notary public to be witnesses.

Please fill in the "Change of Information Notice" form and return to us, together with the address proof (e.g. utilities bill, bank statement, etc., dated within 3 months).

Download UTRADE HK mobile app from App Store or Google Play, and click "Not a client yet? Open an account today" on the homepage. Follow the instructions and upload the following supporting document, together with your electronic signature:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Proof of bank account opened at a licensed bank in Hong Kong
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• According to SFC’s requirement, the proof of HK$10,000 deposit to UOB Kay Hian (Hong Kong) Limited via ‘FPS’* (Faster Payment System).

*Please enter the ‘Reference Number’ in the ‘Remark’ column on the online banking interface. The Reference Number is shown in the ‘Upload Bank Receipt’ section.

We will contact you shortly after you have uploaded all the documents and application and you will also receive the password and welcome email. After that, you can login to UTRADE mobile and web platform to start your investment journey.

According to SFC requirement, please transfer not less than HK$10,000 from a bank account in your name maintained with a licensed bank in Hong Kong for online account opening application.

You may make the deposit to UOB Kay Hian by FPS (Online Banking Transfer, Cheque or ATM Transfer will not be accepted)

1. FPS
• Enter our FPS ID (For the Use of Online Account Opening Only)

• UOB KAY HIAN (HK) LTD

  162728190

• Enter the "Reference Number" in the "Remark" Column. (The Reference Number is shown in the "Upload Bank Receipt" section)

• At least 18 years of age
• Opening an individual account only
• A non-US resident and citizen
• Not authorized to trade for others
• Not acting as an intermediary for the account

No. You can only open individual account via online application.

No. According to SFC requirement, please transfer not less than HK$10,000 from a bank account in your name maintained with a licensed bank in Hong Kong for online account opening application.

If you only hold an overseas or Mainland China bank account, you can contact us for account opening and we can be your witness. Alternatively, you can arrange a Witness* on your own to certify your ID or passport copy and your signature on the physical Account Opening Form.

*Witness includes a certified public accountant, lawyer or notary public.

Clients who have opened an account online can only make future deposits or withdrawals through the registered default bank account.

If you need to add or change a deposit bank account in the future, you must fill in the Change of Information Form and provide us with your bank certification documents.

If you have further enquiries, please contact our Client Services Department at (852) 2136 1818.

Yes. You can open Equities, Stock Options and Futures accounts simultaneously.

You need to transfer not less than HK$10,000 to UOB Kay Hian (Hong Kong) Limited via Faster Payment System (FPS).

Click here for more details of deposit method.

Yes, please select "Yes" under "Do you have a preferred trading representative?" when opening an online application. Then enter the full name of your designated account manager.

Yes. If you need to submit additional documents, such as identification documents or proof of address, our account manager will be in touch with you. You may provide the documents to your account manager via email or WhatsApp. Please contact your account manager for details.

Yes. You can return to the online account opening application again using the same email address within 3 months.

If you have not e-signed and submitted your online application, you can return to the online account opening application and modify the information using the same email address within 3 months. Once you have e-signed and submitted the application, you can no longer edit the information you entered.

You can view and download your application form after completing the application. The forms will be available for your review in PDF format. Please ensure that your smartphone or tablet is able to view PDF files. We recommend you to download the forms to your device for your future reference.

You can open an account with a witness. For details, please click here.

Click here to find out our exclusive offers.

Account holders who wish to apply for access to our UTRADE Online Trading Platforms on top of their existing securities trading account can visit our office in person at:

UOB Kay Hian (Hong Kong) Limited

Alternatively, you may download the Application Form for Online Trading Account and Price Quote Service or contact Client Services Hotline at (852) 2136 1818 if you wish to have the application forms sent to you.

Clients need to complete the forms and submit them back to our Client Services Department either in person or pass it to their Account Executive.

Account holders who wish to apply for access to UTRADE Futures Online Trading Platforms on top of their existing futures trading account can visit our office in person at:

UOB Kay Hian Futures (Hong Kong) Limited

Alternatively, you may download the Application for Internet Futures Trading Access form or contact Client Services Hotline at (852) 2136 1818 if you wish to have the application forms sent to you.

Clients need to complete the forms and submit them back to our Client Services Department either in person or pass it to their Account Executive.

If you are an existing UTRADE user with a US account, you can log in with your account without additional application.

If you are not a UTRADE user but an existing client with a US account, please contact our Client Services Hotline at (852) 2136 1818 or complete and return the Application Form for Online Trading Account and Price Quote Service.

If you are an existing HK stock client who has not applied for a US stock account, please contact our Client Services Hotline at (852) 2136 1818 or complete and return the W-8BEN form.

If you are a non-client, please contact our Client Services Hotline at (852) 2136 1818 or fill in the Online Account Opening form and the W-8BEN form to open a US account.

UTRADE HK mobile app is accessible to trade for HK Stocks, A Shares, and US Stocks. If you are an existing UTRADE user with HK stock and US stock accounts, you can log in with your account without any additional applications.

If you are an existing HK stock client who has not applied for a US stock account, please contact our Client Services Hotline at (852) 2136 1818 or complete and return the W-8BEN form.

If you are not a UTRADE user, please contact our Client Services Hotline at (852) 2136 1818 or complete and return the Application for Internet Trading Access form.

If you are a non-client, please contact our Client Services Hotline at (852) 2136 1818 or fill in the Online Account Opening form.

Please refer to the UTRADE HK Mobile App User Guide.

You may simply fill in the W-8BEN form and submit it to your Account Executive or mail it to our Client Services Department at:

UOB Kay Hian (Hong Kong) Limited

The W-8BEN form refers to the Certificate of Foreign Status of Beneficial Owner, which is required for non-US citizens and residents. Clients have to renew the form every three years, as this form expires at the end of the third succeeding calendar year.

Download UTRADE HK mobile app from App Store or Google Play, and click "Not a client yet? Open an account today" on the homepage. Follow the instructions and upload the following supporting document, together with your electronic signature:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Proof of bank account opened at a licensed bank in Hong Kong
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• According to SFC’s requirement, the proof of HK$10,000 deposit to UOB Kay Hian (Hong Kong) Limited via ‘FPS’* (Faster Payment System).

*Please enter the ‘Reference Number’ in the ‘Remark’ column on the online banking interface. The Reference Number is shown in the ‘Upload Bank Receipt’ section.

We will contact you shortly after you have uploaded all the documents and application and you will also receive the password and welcome email. After that, you can login to UTRADE mobile and web platform to start your investment journey.

If you want to visit UOB Kay Hian (Hong Kong) Limited to open an account, please click here for details.

You can also apply for account opening by mail. For details, please click here.

Please complete the W-8BEN form and submit the original copy to our Client Service Department by mail. The applications will take 1-2 working days to process.

Download UTRADE HK mobile app from App Store or Google Play, and click "Not a client yet? Open an account today" on the homepage. Follow the instructions and upload the following supporting document, together with your electronic signature:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Proof of bank account opened at a licensed bank in Hong Kong
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• According to SFC’s requirement, the proof of HK$10,000 deposit to UOB Kay Hian (Hong Kong) Limited via ‘FPS’* (Faster Payment System).

*Please enter the ‘Reference Number’ in the ‘Remark’ column on the online banking interface. The Reference Number is shown in the ‘Upload Bank Receipt’ section.

We will contact you shortly after you have uploaded all the documents and application and you will also receive the password and welcome email. After that, you can login to UTRADE mobile and web platform to start your investment journey.

If you want to visit UOB Kay Hian (Hong Kong) Limited to open an account, please click here for details.

You can also apply for account opening by mail. For details, please click here.

Step 1:

Access our homepage at http://www.utrade.com.hk

Step 2:

Click the login button on right side of the homepage, enter your login ID (username) and password, then click "GO" button.

Yes, you are recommended to change your login ID (username) and password under "Profile – A/C Info & Password" once you have logged into UTRADE Online Trading Platforms. The password and ID may contain up to 20 digits, which include letters (upper cases or lower cases) and numeric digits.

• UTRADE Web

  Please log in to UTRADE Web from utrade.com.hk

  1. Go to "Account Management" and select "Change Password". The "Change User Password" window will pop up.
  2. Input your old password and new password respectively. The Password must contain at least 1 letter and 1 digit.
  3. Make sure "New Password" and "Retype Password" are identical.
  4. Click "Update Login Password" to confirm.

• UTRADE HK Mobile App

  1. Go to "Menu" and press "Setting" Button.
  2. In "Account Management", select "Change User Password".
  3. Input your old password and new password respectively. The Password must contain at least 1 letter and 1 digit.
  4. Make sure "New Password" and "Retype Password" are identical.
  5. Click "Update Login Password" to confirm.

Client can change password on phone using a web browser. If UTRADE Online Trading Platform is unable to run properly, please check the system requirement and find out more about Security Warning and Certificate Pop-up of JAVA.

If you have forgotten your login ID (username), please contact our Client Services Department at (852) 2136 1818.

If you have forgotten your login password, you may follow the steps below to reset the password:

1. Press "Forgot Password" button on login page.
2. Enter your login ID (username), last 3 characters of your identification document and the registered email (The email address you registered for receiving email statement.).
3. Open UTRADE Secure in your mobile device. Go to Token List in UTRADE Secure, and click Generate PIN to acquire the Secure PIN.
4. Enter the secure PIN in the window.
5. Enter your new password and it will be effective immediately.
6. You can login UTRADE Web / UTRADE HK mobile app with new password.

For details, you may refer to UTRADE Web User Guide and UTRADE HK Mobile App User Guide.

• Avoid simple passwords that can be easily guessed such as HKID numbers and date of birth.
• Use a password that is alphanumeric and avoid sequential numbers such as 123456, abcdefg, qwery.
• Change your password regularly or when you suspect that your password has been discovered or used by others.

Note: UOBKH (Hong Kong) will never request clients to disclose their passwords under any circumstances.

For new clients, the login ID (username) and password are both case sensitive and must be entered exactly as shown in notification slips. If you are unable to log in, please:

1. Ensure that the caps lock is off as the password is case sensitive.
2. Ensure that you have entered the correct login ID (username).
3. Ensure that you have entered the correct password.

If UTRADE Online Trading Platform is unable to run properly, please check the system requirement and find out more about Security Warning and Certificate Pop-up of JAVA.

If you are still unable to login, please contact our Client Services Department at (852) 2136 1818 and we will proceed to issue you with a new login ID (username) and/or password.

If "This webpage is not available" is displayed, it may due to an unstable network connection. Please close the page, ensure that your network connection is stable and try to log in again.

If "Network failure, please login again" is displayed, it may due to a weak network connection. Please quit the app, make sure the network connection is stable and try to log in again.

If you are using the network from Mainland China, you may click "Login from Mainland China" on login page via UTRADE HK mobile app for better network connection.

Chrome has announced that they have removed NPAPI support at the end of 2014. In order to fix this issue, you need to follow the instructions below to enable NPAPI in Chrome.

Instructions to enable NPAPI :

1. Enter: chrome://flags/#enable-npapi into your Chrome URL bar
2. Click the "Enable" link for the "Enable NPAPI" 
3. When "Enable" changes to "Disable", click the Relaunch button that now appears at the bottom of the page
4. Login to UTRADE Web again

According to our Internet Password Policy, the password expiry day is 300 days. Please contact our Client Services Department at (852) 2136 1818 to reset password.

The duplicate login may due to too much caches/ cookies accumulated in the browser. Please follow the steps as shown below to clear the caches / cookies on the IE browser.

1. Select Tools (via the Gear Icon) > Safety > Delete browsing history
   
2. Make sure to uncheck "Preserve Favorites website data" and check both "Temporary Internet Files" and "Cookies", then click Delete
   

Closing your apps or switching off your phone will not necessarily log you off. We recommend that you always click the Logout button from UTRADE HK mobile app.

Please check if there are any problems with your connection in "Connection Status". If the problem cannot be solved, please contact your Account Executive or call our Client Services Hotline at (852) 2136 1818 for assistance.

24 hours Global Futures Hotline Support: (852) 2826 4898; Local Night Futures Hotline Support: (852) 2826 4888.

If UTRADE Online Trading Platform is unable to run properly, please check the system requirement and find out more about Security Warning and Certificate Pop-up of JAVA.

Please check out the Basic Configurations Requirements to Run UTRADE Online Trading Platform.

If you still experience problems with our online trading platform, please call our Client Service Hotline at (852) 2136 1818.

Computer	Recommended
CPU	Pentium III 800 MHz or above
Memory (RAM)	256 MB or Greater
Free Hard Drive Space	100 MB
Operating System	Win 98/ME/NT/2000/XP/Vista/7 (32 bit/64 bit)
Resolution	1024x768
Monitor	19 inches or Greater
Internet Access	2MB or above
Firewall/Proxy Settings (if applicable)	Open outgoing TCP ports 8080 to 8089

Computer	Recommended
CPU	Intel i5 /i7 CPU or above
Memory (RAM)	4GB or above
Operating System	Windows 7 64 bit or above

Computers with Intel Dual Core CPU or RAM below 2GB are not recommended.

Please click here to download UTRADE Secure.

Upon registration, if the system indicated that your Secure PIN service has not been activated, please contact Client Services Hotline: +852 2136 1818.

For security concerns, each login ID (username) can only be registered on UTRADE Secure with one mobile device. To enable extra devices, Individual Clients: please contact your Account Manager or Client Services Hotline: +852 2136 1818; Joint / Corporate Accounts: please contact your Account Manager.

1. Please make sure you have entered the correct UTRADE login ID (username), UTRADE password and the last 3 characters of your registered identification document (excluding symbols and the digits in bracket)
2. Please make sure you have entered the correct Authentication Code
3. Please make sure you have set the calendar type to "Gregorian", and set the "Date and Time" of your mobile device to "Automatic"

1. Please make sure the Secure PIN entered is correct
2. Please make sure the Secure PIN is generated under the correct login ID (username)
3. Please make sure the login ID (username) has not been registered on other mobile devices
4. Please make sure you have set the "Date and Time" of your mobile device to "Automatic"

If you have forgotten the UTRADE Secure password, you must uninstall and re-install the app again. For security concerns, all the registered Secure PINs will be deleted. Please re-register again after re-installation.

UTRADE Secure is supported on devices with Android version 7 or above OR iOS version 11 or above, including tablets.

UTRADE Secure supports mobile devices with Android version 7 or above OR iOS version 11 or above.

Since the device is jailbroken / rooted, the device may not be secure and lead to fraudulent transactions. To ensure the security and protect your interests, UTRADE Secure is not allowed to be installed on a jailbroken / rooted device.

You are recommended to uninstall the UTRADE Secure mobile app on your old mobile phone, and re-install and re-register UTRADE Secure on your new mobile phone.

Please contact Client Services Hotline: +852 2136 1818 to disable the current Secure PIN service.

Yes, you can use UTRADE Secure at anytime and anywhere, and acquire the Secure PIN from an offline mobile device. If you need to register for UTRADE Secure or register for a new login ID (username), your mobile device is required to access the Internet.

To prevent anyone else using your mobile device to login, you are required to setup a password for UTRADE Secure. You can also login with fingerprint or Face ID at ease (if applicable).

UTRADE Secure provides auto lock function. You are required to re-input the password when UTRADE Secure is locked. The default auto lock time is 20 minutes and it cannot be changed.

For security concerns, all the stored Secure PINs will not be restored. Please set up the password and re-register again after phone restoration.

For security concerns, you are required to install and register for UTRADE Secure using a mobile device with Internet connection. After successful registration, you may use UTRADE Secure at anytime and anywhere, and acquire the Secure PIN from an offline mobile device.

Maximum of 5 devices (including computers, mobiles and tablets) can be registered for each account.

1. On UTRADE Futures web program

   Click "File" > "Device Security Management" > Double click the registered device you would like to remove, and the designated registered device can be removed. You could then register a new device for Two-factor Authentication service.

2. On UTRADE HK Futures (SPTrader Pro HD)

   Click "Menu" > "Device Security Management" > Press and hold the designated device you would like to remove > click "Remove". You could then register a new device for Two-factor Authentication service. (This function is currently unavailable on Android mobile app. If you would like to change / remove your registered device(s), please use UTRADE Futures web program.)

No, you are only required to register for each device ONCE a year.

The effective period of the registration is 1 year and you need to re-register all your device(s) after 1 year.

If you would like to amend your registered email, please fill in "Change of Information Notice" and mail the hard copy to your Account Manager or Client Services Department.

You may also apply an additional security measure to enhance the security by enabling fingerprint authentication on Android devices and / or Touch ID on iOS devices.

Click here to see our deposit guide for more details.

For clients who opened their account online, please send the completed Online Fund Withdrawal Form by email to onlinewithdrawal@uobkayhian.com.hk. The application must be sent from the registered email address; otherwise it will not be accepted.

For other clients, please contact your Account Executive for your cash withdrawal request or complete the Fund Withdrawal Form and send it to our office by post.

The cut-off time of withdrawal, remittance and transfer instruction is 12:00pm of each business day and is subjected to UOB Kay Hian’s receipt time.

Withdrawal instructions received before the cut-off time will be deposited to your registered bank account by 6 pm. Any instruction received after the cut-off time is considered to be effective on the next business day.

Withdrawal Time	Receiving Time
Before 12:00pm	6pm

* Any withdrawal instruction received after the cut-off time is considered to be effective on the next business day.

According to SFC requirement, please transfer not less than HK$10,000 from a bank account in your name maintained with a licensed bank in Hong Kong for online account opening application.

You may make the deposit to UOB Kay Hian by FPS (Online Banking Transfer, Cheque or ATM Transfer will not be accepted)

1. FPS
• Enter our FPS ID (For the Use of Online Account Opening Only)

• UOB KAY HIAN (HK) LTD

  162728190

• Enter the "Reference Number" in the "Remark" Column. (The Reference Number is shown in the "Upload Bank Receipt" section)

Faster Payment System (FPS) is a payment service platform launched by the Hong Kong Monetary Authority. It uses a unified platform to connect all local banks for instant cross-bank transfer services. FPS supports real-time payments using mobile phone numbers, email addresses or FPS Identifiers. Clients can make instant cross-bank payments to individuals or merchants in Hong Kong Dollars (HKD) or Renminbi (CNY) via online and mobile banking.

For more details, please refer to the FPS User Guide.

FPS supports HKD and CNY payments.

You can enter the corresponding Faster Payment System Identifier (FPS ID) according to the type of UOB Kay Hian account you are depositing.

Please make sure the FPS ID and payee name are correct before confirming the transaction.

For more details, please refer to the FPS User Guide.

Clients who deposited via FPS ID of UOB Kay Hian and entered UOB Kay Hian Account Number on remark are not required to provide deposit confirmation. However, if you are using Industrial and Commercial Bank of China (Asia) and CMB Wing Lung Bank to make your deposit, please provide a screenshot of your transaction details.

1. UOB Kay Hian’s FPS ID (e.g.: 999996-001)
2. UOB Kay Hian Account Number under Remarks
3. Depositing bank account name must be the exact same name as your registered name with UOB Kay Hian.

Please save a screenshot of the transaction details upon completion in the event a confirmation receipt is required for verification purposes.

You can make FPS payments to UOB Kay Hian as long as you can log into your personal e-banking. For more details, you may check with your bank.

Please ensure that you have entered the correct FPS ID and Payee name and indicate your UOB Kay Hian Account Number under the Reference / Remarks section (e.g.: 999996-001).

Additional supporting documents may be required if the details provided are insufficient. Please save a screenshot of the transaction details upon completion in the event that a confirmation receipt is required for verification purposes.

For faster processing of online account opening, new clients who deposit via FPS ID are required to enter the "Reference Number" in the "Remark" Column. (The Reference Number is shown in the "Upload Bank Receipt" section)

Currently we do not charge any handling fee. However, it may be subject to individual merchants or banks in the future.

All UTRADE clients who have registered for FPS with their e-banking accounts are eligible. Please ensure that the depositing bank is your registered default bank with UOB Kay Hian .You can now enjoy the convenience of instant fund transfers with FPS.

Registration is not required.

Clients are required to register for FPS with their depositing bank. You can now make instant fund transfers to your UOB Kay Hian account.

Please note that your depositing bank should be the registered default bank with UOB Kay Hian.

FPS supports all UOB Kay Hian accounts in HKD and CNY, as well as Securities, Futures and Options accounts. For joint accounts, we only accept depositing banks with the same joint account name and registered account number with UOB Kay Hian.

For accounts in other currencies, please refer to other deposit methods.

To facilitate future deposits, it is recommended that you register UOB Kay Hian as your registered payee to increase your daily transfer limit and save the hassle from entering the details again.

You can now transfer funds to UOB Kay Hian from local banks instantly using FPS:

1. Log in to personal e-banking account
2. Key in UOB Kay Hian FPS ID
3. Key in the Amount and your UOB Kay Hian Account Number in the ‘Remarks’ column* (e.g.: 999996-001)
   
   *First time deposit for online account opening: Please enter the ‘Reference Number’ in the ‘Remark’ column. The Reference Number is shown in the ‘Upload Bank Receipt’ section.
4. Save a screenshot of your transaction details upon completion.

For more details, please refer to the FPS User Guide.

As long as you have entered the correct details, clients who deposit to UOB Kay Hian via FPS ID are not required to inform us. However, if you are using Industrial and Commercial Bank of China (Asia) and CMB Wing Lung Bank to make your deposit, please provide a screenshot of your transaction details.

1. UOB Kay Hian’s FPS ID
2. UOB Kay Hian Account Number (e.g.: 999996-001) under Remarks
3. Depositing bank account name must be the exact same name as your registered name with UOB Kay Hian.

Please save a screenshot of the transaction details upon completion in the event a confirmation receipt is required for verification purposes.

Please ensure that you have entered the correct FPS ID and Payee name as shown below.

Product Type	Currency	Payee Name	FPS ID
Stocks	HKD CNY	UOB KAY HIAN (HK) LTD UOB KAY HIAN (HK) LTD	2664969 1439348
Stock Options	HKD	UOB KAY HIAN (HK) LTD-O C	4102521
Futures	HKD CNY	UOB K H F (HK) LD- HKFE T U K H F (H K) L-H T C A	5021621 1793421

In order to provide a faster deposit service, there are two cut-off times - 11:30am and 4pm on trading days.

Deposits made before 4pm will be reflected in your statement on the same trading day.

Please ensure that the depositing bank account name must be the exact same name as your registered name at UOB Kay Hian and your UOB Kay Hian Account Number is indicated under the Remarks section.

When your deposit is confirmed, it will be reflected in your account according to the timing below:

Deposit Time	Receiving Time
Before 11:30am	After 1pm
11:30am – 4pm	Before US market opens
*If the deposit is made after 4pm, the receiving time will be on the next Hong Kong trading day after 1pm.

Maximum deposit amount is HKD$1 million for each transaction and you can make unlimited deposits per day. Clients can set up their own transfer limit on their personal e-banking. However, the transfer limits are different across all banks.

For more information on the transfer limits, please contact your bank directly.

All payments are made in real-time and are final upon confirmation. Any payments made are irreversible.

Please make sure the FPS ID and Payee name are correct before confirming the transaction.

Product Type	Currency	Payee Name	FPS ID
Stocks	HKD CNY	UOB KAY HIAN (HK) LTD UOB KAY HIAN (HK) LTD	2664969 1439348
Stock Options	HKD	UOB KAY HIAN (HK) LTD-O C	4102521
Futures	HKD CNY	UOB K H F (HK) LD- HKFE T U K H F (H K) L-H T C A	5021621 1793421

If you require any assistance, please contact your Account Manager or our Client Services Hotline at (852) 2136 1818.

Trading in the Hong Kong Exchange operates from Monday to Friday (except on Saturday, Sunday and Public Holidays) during the following hours:

Trading hours for Securities, Stock Futures and Stock Options markets (Effective from 5 March 2012)
Pre-opening session	09:00 - 09:30
Morning session	09:30 - 12:00
Afternoon session	13:00 - 16:00

Trading hours for Index Futures and Index Options markets (Effective from 5 March 2012)
Pre-market Opening Period*	08:45 - 09:15
Morning session	09:15 - 12:00
Pre-market Opening Period*	12:30 - 13:00
Afternoon session	13:00 - 16:15
* Only applies to the Hang Seng Index, Mini-Hang Seng Index and H-shares Index Futures.

It is possible for HKEx to cancel or void any executed orders whenever necessary in accordance to the relevant rules and regulations. It is recommended to read the terms and conditions and the rules and regulations from HKEx before trading. In addition, please pay attention to the announcements made by HKEx.

You can key in share prices for an order of up to 20 bids from the last done price. The share prices bid size are shown on the HKEx.

Yes, order received after 4:15pm will be sent to HKEx when the market opens in next trading day.

Please click here for more information on SH-HK Stock Connect.

No, the client's order will be rejected if there is insufficient trading limit. For client who wish to revise the trading limit, please contact your account executive.

Yes, once a client's sell order has been executed (fully or partially), the proceeds can be used immediately to buy shares (as long as the client's funds are sufficient).

• At-auction Limit Order An at-auction limit order is an order with a specified price. An at-auction limit order with a specified price at or more competitive than the final IEP (in case of buying, the specified price is equal to or higher than the final IEP, or in case of selling, the specified price is equal to or lower than the final IEP) may be matched at the final IEP. Any unfilled at-auction limit orders will be converted into limit orders and carried forward to the continuous trading session provided that the specified price of that at-auction limit order does not deviate 9 times or more from the nominal price.
• Limit Order A limit order having a price equal to the best opposite orders will match with opposite orders at the best price queue residing in the system, one by one according to time priority.
• Enhanced Limit Order An enhanced limit order will allow 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 traded price is not worse than the input price. The sell order input price cannot be made at a price of 10 spreads (or more) below the current bid price whereas the buy order input price cannot be made at a price of 10 spreads (or more) above the current ask price. Any outstanding enhanced limit order will be treated as a limit order and put in the price queue of the input price.

• Send When Nominal Rises At / Above
• Send When Nominal Falls At / Below
• Hold Until I Release
• Stop Limit
• OCO (One Cancels the Other)

To learn more about conditional orders, please refer to the Hong Kong Conditional Orders section from UTRADE Web - HK/A-share Markets User Guide.

Click on the "Swap to Standard IQ" button, at the bottom right of the screen.

No, clients'account must have the valid stock holdings before they can sell. UTRADE Online Trading Platform does not allow clients to short sell.

When the amendment of the order is lower than the number of shares, clients will not lose their position in the queue. If the order is larger than the number of shares, clients will lose the position in the queue and need to requeue again.

Clients' orders will automatically lapse when they are not executed by the end of the trading day, and will have an 'expired' status. Clients will need to re-enter the order if they want to place it for the next trading day.

After placing an order, you will receive a message about the receipt of the order and the order will be shown on the "Order Status" page. Each order will be assigned a unique order number for identification. Meanwhile, you can check the latest status under the "Status" field and make order amendments or cancellation instructions whenever necessary. If the order is already filled, information about the order such as executed time, quantity, and price can be found by clicking on "Ref No.".

Yes, the maximum trading size is 3,000 lots per order for trading HK Shares and 1 million shares for trading A Shares.

Orders over 3000 lots are automatically rejected by HKEx. If you have to place orders larger than 3000 lots, you have to split the order into several orders under 3000 lots.

Yes, provided that the orders have not been executed.

The following prompt appears on trading platform if any deviation from 20 prices feed. Please select "Confirm" from the "Confirm Price Warning" pop-up screen and continue to send to market.

* According to HKEx, orders that deviate 24 spreads will be rejected after sending to the market. Some special cases will be excluded, for example, limit order without specific prices. However in all circumstances, the order shall not be made at a price that deviates 9 times or more from the nominal price. According to UOB credit rules, any order placed on UTRADE Web that deviate 4 times or more from the nominal price will be rejected.

No, odd lots of shares cannot be sold through UTRADE Online Trading Platform. Clients should contact their Account Executive for assistance.

Our trading system restarts once before the market opens every morning from 6:45am to 7:45am. UTRADE is not accessible during the restarting period, please kindly log in again after the system is restarted. We apologize for any inconveniences caused.

UTRADE HK mobile app on iOS is available on iTunes App store as "UTRADE HK", it's compatible with iOS 11 or later.

UTRADE HK mobile app on Android is available on Google Play as "UTRADE HK", it's compatible with Android 7 or later.

Please refer to UTRADE HK Mobile App User Guide.

Please go to Settings on your mobile devices and get to the Notifications Centre, then select UTRADE HK mobile app and tap the toggle for Allow Notifications to disable notification function.

You can trade stocks which are listed on NYSE, AMEX and NASDAQ.

The trading hours for NYSE, AMEX and NASDAQ are from Mondays to Fridays (except US Public holidays):
Summer Time (2nd Sunday of March to 1st Sunday of November)	HKT 9:30pm - 4:00am
Winter Time (1st Sunday of November to 2nd Sunday of March)	HKT 10:30pm - 5:00am

Order submission is not available on the US trading platform during the following periods:
Summer Time	HKT 4:00am - 4:30am on trading days; HKT 4:00am (Sat) - 4:00am (Mon); & US public holidays
Winter Time	HKT 5:00am - 5:30am on trading days; HKT 5:00am (Sat) - 5:00am (Mon); & US public holidays

The settlement period is trade date plus three US business days (T+3).

There is no board lot size for US Stocks. Investors can trade at a minimum of 1 share per order.

The maximum order quantity for buying or selling US stocks is 500,000 shares per order to prevent fat finger errors.

Short-selling of US stocks is not allowed via UTRADE Web.

Once your buy order has been executed, you can place a sell order at any time.

You can reach us at (852) 2826 4888 from 9am to 1am on Mondays to Fridays.

1. In the fast-moving market, the time of input order could have possibly coincided with the time when the day's high / low was reached and the price was never hit again.
2. The price feed provided from trading system / information vendors are the prices for all exchanges. In addition, orders placed on UTRADE are only directed to the three major exchanges ie. NYSE, NASDAQ and AMEX. In some rare circumstances, if Day's High / Low are executed outside these three major exchanges, it could happen that the order price never reached the Day's High / Low quoted, and hence the Market Order was not successfully executed.

No, each fully executed US stocks order will not be consolidated and commissions are calculated separately.

• Stop Limit Order
• Market Order
• Stop Order

To learn more about conditional orders, please refer to the User Reference Guide to U.S. Trading (Conditional Orders).

No, clients'account must have the valid stock holdings before they can sell. UTRADE Online Trading Platform does not allow clients to short sell.

When the amendment of the order is lower than the number of shares, clients will not lose their position in the queue. If the order is larger than the number of shares, clients will lose the position in the queue and need to requeue again.

Clients' orders will automatically lapse when they are not executed by the end of the trading day, and will have an 'expired' status. Clients will need to re-enter the order if they want to place it for the next trading day.

After placing an order, you will receive a message about the receipt of the order and the order will be shown on the "Order Status" page. Each order will be assigned a unique order number for identification. Meanwhile, you can check the latest status under the "Status" field and make order amendments or cancellation instructions whenever necessary. If the order is already filled, information about the order such as executed time, quantity, and price can be found by clicking on "Ref No.".

You can click "US – US Market" at the top left corner of the trading platform and place orders in the US markets. For details, please refer to US Trading – UTRADE Web User Guide.

No, it does not support Pre-Market and After Hours Market.

The market order may require the approval from our credit department. Please check with your Account Executive for more details.

Please login to UTRADE trading page and click "Research" and "US Market", the US Stock Report window will pop up. You can select to read the "Daily Reports" or "Stock Reports".

UTRADE HK mobile app has been upgraded to an all-in-one app which supports trading in HK, A-share and US Markets. It is available in App Store and Google Play which is compatible with iOS 11 or later / Android 7 or later.

UTRADE HK mobile app provides Limit Order, Market Order, Stop Limit Order and Stop Order for US markets trading.

Please refer to UTRADE HK Mobile App User Guides.

When modifying the quantity of a Partial Executed Limit Order, it is the Total Quantity that you are modifying, which includes the quantity that have already been executed.

Example:

If you placed a QTY 10,000 order and QTY 2,000 is partially executed with QTY 8,000 outstanding, and for some reason, you changed your mind and only want to further purchase QTY 3,000. In this case, you would like to modify the Total QTY to 5,000. (Executed QTY 2,000 + Extra QTY 3,000 = Total QTY 5,000)

If you modified the Total QTY to 3,000, only QTY 1,000 will further be executed, because the Total QTY 3,000 also includes the QTY 2,000 which has already been executed. (Total QTY 3,000 - Executed QTY 2,000 = Extra QTY 1,000)

Stop Limit Order, Market Order, and Stop Order cannot be modified. Users have to cancel and place the order again if any amendment.

Please go to Settings on your mobile devices and get to the Notifications Centre, then select UTRADE HK mobile app and tap the toggle for Allow Notifications to disable notification function.

If the Buy and Sell transactions are executed with the same local execution brokers on same date, the Buy and Sell trades can be net settled. Otherwise, clients must have sufficient funding to settle for bought trade in TWD at 10:00 a.m. on settlement date. Sales proceeds will be available in the afternoon session on settlement date.

For local futures:

Pre-market opening session	08:45 - 09:13
Morning session	09:15 - 12:00
Afternoon pre-market opening session	12:30 - 12:58
Afternoon session	13:00 - 16:15

Please refer to the details in www.hkex.com.hk.

For global futures:

please refer to the Table of Global Futures Contract Specification.

For index futures and index options markets (Effective 5 March 2012):

Pre-market Opening Period*	08:45 - 09:15
Morning session	09:15 - 12:00
Pre-market Opening Period*	12:30 - 13:00
Afternoon session	13:00 - 16:15

*Only applies to the Hang Seng Index, Mini-Hang Seng Index and H-shares Index futures.

No, clients'account must have the valid stock holdings before they can sell. UTRADE Online Trading Platform does not allow clients to short sell.

When the amendment of the order is lower than the number of shares, clients will not lose their position in the queue. If the order is larger than the number of shares, clients will lose the position in the queue and need to requeue again.

Clients' orders will automatically lapse when they are not executed by the end of the trading day, and will have an 'expired' status. Clients will need to re-enter the order if they want to place it for the next trading day.

After placing an order, you will receive a message about the receipt of the order and the order will be shown on the "Order Status" page. Each order will be assigned a unique order number for identification. Meanwhile, you can check the latest status under the "Status" field and make order amendments or cancellation instructions whenever necessary. If the order is already filled, information about the order such as executed time, quantity, and price can be found by clicking on "Ref No.".

Whenever the NAV is less than the Maintenance Margin Level, Account Executive will notify clients the margin call amount to fulfil margin requirement before the deadline. In case the client cannot be reached, UOB Kay Hian (Hong Kong) Limited reserves the right to liquidate positions under adverse and volatile market conditions.

Yes. You can place an At-Auction order for Hang Seng Index Futures, Mini-Hang Seng Index Futures, H-shares Index Futures and Mini H-Shares Index Futures via UTRADE Futures. Global futures products are not applicable.

• Local futures
  Hang Seng Index Futures, Mini-Hang Seng Index Futures, H-shares Index Futures, Mini H-Shares Index Futures, HSI Dividend Point Index Futures (HSI Dividend Futures), HSI Volatility Index Futures, HSCEI Dividend Point Index Futures (HSCEI Dividend Futures), Hang Seng Index Options, Mini-Hang Seng Index Options and H-shares Index Options.
• Global futures
  Index Futures, Currency Futures, Energy Futures, Agricultural and Metal Futures.

For details, please refer to Table of Global Futures Contract Specification.

You may go to "Position" and "Account Enquiry" for a full view of your account balance and position.

You can download "SP Trader Pro HD" from Apple Store and Play Store.

Please refer to the UTRADE Mobile - Futures User Guide.

Please go to Settings on your mobile devices and get to the Notifications Centre, then select SPTrader Pro HD and tap the toggle for Allow Notifications to disable notification function.

Download UTRADE HK mobile app from App Store or Google Play, and click "Not a client yet? Open an account today" on the homepage. Follow the instructions and upload the following supporting document, together with your electronic signature:

• Hong Kong Identity Card (For Hong Kong Residents) / Valid Official Identity Document or Passport (For Overseas Clients)
• Address Proof (e.g. Utilities bill, Bank Statement, etc., dated within 3 months)
• Proof of bank account opened at a licensed bank in Hong Kong
• Financial Status Proof if required by UOB Kay Hian (Hong Kong)
• According to SFC’s requirement, the proof of HK$10,000 deposit to UOB Kay Hian (Hong Kong) Limited via ‘FPS’* (Faster Payment System).

*Please enter the ‘Reference Number’ in the ‘Remark’ column on the online banking interface. The Reference Number is shown in the ‘Upload Bank Receipt’ section.

We will contact you shortly after you have uploaded all the documents and application and you will also receive the password and welcome email. After that, you can login to UTRADE mobile and web platform to start your investment journey.

If you want to visit UOB Kay Hian (Hong Kong) Limited to open an account, please click here for details.

You can also apply for account opening by mail. For details, please click here.

We provide both desktop “UTRADE Stock Options” and mobile “UTRADE HK Options” platforms.

1. Desktop version: Click here to download "UTRADE Stock Options"
2. Mobile App: Please refer to the following methods to download the mobile application "UTRADE HK Options"
   • IOS version: Available on Apple Store
   • Android version: Available on the Play Store
   • APK version: You can download it here. For details, please refer to the APK installation guide (Simplified Chinese Only) and installation demonstration video.

In addition, you will need to download "UTRADE Secure" for the two-factor authentication. Click here for more details.

Please download “UTRADE Secure” for the Two-factor Authentication.

Click here for the registration guide and more details.

According to the SFC's policy "Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading ", starting from April 27, 2018, customers need to cooperate with two-factor authentication when logging into the online trading platform, in order to verify customers’ identity and reduce hacking risk.

You will have to enter your Username and Password to login.

User Name:

For example: Your account number is 999996-001S, please enter 999996001S in the username field on the login page.

Password:

For new client, a one-time password will be sent by our Customer Services Department to your registered email address. You will have to customize your password after you have successful logged in.

If you have forgotten your UTRADE HK Options login ID (username) / password, please contact our Client Services Department at (852) 2136 1818.

For details, please refer to the User Guide of UTRADE HK Options mobile application.

No additional application is required. If you are already a Hong Kong stock option client of UOB Kay Hian, you can enjoy free real-time quote service for Hong Kong stock options.

You can trade Hong Kong stock options through the UTRADE HK Options mobile application by the following three methods:

1. Go to "Options" select “Product” and “Month” to view the strike price. Tab on the “Call/Put” price then select "Buy / Sell"
2. Go to "Trade", select "Products", enter the Option Code or Keywords. Select “Call/Put” and “Month”
3. Go to "Trade", select "Quick Enter Order", enter the Option Code or Keyword. Then choose “Call /Put” and “Month”.

For details, please refer to the User Guide of UTRADE HK Options mobile application.

You can view the order history of the last 30 days.

Simply log in to UTRADE HK Options and go to "Order Journal" under "Orders" to view your orders. You can also filter orders based on Buy / Sell, Order Status or Time.

Please refer to the User Guide of UTRADE HK Options mobile application for more details.

Each order can buy or sell up to 500 contracts. If your order has more than 500 contracts, please separate 2 or more orders.

You can check the Day High and Day Low price of the contract on the option trading page.

Each contract will be charged in accordance with the relevant transaction fees charged by the Hong Kong Stock Exchange, and transaction commission will be charged.

1. HKEX trading tariff
   • Tier 1: $3
   • Tier 2: $1
   • Tier 3: $0.5
2. For commission fees, please contact your account manager or call the Customer Service Hotline +852 2136 1818.

Please go to Settings on your iPhone/Android devices, then go to the Notifications Centre, select UTRADE HK Options and tap the toggle for Allow Notifications to disable notification function.

For market price quotes, Real-time Streaming, Real-time Snapshots, and 15-min Delayed Quotes are available. The stock prices are the most up to date and direct from the Hong Kong Stock Exchange.

Real-time Streaming

Real-time Streaming is displayed dynamically and this feature allows clients to receive continuous updates on the 'Streaming-enabled' pages. Clients do not need to click on the 'Refresh' button for updated prices.

Real-time Snapshot

Real-time Snapshot includes market depth, broker queues and related stocks. Starting from 1 February 2012, clients of UTRADE online trading accounts can enjoy 500 real-time quotes for free.

The snapshots are only valid for a maximum of 2 months. Unused snapshots cannot be carried forward. For new clients, the 500 Real-time Snapshots entitled are valid from the account opening day to the last day of the following month.

15-min Delayed Quote

15-min delayed quote is offered to HK Market on UTRADE Web.

Yes. There are 3 types of HK Shares data feed services:

1. HK Stocks Real-time Streaming Service
2. HK Stocks Real-time Snapshots (users can view the Real-time Quotes at the counter located at the top right corner)
3. HK Shares 15-min Delayed Quotes (data feed services are provided as they are on UTRADE Web)

Clients can download the "Application Form for Online Trading Account and Price Quote Service" or contact Client Services Hotline at (852) 2136 1818 to have the application forms sent to you. For service charge problem, please check here.

The US Real-time Streaming Service can be applied via UTRADE Web:

1. Login to UTRADE Web
2. Go to "Other Services"
3. Select "US Streaming Subscription"

You must confirm and declare your status as nonprofessional subscriber by completing the Agreement for Market Data Display Services. For further information on nonprofessional subscriber, you may refer to Nonprofessional Subscriber Policy.

Click here to learn more on the service charges and the US Real-time Streaming waiver.

If you are NOT a nonprofessional subscriber and wish to subscribe the US Real-time Streaming Service, please contact your Account Manager or our Client Services Hotline at (852) 2136 1818 for application and service fee details.

Clients may purchase the Real-time Snapshots which are at HKD 25 for 200 snapshots. Clients are reminded that the snapshots can only accumulated up to a maximum of 3000 in total. For details, please contact (852) 2136 1818.

Please allow at least 2 working days for the streaming services to be activated on your account.

Yes, charges for streaming service are on a monthly basis. If your subscription is activated in the middle of the month, you will be billed for the entire month. For example, If your subscription starts on 22 April 2012, you will be billed for the entire month of April 2012.

Please see below:

Computer	Recommended
Processors	Central Processor Unit 2GHz or above
Memory	1GB or above
Network Connection	Broadband installed
Operating system	Microsoft window XP or above MAC OS 10.4 version or above
Browsers	Internet Explorer 7.0 or above Mozilla Firefox 3.0 or above Google Chrome 6.0 or above
JRE versions	Java 1.6 or above
Firewall	If a firewall is set at the network, TCP / IP port 80 and 443 must be opened
Proxy Servers	Support various Proxy Servers

Yes. A Shares data feed services include A-share Real-time Streaming and A-share Real-time Snapshots. For service charge problem, please check here.

Yes. We offer US Stocks Real-time Streaming for the mobile apps. For service charge problem, please check here.

• Clients of UTRADE online trading platform can enjoy 500 real-time quotes for free. The snapshots are only valid for a maximum of 2 months. Unused snapshots cannot be carried forward. For new clients, the 500 Real-time Snapshots entitled are valid from the account opening day to the last day of the following month.
• Clients are awarded free snapshots by online contracts executed in HKEx market. One Real-time Snapshot will be given for every HKD 1.5 commission by any online contracts executed in HKEx market.

For IE user

Please reinstall Java with the latest version and retry.

Step 1: Uninstall Java
Open Control Panel > Open Programs and Features > Find "Java" to uninstall > Click "Uninstall" button and follow the prompts

Step 2: Install new Java version 8 update 101
Go to download link: http://www.java.com/zh_TW/ > Click Free Java Download button > Click Agree & Start Free Download > Run the download file and follow the prompts

For Firefox user

Please ensure Java has been installed, then verify from http://www.java.com/zh_TW/download/installed8.jsp

Step 1:
Click the plugin icon in the address bar and a message panel will be opened

Step 2:
Click "Allow and Remember"

"Unrealised Profit & Loss" means the profit and loss of the total quantity of the stock you are currently holding.

Please note: Unrealised Profit & Loss provided is indicative and for information only. It should not be relied upon for any valuation or investment decision making purpose before you have a clear understanding on the implication of such figures and have verified the accuracy of such figures.

Unrealised P&L = (Market Price – Reference Cost) × Total Quantity

Market Price means the current price (of an equity) at which it can be bought or sold in a given market.

15-min delayed stock price is adopted as the market price for Hong Kong and A-share Markets. Prices will be updated every 15mins after clients have logged in. Previous Closing Price is adopted as the market price for the U.S. Markets.

Reference Cost means the average cost of an instrument bought or transfer-in instruction (if provided Reference Cost) for the holding period. The Reference Cost will remain unchanged for an instrument sold or transfer-out instruction.

Please read the Reference Cost User Manual for more information.

The holdings of stocks which were transacted prior to the launch of Reference Cost service for all client accounts are not taken into account in the computation of the Unrealised Profit & Loss. If your Unrealised Profit & Loss displayed as "—", it means you did not provide the reference cost for the stock you held before the launch of Reference Cost service or the Reference Cost service has not been activated.

To activate Reference Cost service, please consult your Account Manager or contact Client Services Department.

For reference cost adjustment, you can provide the updated reference cost to your Account Manager by filling in the physical "Adjustment of Reference Cost Request Form" or submit the "Reference Cost Change Request" on UTRADE Web. You can find the adjustment records from "Reference Cost Amendment History".

• Situation 1 if the reference cost of the stock is higher than the market price.
• Situation 2 if the quantity of stock holdings in your account becomes negative (it happens if you sell the shares prior to the deposit of such shares into your account for settlement).

It is updated every 15 mins once clients login to the system and when an order has been successfully executed.

Yes, please contact your Account Manager or Client Services Department at (852) 2136 1818 for more details.

Good-Till-Day (GTD) order allows your trade to remain valid within the expiry date which you have entered.

GTD orders will support HK and US markets and only with Price Limit orders.

GTD orders will not support conditional orders. Send Now must be selected under conditional orders.

GTD orders can be placed through UTRADE Web and UTRADE HK mobile app.

For Details, you may refer to Good-Till-Date (GTD) Order User Guide

Under Today’s Order on UTRADE Web, you will be able to distinguish GTD orders as it will display a specific icon next to your Order Number, and will also show the expiry date under Condition.

Under Order Book on UTRADE HK mobile app, the expiry date of the GTD orders will be shown in the order status's box.

If the GTD order is not fulfilled, the outstanding quantity will be carried forward to 9:00am on the next trading day, until the order is fulfilled or when market closes on the expiry date. If the GTD order is fulfilled or cancelled by client before the expiry date, it will not remain in the system and will not be brought forward to next trading day.

The maximum validity is 14 trading days.

System will not inform clients on any corporate actions and will not make any adjustment on the GTD order if corporate actions occurred to the relevant stock. Client should be closely monitoring any news or information relevant to their order.

If the order is not fulfilled and is cancelled on the predefined expiry date, client will not receive notification in any form. Client should be aware on the status of their orders.

To learn more about placing a GTD order, please refer to the Good-Till-Date (GTD) Order User Guide.

To open a Stock Borrowing Account, you must have an existing trading account with UOB Kay Hian (Hong Kong). Clients are required to sign the following documents to open a Stock Borrowing Account:

1. Stock Borrowing and Lending Agreement
2. Letter appointing UOB Kay Hian (Hong Kong) Limited to submit Returns of Stock Borrowing Transactions
3. Authorisation for maintaining Stock Borrowing Ledger and submit of returns
4. IRD Form Stock Borrowing and Lending Agreement Registration Form (In Duplicate)

The charges involved are as follow:

Initial SBL agreement registration	HKD 500
Half yearly Return of Stock Borrowing Transactions	HKD 200
Per stock borrowing transaction	as per interest cost, subject to HKD 500 minimum + 0.125% of day end market value per stock base

Interest cost will be charged on a per stock basis, based on the interest rate for that particular stock times the day-end market value of that stock.

For Blue Chip Stock, 25% is required. For non-Blue Chip Stock, 35% is required.

If a stock is borrowed and sold before the ex-dividend date but buy-back after ex-dividend date, the borrower has to repay the lender the dividend amount in full, even though the borrower is not entitled to the dividend.

For stocks having an ex-dividend date during the stock borrowing period, dividends received by the borrower has to be repaid to the lender in full, i.e. before deduction of charges.

1. Blue Chip Stock

   If customer borrow and short sell Blue Chip Stock, the maintenance margin is 115%* of the borrowed value. If the customer's cash balance falls below 115%, then our Credit Department will make a margin call.

   Example:
   If a customer borrowed and short sold 4000 shares HSBC @ $80, then the customer would need to deposit an initial margin of $80,000 ($80 x 4000 x 25%). The total account cash balance would be $400,000 and the maintenance margin required is $368,000 ($80 x 4000 x 115%). If the stock price of HSBC rises to $92.1, then the customer will receive a margin call as the balance falls below the maintenance margin ($400,000 / $92.1 x 4000) < 115%.

2. Non-Blue Chip Stock

   For non-Blue Chip Stock, the maintenance margin is 125%.

* UOB Kay Hian (Hong Kong) Limited reserves the right to amend these terms and conditions at any time without prior notice.

Clients can consult their related Account Executive if the desired stock is available for short selling. The Account Executive will arrange accordingly when the stock is available.

A buy-back does not automatically translate into a return of securities. You are required to inform us to arrange for a return after a buy-back.

If you receive a notice of recall before 12:00pm, you will have to buy back the borrowed security on the same day to return which take place 2 business days later.

For the designated securities eligible for Short Selling, please refer to the HKEx's page* at: http://www.hkex.com.hk/eng/market/sec_tradinfo/stockcode/eisdeqty.htm

* For reference only and subject to availability of the stocks in UOB Kay Hian (Hong Kong) Limited.

Around 800 HK stocks, 1,000 US stocks and more than 400 A Shares are under our online margin financing services. We also offer extra capital for up to 80% of the prevailing marketing value of the stocks holding.

Please check the list of stocks under our margin financing services.

Yes. Margin trading is available on UTRADE Web, UTRADE HK mobile app.

UTRADE HK mobile app provides online margin financing services of more than 400 A Shares, which includes margin trading with extra capital up to 80% of the prevailing marketing value of stocks holding.

UTRADE HK mobile app provides online margin financing services of over 1,000 US stocks. We provide one of the most selections of US stocks for margin financing service. You may also enjoy margin trading with extra capital for up to 80% of the prevailing marketing value of stocks holding.

Please click here to view the margin ratio.

An Initial Public Offering (IPO) is a company's first sale of stocks, bonds, or certificates of deposit to the public in order to raise funds for the company. Before subscribing to an IPO, you should peruse the prospectus and compare P/E ratios of peers in the same industry to evaluate the IPO shares.

1. Over subscription

   When an IPO is oversubscribed, applicants may receive share allotments much less than application amount.

2. Under subscription

   It is common for IPO applicants to subscribe for a bigger quantity than intended to increase the chances of a successful shares allotment. However, applicants may receive shares with total quantity applied if the IPO is not oversubscribed.

3. Market risk

   Share price may fluctuate from time to time or may drop below its initial offer price on the first day of listing.

4. Company risk

   It is vital to thoroughly understand the company and their business that you are investing in. You should study the prospectus, financial reports, and seek for professional advices before making any investment decision.

5. IPO cancellation

   Applicants should pay the handling fee and/or its corresponding interests even when an IPO has been cancelled for any reason.

You can go to IPO via UTRADE Web and click on "e-IPO" to check the number of shares applied before the IPO subscriptions deadline.

You can also login UTRADE HK mobile app. Under "History" of "eIPO", you can check the number of shares applied before the IPO subscriptions deadline.

No. Please call your Account Execute to amend or cancel your application.

Your Account Executive will contact you directly for the share allotment results. We will also send you a consolidated daily statement, which states the quantity of allotted shares and the refund amount, if applicable.

The required amount should be deposited into the applicant's trading account before 4pm on the day of the subscription deadline. If your deposit the required amount from banks or through ATM, you are requested to fax the pay-in slip at fax number: (852) 8208 7388.

If your application is wholly or partially unsuccessful, a full refund or a refund of the excess amount will be directly credited into your trading account on the refund date as announced by the issuers.

Before the day of listing, the allotted shares will be deposited to your trading account so that the shares can be sold on the day of listing.

No. Multiple applications or suspected multiple applications will be rejected.

No, applying by an individual account and a joint account for the same IPO will be regarded as multiple applications, which will be rejected.

Please contact your Account Executive to open online trading access.

eIPO Services are available 24 hours a day. For margin application, the application deadline is at 4:30pm on the second business day preceding the IPO application deadline (while quantity lasts). For cash application, the application deadline is at 2:00pm on the last business day preceding the IPO application deadline. Clients should be aware of the announcements of the respective IPO application schedule.

For further enquiries, please contact our Client Services Hotline at (852) 2136 1818.

• Fast and convenient
• Easy for storage
• Avoid the risk of losing your account statements
• Can access to E-statement anywhere at anytime

New clients can register by filling the "Service of Statements" under "Other Services" within Client Information Statement.

Existing clients can register by downloading the "Application for E-Statement" form and submitting the completed form to us by post.

You can check your junk mail box to see if our E-statements had been filtered there, as some email service providers do filter our E-statements as junk mail.

Some email service providers may treat the E-statements we send as junk mail. We suggest that you add our email address clientservices@uobkayhian.com.hk to your email address book to solve this problem.

As our E-statement is in PDF format, you may need to download Adobe Acrobat Reader software. Once you have downloaded and installed the software, you can simply click on the E-statement attachment to open the file.

Please call our Customer Services Hotline at (852) 2136 1818.

Currently 175 Hong Kong listed stocks are available. Please refer to this link for details: Available Stock List

The minimum monthly investment amount is HK$1,000 per stock. Incremental contribution for the same stock must be in multiples of HK$500.

You only need to pay a handling fee for each stock purchase which is 0.2% of the monthly contribution amount or minimum of HK$50, whichever is higher. The handling fees include brokerage commission, stamp duty, transaction levy and trading fees.

• For new client, you are required to complete and duly sign a Client Information Statement (UOB Kay Hian (HK) Ltd securities account opening form), and a "Monthly Stock Savings Plan Form" and submit to us. (Relevant documents such as identity card and address proof are also required)
• For existing client, you are only required to complete and duly sign a "Monthly Stock Savings Plan Form" and submit to us.

• Deposit to UOBKH's securities account
  Click here to learn more; OR
• Fill in and submit the Direct Debit Authorisation Form to your local bank
  You can set up direct debit authorization with your bank which will automatically debit the contribution amount from your bank account to "Monthly Stock Savings Plan" account in monthly basis.

The contribution date of the "Monthly Stock Savings Plan" is on the tenth day of each month. If such day is a non-HKEX trading day, contribution day will fall on the next HKEX trading day.

We will not proceed with the stock purchase for the month if you fail to deposit the contribution amount on or before the contribution date. A notification of insufficient funds will be sent to you by email.

The Company will purchase stocks for you on the second HKEX trading day after the contribution date, one hour after market opens in the morning session.

You will receive daily statement by email on the next day after the transaction date. Executed price and shares purchased will be shown on your statement.

The net amount after deducting the handling fees from the monthly investment amount will be invested in the relevant stocks selected by you. The number of shares will be rounded down to the nearest whole number of shares. Any residual investment amount will remain in the Plan account.

Yes. Stocks purchased through the Monthly Investment Plan can be sold using the same account. However, only board lot shares are sold through UTRADE online trading platform directly. You will be contacted via your Account Executive to sell odd lots stocks. The Company will impose commission, stamp duty, transaction levy, trading fees and other relevant charges on selling stocks.

Selling Stock Handling Fees Calculation:

Δ Net amount for a sell trade is the gross amount of stocks sold minus handling fees (Commission and all trading charges)

Example:

	Stock A	Stock B	Stock C
Gross Amount	$10,000.00	$30,000.00	$50,000.00
Handling Fees:	$61.07	$93.21	$155.35
- Commission:0.20% min. HK$50	$50.00	$60.00	$100.00
- Stamp Duty:0.10%	$10.00	$30.00	$50.00
- Transaction Levy:0.0027%	$0.27	$0.81	$1.35
- Clearing Fees:0.003%	$0.30	$0.90	$1.50
- Trading Fees:0.005%	$0.50	$1.50	$2.50
Net Amount	$9,938.93	$29,906.79	$49,844.65

To adjust your "Monthly Stock Savings Plan", you can submit the "Monthly Stock Savings Plan Form" to your Account Executive or send the soft copy of the form to our Client Services Department via email to clientservices@uobkayhian.com.hk.

Your amendment instructions should be submitted to us at least 5 trading days before contribution date. The amendment will take effect once you receive a confirmation email sent by the Company.

Yes. To terminate the plan, you can submit the "Monthly Stock Savings Plan Form" to your Account Executive or send the soft copy of the form to our Client Services Department via email to clientservices@uobkayhian.com.hk.

You will enjoy the same shareholder's rights including dividend payments and bonus shares after joining "Monthly Stock Savings Plan".

We provide a wide range of OTC products, including Structured Products, Accumulator, Decumulator and OTC Options. Please contact our Client Services Hotline at (852) 2136 1818 or your Account Manager for more details.

See all OTC products >

Click for more details

Items	Fee Descriptions (All Accounts)
Remittance	CHATS	HKD 100
	Telegraphic Transfer	HKD 270/USD 35
Physical Statement	HKD 10/month
Regenerate Statement	Daily/Monthly Statement (within 3 months)	Waived
	Daily/Monthly Statement (over 3 months)	HKD 200/each

Remarks:

• The above charges are subject to change at the company's sole discretion without prior notice.

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