3. Securities Transfer-Out/Transfer-In Issues

3. Securities Transfer-Out / Transfer-In Issues

3A Q: How can the transfer fee be modified for a manual transfer-out?

A: On the “Securities Management > Securities Withdrawal > Withdrawal Details” page, click “Modify Transfer-Out Fees.”

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After submitting a manual transfer-out, if the application status remains in the “Initialized” state because “Submit for Review” has not been clicked, it can be modified in “Withdrawal Details.” If it has been submitted for review, it cannot be modified.

3B Q: How are applications for transferring physical shares out and in processed?

A: In Manual Transfer-Out / Manual Transfer-In, select the type as physical shares by choosing “Yes” (see 3B Figure 1 and Figure 2). Because physical shares require an OTCR declaration, you can view the report in SDR070 - OTCR Report.

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Before processing physical-share declarations or transferring shares in or out, please confirm the client has agreed to HKIDR (see 3B Figure 3).

3B Figure 1

On the “Securities Management > Securities Withdrawal” page, click “Manual Transfer-Out”

3B Figure 2

On the “Securities Management > Securities Deposit” page, click “Manual Transfer-In”

3B Figure 3

3C Q: How can the counterparty or our broker information for “Notify Broker” be modified?

A: The “Notify Broker” information in Securities Deposit / Withdrawal (see 3C Figure 1 and Figure 2) can be modified by navigating to “Securities Management > Broker Information Configuration > Our Broker Information / Counterparty Broker Information” (see 3C Figure 3 and Figure 4) and clicking “Edit” to update our or the counterparty broker information.

3C Figure 1

3C Figure 2

3C Figure 3

3C Figure 4