New Region Securities have Cash Account, Stock Margin Account and On-line Trading Account are available to apply.

Customers may visit New Region Securities Co., Ltd to open an account (with the original supporting documents) Or send the completed forms to us by post. Relevant Account Opening Documents includes: (1) Identification proof – Identity card or passport copy (2) Address proof within 3 months – A copy of a bill sent by public utility, banking institution, or correspondences from Government Please provide the correct bank contact information: including accurate bank name and account number. If the customer cannot provide the correct bank details, we will not be able to deposit the money accurately into the client’s bank account. New client shall deposit the required amount before purchase, we will update the client’s account balance for the operation of the purchase after the bank has confirmed receipt Non face-to-face Clients For non face-to-face clients may submit their application by post. Clients are required to complete the above account opening documents and mail them to: Unit 2907-09, Wing On House, 71 Des Voeux Central, Central, Hong Kong In addition, applicants are required the followings to verify his/her identity proof: a. Please mail a crossed personal cheque of HK$10,000 as deposits which can be used for trade purpose. Cheques must meet the following criteria : Cheques are made payable to New Region Securities Company Ltd; must be a personal cheque issued by a licensed bank in Hong Kong; and The full name and signature of the customer shown on the cheque must match the account opening form b. Certify all mailed documents by notary public or professionals (e.g. lawyer, certified public accountant, branch manager of a bank or any other licensed registered person). c. Customers can visit our designated law firms in China for witness services. Please contact our Customer Service Department for further details.

In general, if all required account opening documents is completed by clients, the Company can complete the account opening procedures within 3 three working days.

Please visit our office in Unit 2907-09, Wing On House, 71 Des Voeux Central, Central, Hong Kong. Or browse our website to download the forms.

New Region Securities Co., Ltd currently not providing Short Sales of Securities services.

There are three (3) ways : Physical stock deposit (STOCK DEPOSIT) – Clients deliver the securities directly to New Region Securities Co., Ltd. Bring the shares and visit New Region Securities’ Settlement department for processing. Upon receipt of the shares, we shall deliver to Hong Kong Securities Clearing Company Ltd for custodian and re-registration. Individual account deposit (ISI-RECEIPT) – Clients transfer their shares from Central Clearing to individual account. Upon receipt of the request, we shall instruct Central Clearing System to transfer the securities from client’s designated account to New Region, at the same time, client is responsible to issue instruction to Central Clearing System. After Central Clearing System has confirmed that the shares have been received, we will deposit the shares into the account maintained with our company. Requests received after 3pm on each day will be handled on the following trading day. Central Deposit (SI-RECEIPT) – Request other securities companies to transfer securities to your account maintained with New Region Securities. Client requires to visit our Company and sign the “Securities Settlement Instruction” form, fax or mail back the original copy. Upon receipt of the request, New Region Securities will collect the securities through Central Clearing System from the counter party on the designated date, and instruct custody agent to wait for the receipt of the shares in Central Clearing System. Then issue to the settlement agent the same instruction, deliver the shares through Central Clearing System. When we have confirmed that the custody agent (Central Clearing) has received the shares, such shares will be recorded in the client’s account maintained with the Company. Processing time is not less than one trading day. The Company will charge the clients handling fee. Requests received after 3pm on each day will be handled on the following trading day.

There are three (3) ways : Physical stock withdrawal (STOCK WITHDRAWAL) – Securities directly delivered to clients. Clients may visit New Region Securities to sign “Withdrawal form”, fax or mail back the original for processing. After receipt of the physical shares, New Region Securities will immediately notify clients to collect the securities at the company’s Settlement Department. The Company will charge clients withdrawal fee. Requests received after 3pm on each day will be handled on the following trading day ※Attention: If clients have not re-register the change of name after receipts of the shares, New Region Securities will not and cannot be responsible for any consequential liabilities Individual account deposit (ISI-RECEIPT) – Clients transfer their shares from Central Clearing to individual account. Upon receipt of the request, we shall instruct Central Clearing System to transfer the securities from client’s designated account to New Region, at the same time, client is responsible to issue instruction to Central Clearing System. After Central Clearing System has confirmed that the shares have been received, we will deposit the shares into the account maintained with our company. Requests received after 3pm on each day will be handled on the following trading day. Central Deposit (SI-RECEIPT) – Request other securities companies to transfer securities to your account maintained with New Region Securities. Client requires to visit our Company and sign the “Securities Settlement Instruction” form, fax or mail back the original copy. Upon receipt of the request, New Region Securities will collect the securities through Central Clearing System from the counter party on the designated date, and instruct custody agent to wait for the receipt of the shares in Central Clearing System. Then issue to the settlement agent the same instruction, deliver the shares through Central Clearing System. When we have confirmed that the custody agent (Central Clearing) has received the shares, such shares will be recorded in the client’s account maintained with the Company. Processing time is not less than one trading day. The Company will charge the clients handling fee. Requests received after 3pm on each day will be handled on the following trading day. Effective date: October 2016 *odd lot shares will be calculated as one lot, there is no separate notice for any changes of the above fees.

Funds may be deposited by cheque or fund transfer to the following bank accounts of the Company: New Region Securities Company Limited Chong Hing Bank：256-10-248338-2 OR Bank of China (Hong Kong) Ltd：012-91600824-181 OR FPS : 6079 3770 (Phone Account No.)

Please notify us by telephone after depositing or whatsapp the cheques to +852 60793 770

Transaction Statement After the client has made a share trade, the Company will issue the relevant purchase and sale contract send by post or email to the client before the end of the next trading day after the trade, detailing the date of settlement and the contents of the trade. Daily Statement After the client deposit or withdraw the shares or cash, shares delivery or shares transfer, the Company will also send statement to the client before the end of the next trading day after the sale, including the activities of the client’s securities account on that date. Monthly Statement If the client’s securities account has any activities during the month or any balance at the end of the month. The Company will also send monthly documents to the relevant clients to summarize their activities during the month and specify the account situation.

New Region Securities Co., Ltd accepts Limit order, Market price order, At-Auction order, etc. The types of buy and sell order can be found at: https://www.hkex.com.hk/services/trading/securities/overview/trading-mechanism

Clients are required to sign in person or send the completed Online Securities Trading Agreement by post to New Region Securities Company Ltd. Once approved, the Company will send the account number, login number and password to the client by e-mail, which can be activated. For online securities trading accounts need to sign the Client Authorization Agreement, online securities trading clients need to deposit enough funds in the account to buy shares in the electronic trading system, and the proceeds from sale of shares will be recorded in client’s account until the client issue withdrawal instruction, then the Company will deposit the funds into the client’s bank account.

New Region Securities Company Ltd has a designated telephone line no. (852) 2525 6966 to accept instructions from clients to trade. This designated telephone line only accepts and processes trade orders and does not provide advice on shares investments.

In the event of a problem with network access, you can also check your account status and trade through our supporting hotline no. (852) 2525 6966.

The Investor Compensation Fund is established by the Securities and Futures Ordinance on 1 April 2003 and replaced the UECF and the CECF. It is now a single fund that covers defaults of exchange participants and non-exchange participants including licensed intermediaries and authorized financial institutions. The compensation is applied on a per-investor basis. For defaults occurring on or after 1 January 2020, the compensation limit is raised from HK$150,000 to HK$500,000 for trading securities and futures contracts respectively. For details and pls refer to : www.hkicc.org.hk