What can Standard Chartered Bank Online Securities Services do?
It provides the following key features:

What kind of shares can I trade online?
Currently, you can trade all securities listed on The Stock Exchange of Hong Kong Limited (SEHK) through our Online Securities Services, excluding those denominated in currencies other than Hong Kong Dollar and the Nasdaq-Amex Pilot Program Stocks.

Can I trade stocks listed on the Growth Enterprise Market (GEM) online?
Yes, you can trade GEM stocks through our Online Securities Trading Platform. Yet for some customers who have opened the securities account in early years, in which the account opening documents did not cover relevant Risk Disclosure Statements regarding GEM, they need to sign up separate Risk Disclosure Statements before being able to trade GEM stocks (this restriction applies on both Online Securities Trading and Phone channel). Please contact our Securities Services Hotline at 2886 6266 or visit any one of our branches if you have any questions.

What are the benefits of trading online?

Are there any FREE real-time quotes?

Can I get the latest market news from Online Securities Services?

What are the benefits of trading online?
Online trading allows you to get access to important trading information before you make an investment decision, e.g. your stock holdings, Available Purchasing Power and the latest stock price movement. It also allows you to place your order anytime, 24 hours a day, seven days a week.

Are there any FREE real-time quotes?
Yes, a number of FREE real-time quotes are available for your use once signing up our Online Securities Services, depending on your banking relationship with us.

Can I get the latest market news from Online Securities Services?
Yes, the Bank has arranged a registered Information Vendor of HKEx Information Services Limited to provide professional and comprehensive market information. You can enquire the information under "Market Express" on the left navigation menu.

Do I need a specific computer for using Online Securities Services?

How can I start trading via Online Securities Services?

After enrolling the Online Securities Services, can I still trade through other channel(s)?

Can I set my 1st landing page as Trading page after clicking "Securities Services"?

Do I need a specific computer for using Online Securities Services?
No, you can use any personal computer with proper security protection and internet access to use Online Securities Services. Yet do NOT conduct your Standard Chartered Online transactions using public or shared computer.

How can I start trading via Online Securities Services?
If you already have a securities account with us and are our existing Online Banking customer:

After enrolling the Online Securities Services, can I still trade through other channel(s)?
You can still trade through other channels such as our Securities Services Hotline
(2886 6000 for Priority Banking customers/ 2886 7000 for Preferred Banking customers/ 2886 8000 for Easy Banking and non-Relationship Package customers).

Can I set my 1st landing page as Trading page after clicking "Securities Services"?
Yes, you can set your 1st landing page at "Trading" or "Your Stock Portfolio" page under "My Preferences" on the left menu. Default landing page is "Your Stock Portfolio".

Can I place an order outside trading hours via Online Securities Services?

After entering my orders into the system, will they be sent to the Bank straight away?

How do I know the order is received by the Bank?

How do I know the order is executed or rejected?

Can I place an Enhanced Limit Order where order limit price is away from current market price?

Can I sell the stock I buy today?

Can I amend or cancel an order?

Will the Bank handle my instruction on the same trading day after I change the order?

How can I sell the odd lots?

What does Order Types mean?

What is a Market Order (MO)?

How is a Market Order being executed?

What is Stop Loss Order?

What is Stop Loss Price?

What is Lowest selling price?

What do I need to know about Secondary Market Trading of HKGB IBOND 1407 (stock code 04208.HK) and its trade settlement?

Can I place an order outside trading hours via Online Securities Services?
You can place an order at following times:

Order Type	Services Hours
Market Order	9:30 a.m. - 12:00 p.m. and 1:30 p.m - 3:59 p.m. of every SEHK trading day
At Auction Limit Order	Pre-opening Session 24 hours except 9:15 a.m. - 4:00 p.m. of every SEHK trading day
Other order types including but not limited to Enhanced Limit Order and Stop Loss Order	24 hours

When a valid order is received by our trading system after 4:00 p.m., the order will be stored in our system and processed on the next trading day. Customers are advised to check their order status and that the above order arrangement meets their trading need.

After entering my orders into the system, will they be sent to the Bank straight away?
There are 3 steps to enter an order

How do I know the order is received by the Bank?
After you have entered and confirmed the order/instruction details, an Order Acknowledgement Screen with an Order Reference Number will be displayed. This represents the order is received successfully by the Bank but it does not guarantee that your order will be executed or executed in a timely manner in the market. The Bank will process your order on a best effort basis but it may NOT be executed due to fluctuation in stock price, insufficient market liquidity, system failure or any other events beyond the control of the Bank. It is a good practice and your responsibility to enquire the order status through the "Order Enquiry" page. Should you come across any difficulties in accessing or have any queries about the execution status of your orders, you can also call our Securities Services Hotline(2886 6000 for Priority Banking customers/ 2886 7000 for Preferred Banking customers/ 2886 8000 for Easy Banking and non-Relationship Package customers).

How do I know the order is executed or rejected?
You can enquire the status of your orders through "Order Enquiry" page or enquire the same via our Securities Services Trading Hotline. Below is the order status description:

Can I place an Enhanced Limit Order where order limit price is away from current market price?
Yes, you can specify your desired limit price, yet and it would be stored in and monitored by the Bank's system and the order would only be sent to the SEHK when its limit order price falls within 24 spread range of the prevailing nominal price. The Bank reserves the absolute right to change this mechanism without prior notice.

Can I sell the stock I buy today?
Yes, you can sell the stock before settlement date as long as the buy order of the day has been partially or fully executed.

Can I amend or cancel an order?
Yes, you can amend or cancel any outstanding (i.e. partially filled or open status) order via Online Securities Services under "Order Enquiry" page. Simply go to "Order Enquiry" page, press "Modify" or "Cancel" button for the order which you want to modify or cancel.

Please note that there are some restrictions on Order Modification and Cancellation:

• For a partially-filled order, only the remaining portion which has not been filled can be modified or cancelled.
• When customer modifies the order price for an open Enhanced Limit Order which is queued in the SEHK, the order queuing in the SEHK will be cancelled, and the order with the modified price, if within 24 spreads of the prevailing nominal price, will be sent to the SEHK, otherwise, it will be stored in our system for monitoring and be sent to the SEHK when the aforementioned price condition is met.
• Also, the Limit Order Price of an outstanding Enhanced Limit Order being queued in the SEHK cannot be changed to a price level that is higher than the prevailing ask price (for buy order) or lower than the prevailing bid price (for sell order).
• For an open order, the order quantity cannot be increased. In case customer wishes to increase the order quantity, customer should either place a new order with incremental quantity or cancel the original order first and then place a new order with the new order quantity.
• During the Pre-opening Session, all orders cannot be modified or cancelled when Order Input Period for the session ends (at 9:15 a.m.).

Please note that this only represents the Order Change Request would be submitted to the Bank and this does not guarantee the order can be changed or cancelled successfully in the market. Customers are always advised to check the order status through "Order Enquiry" page.

Will the Bank handle my instruction on the same trading day after I amend/cancel the order?
Order amendments or cancellations made during trading hours will be handled on the same trading day upon receipt of instructions provided that the order has not been fully executed or cancelled.

How can I sell the odd lots?
Currently, odd lots are not supported via Online Securities Services. To sell odd lots, please call our Securities Services Hotline (2886 6000 for Priority Banking customers/ 2886 7000 for Preferred Banking customers/ 2886 8000 for Easy Banking and non-Relationship Package customers).

What does Order Types mean?

What is a Market Order (MO)?
A Market Order is an order without specifying the price that allows customers to buy or sell securities at the prevailing market price. It helps customers to avoid missing investment opportunity caused by setting a specific limit price. A Market Order that is entered into the trading system will be executed at the prevailing market price at time of execution.

However, customers should be aware that the final executed price may deviate considerably from the market price at the time of order placement due to market fluctuation and technical factors, especially at the beginning of morning and afternoon trading sessions due to the possible accumulation of orders submitted before market open.

Customers are also advised that a Market Order may only be partially-filled, and in some scenarios, cannot be filled for any order quantity. Customer should from time to check the execution status of Market Order from the “Order Enquiry” page.

How is a Market Order being executed?
Upon customers’ confirmation, the Bank will send out Special Limit Order to the Stock Exchange of Hong Kong Limited. The order will be matched with the five best price queues at the market (prevailing best queue and up to the 5^th queue at 4 spreads away at the time when the market order is being processed) with up to a maximum of 8 spreads above the prevailing best ask price for buy orders or below the prevailing best bid price for sell orders at the moment of order placement.

If all quantities are filled, the Market Order is fully executed. Otherwise, any unfilled quantity of the order from the first round of matching will be re-submitted into the market instantly for a maximum of 2 extra attempts of matchups. After all 3 attempts have been completed, any remaining unfilled order quantities will be automatically cancelled. In this case, the order status will still be described as “Fully Executed” referring that the Bank has already completed the whole processing of the Market Order at bank’s level. Customers are advised to click on the Order Reference hyperlink of the order from time to time to fetch the detailed order execution status in "Order Status Details" page.

Example (for illustration only):

Customer X has placed a market order to sell 200,000 shares of Stock ABC.

Assume that the prevailing best bid price of the stock is HK$16.00, and the price spread is HK$0.02.

Under the condition that the Bank will match the market order up to a maximum of 8 spreads from the prevailing best bid price, the Bank will only execute the order when the price is HK$15.84 or above.

Scenario 1 (Full execution of Market Order)

BID QTY $16.00 100,000 $15.98 50,000 $15.96 0 $15.94 30,000 $15.92 20,000 $15.90 200,000

Trade Executed (Sell) 100,000 shares @ HK$16.00 50,000 shares @ HK$15.98   30,000 shares @ HK$15.94 20,000 shares @ HK$15.92 Total: 200,000 shares

Execution Result: The Market Order is fully executed by selling all 200,000 shares after matching with the five best price queues in the prevailing market condition.

BID QTY $16.00 90,000 $15.98 30,000 $15.96 0 $15.94 20,000 $15.92 10,000 $15.90 200,000

Trade Executed (Sell) 90,000 shares @ HK$16.00 30,000 shares @ HK$15.98   20,000 shares @ HK$15.94 10,000 shares @ HK$15.92 Total: 150,000 shares

BID QTY $15.98 10,000 $15.96 5,000 $15.94 0 $15.92 4,000 $15.90 1,000 $15.88 200,000

Trade Executed (Sell) 10,000 shares @ HK$15.98 5,000 shares @ HK$15.96   4,000 shares @ HK$15.92 1,000 shares @ HK$15.90 Total: 20,000 shares

BID QTY $15.90 5,000 $15.88 2,000 $15.86 0 $15.84 3,000 $15.82 1,000 $15.80 200,000

Trade Executed (Sell) 5,000 shares @ HK$15.90 2,000 shares @ HK$15.88   3,000 shares @ HK$15.84 Total: 10,000 shares

The unfilled portion of the order (i.e. 20,000 shares) will be automatically cancelled.

BID QTY $15.82 60,000 $15.80 40,000 $15.78 100,000 $15.76 80,000 $15.74 30,000 $15.72 200,000

Trade Executed (Sell)         Total: 0 shares

Customer needs to re-submit a new Market Order in this scenario.

What is Stop Loss Order?
Stop Loss Order is a sell instruction that allows you to preset the selling price range, i.e. Stop Loss Price and Lowest Selling Price. Once the current nominal price of the securities hits or falls below your pre-set Stop Loss Price but still higher than the Lowest Selling Price, your sell order will be submitted to the market with the Lowest Selling Price set as the Limit Price of the sell order. However, a full / partial execution is not guaranteed as there may be outstanding orders from other investors in the order queue ahead of yours and order execution is also subject to certain factors including but not limited to market fluctuation and market liquidity.

The order may be fully executed, partially executed or even unexecuted. The executed price may also be Better, Equal To or Worse than your specified Stop Loss Price but would not be lower than your Lowest Selling Price. Please note that once the Stop Loss Order is triggered, regardless of the final execution result at the end of the trading day, the order will lapse and will not be carried forward to next trading day. For a Stop Loss Order, only cancellation request would be accepted. If you wish to modify an outstanding Stop Loss Order, you have to cancel it first and submit a new order. Also, Stop Loss Order is not applicable for Pre-opening Session.

An illustrative example is shown below:

What is Stop Loss Price?
Stop Loss Price is the selling price pre-set in Stop Loss Order. If the nominal price of the securities hits or falls below this Stop Loss Price, the Bank's system will place the sell order to the market with the Lowest Selling Price set as the limit price.

What is Lowest selling price?
Once the Stop Loss Order is triggered, it will be executed only when the selling price is not lower than this pre-defined lowest selling price. It helps to limit your losses amid volatile market conditions.

What do I need to know about Secondary Market Trading of HKGB IBOND 1407 (stock code 04208.HK) and its trade settlement?
Customers can trade HKGB IBOND 1407 (stock code 04208.HK) in the SEHK via OST or Securities Hotline. Customers need to know that the accrued interest of the IBOND would be taken into account to derive the settlement amount of the trade. The accrued interest would be paid to the existing IBOND holder who entitles the interest.

The accrued interest of the IBOND would be added to customer’s transaction amount for trade settlement.

The accrued interest amount would be displayed in customer’s contract note of the trade.

The accrued interest would be derived as following:
= [( P x R ) / 365] x D [rounded to 2 decimal points]

Where:
P = Nominal Amount of the IBOND

R = Indicative per annum interest rate
(i.e. for trades that are settled before the 1st interest payment date(30 Jan 2012), the indicative per annum interest rate is 4.02%)

D = No. of calendar days for interest accrual calculation

• For Trades to be settled on or before the 1st interest payment date (i.e. 30 Jan 2012), D is the number of calendar days from the Issue Date i.e. 28 July 2011 till Trade Settlement Date - 1 (both days inclusive)
  
  e.g. Trade Date is 4 Aug 2011, Trade Settlement Date is 8 Aug 2011
  D is counted from 28 July 2011 to 7 Aug 2011 = 11 days
  
  
• For Trades to be settled after the 1st interest payment date (i.e. 30 Jan 2012), D is the number of calendar days from the last interest payment date till the Trade Settlement Date - 1
  
  e.g. Trade Date is 1 Feb 2012, last interest payment date (in this case, 30 Jan 2012),
  Trade Settlement Date is 3 Feb 2012
  D is counted from 30 Jan 2012 to 2 Feb 2012 = 4 days

What does "Available Purchasing Power" means?

What is the amount of fund to be held after placing a "Buy" order?

Will there be any adjustment of hold fund after the order is executed?

Will hold fund apply if there are funds from "Sell" order of the same day?

When will the hold fund be released?

What does "Available Purchasing Power" means?
It is the available fund for you to purchase the stock and it is derived from:
= available balance from settlement account + unsettled fund from sell - unsettled fund from buy - unsettled transaction fees

"Available Purchasing Power" can be enquired upon the "Trading" pages. Please note that for a Sell transaction completed TWO days before a non-trading day, the accrued but unsettled sales proceeds will NOT be counted in "Available Purchasing Power" during the non-trading day. It will only be counted as "Available Purchasing Power" on the subsequent trading day.

What is the amount of fund to be held after placing a "Buy" order?
Amount of fund to be held will be calculated according to the below formula:

• For non-market orders = Limit price * number of shares + all transaction fees
• For market orders = (Nominal price plus 8 spreads) * number of shares + all transaction fees

Will there be any adjustment of hold fund after the order is executed?
On the order execution date, hold fund will be adjusted at night according to the actual debit amount and the exact amount will be debited from settlement account on T+2 days.

Will hold fund apply if there are funds from "Sell" order of the same day?
If the "Sell" order is filled before placing the "Buy" order, hold fund may not be necessary if the sales proceeds can totally finance the "Buy" order. If the sales proceeds cannot fully cover the "Buy" order, the Bank will only hold the net amount.

If the "Sell" order is filled only after "Buy" order, hold fund will be adjusted upon the "Sell" order is filled.

Please note that the above logic only applies to SAME day buy/sell order only.

When will the hold fund be released?
For buy order submitted before 4:00 p.m. on a trading day, hold fund will be released (i) immediately upon the buy order is successfully cancelled, or (ii) before 7:00 p.m. on that trading day after the buy order is expired.

For buy orders submitted after 4:00 p.m. of a trading day, fund held for the buy order will only be released after 8:30 a.m. on the next trading day if customer cancels the buy order after 7:00 p.m. on the day of order placement. Fund hold adjustment will also only take place after 8:30 a.m. on the next trading day if customer reduces the order quantity or order price after 7:00 p.m. on the day of order placement.

Will there be any instant notification after order is executed?

Will there be price alert services when a stock has reached my target price?

Can I change my mobile number or email address via online?

Any charges for email or SMS notification?

Will there be any instant notification after order is executed?
You may receive SMS and/or Email confirmation when your order is partially executed or fully executed. If you want to enjoy this complimentary instant order notification service, please call our Securities Services Hotline or visit any one of our branches for registration. Once you have registered this service, all orders placed via Online Securities Services or Securities Services Hotline will enjoy this instant notification service.

Please note that for joint-name securities account, only the Primary Account Holder can apply for this service. Order Confirmation will only be sent to the mobile phone and/or email address of the Primary Account Holder.

Will there be price alert services when a stock has reached my target price?
Yes, you can place your stock watch under "Price Alert" function on left menu. There will be email or SMS alert once the price reached the target. The Bank will charge the customer for each SMS alert sent. Customer should refer to the Service Charges Booklet for the charge.

Can I change my mobile number or email address via online?

• For instant order notification, both mobile number and email address need to be pre-registered and cannot be changed via online. Please visit any one of our branches for mobile phone number and email address changes and these changes will be applied to the Bank's record for future communication.
• For price alert service, you can change the mobile number and email address via online. This change will not alter your records maintained with the Bank.

Any charges for email or SMS notification?
All order notifications are free of charges. However, for price alert, it will be subject to charge accordingly. For details, please refer to the "Service Charges Booklet".

For further information, just call our Customer Service Hotline at (852) 2886 8868 (Press 2,6,0 to talk to our Customer Service Representative).

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