Fee Structure

Advised Portfolios
Stock Trading

Annual Advisory Fees
All portfolios except SmartGlobal UltiMax (HKD or Equivalent)

Portfolio Value*<$100K
0.8%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*$100K - $500K
0.7%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*$500K-$1M
0.6%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*>$1M
0.5%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*<$100K
0.8%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*$100K - $500K
0.7%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*$500K-$1M
0.6%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
Portfolio Value*>$1M
0.5%Asset Allocation &
SmartStock Portfolios
0%Cash Management Portfolios
HK Stocks
Commission Fee0.03% of transaction value
(Min: HK$ 3 per transaction)
Platform FeeHK$ 15 per transaction
US Stocks
Commission Fee$0.0049 per share
(Min. order: US$0.99)
Platform Fee$0.005 per share
(Min. order: US$ 1)
Northbound Stocks
Commission Fee0.03% of transaction value
(Min: CNH 3)
Platform FeeCNH 15 per order
*Portfolio Value refers to the sum of your investments in our Asset Allocation, SmartStock, and Cash Management portfolios. Does not include cash in cash account and investments in SmartGlobal UltiMax.

Annual Advisory Fees for SmartGlobal UltiMax
(HKD or Equivalent)

Portfolio Value<$500K
1.0%
Portfolio Value$500K-1M
0.9%
Portfolio Value$1M-3M
0.8%
Portfolio Value>$3M
0.7%
Portfolio Value<$500K
1.0%
Portfolio Value$500K-1M
0.9%
Portfolio Value$1M-3M
0.8%
Portfolio Value>$3M
0.7%
Want to know our fee calculations?
Service and Third-Party FeesIncludes fees charged on behalf of regulatory bodies such as the HKEX, U.S. SEC, and the U.S. IRS. Securities Trading and Regulatory fees will be included in each transaction as a small mark-up to an underlying asset’s price (applicable to HK and US portfolios only).
HK Stock Charges
U.S. Stock Charges
Northbound Stocks
HK Stock Charges
U.S. Stock Charges
Northbound Stocks

Securities Trading

CCASS Settlement Fee
HKEX, AQUMON
0.005% on gross amount
(Min: HK$ 5.5/ Max: HK$ 100)
Per Transaction

Nominee Services & Corporate Action

Trading Tariff
HKEX
HK$0.50
Per Transaction
Stamp Duty
Hong Kong Government
0.13% on gross amount (Min: HK$1)
HK-listed ETFs exempted from stamp duty
Per Transaction
HKEX Trading Fee
HKEX
0.005% on gross amount
(Min: HK$0.01)
Per Transaction
SFC Transaction Levy
HKSFC
0.0027% on gross amount
(Min: HK$0.01)
Per Transaction
FRC Transaction Levy
Financial Reporting Council
Effective January 1, 2022
0.00015% on gross amount
(Min: HK$0.01)
Per Transaction
Scrip Fee
HKEX
HK$1.5 per lot
Per Dividend Payment
Bonus Shares Collection Fee
HKEX, AQUMON
HKEX: HK$1.5 per lot
AQUMON: HK$1 per lot;
(Min: HK$30 / Max: HK$2,000)
Per Bonus Shares Issuance
Dealing with Corporate Actions (such as takeover offers)
HKEX, AQUMON
HKEX: Variable
AQUMON: HK$1 per lot;
(Min: HK$30)
Per Event

Fund/Security Transfer Fees

Transfer Deed
Hong Kong Government
HK$5 for each transfer deed
Per Transaction
HK Stock Withdrawal
AQUMON
HKD10 per board / odd lot
(Min: HKD100)
Per Transfer
Remarks:
Starting from August 1, 2021 (Sunday), the rate of Stamp Duty payable on contract notes for the sale or purchase of Hong Kong stocks will be increased from 0.1% to 0.13%, as a percentage of transaction value.

Securities Trading

US 3rd Party Stock Commission
3rd Party Brokerage Firm
US$0.0035 per share
(Min: US$0.48 per order/ Max: 1% on gross amount)
Per Transaction
US Stock Settlement Fee
US Settlement Agency
US$0.003 per share
(Min: US$0.01 per order)
Per Transaction

Nominee Services & Corporate Action

Transaction Fees
U.S. SEC
0.00051% on gross amount
(Min: US$0.01) for per sell order
Per Transaction
FINRA Trading Activity Fee
Financial Industry Regulatory Authority
US$0.00013 per share
(Min: US$0.01 / Max: US$6.49) for per sell order
Per Transaction
ADR Custodian Fee
Depository Trust Company
US$0.01 - 0.05 per share
Per Time
Dealing with Corporate Actions (such as takeover offers)
AQUMON
US$3
Per Event

Fund/Security Transfer Fees

US Stock Withdrawal
AQUMON
USD100 per stock
Per Transfer

Other Services

Withholding Tax
U.S. Internal Revenue Service
30% of dividend for HK and overseas residents
10% of dividend for mainland China residents
Per Dividend Payment
Remarks:
For clients with less than one share, the corporate action fee is calculated based on the fraction held.

Nominee Services & Corporate Action

Handling Fee
SSE/SZSE
0.00487% on gross amount
(Min: CNH0.01)
Per Transaction
Securities Management Fee
CSRC
0.002% on gross amount
(Min: CNH0.01)
Per Transaction
Stamp Duty
SAT
0.1% on gross amount
(Only charged when selling)
Per Sell Order
Onshore Transfer Fee
CSDC
0.001% on gross amount
(Min: CNH0.01)
Per Transaction
Domestic Transfer Fee
HKSCC
0.002% on gross amount
(Min: CNH0.01)
Per Transaction
Portfolio Fee
HKSCC
Holding Stock Value * 0.008% / 365
Accrued Daily and Charged Monthly
Dividend Tax
SAT
10% of dividend and bonuses
Per Dividend Payment

Fund/Security Transfer Fees

Northbound Stock Withdrawal
AQUMON
CNH10 per board / odd lot
(Min: CNH100)
Per Transfer