Securities Deposit

To deposit stock certificates into your BOCI Securities Limited account:

1. Endorse all stock certificates by signing in the space provided. ALL PARTIES WHOSE NAME APPEAR IN THE STOCK CERTIFICATE MUST DATE AND SIGN IN THE SPACE PROVIDED.

2. Indicate your BOCI Securities Limited account number on the upper right hand corner of both the front and back of each stock certificate IN PENCIL (DO NOT IN BALL PEN).

3. Hand delivers the duly endorsed share certificates to either one of the following addresses:
   
   BOCI Securities Limited                              Mongkok Branch                           Yuen Long Branch
   Business Operations Department                 3/F, May May Building,                   Unit 01-03, 9/F., Kwong Wah Plaza,
   22/F., Grand Millennium Plaza,                   683-685 Nathan Road,                   11 Tai Tong Road, Yuen Long, 
   181 Queen's Road Central,                         Kowloon, Hong Kong                     New Territories, Hong Kong
   Hong Kong          
    

    Remarks:

• The registered name of the stock certificate must be the same as the BOCI Securities Limited accountholder(s).
• No mailing of share certificate is accepted.
• Stock certificates received are subjected to a holding period from the date of your receipt, which varies according to the market in which it is listed, before the stock can be sold. 
• A questionnaire should be completed by client who deposits physical scrip(s) of US stock into his/her account with BOCI Securities Limited. No physical scrip deposit shall be accepted if the client fails to complete the questionnaire. Client must confirm the information provided in the questionnaire is true, complete and correct.
• To download the Questionnaire for Physical Deposit (US stock), please click here.
   

New Arrangement in Handling Physical Scrips / Transfer Agent-Initiated Deposits of Low Priced US Equity Securities

With effect from 1 December 2011, BOCI will no longer accept incoming deposits of physical scrips or transfer agent-initiated deposits (i.e. deposits/withdrawals at custodians (DWACs) or Direct Registration System (DRS)) for US equity securities that are either:

• Priced less than one cent per share (USD)
• Assigned to one of the bottom-three OTC market tiers (i.e. Caveat Emptor, Grey Market and No Information).

Clients will be responsible for confirming the US securities, being transferred / deposited in either form of physical scrip or electronic transfer, is not categorized as either one of above-mentioned (the “Low-Priced Securities”)

BOCI reserves the right to reject any deposit, including those that meet one or more of the red flags described in Regulatory Notice 09-05, regardless of the price or market. Handling fee that has been charged will be non-refundable. BOCI will not be responsible for any loss, delay of transfer, or transaction cost being involved arising from any “Low-priced securities”.

Transfer of Securities

To transfer securities from another securities firm/bank ("Outside Broker") to your account in BOCI Securities Limited ("BOCIS"), please

1. complete the Securities / Investment Products Settlement Instructions ("Form") of BOCIS;

2. sign the From by all the account holders;

3. mail or fax the duly completed and signed form to:
   
   Attn: Business Operations Department    
   BOCI Securities Limited
   22/F., Grand Millennium Plaza,     
   181 Queen's Road Central, Hong Kong
   Fax number: (852) 2185 6060                          

4. advise the Outside Broker of the intended share transfer to BOCIS. The receiving instruction for the transfer is as follows:
   
   

   Hong Kong Securities Custodian Name: HKSCC   CCASS Participant ID: B01130    Participant Name: BOCI Securities Limited   In favour of: (Your account name and your securities a/c No. at BOCIS)

   U.S. Securities Custodian Name: Pershing LLC   DTC and OCC Clearing No.: 0443　   Account Name: BOCI Securities Limited (BIC# BOCIHKHH)   Account Number: 74H-000247-2   In favour of: (Your account name and your securities a/c No. at BOCIS)

      Remarks:

• Please submit a separate Form for each Outsider Broker from which you are transferring securities;
• the account name with Outside Broker must be identical to your account name with BOCIS;
• you may send us a copy of your latest Statement of Account from the Outside Broker for our reference;
• share transfer of US stock will take place on the next business day after receipt of the Form by BOCIS;
• the transfer of securities will be reflected in your BOCIS account once the process is completed;
• you may only sell the securities after the securities has been reflected in your BOCIS account.