This service applies to the inbound and outbound transfer of Soochow Securities holdings (HK stocks and US stocks) between your accounts under the same name with other brokerage firms.

1.You may submit an application via the Trading App homepage, through the path: [Client Services → Securities Settlement → Stock Position Transfer Instruction].

2.Complete the [ Investment Product Settlement Instruction] form, and submit it to our firm via email notification.

Procedures

1.Obtain the Position Transfer Instruction Form from both brokerage parties

Our firm’s form: Access via Form Download section, or via the path on Trading App homepage: Client Services - Securities Settlement - Stock Position Transfer Instruction for application submission.

Counterparty brokerage firm’s form: Obtain through the official website of the counterparty brokerage, or contact your account manager at the counterparty firm.

2.Submit the Position Transfer Instruction Form

The form shall be completed with information of both participating brokerage firms. Please obtain counterparty firm details directly from the respective institution. Soochow Securities’ brokerage information is provided below:

HK Stock Information (Required for HK stock transfer)

3.Notify the Counterparty Brokerage Firm

Take a photograph of the fully completed document, and send it via email to notify the counterparty firm of your outbound/inbound stock transfer request.

4.Notify Soochow Securities for Inbound/Outbound Stock Transfer

Take a photograph of the fully completed document, and send it via email to clientservice@dwzq.com.hk

5.Await Confirmation Response from Client Services Team

6.Reminders

After notifying both Soochow Securities and the counterparty brokerage firm, please allow sufficient processing time. The two brokerages will conduct internal coordination and verification. The stock transfer procedure will commence upon full validation of all details.

Same-name Transfer Only: Inter-brokerage stock transfers are exclusively permitted between accounts registered under the identical account holder name.

7.Position Transfer Fees

General Rule: Outbound transfers are subject to fees levied by the transferring brokerage; inbound transfers are fee-exempt for the receiving brokerage.

Inbound Stock Transfers: No fees shall be charged by Soochow Securities;

Outbound Stock Transfers from Soochow Securities: HK stocks: 0.1% per lot, with a minimum charge of HKD 100 per security. US stocks: A handling fee of USD 30.00 per security, plus all applicable local exchange, regulatory authority and bank-related ancillary charges

8.Transfer Processing Timeline

Outbound HK stock transfers: 1-3 working days. Outbound US stock transfers: Longer processing cycle due to mandatory counterparty identity verification, with an estimated duration of 3 to 15 working days. (The above timelines are for reference only; actual completion date shall be subject to the official processing period of both participating brokerages.)

After notification is submitted to both Soochow Securities and the counterparty brokerage, please await patiently for inter-brokerage coordination. The transfer operation shall initiate once all details are fully verified and validated.