Securities Trading - Bank of Communications (Hong Kong) Limited

1.	What is enhanced limit order ?* An enhanced limit order will allow matching of up to 10 price queues (i.e. the best price queue and up to the 10th queue at 9 spreads away) at a time provided that the traded price is not worse than the input price. The sell order input price cannot be made at a price of 10 spreads (or more) below the current bid price whereas the buy order input price cannot be made at a price of 10 spreads (or more) above the current ask price.
2.	What is At-auction limit order?* An at-auction limit order is an order with a specified price. An at-auction limit order with a specified price at or more competitive than the final IEP (in case of buying, the specified price is equal to or higher than the final IEP, or in case of selling, the specified price is equal to or lower than the final IEP) may be matched at the final IEP subject to availability of eligible matching order on the opposite side. An at-auction limit order will be matched in price and time priority at the final IEP. No at-auction limit order will be matched at a price worse than the final IEP. *Sources: Hong Kong Stock Exchange (HKEx)
3.	Does enhanced limit order & At-auction limit order have limit for input price? Customers place the Buy-Type “At-auction Limit Order” or “Enhanced Limit Order” during Pre-opening Session or Continuous Trading Session through the Bank, the input price cannot be made at a price of 10 spreads above the current ask price; whereas place the Sell-Type At-auction Limit Order or Enhanced Limit Order, The input price cannot be made at a price of 10 spreads below the current bid price.
4.	What is Trigger Order? Trigger Order is an order type available to our Bank's customers to buy/sell for stock at a specified level (i.e. Trigger Price) for a certain quantity. Customers require to set a "Stop Price" at which the order will be suspended. For those outstanding parts of the Trigger Order, it will be placed on the Bid/Ask queue of such stock in the market up to seven (7) calendar days. Trigger order divided into 4 types: Trigger purchase order (Price goes up): "Stop Price" must higher or equivalent to “Trigger Price” Trigger sales order (Price goes up): "Stop Price" must lower or equivalent to “Trigger Price” Trigger purchase order (Price goes down): "Stop Price" must higher or equivalent to “Trigger Price” Trigger sales order (Price goes down): "Stop Price" must lower or equivalent to “Trigger Price”

“Pre-opening Session (POS)” Frequently Asked Questions and Answers

What is a Pre-opening Session (POS)??
The Pre-opening Session (POS) aims to determine a fair opening price for securities and reduce the loading of the trading system at the commencement of the Continuous Trading Sessions (CTS). Orders are accumulated over a certain period of time and matched at ta pre-defined order matching period. Orders are matched in order type, price and time priority, at the final Indicative Equilibrium Price (IEP). The time sequence of POS is as follow：

Period	Trading Hours
Order Input Period	9:00 am – 9:15 am
No-cancellation Period	9:15 am – 9:20 am
Random Matching Period	9:20 am – up to 9:22 am
Blocking Period	After matching – 9:30 am

What securities are covered under the POS?
The POS will cover all equities (including depository receipts, investment companies, preference shares and stapled securities), funds (including Exchange Traded Funds (ETFs) and REITs) and leveraged and inverse products (L&I Products) (together the “POS Securities”). Nevertheless, debt securities, structured products (including Derivative Warrants, Callable Bull/Bear Contracts and Inline Warrants), equities warrants and rights are not covered. Please refer the Full List of POS Securities on HKEX website.

Is there any restriction for the Order Types and Price Limits for the POS??
Only at-auction orders and at-auction limit orders can be inputted during the POS. And the price limits of at-auction limit orders are as follow:：

Applicable Period(s)	Allowable Price Limits
Order Input Period	Stage 1 Price Limit: ± 15% from the previous closing price ⁽¹⁾
No-cancellation Period	Stage 2 Price Limit： Recorded at the end of the Order Input Period as follow: Upper Limit: higher of the lowest ask and the highest bid Lower Limit: lower of the lowest ask and the highest bid
Random Matching Period

((1): In the absence of a previous closing price (e.g. for IPO stocks) or for stocks resuming from trading suspension, the price limit of Order Input Period is not applicable.)

How does the POS work?

Time	9:00-->	9:15-->	9:20-->9:22	9:22-->9:30
Session	Order Input Period(15 min)	No-cancellation Period(5 min)	Random Matching Period(0-2 min)	Blocking Period(8-10 min)
Description	Price Limit：			Unfilled at-auction limit orders will be carried forward to Continuous Trading Session (CTS) as limit orders
	Stage 1： ± 15% of previous closing price	Stage 2 Price Limit： Recorded at the end of the Order Input Period as follow: Upper Limit: higher of the lowest ask and the highest bid Lower Limit: lower of the lowest ask and the highest bid
	Order Types Allowed：
	At-auction Order
	At-auction Limit Order
	Order Input, Cancellation & Amendment：
	Allowed Input / Cancel / Amend	Allowed: Input Not allowed: Cancel / Amend

Order Input Period：
- At-auction orders and at-auction limit orders within the ±15% price limits (i.e. Stage 1 Price Limit) can be entered for POS Securities. Outstanding orders can also be amended or cancelled during this period.
No-cancellation Period:：
- The allowable price limits are tightened in this period. The price limits in this period (i.e. Stage 2 Price Limit) are determined based on the prices recorded at the end of Order Input Period. The details are as follow：
  - Stage 2 Upper Limit: higher of the lowest ask and the highest bid; and；
  - Stage 2 Lower Limit: lower of the lowest ask and the highest bid
- The price ranges for the input of at-auction limit orders are as follow: ：
  - Buy Orders: Previous Close - 15% ≤ Order Price ≤ Stage 2 Upper Limit
  - Sell Orders: Previous Close + 15% ≥ Order Price ≥ Stage 2 Lower Limit
Random Matching Period：
- The rules for order input, cancellation and amendment in this period are the same as those in the No-cancellation period. The order matching takes place randomly within this two-minute period. The Random Matching Period will end immediately upon the start of order matching.
- At the end of the Random Matching Period, orders for all POS Securities are matched at their respective final Indicative Equilibrium Prices (IEP). Order matching is based on order type (at-auction orders first then at-auction limit orders), price and then time priority. In case where the final IEP cannot be established during the POS, no order matching will occur.
- Unfilled at-auction orders will be cancelled, while unfilled at-auction limit orders with order price not deviating 9 times or more from the nominal price will be converted to limit orders and carried forward to the CTS.
Blocking Period：
- Once order matching is completed, the Blocking Period starts immediately and continues until 9:30 am. Orders and manual trades can no longer be entered, amended or cancelled during the Blocking Period.

"Closing Auction Session (CAS)" Frequently Asked Questions and Answers

What is a Closing Auction Session (CAS)?
A closing auction is a commonly used trading mechanism which allows trades to be executed at the closing price. During a closing auction, market participants may input buy and sell orders, with the price that most volume can be traded at forming the closing price. All orders will then be executed at that price.

HKEX launches CAS on 25 July 2016. For the securities markets, the market closing time will change from 16:00 to a random closing of anytime between 16:08 and 16:10 for a normal trading day. It will change from 12:00 to a random closing of anytime between 12:08 and 12:10 for a half day trading. There would be CAS in half trading days as well, so that trading hours of the CAS Securities would be extended accordingly.

	Whole Day Trading	Half Day Trading
Reference Price Fixing Period	16:00-16:01	12:00-12:01
Order Input Period	16:01-16:06	12:01-12:06
No Cancellation Period	16:06-16:08	12:06-12:08
Random Closing Period	16:08-16:10	12:08-12:10

What securities are covered under CAS?
The CAS will be rolled out in two phases. Phase 1 (to launch on 25 July 2016) will include all Hang Seng Composite LargeCap and MidCap index constituent stocks, H shares which have corresponding A shares listed on the exchanges in Mainland China and all ETFs. Phase 2 will be launched subject to a review of Phase 1 of HKEX. Please refer the CAS stocks list in HKEX websites.

How the restriction for the Order Types and Price Limits for the CAS?
Only at-auction orders and at-auction limit orders may be input during the CAS. All other order types, such as limit orders / enhanced limit orders / special limit orders /odd lots / special lots, will be rejected. Also, a two-stage price limit will be applied to control the price of limit orders which are either carried forward from the CTS to the CAS, or newly input during the CAS.

Applicable Session	Scope of Price Limit
Order Input Period	±5% from reference price
No Cancellation Period Random Closing Period	Within the lowest ask & highest bid at the end of Order Input Period as recorded at 16:06

How does the CAS work?

In the first period (Reference Price Fixing Period), a reference price, which sets the allowable price limit of the CAS (±5 per cent from the reference price), is calculated for each CAS security. The reference price is determined by taking the median of 5 nominal prices in the last minute of the Continuous Trading Session (CTS) and the system will take 5 snapshots on the nominal prices.
In the second period (Order Input Period), at-auction orders and at-auction limit orders within the ±5% price limit can be entered, amended or cancelled.
Starting from the third period (No-Cancellation Period), at-auction orders andat-auction limit orders can be entered. However, the prices of new at-auction limit orders must be between the lowest ask & highest bid recorded at the end of Order Input Period (i.e. recorded at 16:06), and no orders can be amended or cancelled.
In the last period (Random Closing Period), the order rules from the No Cancellation period apply and the market closes randomly within two minutes. After the period, there's order matching for all CAS securities. In cases where no final IEP is established during the CAS, the reference price would become the closing price. This price would also be used for order matching based on matching priority, i.e. by order type, price and then time.

* There would be CAS in half trading days as well, so that trading hours of the CAS Securities would be extended accordingly.

Sources: Hong Kong Stock Exchange (HKEx)

“Volatility Control Mechanism (VCM)" Frequently Asked Questions and Answers

1.	What is the Volatility Control Mechanism (VCM)? The Volatility Control Mechanism is designed to prevent extreme price volatility from trading incidents such as a “flash crash” and algorithm errors, and to address systemic risks from the inter-connectedness of securities and derivatives markets. Many international exchanges have implemented some form of VCM. In the case of HKEX's VCM, if the price deviates more than a predefined percentage within a specific time frame, it will trigger a cooling-off period for five minutes. This provides a window allowing market participants to reassess their strategies, if necessary. It also helps to re-establish an orderly market during volatile market situations.
2.	What instruments are covered under the VCM? In the securities market, VCM will only be applied to Hang Seng Index (HSI) and Hang Seng China Enterprises Index (HSCEI) constituent stocks (together the VCM securities). Please refer the list of VCM Securities in HKEX websites.
3.	How does the VCM model work? HKEX has adopted a dynamic price limit VCM model for the securities and derivatives markets, which would trigger a cooling-off period in case of abrupt price volatility detected at the instrument level. For the securities market, the VCM is triggered if the price of a VCM security is deviated more than ±10% away from the last traded price 5-min ago; A 5-min cooling-off period will start. During the cooling-off period, trading is allowed within a pre-defined price band (±10% from the reference price). Normal trading without restriction will resume after cooling-off period.
4.	What is the applicable period for VCM monitoring? VCM monitoring is applicable to continuous trading session (CTS), excluding: the first 15 minutes of the morning and afternoon trading session the last 20 minutes of the afternoon trading session* * Since a cooling-off period will last for 5 minutes, the monitoring will stop 20 minutes before end of the Afternoon Session

5.	Can VCM be triggered on an applicable instrument multiple times in a trading day? For each VCM instrument, there will be a maximum of one VCM trigger in each trading session (Morning Session and Afternoon Session are counted as two separate trading sessions). When normal trading has been resumed after the VCM, there will not be any VCM monitoring within the same CTS. Sources: Hong Kong Stock Exchange (HKEX)

"Securities Mobile Application" Frequently Asked Questions and Answers

What is Securities Mobile Application?

Securities Mobile Application is a tailor-made mobile securities trading platform for IOS and Android users.

With an advanced interface, users can obtain timely market news and capture every investment opportunity.

What kind of person can use Securities Mobile Application?

For customers already opened a securities account and Internet Banking account, after registering user name, can simply logon to the Securities Mobile Application with Internet Banking user name and password after download.

What functions are offered by Securities Mobile Application?

Key functions of Securities Mobile Application include:

1. Securities Trading	Various order types are provided: Enhanced Limit Order, Trigger Order and At-auction Limit Order
2. Order Journal	Enquire order status of the trade day
3. Market News	Provide latest financial information which enables you to grasp market pulse
4. Stock Quote	Provide real-time stock quotation and chart analysis after login to facilitate wise investment decision
5. Fund Transfer	Allow instant transfer of funds between your securities account and settlement account
6. Transaction History	Offer order history enquiry within a month
7. Price Alert	Track desired stock price to seize investment opportunities, making wealth management at ease
8. Portfolio	Enquire total stock balance and shares of holding
9. IPO Application	Paperless IPO subscription service leads you to efficient and environmental-friendly application process
10. IPO Margin	Via IPO margin subscription service, loan amount of IPO financing can be as much as 90% of subscription amount to maximize your subscription power

Does Securities Mobile Application support 24 hours order placing service?

Yes. The service hour of Securities Mobile Application is the same as that of Internet Banking.

Can I use Securities Mobile Application to sell odd lot shares?

Odd lot shares can be sold via Enhanced Limit Order and At-auction Limit Order.

How to download Securities Mobile Application?

Please scan the following QR Code or search "BOCOM(HK)securities" in App Store and Google Play to download the application to your mobile device.

Securities Mobile Application

Google Play and Google Play logo are trademarks of Google LLC.
Apple and Apple logo are trademarks of Apple Inc., registered in the U.S. and other countries.App Store is a service mark of Apple Inc., registered in the U.S. and other countries.

Is this service free of charge?
Yes. However, please check with your telecommunication service provider about data transmission and/or other charges that may apply to using the Internet via your mobile device, particularly traveling outside Hong Kong, China and using roaming service.

Can I access Securities Mobile App on any mobile handsets
Our Securities Mobile App can support most of the mobile phone using iOS/Android Operating System.
Our recommended Operating Systems will be

iPhone 5s or higher model with iOS 12.0 or above
Mobile phone with Android 8.0 or above

"IPO Services" Frequently asked Questions and Answers

What is IPO Services?

White application form:For white application form, successful applicants would receive Shares Certificates and /or refund cheques in your own name. Those Shares Certificates can only be sold upon your securities account with bank or broker.

EIPO: We also provide electronic subscription service. to let you subscribe through telephone, Internet or our outlets without the need for application forms.

How to get allotment result?

Investors can check the IPO allotment results from share registrars or Issuer's Website. Besides, Main Board listed companies are required to publish the allotment result in designated Chinese and English language newspapers before trading of the new shares commences. The allotment result for GEM listed companies will be available on the GEM website. The same notice will be posted on the HKEx news website.

When the IPO experiences over subscription, shares will normally allot with issuer's rules and regulations. For this situation, you may get all, some or no shares.

Successful white-form applicants will be given shares certificate and /or Refund Cheque by postal. For failed applicants, Refund Cheque will be sent to you by postal.

If failing to receive any notice after the listing day, investors should check with the share registrar of the new issue.

If you use our electronic subscription services to subscribe the new shares, you can check the result through Internet, Operator-assisted Hotline, Automated IVR Telephone or our outlets. If you enroll the mobile number for SMS Confirmation Service, you will get the IPO subscription allotment result from our bank.

"Monthly stocks Investment Plan" Frequently Asked Questions and Answers

1.	What are the usual forms and documents for "Monthly Stocks Investment Plan"? Monthly Stocks Investment Plan Terms and Conditions Monthly Stocks Investment Plan Application Form Monthly Stocks Investment Plan Alteration/Cancellation Form Monthly Stocks Investment Plan Direct Debit Authorization Form Amendment and/or Revocation of Direct Debit Authorization
2.	What does "Monthly Stocks Investment Plan" stand for? "Monthly Stocks Investment Plan" is a regular securities purchase program by investing in certain stocks on monthly basis.
3.	How many securities are available for selection in "Monthly Stocks Investment Plan"? For the list of stocks available for the Monthly Stocks Investment Plan, please click here. (Bank of Communications (Hong Kong) Limited shall have absolute discretion to prescribe and to change the types of securities from time to time.)
4.	What is the minimum investment amount required for "Monthly Stocks Investment Plan" ? The minimum monthly investment amount is HK$1,000. Extra contribution must be in multiples of HK$500.
5.	How much does "Monthly Stocks Investment Plan" charge for? You only need to pay a transaction fee for each stock which is 0.25% of the monthly investment amount or HK$50, whichever is higher. The transaction fee has already included brokerage commission, stamp duty, transaction levy and trading fee.
6.	How can I subscribe to "Monthly Stocks Investment Plan" ? "Monthly Stocks Investment Plan" is eligible to securities account holder. You simply complete "Monthly Stocks Investment Plan" Application Form and return it in person to any outlets of Bank of Communications or via our online application .
7.	When will my "Monthly Stocks Investment Plan" application come into effect? If you submit your "Monthly Stocks Investment Plan" application to any outlets of Bank of Communications, it will come into effect in the following calendar month in case the application is submitted by the 25th day of that month. If you submit your application via online channels, the application will come into effect in the following calendar month even your application is submitted at the last calendar day of that month.
8.	How do I make the "Monthly Stocks Investment Plan" contribution? The payment date will be on the sixth day (6th) of each calendar month. Your monthly investment amount will be automatically debited from your Payment Account that you instruct.. If the Payment Date falls on a day other than a SEHK Trading Day, the Payment Date shall fall on the next SEHK Trading Day. You can choose Bank of Communications Ltd. saving account or credit card for the contribution (The registration name must be the same as that of securities account).
9.	When will Bank of Communications purchase stocks for me each month ? Bank of Communications will purchase the stocks on the second SEHK Trading Day after the Payment Date. (e.g. If the Payment Date is 6th (Monday), the stocks will be purchased on 8th (Wednesday).)
10.	How can I check my securities purchase price and number of stock purchased? You will receive a daily statement within 2 working days following the Transaction Date. Securities purchase price and number of stock purchased will be listed on your statement. Calculation of number of stock purchased: {Investment Amount (A) - Transaction Fee (B) } ÷ Securities Purchase Price (C). The number of shares allocated will be rounded down to the nearest whole number of shares. {No. of stock purchased = ( A - B ) ÷C } For example: By investing HK$5,000 in HSBC at the purchase price HK$92 i.e. (HK$5,000 - HK$50)÷HK$92 = 53 shares will be bought and the residual investment amount will be HK$74.
11.	How does Bank of Communications handle my stock(s) purchased and residual investment amount? Your stock(s) will be deposited into your security account on the Transaction Date. Any residual investment amount will be credited to your security account within 3 Banking Days following the Transaction Date.
12.	How can I sell my "Monthly Stocks Investment Plan" stock(s)? You can sell your “Monthly Stocks Investment Plan” stock(s) through our Internet Banking, Automated IVR telephone services, operator assisted hotline or securities counters in outlets.
13.	How can I adjust my "Monthly Stocks Investment Plan" portfolio? You can make the adjustment by completing the "Monthly Stocks Investment Plan" Alteration/Cancellation Form and return the form in person to any outlets of Bank of Communications or submit the instruction via our online channels (if applicable).
14.	Do I need to re-apply the Direct Debit Authorization after I have adjusted my "Monthly Stocks Investment Plan" portfolio? If the total monthly investment amount of your adjusted "Monthly Stocks Investment Plan" portfolio is same as the previous one, please follow the requirement mentioned in Question 13. If your "Monthly Stocks Investment Plan" is applied at our outlets previously , please fill in the Amendment and/or Revocation of Direct Debit Authorization and send it with "Monthly Stocks Investment Plan" Alteration/Cancellation Form to our bank.
15.	When will the amendment come into effect? If you submit your "Monthly Stocks Investment Plan" amendment by the 25th day of that month, it will come into effect in the following calendar month. If you submit your amendment via online channels, the application will come into effect in the following month even your amendment is submitted at the last calendar day of that month.
16.	Can I terminate the plan? You can terminate your plan by completing the "Monthly Stocks Investment Plan" Alteration/Cancellation Form and Amendment and/or Revocation of Direct Debit Authorization return the form in person to any outlets of Bank of Communications or submit the termination via our online channels (if applicable). However, the cancellation process will take you one month to become effective upon the receipt of your notice. If your settlement account for Direct Debit Authorization is not offered by Bank of Communications, you need to inform such cancellation to the bank of your settlement account.
17.	Do I enjoy the dividend payments? Yes. Upon the purchased stock(s) is/are settled (on “Transaction Date” plus 2 SEHK Trading Days), you will enjoy the same shareholder's rights including dividend payments and bonus shares.

" Two-factor Authentication " Frequently Asked Questions and Answers

What is two-factor authentication?
Two-factor authentication is an authentication scheme that increases online security by relying on a combination of two different factors, something you know (e.g. user ID and password) and something you have (e.g. mobile phone SIM card) in the verification of a user's identity.

What are the benefits of using Two-Factor Athentication?

Much more secure –fraudsters cannot steal 'something you have' in your physical possession 9such as a mobile) over the Internet.
Protection for high-risk transactions – all high-risk Internet banking transactions ( such as fund transfers to non-designated accounts) are protected by an additional authentication factor which is physically held by you only.
Convenient and easy to use – you can have substantially stronger online security by taking a few more steps, which are simple and straightforward.

" One-time Password " Frequently Asked Questions and Answers

1.	What is a one-time password? A one-time password is an SMS-based password generated by a bank and sent to your registered mobile phone number as an additional form of identity authentication.
2.	When do I use a one-time password? When you login to Internet Banking and enter “Securities Service” or trade securities through Securities Mobile Application, a one-time password will be sent to your registered mobile phone. You must input the password correctly to complete your transaction.
3.	What should I do if I receive an SMS containing a one-time password on my mobile phone but am not performing any internet banking transactions? Please contact our Customer Services Hotline on 223 95559 immediately.
4.	Is there any charge for using one-time password? It is free of charges for the time being. On the other hand, your mobile network operator may charge you for SMS usage fee for accessing the services. Details please refer to your mobile network operator.
5.	How to register or update the mobile phone number for receiving the One-time-password? If you wish to register or update your mobile phone number, please visit any of our outlets.
6.	Do I need to go to any outlets of your Bank to register for one-time password? This is not necessary. If you have a registered mobile phone number in our bank, one-time password would sent to your registered mobile phone number via SMS without prior registration.
7.	Do I need to enroll the service for receiving SMS messages with telecommunication companies in order to receive SMS messages? You do not need to apply for the SMS with your telecommunication company as all mobile phones are capable of receiving SMS.

"Mobile Authentication" Frequently Asked Questions and Answers

1.	What is a Mobile Authentication? Mobile Authentication is a feature within the BOCOM(HK) Securities Mobile App to replaces your physical Security Device by creating a digital version and storing it safely on your mobile. Both provide extra protection for your accounts and transactions. Beside, Mobile Authentication also support Biometric Authentication that makes logging on to the BOCOM(HK) Securities Mobile services quicker and easier.
2.	What are the benefits of the Mobile Authentication? Mobile Authentication has been designed to work as part of the BOCOM(HK) Securities Mobile App on supported operating systems and devices. It can be used as a replacement for your physical Security Device. It means you do not need to carry a physical Security Device with you, and offers a more convenient way to access our full range of securities mobile services. Also, the Mobile Security Key can only be used on your chosen device. This provides you with an additional level of security.
3.	Are there any charges for Mobile Authentication? It is free of charge for using Mobile Authentication.
4.	How do I activate the Mobile Authentication on my mobile device? Once you have downloaded the BOCOM(HK) Securities Mobile App on your mobile device, you can log on and select "Mobile Authentication" from the main page. Please note that you need to have a valid and up-to-date mobile phone number in our records in order to activate the Mobile Security Key.
5.	Can I have a Mobile Authentication on more than one device? For security reasons, your Mobile Authentication can only be registered to one device at a time. If you would like to change the mobile device which your Mobile Authentication is linked to, simply log on to the BOCOM(HK) Securities Mobile App with your new mobile device and select "Mobile Authentication" from the menu. Then select "Reactivate Mobile Authentication" and follow the on-screen instructions.
6.	Which mobile phones can activate Mobile Authentication? "You can activate "Mobile Authentication"on mobile phones: - iPhone 5s or higher model with iOS 12.0 or above - Android phone with Android 8.0 or above AND compatible with Trusted Execution Environment (TEE).
7.	Can I use "Mobile Authentication" and "Security Device" at the same time? Yes, you can keep both "Mobile Authentication" and "Security Device". The Security Device will not be terminated after the Mobile Authentication is successfully activated. You can choose "Mobile Authentication" or "Security Device" as your login verification.
8.	What happens if I want to stop using my Mobile Authentication activated mobile device? Before you discard your mobile device, you'll need to deactivate your Mobile Authentication, which you can do via the Securities Mobile App or Internet Banking. - Login Securities Mobile App > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to suspend your "Mobile Authentication". - Login Internet Banking > My Settings > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to deactivate your "Mobile Authentication". - If your mobile device is lost or stolen, you may also contact Customer Service Hotline (852) 223 95559 or visit our outlets. If you have got a new mobile device, you can switch your Mobile Authentication from the old device to the new one. Download the BOCOM(HK) Securities Mobile App on your new mobile device and select "Reactivate Mobile Authentication" from "Mobile Authentication" menu, and follow the instructions to reactivate your Mobile Authentication and Biometric Authentication
9.	What happens if my Mobile Authentication activated device is lost or stolen? You can deactivate your Mobile Authentication via Securities Mobile App or Internet Banking. -Login Securities Mobile App > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to suspend your "Mobile Authentication". - Login Internet Banking > My Settings > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to deactivate your "Mobile Authentication". - You may also contact Customer Service Hotline (852) 223 95559 or visit our outlets. If you have got a new mobile device, you can switch your Mobile Authentication from the old device to the new one. Download the BOCOM(HK) Securities Mobile App on your new mobile device and select "Reactivate Mobile Authentication" from "Mobile Authentication" menu, and follow the instructions to reactivate your Mobile Authentication and Biometric Authentication.
10.	What should I do if I have changed the SIM card or mobile phone number on my Mobile Authentication activated mobile device? Since Mobile Security Key is tied to your mobile device instead of your SIM card. No special arrangement is needed after you have changed the SIM card or mobile phone number on your Mobile Authentication activated device. If you have changed your mobile phone number, please update the bank record by visiting our outlets ASAP.
11.	Why do I have to set up a Mobile Authentication password? To help prevent anyone else from generating a security code or access your Securities Mobile App service using your mobile device, you will be asked to set up a password for your Mobile Authentication. Do not use your name, date of birth, HKID/passport number, telephone, lucky number, other easy-to-guess numbers or words, or the same password that you have used for accessing other websites and channels (e.g. ATM, Phone Banking, Internet Banking) as your Mobile Authentication Password.
12.	What if I forgot my Mobile Authentication password? You can reset the password by “Reactivate Mobile Authentication”function. Simply click "Forgot password" link on the log on page. Please note that you need to have a valid and up-to-date mobile phone number in our records in order to reset your Mobile Authentication password.
13.	Can I change my Mobile Authentication password in the future? Yes, if you would like to change your Mobile Authentication password, upon successful log on to the BOCOM (HK) Securities Mobile App Services, select "Mobile Authentication" and then select "Change Mobile Authentication Password" from the menu.
14.	Do I have to use my Mobile Authentication password every time I log on to BOCOM(HK) Securities Mobile App Service? Yes, you have to use your Mobile Authentication password when you are logging on to the Securities Mobile App services on a Mobile Authentication activated device. You no longer need your username and password after you have activated your Mobile Authentication while you still need to input certain personal credentials for logging on to Personal Internet Banking.
15.	Can others use my Mobile Authentication activated device to log on to their Securities Mobile App? Mobile Authentication is activated on your personal device and only you can access your accounts through a Mobile Authentication activated device. Other users cannot log on to their Securities Mobile App using your Mobile Authentication activated device.
16.	Can I use someone else's device as my Mobile Security Key if I don't have my own device with me? The Mobile Authentication is tied to your personal device. We strongly recommended that you should only register Mobile Authentication on your own device that you commonly use.
17.	I have activated Mobile Authentication on a jailbroken/rooted device earlier, but I could no longer access the mobile app anymore, what should I do? Since your device is jailbroken/rooted, your device may be less secure and may lead to fraudulent transactions. For security reasons and to protect your interest, you will not be allowed to use our app. In order to continue using our Securities Mobile App services, please deactivate your pervious Mobile Authentication via Internet Banking or contact our customer service hotline, you may also reactivate Mobile Authentication on another non-jailbroken/rooted device.

"Touch ID/Fingerprint Authentication" Frequently Asked Questions and Answers

1.	What is Touch ID/Fingerprint Authentication? Touch ID is an easy alternative of Mobile Authentication password for iOS device users while Fingerprint authentication is an alternative to use your Mobile Authentication password for Android device users. It allows you to log on Securities Mobile App services using just your fingerprint.
2.	Which devices is Touch ID/Fingerprint available on? iOS Touch ID : Available on Apple iPhone 5s or later models that support fingerprint identity sensor. Android Fingerprint Authentication : Available on Android phones with Android OS version 8.0 or later versions AND compatible with Trusted Execution Environment (TEE).
3.	Is Touch ID/ Fingerprint Authentication safe? You can log on to BOCOM(HK) Securities Mobile App with Touch ID/ Fingerprint Authentication on the Mobile Authentication activated device only. Only fingerprints stored on your device can be used to access the Securities Mobile App services. Your fingerprints data will not be stored in the BOCOM(HK) Securities Mobile App or kept anywhere within our bank. You can enable or disable Touch ID/ Fingerprint Authentication anytime in the "Biometic Authentication" under "Mobile Authentication" menu using your Mobile Authentication password.
4.	How can I set up my Touch ID for the BOCOM(HK) Securities Mobile App? You can activate Touch ID/ Fingerprint Authentication immediately after you activate Mobile Authentication. You can also enable Touch ID/ Fingerprint Authentication later in the "Biometric Authentication" function under "Mobile Authentication" menu using your Mobile Authentication password, once you have logged on to the BOCOM(HK) Securities Mobile App Services.
5.	What happens if I change my Touch ID/ Fingerprint Authentication settings? If you change your fingerprint records on your device or change your Mobile Authentication password, you will need to activate Touch ID again the next time you log onto the BOCOM (HK) Securities Mobile App Service.
6.	If my fingerprint is not recognised, can I still log on to my account using my Mobile Authentication password? Yes. Your Mobile Authentication password is always available and you can always switch between using Touch ID/ Fingerprint Authentication and your Mobile Authentication password.
7.	Can someone else log on to the BOCOM (HK) Securities Mobile App services if their fingerprint is stored on my device? When you enable Touch ID/ Fingerprint Authentication services in the BOCOM (HK) Securities Mobile App services, any fingerprints stored on your device can be used for Mobile Authentication or access Securities Mobile App services. For security reasons, it is strongly recommended that you only store your fingerprint on your device and use it to enable Touch ID/ Fingerprint Authentication for the Securities Mobile App services. This is to protect not just your BOCOM(HK) account but the rest of your personal details in your device.
8.	How can I disable Touch ID/ Fingerprint Authentication in the BOCOM(HK) Securities Mobile App? You can enable or disable Touch ID/ Fingerprint Authentication anytime in the “Biometric Authentication” under “Mobile Authentication” menu using your Mobile Authentication password.
9.	What if my Touch ID/Fingerprint Authentication enabled device is lost or stolen? You can deactivate your Mobile Authentication via Securities Mobile App or Internet Banking. -Login Securities Mobile App > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to suspend your "Mobile Authentication". - Login Internet Banking > My Settings > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to deactivate your "Mobile Authentication". - You may also contact Customer Service Hotline (852) 223 95559 or visit our outlets. If you have got a new mobile device, you can switch your Mobile Authentication from the old device to the new one. Download the BOCOM(HK) Securities Mobile App on your new mobile device and select "Reactivate Mobile Authentication" from "Mobile Authentication" menu, and follow the instructions to reactivate your Mobile Authentication and Biometric Authentication.
10.	Where will my fingerprints be stored? Your fingerprints will not be stored in the BOCOM (HK) Mobile app or kept anywhere within BOCOM (HK). You can use the fingerprints stored on your device to access Mobile Authentication or Securities Mobile App Services.

"Face ID" Frequently Asked Questions and Answers

1.	What is Face ID? Face ID acts as an easy alternative to using Mobile password for iOS device users. It offers a simple, secure and faster way to access BOCOM(HK) Securities Mobile App service or generate secure code using your facial map stored on your Apple iPhone X or newer models.
2.	Which devices is Face ID available on? Face ID is currently available on Apple iPhone X or new models and operates on iOS 12.2 or above.
3.	Should I enable "Face ID " if my siblings and I look alike or I am an adolescent? You must not use Biometric Authentication if you have reasonable belief that other people may share identical or very similar biometric credential(s) of you or your biometric credential(s) can be easily compromised. For instance, you must not use facial recognition for authentication purpose if you have identical twin or triplet sibling(s). You must not use Biometric Authentication if the relevant biometric credential(s) of you are or will be undergoing rapid development or change. For instance, you must not use facial recognition for authentication purpose if you are an adolescent with facial features undergoing rapid development.
4.	Is Face ID safe? You can only log on to the BOCOM(HK) Securities Mobile App app with Face ID on a device activated by your Mobile Authentication. Only the facial map stored on your device can be used to access the app. Your facial map data will not be stored in the BOCOM(HK) Securities Mobile App or kept anywhere within BOCOM(HK). You can enable or disable Face ID anytime in the “Biometic Authentication” function under “Mobile Authentication”menu using your Mobile Authentication password. Please note that the probability of a false match using Face ID may be dependent on certain circumstances, e.g. twins or siblings that look alike, or if you’re an adolescent, and have disabled the ""Require Attention for Face ID"" function in your device settings. Please read the Terms and Conditions carefully and accept the associated risks and consequences before you enable Face ID.
5.	How can I set up my Face ID for the BOCOM(HK) Securities Mobile App? You can activate Face ID immediately after you activate Mobile Authentication. You can also enable Face ID later in the “Biometric Authentication” function under “Mobile Authentication” menu using your Mobile Authentication password, once you have logged on to the BOCOM(HK) Securities Mobile App Services.
6.	What happens if I change my Face ID settings? If you change your Face ID records on your device or change your Mobile Authentication password, you will need to activate Face ID again the next time you log onto the BOCOM (HK) Securities Mobile App Service.
7.	If my face is not recognised, can I still log on to my account using my Mobile Security Key password? Yes. Your Mobile Authentication password is always available and you can switch between using Face ID and your Mobile Authentication password at any time.
8.	Can someone else log on to the BOCOM (HK) Securities Mobile App services if their facial map is stored on my device? When you enable Face ID services in the BOCOM (HK) Securities Mobile App services, any facial map on your device can be used for Mobile Authentication or access Securities Mobile App services. For security reasons, it is strongly recommended that you only store your facial map on your device and use it to enable Face ID for the Securities Mobile App services. This is to protect not just your BOCOM(HK) account but the rest of your personal details in your device.
9.	How can I disable Face ID in the BOCOM(HK) Securities Mobile App? You can enable or disable Face ID anytime in the “Biometric Authentication” under “Mobile Authentication”menu using your Mobile Authentication password.
10.	What if my Face ID enabled device is lost or stolen? You can deactivate your Mobile Authentication via Securities Mobile App or Internet Banking. -Login Securities Mobile App > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to suspend your ""Mobile Authentication"". - Login Internet Banking > My Settings > Mobile Authentication > Deactivate Mobile Authentication, and follow the instructions to deactivate your ""Mobile Authentication"". - You may also contact Customer Service Hotline (852) 223 95559 or visit our outlets. If you have got a new mobile device, you can switch your Mobile Authentication from the old device to the new one. Download the BOCOM(HK) Securities Mobile App on your new mobile device and select ""Reactivate Mobile Authentication"" from ""Mobile Authentication"" menu, and follow the instructions to reactivate your Mobile Authentication and Biometric Authentication.
11.	Where will my facial map be stored? Your facial map will not be stored in the BOCOM (HK) Mobile app or kept anywhere within BOCOM (HK). You can use the facial map stored on your device to access Mobile Authentication or Securities Mobile App Services.
12.	If I selected "Don't allow" when asked whether I wanted to set up Face ID for the BOCOM(HK) Securities Mobile App, can I enable it again later? Yes. You should first turn on Face ID access for the BOCOM(HK) Securities Mobile App under the device settings "Face ID & Passcode -> Other Apps". You can then log on to the app with your Mobile Authentication password to enable Face ID

“Reply Corporate Actions” Frequently Asked Questions and Answers

1.	What are the Corporate Action events supported by Internet/ Securities Mobile Application platform? Internet / Securities Mobile Application provide 8 categories of corporate action reply order, including scrip option, rights issue, conditional takeover, unconditional takeover, preferential offer, open offer, warrant exercise and privatization.
2.	Why the Corporate Action that I am entitled did not show in the "Corporate Actions" page? The entitlement details will not be shown in the Corporate actions page when ： - Client’s initial entitled quantity of rights has already been sold and settled; - The quantity of rights subsequently purchased by client in the market on the current day; - None option provided ( E.g. Cash Dividend) or the options are complicated Clients can sign and return the selection form to us* or call our Securities Services Hotline at 2913 3833 to give the corresponding instructions. (*Any subscriptions by mail or by facsimile will not be accepted)
3.	Can I submit a instruction via Internet/ Securities Mobile Application in advance of an expected corporate action? No. You can only submit corporate action instructions via Internet/ Securities Mobile Application after we have issued electronic or paper advice informing you of the details of a corporate action.
4.	What is the meaning of the status in Corporate Action ? - Click “Enquire” for the details of specific corporate action, the status will change from “Unread” to “Read” afterwards. - Click “Reply” to give your corporate action instruction. The status will change from “Unread” to “Replied” once the registration is completed. - Click “Amend”or“Cancel”to amend/cancel the“Replied” instruction. The amendment or cancellation are applicable before the "End Date". - “Closed”mean the corporate action event has passed the submission deadline and client is not allowed to input/change instruction.
5.	Why historical Corporate Action Events are not showing on Internet/ Securities Mobile Application? The historical Corporate Action Events will be removed which passed the Last Reply Date/Time for 10 calendar days.

"Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function" Frequently Asked Questions and Answers

1.	What is Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function? The Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function is a NEW feature within the BOCOM(HK) Securities Internet Banking & BOCOM(HK) Securities Mobile Application, which allows customer to demonstrate their Reference Average Purchase Price and the Real time gain and loss of the portfolio. Meanwhile, the functional-designed interface allows you to update/renew the Reference Purchase Price while providing a comprehensive overview of your portfolio as a reference at the same time.
2.	What is Instant Gain and Loss Calculation? If customers process securities transaction, the "Reference Average Purchase Price" will be automatically updated according to all your buy orders on or after the effective date. The calculation will exclude transaction charge and the third party charges, such as brokerage fee, stamp duty, other levies and taxes, etc. The “Reference Average Purchase Price” will not be affected by sell orders. While the sell order will update the number of shares you are holding only. If there are corporate actions taken place for the securities held, the calculation will include but not limited to bonus shares, spin-off mergers or rights issues, etc., the "Reference Average Purchase Price" will be adjusted proportionally. Cash dividends, charges of corporate actions, etc., however, will not be included in the calculation.
3.	Which devices is the Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function available on and any charges for this function? The Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function is currently available on BOCOM(HK) Internet Banking and BOCOM(HK) Securities Mobile Application platform, also it is free of charge for using Portfolio Instant Gain and Loss Display Function.
4.	Which stock market is available for the Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function? The Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function is only applicable to HK Stocks, the stock price for such calculation is delayed by at least 15 minutes. The China Connect Securities and other overseas securities are not applicable.

To know more about the details of the Internet / Securities Mobile Application Portfolio Instant Gain and Loss Display Function, please click here.

"Securities Mobile Application AI Stock Filter Function" Frequently Asked Questions and Answers

1.	What is AI Stock Filter Function? The AI Stock Filter is a built-in function in the BOCOM (HK) Securities Mobile Application. It is an effective measure for customers to find out the stocks by an objective screening function. The customers can also set their own strategies in the AI Stock Filter for stock screening.
2.	How to use the AI Stock Filter Function? The customers can enter the function by clicking the "AI Stock Filter" icon on the homepage of the securities mobile application. After reading and agreeing to the relevant terms, customers can start using it. The customers can use preset strategies with objective criteria to screen the stocks in the "Popular" field. Or the customers can use various criteria to set up their own stock selection strategies in the "Search" field (up to 10 criteria can be selected). For the customers who log in the application already, they can use their own stock selection strategies saved earlier in the "My" field. All the stocks screened by the strategies will be shown in the "Search Results" page. The customers can either click "BUY/SELL" buttons for securities trading, or "STOCK QUOTE" to view detailed information of individual stocks.
3.	Which device is required for AI Stock Filter? Any charge for this function? The AI Stock Filter is currently available on BOCOM (HK) Securities Mobile Application platform. This function is free of charge.
4.	Which stock markets are available for the AI Stock Filter? The AI Stock Filter is only applicable to HKD stocks which are listed in the Hong Kong Stock Exchange. The prices used in this function are delayed by at least 15 minutes. The AI Stock Filter are not applicable for the China Connect Securities and other overseas securities.

To know more about the demo of the AI Stock Filter, please click here.

The above information is for reference only. For further details, please visit any of our outlets or call our customer service hotline.

Risk Disclosure Statement
The prices of securities fluctuate, sometimes dramatically. The price of a security may move up or down, and may become valueless. It is as likely that losses will be incurred rather than profit made as a result of buying and selling securities.

Remarks
Please note that the type of transaction mentioned above only applies to the purchase / sale of Hong Kong Stock under HKEx.

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