Fees and Charges

Monex Brokerage Fees

Markets	Brokerage Fee *1	Settlement Currency *2
United States New York Stock Exchange (NYSE) NASDAQ	0.10% (Min USD 9.99)	USD
Australia *3 Australian Stock Exchange (ASX)	0.12% (Min AUD 19.95)	AUD
Japan Tokyo Stock Exchange (TSE)	0.10% (Min JPY 2,500)	JPY
Hong Kong Hong Kong Stock Exchange (HKEX)	0.10% (Min HKD 88 or USD 12 or RMB 130) Warrants/CBBCs Trading: 0.10% (Min HKD 88)	HKD or USD or RMB
China Shanghai Stock Exchange (SSE) Shenzhen Stock Exchange (SZSE) (via Hong Kong Stock Connect)	0.30% (Min RMB 130)	RMB
China B Shanghai Stock Exchange (SSE)	0.30% (Min USD 18)	USD
China B Shenzhen Stock Exchange (SZSE)	0.30% (Min HKD 130)	HKD
Taiwan Taiwan Stock Exchange (TWSE)	0.30% (Min NTD 800)	USD
Korea Korea Exchange (KRX) including KOSDAQ	0.30% (Min KRW 25,000)	USD
Indonesia Indonesia Stock Exchange (IDX)	0.30% (Min IDR 350,000)	USD
Malaysia Bursa Malaysia (MYX)	0.30% (Min MYR 100)	USD
Philippines Philippines Stock Exchange (PSE)	0.30% (Min PHP 1,000)	USD
Singapore Singapore Exchange (SGX)	0.30% (Min SGD 35 or HKD 188 or USD 25)	SGD
Thailand Stock Exchange of Thailand (SET)	0.30% (Min THB 800)	USD

Commission is charged on each order executed on the same day basis. For all U.S. trades, any price and/or quantity change for partially filled order will be treated as a new order and charged accordingly.
When trading securities that settle in a currency other than its trading currency, you should be aware of the currency risk involved (including but not limited to exchange rate fluctuations) and the foreign exchange costs associated.
GST included where applicable.

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Monex Account Service Fees

Account Set-up and Maintenance
Account Opening Fee	Free
Initial Deposit *1	No minimum requirement on initial stock or fund deposit
Minimum Balance	No minimum requirement on stock holding or cash
Minimum Activity	No minimum requirement on number of trades or commission generated
Inactivity Fee	None. All Inactivity Fees For Monex Securities Australia Pty Ltd were abolished in May 2018. Note: If an account holds no open positions and remains inactive for more than six (6) years, we may transfer the funds in the account to NSW Revenue as unclaimed money.
Custody Service	Free (except for Taiwan, Malaysia and SH-HK Connect and SZ-HK Connect stock holdings)
Remittance Services
Funds Deposit	Free - All bank charges will be borne by client.
Funds Withdrawal	Free - All bank charges will be borne by client.
Statement Services
Execution Confirmation	Free - Execution confirmation will be sent by email. All the contracts for the day will be grouped in a Daily Activity Statement, which also serves as the execution confirmations and contract notes for all activities on that day.
Account Statements	Free - Apply to sending Daily / Month Activity Statements by email. e-Statements within 12 months can also be downloaded online.
Statement Re-issue	AUD 10.00 per Statement *Apply to re-issue of historical Daily / Monthly Activity Statements over 12 months old.
Stock Balance or Account Confirmation	AUD 10.00 per Request

GST applies for AU residents on any transaction fees related to deposit and any other service fees

Markets	Stock Custody	Stock Deposit	Stock Transfer Out	Other Fees
United States New York Stock Exchange (NYSE) NASDAQ	Free	DTC Transfer: USD 50 per stock	DTC Transfer only: USD 0.015 per share (Min USD 150 per stock)	ADR Depositary Agent Fee: USD 0.03 per share per year
Australia Australian Stock Exchange (ASX)	Free	AUD 50 per stock	AUD 75 per stock	Any other fees will be passed through at cost
Japan Tokyo Stock Exchange (TSE)	Free	JPY 4,000 per stock	JPY 3,500 per stock
Hong Kong Hong Kong Stock Exchange (HKEX)	Free	CCASS Transfer: Free Physical Cert Govt. Transfer Deed: HKD 5.00 per stock Handling Fee: HKD 600 per stock	CCASS Transfer: HKD 10.00 per board lot (Min HKD 100 per stock) Physical Cert: HKD 10.00 per board lot (Min HKD 100 per stock)	Compulsory Share Buy-Back Fee: At Cost
China Shanghai Stock Exchange (SSE) Shenzhen Stock Exchange (SZSE) (via Hong Kong Stock Connect)	0.018% p.a. of total market value on daily basis, monthly aggregate	CNY 250 per stock	0.018% of previous closing price (Min RMB 180 per stock)
China B Shanghai Stock Exchange (SSE) Shenzhen Stock Exchange (SZSE)	Free
Taiwan Taiwan Stock Exchange (TWSE)	0.12% p.a. (pay monthly based on the month end portfolio value)
Korea Korea Exchange (KRX) including KOSDAQ	Free
Indonesia Indonesia Stock Exchange (IDX)	Free	IDR 500,000 per stock	IDR 1,000,000 per stock
Malaysia Bursa Malaysia (MYX)	USD 3.00 per stock per month	MYR 200 per stock
Philippines Philippines Stock Exchange (PSE)	Free	PHP 2,000 per stock	PHP 2,500 per stock
Singapore Singapore Exchange (SGX)	Free	SGD 50 per stock	SGD 80 per stock
Thailand Stock Exchange of Thailand (SET)	Free	THB 1,400 per stock	THB 2,500 per stock

GST Applies to AU residents for all service fees in relation to the Australian market only
GST will not apply for Non-AU residents

Markets	Dividend Collection (Cash & Scrip)	Dividend withholding Tax *1	Other Corporate Actions
United States New York Stock Exchange (NYSE) NASDAQ	USD 4.00	30%	Tender Fee: USD 60 (voluntary) or USD 30 (mandatory)
Australia Australian Stock Exchange (ASX)	AUD 7.00	30%	Any other fees will be passed through at cost
Japan Tokyo Stock Exchange (TSE)	JPY 800	15.315%
Hong Kong Hong Kong Stock Exchange (HKEX)	0.60% (Min HKD 50 / RMB 50 /USD 20 / GBP 12)	NIL	Please refer to separate table on the following page
China Shanghai Stock Exchange (SSE) Shenzhen Stock Exchange (SZSE) (via Hong Kong Stock Connect)	0.60% (Min RMB 50)	10%	Any Offers/Issues and Sub/Auto Exercise of Rights/Warrants: RMB 100
China B Shanghai Stock Exchange (SSE)	USD 8.00	10%
China B Shenzhen Stock Exchange (SZSE)	HKD 80	10%
Taiwan Taiwan Stock Exchange (TWSE)	NTD 250	20%	Bonus Share: NTD 1,500
Korea Korea Exchange (KRX) including KOSDAQ	KRW 8,000	22%
Indonesia Indonesia Stock Exchange (IDX)	IDR 75,000	20%
Malaysia Bursa Malaysia (MYX)	1.35% (Min MYR 30)	25%
Philippines Philippines Stock Exchange (PSE)	Handling Fee: PHP 400 Registration Fee: PHP 1,200	30%	Bonus Share: PHP 1,000 (Registration Fee)
Singapore Singapore Exchange (SGX)	1.35% (Min SGD 12)	20%
Thailand Stock Exchange of Thailand (SET)	1.35% (Min THB 350)	10%

Dividend withholding tax is charged by the respective local government at the rate applicable to our Custodian, Monex BOOM Securities Ltd, in Hong Kong. This may not be the rate at which withholding tax would normally be applied for a resident of your country. You should seek your own professional tax advice to determine the impact that this may have on you. The rates listed are for reference only.

・GST Applies to AU residents for all service fees in relation to the Australian market only

・GST will not apply for Non-AU residents

Details	Handling Fees	Other Pass-on Charges
Book Close Fee		CCASS Scrip Fee: HKD 1.50 per board lot
Bonus Share	Free
Rights Issue Entitlement	Free
Excess Rights Application	Free
Subscription of Rights & Warrants	HKD 150	CCASS Fee: HKD 0.80 per board lot
Auto-exercise of Warrants	HKD 150	CCASS Fee: HKD 0.80 per board lot
Open Offer	HKD 150	CCASS Fee: HKD 0.80 per board lot
Cash Offer	HKD 150	CCASS Fee: HKD 0.80 per board lot Stamp Duty: HKD 1.00 per HKD 1,000 (if any)
Share Consolidation / Split	Free
Foreign Shares CCASS Custody Fee		CCASS Fee: HKD 0.25 per 100 shares per month
ibond Custodian Fee	Free
ibond Interest Collection Fee	Free
ibond Redemption Fee	Free
Change of Registration at Share Registrar	HKD 800 per stock per Registration	At cost

Markets	Other Costs
United States New York Stock Exchange (NYSE) NASDAQ	For SELL Order only Sales Tax: 0.0013% Trading Fee: USD 0.000119 USD per share For BUY Order on French and Italian ADR only Financial Tax: 0.20%
Australia Australian Stock Exchange (ASX)	nil
Japan Tokyo Stock Exchange (TSE)	nil
Hong Kong Hong Kong Stock Exchange (HKEX)	Stamp Duty *1: HKD 1.00 per HKD 1,000 gross amount Levy: 0.0027% Trading Fee: 0.0050% CCASS Fee: 0.01% (Min HKD 3.00 or USD 0.38 or RMB 3.00 per execution)
China Shanghai Stock Exchange (SSE) Shenzhen Stock Exchange (SZSE) (via Hong Kong Stock Connect)	Handling Fee: 0.00487% Securities Management Fee: 0.002% Transfer Fee: 0.004% (on gross amount) Stamp Duty: 0.10% (For SELL order only)
China B Shanghai Stock Exchange (SSE)	Service Charge: 0.15% (Min USD 35) Clearing Fee: 0.05% Levy: 0.00487% CSRC Fee: 0.002% Stamp Duty: 0.10% (For SELL order only)
China B Shenzhen Stock Exchange (SZSE)	Service Charge: 0.15% (Min USD 35) Clearing Fee: 0.05% (Max HKD 500) Levy: 0.00687% Stamp Duty: 0.10% (For SELL order only)
Taiwan Taiwan Stock Exchange (TWSE)	Transaction Fee: NTD 1,500 Remittance Charge: NTD 800 Stamp Duty: 0.30% (For SELL order only)
Korea Korea Exchange (KRX) including KOSDAQ	Remittance Charge: KRW 30,000 Sales Tax: 0.30% for Board Lot; 0.50% for Odd Lot (For SELL order only)
Indonesia Indonesia Stock Exchange (IDX)	Levy: 0.043% V.A.T.: 10% on commission Remittance Charge: IDR 200,000 Sales Tax: 0.10% (For SELL order only)
Malaysia Bursa Malaysia (MYX)	Stamp Duty: 0.10% (rounded up to nearest dollar, max MYR 200) Clearing Fee: 0.03% (Max MYR 1,000) Remittance Charge: MYR 75 Service Tax: 6% on Brokerage Fee Charged
Philippines Philippines Stock Exchange (PSE)	V.A.T.: 12% on commission SCCP Fee: 0.01% Remittance Charge: PHP 1,000 Registration fee: PHP 1,000 Sales Tax: 0.60% (For SELL order only)
Singapore Singapore Exchange (SGX)	Trading fee: 0.0075% Clearing Fee: 0.0325% Remittance Charge: SGD 0 or USD 20 or HKD 0
Thailand Stock Exchange of Thailand (SET)	V.A.T.: 0.014% on gross amount Remittance Charge: THB 1,000

Where a transaction on HKEX is subject to Stamp Duty the rate will be 0.10% of the gross amount, rounded up to the nearest Hong Kong dollar.
To enable purchase of US OTC stocks, please contact us on services@monexsecurities.com.au and agree the following disclosure:
- Sale restriction on illiquid OTC stocks. If you are trying to trade an OTC stock, your order might be rejected (i.e. not accepted) if the quantity exceed certain percentage of the daily average volume of that stock. If you are buying a stock with low trading volume, it may be difficult or impossible to sell them.
- Non-DTC eligible. Some stocks are not eligible for DTC (electronic) clearing, and extra clearing fee would be involved. We cannot guarantee the stock in question is DTC eligible or not. It is possible that after you purchase a stock, it may become non-DTC eligible later on (i.e. you have to bear the non-DTC clearing fee if you sell it). Non-DTC clearing fee is currently USD $400.

Any other fees will be passed through at cost.

Dated: 12 March 2019 (version 1.92)

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Monex Securities Australian Pty. Ltd. Is registered in Australia (ABN 84 142 210 179 |AFSL No. 363972). The ultimate holding company is a Japanese public company, Monex Group, Inc. (TYO: 8698)

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