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In response to increasingly stringent regulatory requirements from U.S. authorities and the constraints imposed by our counterparty channels, Yuanta Securities (Hong Kong) Co., Ltd. (“our Company“) will suspend trading execution services for U.S. low-priced stocks for all individual (including joint accounts) and corporate accounts, effective from July 1, 2026.
The restricted U.S. low-priced stocks refer to securities that meet any of the following criteria:
1. Stocks with a market capitalization of not more than USD 300 million or a trading price below or near to USD 5 per share; or
2. Over-the-Counter stocks (excluding ADRs).
Note: Due to stock price fluctuations, the list of restricted stocks for position transfers will be updated from time to time. The specific availability of services shall be subject to the final transfer result.
Our Company will provide limited custody (holding) services for the affected U.S. low-priced stocks in individual (including joint accounts) and corporate accounts.
If you have any questions regarding the above arrangement, please contact your Relationship Manager immediately or call our Customer Service Hotline at (852) 3555 7878.
Yours faithfully,
Yuanta Securities (Hong Kong) Company Limited
Re: Notice on the Suspension of Trading Services for U.S. Low-Priced Stocks
2026/06/30 16:47
Dear Valued Customers,In response to increasingly stringent regulatory requirements from U.S. authorities and the constraints imposed by our counterparty channels, Yuanta Securities (Hong Kong) Co., Ltd. (“our Company“) will suspend trading execution services for U.S. low-priced stocks for all individual (including joint accounts) and corporate accounts, effective from July 1, 2026.
The restricted U.S. low-priced stocks refer to securities that meet any of the following criteria:
1. Stocks with a market capitalization of not more than USD 300 million or a trading price below or near to USD 5 per share; or
2. Over-the-Counter stocks (excluding ADRs).
Note: Due to stock price fluctuations, the list of restricted stocks for position transfers will be updated from time to time. The specific availability of services shall be subject to the final transfer result.
Our Company will provide limited custody (holding) services for the affected U.S. low-priced stocks in individual (including joint accounts) and corporate accounts.
If you have any questions regarding the above arrangement, please contact your Relationship Manager immediately or call our Customer Service Hotline at (852) 3555 7878.
Yours faithfully,
Yuanta Securities (Hong Kong) Company Limited
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