Markets

Q.

On which stock markets can I trade?

A.

You could trade over 50,000 exchange-listed securities through BOOM in Hong Kong, US, Japan, Australia, Singapore, Malaysia, Thailand, Indonesia, the Philippines, South Korea, Taiwan, and China B-Shares.

Fees and Charges

Placing Instruction

Q.

How can I find securities symbols?

A.

You could do so by clicking:

1. "Code Search" in "Stock" section under "Market Info" menu.
2. "Code Search" under "Stock Quote" section on the trading menu bar of your portfolio page.

Q.

When can I submit my trading instructions?

A.

As a BOOM trading member, you could submit your orders anytime regardless of trading hours of the stock markets. The orders submitted will be be stored and submitted for trading once the markets open.

Q.

How can I change or cancel my trading instructions?

A.

To change or cancel your trading instruction, simply use the "Change" or "Cancel" function display next to the trading order found in the "Pending Orders" Section, then confirm your order by entering your Key Code. Please note that only those remaining shares which have not been filled can be changed or cancelled.

Transactions may be executed rapidly during trading hours, and therefore changes or cancellations are in no way guaranteed.

For US market, only the limit price and / or quantity can be amended and the Good Till Date cannot be changed after set. Please note that changing the limit price and / or quantity for a partially filled order will be treated as a new order and charged accordingly.

For Sell Stop-Limit Order, amendment is not allowed. If you want to modify a Sell Stop-Limit Order, you must cancel it first and then setup another order.

Q.

What will happen to a pending order if it is only partially filled at the end of the "Good Till Date"?

A.

Any order(s) pending at the end of the Good Till Date will be cancelled by the system. This includes those orders, which have been partially filled by that time. The respective buying power will be credited back to your cash balance upon cancellation of pending buy orders. Unsold stocks will be reinstated to your portfolio upon cancellation of pending sell orders.

Q.

How can I track the status of my instructions?

A.

Once you have sent an instruction, you can always view the "Pending Orders" page of the Trading section to see the status of your instruction.

Q.

When will the proceeds of the sell shares be updated to my account?

A.

The Total Fund Available in your portfolio page will be updated with the estimated proceeds of your sell shares immediately after execution. Your "Fund Movement History" will reflect the actual proceeds of your sell shares a few hours after the market closed.

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Margin Trading

Q.

Can I trade stocks on margin?

A.

Yes, we do provide margin trading services. All stocks listed in Hong Kong, US, Japan, Singapore and Australia are eligible for margin financing. Please click here for details.

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Trading Channels

Q.

Do I need to download any software to trade online with BOOM?

A.

No. Simply logon to your BOOM account, you can place all the instructions over the Internet browser. You do not need to download any software before you start trading online.

Q.

Are there any back-up services offered by BOOM in the event of network server difficulties?

A.

Yes, we do. We do accept telephone orders. Simply call our 24-hours Customer Service Hotline at (852) 2255 8888 or BOOM Dealing Hotline at (852) 2255 8366.

Q.

What other trading channels BOOM provides other than the Internet?

A.

Other than the Internet, you could also place orders by phone calls, in person or even via WAP mobile phone. Please click here for further information.

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BOOM Anywhere

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Account Notifications and Statements

 Account Notifications

Q.

What types of account notifications will I receive?

A.

You will receive the following email notifications:

1. Instant trade confirmation - you will get a confirmation email right after your order is filled / executed.
2. Corporate action entitlement notices - including cash/script dividend, bonus share, rights issue, stock consolidation/conversion/subdivision, warrant expiry, etc.
3. IPO allotment results - you will be notified of the allotment result once it is announced by the issuer.

Q.

Why is a valid email address so important?

A.

BOOM sends account notifications to you by email. If your email address is invalid, you will not be able to receive any of the important notices. In addition, you will need to pay the handling fee of HKD 10 for receiving Monthly Activity Statements by post.

 Trade Confirmations

Q.

How would I be notified of trade executions?

A.

You will receive a trade confirmation by email for each trade execution. In addition, we will send you a Daily Activity Statement (also serves as contract note) on the following business day with a summary of your trading activities of the day.

Q.

When do I receive the contract notes?

A.

Being environmental friendly, we issue Daily Activity Statement as a replacement for individual contract note. All your trading activities in a particular day will be stated in the Daily Activity Statement. It will be sent to you on the next business day after trade execution.

The details of your executed orders, including the executed price, quantity and the breakdown of charges, will be showed under the "Today Activity" section in the Daily Activity Statement.

 Account Statements

Q.

What types of statement will I receive?

A.

You will receive Daily Activity Statement, which includes all the contracts for a trading day. You will also receive Monthly Activity Statement for your BOOM Account.

Q.

Why don't I receive my Daily Activity Statement everyday but irregularly?

A.

Daily Activity Statements will be generated whenever there are account activities. However, we will only send you Daily Activity Statement after you have a buy/sell order executed. Therefore, if you only have non-trading activities (such as funds deposit / withdrawal) on a particular day, you will not receive any Daily Activity Statement or notice, but the respective statement can be viewed online under the "Statement (Daily / Monthly)" section.

Q.

Why don't I have Monthly Activity Statement?

A.

Monthly Activity Statements are generated every month. However, you will not have Monthly Activity Statement if there has been no account activities, no stock holding and no cash balance for that month.

Q.

Do I need to pay for account statements?

A.

No. You can retrieve all Daily Activity Statements and Monthly Activity Statements within 15 calendar months under "My Account" > "Account History" > "Statement (Daily / Monthly)" section free of charge.

However, if you request to receive paper Monthly Activity Statement by post, you will need to pay the handling fee of HKD 10 per statement.

In addition, if you request statement(s) issued beyond 15 months, a handling fee of HKD 30 per statement will be charged. You are advised to print out or download the statement online if you wish to keep a copy for your records.

Q.

Do you provide yearly statements for tax reporting purpose?

A.

No. BOOM only provides Daily Activity Statements and Monthly Activity Statements. We do not provide yearly statements that are specially designed for tax reporting purpose.

To fulfill your tax reporting needs, you are highly recommended to download or print out Monthly Activity Statements from your BOOM Account periodically for record keeping.

Kindly note that statements within 15 months are available to retrieve online for free, and there will be a handling fee of HKD 30 to charge for retrieving each statement beyond 15 months.

 e-Statements

Q.

What are the benefits of using e-Statements?

A.

In addition to the support of environment protection and reduction of paper consumption, e-statements bring you the advantages of:

Speed	You will be informed by email when a new statement is available.
Timely	No delay due to postage. You can review your new statement once it is issued.
Printer-friendly	Easy to print if needed. Layout and content are exactly the same as that of paper version.
Flexible	Unlimited access to all statements within 15 months.
Cost-free	FREE email notifications and online access to electronic statements.

Q.

How can I view e-Statement online?

A.

You can view the electronic version of the statements by following steps below:

1. Login to BOOM;
2. Go to the "My Account" > "Account History" > "Statement (Daily / Monthly)" section;
3. To view the latest Monthly Activity Statement, simply click the button "View Monthly Statement";
4. To view specific Daily Activity Statement, simply click the date that is blue in color on the calendar. If the date is in black, then you have no account activities on that day and no daily statement is generated.

Q.

Are the contents of e-Statements the same as the printed version sent by post?

A.

Yes. The layout and contents of e-Statements are exactly the same as the printed version sent by post.

Q.

What is the file format of the e-Statements?

A.

e-Statements are in PDF format. You are required to install Adobe Reader on your computer to view the e-Statements.

To download the Adobe Reader, please login to BOOM and go to the "Statement (Daily / Monthly)" section. Then click on the "Adobe Reader" link and follow the steps for installation.

Q.

How do I keep the e-Statements in my own storage?

A.

You could simply click the "Save" icon on the top left hand corner of the Adobe Reader to download and save the e-Statements in your own computer.

 Delivery of Statements

Q.

By what mean(s) statements are delivered to me?

A.

Base on your Statement Delivery Settings, we will send the statements to you by email or by post.

Q.

How do I change the preference of statements delivery?

A.

To change the preference of statements delivery, please follow the steps below:

1. Login to BOOM;
2. Go to the "My Account" > "Account Settings" > "Statement Delivery Settings" section;
3. Under "Delivery of Transaction Records", select "Notify by Email" or "Send by Post" for Daily Activity Statements and Monthly Activity Statements;
4. Enter your Trading Keycode and press [Submit Change].

The changes made will be effective from the next statement.

Q.

Why is there no statement attached in the email?

A.

For security reason, we will not send statement to clients by email. Instead, we will notify you by email when your statement is available for viewing online via your BOOM Account.

Q.

I have selected to receive statement notices by email, but why am I still receiving printed statements by post instead of email notices?

A.

If email sent to your email address is returned to BOOM as undeliverable, we will not send out any further email notifications. Instead, we will send you paper statements by post. Please note that a handling fee of HKD 10 per statement will be charged to your BOOM account for receiving paper Monthly Activity Statement by post.

In general, the email is undeliverable because:

1. Your e-mail address is invalid.
2. Your e-mail box is full.
3. There are problems with your e-mail service providers such as network delay or system failure.

Q.

Why a valid correspondence address is so important?

A.

We will mail the paper version of statements to you upon your request or when your email address is invalid. If your correspondence address in BOOM's record is invalid, you will not be able to receive the statements. In addition, your statements might be exposed to a third party at that wrong address.

 Points to Note on Account Notifications and Statements

Q.

Account Notifications and Statements Service - Terms and Conditions

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US Trade

Q.

What are Bulletin Board and Pink Sheet stocks?

A.

OTC Bulletin Board is a listing of quotes of over-the-counter (OTC) stocks that don't meet the minimum-net worth and other requirements of the Nasdaq stock listing system.

Pink Sheets are quotations from market makers of over-the-counter stocks published daily by the National Quotation Bureau. The Pink Sheets get their name from the paper they are printed on.

In general, the OTC Bulletin Board and Pink Sheets are different from national exchanges in a way that they serve only as a source of price information for market makers. The listing requirements for stocks that are traded under OTC Bulletin Board and Pink Sheet systems are generally less stringent than those of stocks listed in the major exchanges.

Q.

How do corporate actions affect my pending order(s)?

A.

Your pending order(s) will be either cancelled or adjusted, dependent upon the nature of the Corporate action and the Exchange activity.

Your pending order will be cancelled if any of the corporate actions identified in the table below occur. Cancellation will occur irrespective of whether or not the order has reached its Good Till Date.

Corporate Action:	Order Impact:
Stock Split Stock Merge / Acquisition Stock Dividend Spin-off Bankruptcy* Symbol Change** Equity De-listing**   * if the stock no longer trades ** if affecting the unique system code	Cancellation of buy and sell order(s)

Your pending order will be adjusted if any of the corporate actions identified in the table below occur. Your order would then be executed at the adjusted limit price.

Corporate Action:	Order Impact:
Cash Dividend Spin-off *   * We will adjust the orders if the Exchange adjusts	Adjustment of buy and sell order(s)

However, an action by the Exchange may cause your pending order to be either cancelled or adjusted if any of the corporate actions identified in the table below occur.

Corporate Action:	Order Impact:
Equity Offering Exchange Offering Rights Issue	Either cancellation or adjustment of buy and sell order(s), dependant upon the Exchange actions

Q.

How do corporate action adjustments affect my executed order(s) and account balance?

A.

An adjustment on a pending order, either changing of price and / or quantity, will affect the final executed order amount, causing a difference from the original order amount.

If the executed order amount is smaller than the original amount of a buy order, the extra held funds will be released to your available cash balance. However, a smaller amount of proceeds will be added to your available cash balance where sell order(s) are affected.

If the executed order amount is larger than the original amount of a buy order, the extra funds needed will be deducted from your available cash balance. More sales proceeds will be added to your cash balance where sell order(s) are affected.

Please note that we will not allot shares to your account in the event that your account has insufficient funds to accommodate adjusted buy order(s). You will be contacted by Boom where this situation arises.

You may view all adjustments made by the system under the "Order History" page of the Trading Section.

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Others

Q.

How could I get real time quotes service and financial news from BOOM?

A.

Please check out our BOOM Information Center (BIC). Subscribers can select from a variety of HK and US stock market streaming quotes providers from this centralized online environment at a discount price.

Q.

Does BOOM provide investment advice?

A.

BOOM Securities does not provide investment advice but offers links to other Internet sites that contain third-party investment information.

Q.

Can I short sell securities?

A.

Currently, BOOM Securities (H.K.) Limited does not provide short selling service.

Q.

How do I exercise my warrant contracts?

A.

You may exercise your warrant contracts by sending email to us. Your warrant contracts will be exercised as soon as market circumstances allow and your account will be updated immediately upon execution.

Q.

How are dividends and other corporate actions managed by the BOOM system?

A.

When you receive a dividend or other corporate action, you will be notified by email. If necessary, BOOM will ask for a response from you concerning the corporate action. For example, a message will ask you whether you would like your dividend in cash or shares.

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