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10 August 2017

Under the Securities and Futures (OTC Derivative Transactions Reporting Obligation-Fees) Rules, TR Members using the Reporting Service will be subject to transaction charge based on the usage of the HKTR system.

Fee Scale

The fee schedule of the Reporting Service is as follows:

  • Monthly transaction maintenance fee of HK$4.5 per outstanding specified transaction per month on a per-side basis, i.e. both reporting entities are subject to charge

  • No fee cap applies to the fee charged on reporting entities#

  • No fee or charge applies to the participation and maintenance of a TR Membership

Setup Arrangement 

TR Members are required to set up direct debit arrangement facility with the HKTR to facilitate the collection of fees by the HKTR. The logistical arrangement for setting up the direct debit arrangement is set out as below:

  1. TR Members are required to provide their authorisations, autodebit accounts, payment limits and debtor references* by completing the Direct Debit Authorisation (“DDA”) form.  

  2. TR Members should submit the completed DDA forms to their appointed banks and keep a copy to present to the HKTR. 

  3. A demand note in pdf format will be zipped and delivered to TR Members through email on a monthly basis. Please notify HKTR by email and provide the following information:

    a.  A scanned copy of the completed DDA form
    b.  Contact person(s) and email address(es) to receive demand note
    c.  Necessity to apply password protection to demand note

Billing Arrangement 

All fees are invoiced in Hong Kong dollar and billed monthly to TR Members. The arrangements are as follows: 

  1. A demand note stating the total amount of fees payable will be issued to Members on the 2nd business day of the following month to the contacts specified by Members. 

  2. The total fees will be automatically debited from the autodebit accounts authorised by Members (as per completed DDA form) on the 7th  business day from the date of the demand note is issued. Please ensure sufficient funds are available for the settlement.

  3. Autodebit transactions will be notified to Members via agreed means (e.g. bank statements) between the Members and their appointed autodebit facility providing banks in Hong Kong.

#Aggregate cap on transaction maintenance fee of HK$1.5 million per reporting entity per annum has been removed from 1 July 2017. The cap applicable to an existing user was HK$750,000 for the first six months of 2017.

*The field must be completed with TR Member code.

Last revision date:10 August 2017