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Stock Connect (Shanghai and Shenzhen Stock Exchanges)

Buy orders for securities traded on the Shanghai and Shenzhen Stock Exchanges must be in 「board lots」. A 「board lot」 is 100 shares. Odd lot trading is only available for sell orders and all odd lots should be sold in one single order. It is common that a board lot buy order may be matched with different odd lot sell orders, resulting in odd lot trades. It should be noted that unlike Hong Kong, board lot and odd lot orders are both matched on the same platform on SSE and SZSE, and subject to the same share price. For Northbound trading, there is no manual trade facility. The maximum order size is 1 million shares and the tick size is uniformly set at RMB 0.01.

Only certain securities (A shares) are eligible for Northbound Trading and only limit orders will be accepted. To search for A shares please visit here

Please read the 「Information Book for Investors」 published by the Hong Kong Stock Exchange to familiarize yourself with the rules and risks of Northbound Trading.

For information eligible securities please visit here.

Information collected and reported

Clients who wish to access Stock Connect must provide Moomoo Financial with consent to provide their information to the Hong Kong Exchanges and Clearing Ltd and the Chinese regulatory bodies such as:

• Shanghai and Shenzhen Stock Exchanges

• China Securities Depository and Clearing (Hong Kong) Company Limited

• Mainland regulatory authorities and law enforcement agencies

For natural persons, the information collected and reported includes:

• Name in English and Chinese

• Government issued identification (ID card issued by the government authority of relevant country/region, passport, or any other official identity document e.g. driver's license)

• Identification number (number of ID document)

For legal persons, the information collected and reported includes:

• Entity name

• Official incorporation documents

• Legal Entity Identifier

Each Northbound trading client will be assigned a Broker-to-Client Assigned Number (BCAN) which will be associated with the identification information collected and will be tagged to every Northbound order on a real-time basis.