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Your Securities Transactions and Schwab's Compensation


All securities transactions you conduct as a client of Charles Schwab, Hong Kong, Ltd. have the potential to generate income or fees for one or more of our affiliates. Please note the information provided below describes how Schwab earns money from third parties, not how clients pay Schwab for services. Information about what clients pay Schwab can be found at www.schwab.com.hk or in the disclosure brochures that describe Schwab's fee-based advice programs. Additional information regarding the compensation items appearing below can also be found by clicking here.

Security Description Compensation
Offshore Mutual FundsThrough Schwab's Offshore Mutual Fund Center, Schwab offer a selection of load-waived offshore mutual funds. Schwab receives remuneration for the share holder services provided to these funds. To compensate Schwab for various shareholder services the funds pay Schwab an asset-based annual fee, which usually equals 0.40% of the average fund assets held at Schwab, but may be as high as 0.45%. The fee may be subject to a monthly minimum that generally does not exceed USD$2,000 and applies beginning with the seventh full month and the fund is made available for purchase at Schwab. Also, funds pay Schwab a one-time establishment fee, which Schwab may waive. The amount of this fee generally does not exceed USD $10,000 for the first fund added and USD $1,000 for each new fund after that.

To the extent that any part of these fees is paid out of fund assets, fees are included in the fund's operating expense ratio (OER), which means the fees may be indirectly borne by the fund's shareholders.
Fixed IncomeThe price you are paying for this security reflects the difference between the bid and ask spread. In addition Schwab may earn a profit or lose money depending upon the price fluctuation while we've held it in our account as principal. Finally, when Schwab sells new issue securities it receives a customary selling concession which ranges from less than 0.01% to 2% of the par value of the security.

Disclosure: This note is for your information only and is not intended as an offer, or a solicitation, to buy or sell any investment or specific product. It may not be reproduced and/or circulated without prior authority of Charles Schwab, Hong Kong, Ltd. All information in this note is subject to change without notice.
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