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Doo Financial HK Limited is a Professional One Stop Investment Firm Licensed with the SFC (CE No.:BSM562)

Type 1 Regulated Activities

Securities Trading

Type 4 Regulated Activities

Advising on Securities

Type 9 Regulated Activities

Asset Management

1. Stock Trading Services

1.1 Hong Kong Stock Trading – Trade through our trading platform to capture every investment opportunity in the Hong Kong stock market

1.2 U.S. Stock Trading – Access the world’s largest and most liquid stock market, enjoy a broader selection of stocks, and build a diversified investment portfolio

1.3 IPO Subscription Services – Assist clients in applying for initial public offerings (IPOs), including both public offerings and placements

1.4 Grey Market Trading – Provide off-market trading of new shares at the close of the trading day prior to the listing day of an IPO

1.5 Securities Custody Services – Hold securities on behalf of clients and provide settlement and safekeeping services, including through the Central Clearing and Settlement System (CCASS)

1.6 Online and Mobile Trading – Enjoy fast and reliable securities trading via the internet or authorized mobile applications (APP) through system authorized by the Hong Kong Stock Exchange

2. Fund and ETF Trading

2.1 ETF Trading – Trade exchange-traded funds, (such as, 3412.HK Doo Wealth Select Digital Payment ETF, 3413.HK Doo Wealth Select AI & Automation Active ETF, 3426.HK Doo Wealth Select Web3 ETF)

2.2 REIT Trading – Trade real estate investment trusts (REITs)

2.3 Secondary Market Fund Trading – Trade both open-ended and closed-ended funds on the secondary market

2.4 Unit Trust Fund Distribution – Distribute non-listed funds, such as private equity and mutual funds

3. Bond and Structured Product Trading

3.1 Corporate Bond Trading – Facilitate the buying and selling of corporate bonds for clients

3.2 Government Bond Trading – Trade Hong Kong government bonds

3.3 Convertible Bond Trading – Provide trading services for bonds that can be converted into stocks

4. Equity Derivatives Trading

4.1 Warrants Trading

4.2 Callable Bull/Bear Contracts (CBBCs) Trading

5. Financing and Lending Services

5.1 Securities Margin Financing – Offer margin financing to clients for purchasing securities

6. Other Securities-Related Services

6.1 Block Trade Execution – Arrange large-scale trade for institutional clients

6.2 Securities Placement and Underwriting – Act as underwriter and placement agent for issuers in the Hong Kong market, including IPOs, secondary market placements, and private placements