The 3rd Party Depositary refers to a service that Hua Xia Bank as an independent third-party provides services of custody, transfer, deposit and withdrawal of securities settlement funds for investors who have applied such service. Backed by Hua Xia Bank’s advanced banking network, technology and professional services, the service facilitates deposit, withdrawal and transfer of investment funds and safeguards the customers’ securities settlement funds.

Flow of Bank –Securities Transfer:

I. Features:
Safe and reliable 3rd Party Depositary for investment funds
Hua Xia Bank provides custody service for customers’ investment capital to stop from being appropriated and safeguards customer’s money. Customers are kept informed through SMS on any balance changes in the account. 
Convenient and efficient multi-channel money transfer
Individual investors can transfer their funds at the Hua Xia counter, via Telephone Banking, Internet Banking, at the Securities brokerage counter, or online or by phone. 
Increase value, earn more 
Use Hauxia new service "Linked Current & 7-day Call Deposit" to earn more! You can enjoy the deposit rate of 7-day call deposit once you deposit more than RMB 50,000 in Hua Xia Card and earn more interest than current deposit. Just transfer the monies back to margin account via Phone Banking, Internet Banking of at the Hua Xia counter if necessary. 
Full range of services
Hua Xia Bank also offers trading services in gold, FX and fund. In addition, you can enjoy other Hua Xia value-added services such as VIP rate and VIP check-in (at the airport) and financial news

II. How to Apply:
(1) Appoint Hua Xia Bank as the depositary bank at the brokerage office of the Securities Company.
Open the securities funding account at the brokerage office of the Securities Company in person and appoint Hua Xia Bank as the depository bank by signing the Third Party Depositary Agreement on the Transaction Settlement.
(2) Confirm the depositary arrangement at Hua Xia Bank.
Sign up in person at Hua Xia outlet together with your ID card, bank card for trading securities, Hua Xia Card (can apply on the spot), Third Party Depositary Agreement on the Transaction Settlement, fill in the Application Form for Third-party DepositaryService, assign and confirm Hua Xia Bank as the depositary bank.

III. Steps:
(1) Internet Banking
Log on the homepage of Hua Xia Bank, click “Bank-Securities 3rd Party Depositary” on the left, enter the card number and password for 3rd Party Depositary, continue once you are authenticated.
Internet Banking Functions:
General Enquiry: 1. check balance in funding account; 2. check account balance; 3. check transaction details; 4. check customer details; 5 check account relationship.
Online Transaction: 1. securities to bank; 2. bank to securities.
Supporting Services: 1. change password for 3rd Party Depositary; 2. change personal particulars.
Note: To use Phone Banking services, sign up the Phone Banking first during signing agreement.
(2) Phone Banking
Dial 95577, press 3 for “Hua Xia Wealth Management”, enter Hua Xia Card No. and password for enquiry, press 1 for “Bank-Securities Third-Party Depositary”, enter password. Proceed once authentication OK.

Note: To use Phone Banking services, sign up the Phone Banking first during signing agreement

IV. Tips:
1. The business hours for the 3rd Party Depositary service are from 9:00 to 16:00, Mondays to Fridays. Please see the specific rules of your securities company.
2. The type and number of the identity documents used in opening the securities account at the securities company must be the same as for opening Hua Xia Card at Hua XiaBank.
3. Only the A-share RMB service is available.

V. List of Securities Companies under the Hua Xia Third-Party Depositary Service

VI. Bank-Securities 3rd Party Depositary FAQ
1. Is there a deadline for customers to go to the depositary bank for confirmation after the customer has appointed at the securities company?
A: No. The procedure of appointing the depositary bank is not completed until the customer’s confirmation at the appointed bank. Before confirmation, the customer can not deposit or withdraw money from the bank account.
2. How can a customer change the previously appointed depositary bank as the depositary bank under Hua Xia 3rd Party Depositary service?
A: First of all, the customer needs to make sure that the securities brokerage firm he/she is using is a partner of Hua Xia Bank for 3rd Party Depositary services. If so, the customer can change the 3rd Party Depositary bank at the counter of the securities company. Please follow the steps described below:
(1) Initiate “securities to bank”. On Day 1, the customer initiates “securities to bank” through the securities company or Hua Xia Bank to transfer all the money in his/her securities account to the bank card of the previous appointed bank, thus the balance in his/her securities account is 0.
(2) Cancel the 3rd Party Depositary bank. On Day 2 (the balance in his/her securities account is 0 and no transaction such as bank-securities transfer, dividend payment, and buying or selling shares taken place), the customer goes to the office of the securities company where he/she opens the securities account with required documents and cancel the depositary bank. The previous Customer Agreement is terminated.
(3) Appoint Hua Xia Bank as the depositary bank. After cancellation of the original depositary bank, the customer can immediately appoint Hua Xia Bank as the depositary bank at the office of the securities company and confirm at any Hua Xia outlet.
Circumstances in which customers may fail to change the depositary bank include: 
1) On the day of cancellation of the original depositary bank, there is money left in the customer’s securities account; 
2) On the day of cancellation of the original depositary bank, there are pending collections or payments in the customer’s securities account;
3) On the day of cancellation of the original depositary bank, there are bank-securities transfer transactions.
3. Can we choose more than one securities companies to apply for the third-custody services? How?
A: For some reason, investors may have accounts at more than one securities companies. The Hua Xia Bank 3rd Party Depositary System supports services of one single bank settlement account linked to multiple securities brokerage firms, provided that those firms that the investor has used the depositary services are partners of Hua Xia Bank. The application process is similar to the general application, except that the customer will have to go to each securities company to apply for 3rd Party Depositary respectively and then confirm at the corresponding Hua Xia Bank outlets.
4. How to update the registration details (contact No., address, and email)?
At the Hua Xia bank counter or logon Internet Banking.
5. Would the service be affected if the Hua Xia Card used for signing up the third-party depositary service is lost?
No. investors can continue to trade, but deposit and drawing of margin would be affected. If the Hua Xia Card is damaged or lost, replace one immediately at Hua Xia outlets (original Hua Xia Card cannot be used for making transfer between Hua Xia Bank and securities companies on the day of replacement). Now the new Hua Xia Card can be used for deposit and drawing of margin. 
6. How can a signed customer terminate the 3rd Party Depositary service at Hua Xia Bank?
(1) Initiate “Securities-to-Bank”. On Day 1, the customer initiates “securities to bank” through the securities company or Hua Xia Bank to transfer all the money in his/her securities account to the bank card of the previous appointed bank, thus the balance in his/her securities fund account is 0.
(2) Terminate the 3rd Party Depositary service. On Day 2 (the balance in his/her securities account is 0 and no transaction such as bank-securities transfer, dividend payment, and buying or selling shares taken place), the customer goes to the office of the securities company where he/she opens the securities account with required documents and terminate the depositary service. The previous Customer Agreement is terminated.