Unicorn Securities

Company Profile

Unicorn Securities Co., Ltd. Is A Securities Company Registered In Hong Kong, Established In 2004 And Headquartered In Room 503, General Commercial Building, 156-164 Des Voeux Road Central, Central, Hong Kong. The Company's Registered Capital Is HKD 12,500,000 And Holds A Futures Contract Trading License Issued By The Hong Kong Securities And Futures Commission (license Number: ACD947 ). As A Regulated Financial Institution Group, Unicorn Securities Has Long Adhered To The Pragmatic, Honest And Excellent Philosophy To Provide Comprehensive And High-quality Financial Services To Customers Around The World.

Regulatory Information Unicorn Securities Strictly Complies With The Regulatory Requirements Of The Hong Kong Securities Supervision Commission, While Meeting The Compliance Standards Of International Financial Marekt. The Company Holds A Futures Contract Trading License Issued By The Hong Kong Securities Supervision Commission (license Number: ACD947 ), Indicating That It Is Qualified To Provide Trading And Services To Clients Such As Stocks, Options, ETFs And Private Equity Funds . In Addition, The Company Has Passed The Compliance Review Of Financial Industry Regulatory Authority (FINRA) And Other International Self-regulatory Organizations To Ensure The Transparency And Standardization Of Its Business Operations.

Trading Products Unicorn Securities Offers The Following Main Trading Products:

1. Stocks : Supports The Trading Of Stocks In Multiple Markets Around The World, Covering Hong Kong Stocks, US Stocks And Other International Markets.
2. Options : Provides Trading Services For A Variety Of Financial Derivatives, Including Stock Options And Index Options.
3. ETF : Supports The Trading Of A Variety Of Exchange Traded Funds, Helping Customers Achieve A Diverse Asset Allocation.
4. Private Equity Funds : Provides High Net Worth Clients With Investment Opportunities In Private Equity Funds.

As Of 2023Q3 , Unicorn Securities' Trading Products Cover Stocks, Options, ETFs And Private Equity Funds , But Do Not Include Foreign Exchange, Precious Metals Or Commodities.

Trading Software Unicorn Securities Provides Electronic Trading Services, And Clients Can Trade Through Its Online Platform. However, A Proprietary Trading Platform Is Not Currently Available.

Deposit And Withdrawal Methods Unicorn Securities Provides A Variety Of Deposit And Withdrawal Methods, But The Specific Deposit And Withdrawal Information Is Not Detailed In The Public Information. Customers Need To Open An Account Electronically And Provide Proof Of Identity And Address.

Customer Support Unicorn Securities Provides A Variety Of Customer Support Methods:

• Telephone Support : Provide + 852-3421-1271 And + 852-2156-7907 Two Service Hotlines.
• Email Support : Customers Can Contact The Customer Support Team Through [email protected] .

Core Business And Services The Core Business Of Unicorn Securities Includes:

1. Stock Trading : Provide Stock Trading Services In Hong Kong Stocks And US Stocks, Etc. The Transaction Fee Is HKD 30.00 Per Transaction, Of Which 0.1% Of The Transaction Amount Is The Handling Fee, Plus 0.1097% Stamp Duty Charged By The Hong Kong Government.
2. US Stock Transactions : The Transaction Fee Is $2.99 Per Transaction . If A Single Transaction Volume Exceeds 300 Shares , The Fee Is Calculated At $0.01 Per Share .
3. Client Server : Provide 24/7 Support To Clients Via Phone And Email To Help Clients Complete Transactions, Account Management And Investment Consulting.

Technical Infrastructure Unicorn Securities Uses Advanced Technical Infrastructure, Including Electronic Trading Systems And Data Analytics Platforms, To Ensure Efficient And Secure Trading. However, No Proprietary Trading Platform Or Software Is Currently Available.

Compliance And Risk Control System As A Financial Institution Group Regulated By The Hong Kong Securities Supervision Commission, Unicorn Securities Strictly Complies With Relevant Laws And Regulations And Has Established A Comprehensive Compliance And Risk Control System. The Company's Risk Control Measures Include:

1. Transaction Monitoring : Real-time Monitoring Of Trading Behavior To Prevent Market Manipulation And Abnormal Trading.
2. Money Management : Ensure The Safety Of Customer Funds And Avoid Excessive Leverage Of Accounts.
3. Compliance Training : Provide Regular Compliance Training To Employees To Enhance Internal Risk Control Capabilities.

Market Positioning And Competitive Advantage Unicorn Securities Is Positioned As A Professional Securities Service Provider In The Global Financial Marekt. Its Competitive Advantages Are Mainly Reflected In:

1. Globalized Service Network : Provide Customers With Multi-market Trading Services Covering Hong Kong Stocks, US Stocks And Private Equity Funds.
2. Flexible Account Management : Provide Cash Account, Reg T Margin Account And Combined Margin Account Three Account Types To Meet The Needs Of Different Customers.
3. Electronic Trading Platform : Improve Trading Efficiency And Reduce Operating Costs Through Electronic Trading Systems.

Customer Support And Empowerment Unicorn Securities Provides Clients With A Full Range Of Support And Empowerment Services Through Its Client Server Team And Electronic Trading Platform, Including:

1. Investment Advisory : Helping Clients Develop Personalized Investment Strategies.
2. Information Platform : Providing Clients With Tools For Discovering And Analyzing Investment Opportunities Through Collaboration With The Financial Investment ™ Community .

Social Responsibility And ESG Unicorn Securities Actively Fulfills Social Responsibility And Focuses On Environmental, Social And Corporate Governance (ESG) Issues. The Company Contributes To The Sustainable Development Of Global Financial Marekt By Supporting Green Investment And Sustainable Development Projects.

Strategic Cooperation Ecology Unicorn Securities Maintains Close Cooperation With Several Financial Institution Groups And Platforms, Including Caishuo Investment ™ Community , To Expand Its Service Scope And Enhance Customer Experience.

FINANCIAL HEALTH As Of 2023Q3 , Unicorn Securities' Financial Position Is Sound And Its Capital Adequacy Ratio Meets Regulatory Requirements, Providing Strong Protection For The Safety Of Clients' Funds And The Continued Development Of Its Business.

Future Roadmap Unicorn Securities Will Continue To Expand Its Global Service Network, Optimize Its Technical Infrastructure, And Strengthen Its Cooperation With The International Financial Institutions Group To Enhance Its Competitiveness And Service Capabilities In The Securities Market.