Securities dealing and brokerage services — Our Group provides securities dealing and brokerage services to customers for trading in securities listed on the Stock Exchange. Our Group does not accept walk-in customers. Customers may place orders for securities trading through telephone calls or our Group’s internet platform.

Placing and underwriting services — Our Group acts as an underwriter or a sub-underwriter or a placing agent or a sub-placing agent for companies listed or to be listed on the Stock Exchange or shareholders of companies listed on the Stock Exchange for their fund raising exercises such as IPOs, rights issues, open offers or placing of new and/or existing shares and debt securities.

Margin financing services — Credit facilities are offered by our Group to its customers who would like to purchase securities listed on the Stock Exchange on a margin basis, which offers funding flexibility to our Group’s customers. Our Group also provides IPO margin financing service and provides funding to customers for application of IPOs. All financing extended to our Group’s customers for margin financing purposes is secured by securities or debt instruments convertible into shares listed on the Stock Exchange and pledged to our Group. Acceptable securities for pledging and their respective margin ratios are reviewed and determined by one Responsible Officer and one management team member on a case-by-case basis.

Asset management services — Our Group acts as an investment manager and provides wealth management services to clients on a discretionary basis pursuant to each client’s investment requirements, objectives and restrictions as contained in the investment management agreement between Pacific Foundation Securities Limited and its clients.
Other services — Our Group also provides ancillary services including application for new issues and nominee services such as collection of cash and scrip dividends. We also provide referral services in relation to fund raising related projects and other projects.