Guide to Transferring Stocks from Futu to RockFlow

The process of transferring stocks from Futu Securities to RockFlow involves two main steps:

1. Contact Futu Securities to Initiate Stock Transfer
2. Contact RockFlow to Accept Your Transferred Stocks Note: The following guide is for reference purposes only. If you encounter any issues during the actual transfer process, please contact customer support for confirmation.

Step 1: Contact Futu Securities to Initiate Stock Transfer

Refer to Futu Help Center for the operation within the Futu APP.

1. Application Entry Operation Path: "Account" -> "Transfer" -> "Transfer Out Stocks"

2. Information to be provided to the counterparty broker during the operation

For U.S. stocks:

• If you are a Chinese taxpayer:
  • Platform: Rockalpha Limited
  • Brokerage firm: Velox Clearing LLC
  • DTC Number: 3856
  • Account Number: 88ZG0210
  • Account Name: ZINVEST GLOBAL LIMITED-CHN CLIENT
  • Contact Person: Mr. Ken
  • Tel: 3852-2183
  • Contact Email: settlement@zvsthk.com
• If you are a non-Chinese taxpayer:
  • Platform: Rockalpha Limited
  • Brokerage firm: Velox Clearing LLC
  • DTC Number: 3856
  • Account Number: 88ZG0230
  • Account Name: ZINVEST GLOBAL LIMITED-OTHER CLIENT
  • Contact Person: Mr. Ken
  • Tel: 3852-2183
  • Contact Email: settlement@zvsthk.com

For Hong Kong stocks

• Platform: Rockalpha Limited
• Brokerage firm: Zinvest Global Limited
• The Central Clearing And Settlement System (CCASS) Number: B02102
• Contact Person: Mr. Ken
• Tel: 3852-2183
• Contact email: settlement@zvsthk.com

Step 2: Contact RockFlow to Accept Your Transferred Stocks

After the transfer-out platform executes the transfer operation, you need to send an email to RockFlow customer service. The email must include the following information:

• Your Name:
• Your RockFlow Account Number:
• Counterparty Broker Name:
• DTC Number of the Counterparty Broker (for US stock transfer):
• Central Clearing Number of the Counterparty Broker (for Hong Kong stock transfer):
• Contact Person at the Counterparty Broker:
• Contact Phone Number of the Counterparty Broker:
• Contact Email of the Counterparty Broker:
• Your Account Number at the Counterparty Broker:
• Your Account Type at the Counterparty Broker (Individual/Institution):
• Transfer Information: List of stocks transferred to RockFlow (Download the template from the attachment, fill it out as instructed, and attach the Excel file to the email) Transfer Stocks List.xlsx
• Account Opening Proof Documents: Upload a confirmation of your successful account opening at the counterparty broker, as well as a confirmation email or document of your successful account opening at RockFlow.

Some important information from Futu as the counterparty broker is provided for reference (this information is for reference only, contact the counterparty broker for detailed information if needed):

If transferring to US stocks:

Your Name	Your account name at the transfer-out broker, must match the RockFlow account name
Counterparty Broker Name	Futu Securities International (Hong Kong) Limited
DTC Number of the Counterparty Broker (for US stock transfer)	4272
Contact Person at the Counterparty Broker	Settlement Department
Contact Phone Number of the Counterparty Broker	(852) 23018999-5504
Contact Email of the Counterparty Broker	settlement@futuk.com
Your Account Number at the Counterparty Broker	Your account number at Futu Securities

If transferring to Hong Kong stocks:

Your Name	Your account name at the transfer-out broker, must match the RockFlow account name
Counterparty Broker Name	Futu Securities International (Hong Kong) Limited
Central Clearing Number of the Counterparty Broker (for Hong Kong stock transfer)	B01955
Contact Person at the Counterparty Broker	Settlement Department
Contact Phone Number of the Counterparty Broker	(852) 23018999-5500
Contact Email of the Counterparty Broker	settlement@futuk.com
Your Account Number at the Counterparty Broker	Your account number at Futu Securities

After sending the email, please be patient, and both parties' staff will follow up on your transfer request as soon as possible.

Note:

1. Stock transfer between different brokers is only allowed for accounts with the same name and cannot be transferred to third-party accounts.
2. Fees: RockFlow does not charge fees for receiving stocks, and fees are charged by the transfer-out broker.
3. Time: RockFlow needs to confirm account information with the transfer-out broker and execute the transfer, which is expected to take 3-15 working days.
4. After initiating the transfer, you can continue trading the stock; however, any trades made will render the corresponding transfer request invalid. Once the transfer process enters the final clearing and transfer stage, trading may not continue (different stocks have different clearing times, which may take 2-3 days).