Notice Inviting Claims



Goodcape Securities Limited



Notice under section 3 of the Securities and Futures
(Investor Compensation - Claims) Rules

Notice Inviting Claims in respect of Goodcape Securities Limited

NOTICE IS HEREBY GIVEN that qualifying clients1 of Goodcape Securities Limited who believe they may have sustained a loss as a result of default2 by that company in relation to (i) specified securities or futures contracts; or (ii) related assets3, may lodge an application for compensation against the Investor Compensation Fund.

Claims may be lodged by post or in person with the Securities and Futures Commission ("SFC") at 35/F, Cheung Kong Center, 2 Queen's Road Central, Hong Kong. Claims must be submitted in the specified form and must reach the SFC on or before 20 April 2015. Claim forms can be downloaded from the website of the Investor Compensation Company Limited ("ICC") ( or collected from the SFC's office at the above address.

Claim forms must be duly completed and signed, and submitted together with the documents specified in the form. Claims lodged after 20 April 2015 may be disallowed.

An acknowledgement of receipt of the claim form will be issued and sent to claimants by post within 7 days of receipt. Claimants who do not receive an acknowledgement within 7 days should follow up with the ICC promptly.

Claimants who have already lodged a claim for compensation with the ICC need not submit their claim again, but should follow up with the ICC if an acknowledgement of receipt from the ICC as aforesaid has not been received.

Further details and information are also available on the website of the ICC.

                                                               Investor Compensation Company Limited

20 January 2015

1 "Qualifying clients" include retail clients
2 "Default" includes any breach of trust, defalcation, fraud or misfeasance
3 "Specified securities or futures contracts" are those listed or traded on the Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited. "Related assets" includes money in an investor's securities account or futures contracts account at the defaulting intermediary which relates to the purchase, sale, holding, pledge, adjustment, exercise, or expiry of specified securities or futures contracts.