Eligible Stocks

Eligible Stocks for Northbound Trading:

Constituent stock of the SZSE Component Index with a market capitalization of at least RMB 6bn.

Constituent stock of the SZSE Small/Mid Cap Innovation Index with a market capitalization of at least RMB 6bn.

A-listed stock that is not included in the above indices but is dual listed in H-share market

Adjustments of Eligible Stocks for Shenzhen Stock Connect Trading

There will be an addition to the list of Eligible Stocks in the following scenarios:

An SZSE-listed stock, other than the A share of an A+H company, that is included in SZSE Component Index or SZSE Small/Mid Cap Innovation Index at the time of periodic adjustment of the relevant index will be added to the list of eligible shares for Shenzhen Connect on the effective date of the adjustment if it has a minimum market capitalization of RMB 6 billion.

An SZSE-listed stock that is included in the relevant index at the time of temporary periodic adjustment of the index will added to the list of eligible shares for Shenzhen Connect on the effective date.

The A share of an SEHK-listed company (as H share) that seeks an A share listing on SZSE will be added to the list of eligible shares for Shenzhen Connect on the listing date of the A share.

 The A share of an SZSE-listed company (as A share) that is not a constituent of any index but seeks an H share listing on SEHK will be added to the list of eligible shares for Shenzhen Connect after the company’s A share has been listed for 10 trading days and its H share has passed the price stabilization period.

An SZSE-listed stock that meets the inclusion criteria for Shenzhen Connect shares and is released from risk alert will be added to the list of eligible shares for Shenzhen Connect.

An Eligible Stock will be removed if:

It is removed from SZSE Component Index or SZSE Small/Mid Cap Innovation Index and is not the SZSE-listed A share of an A+H company.

Though still a constituent stock of the relevant index, its market capitalization is less than RMB 6 billion at the time of periodic adjustment of the index and it is not dual-listed as A+H share.

It is the A share of an A+H company whose H share is delisted from SEHK and the A share does not meet the inclusion criteria for Shenzhen Connect shares.

It is put under risk alert, enters the pre-delisting period, or is delisted.

In the case of a removal, investor would be able to sell and NOT buy this stock.

Features of Eligible Stocks

Shenzhen Connect covers selected stocks listed on SZSE Main Board, SME Board and ChiNext market, highlighting SZSE’s characteristics as a gathering place of emerging industries with the distinctive feature of growth and providing the Mainland and overseas investors with more diversified investment choices.

Industry Coverage

Eligible Stocks

Telecomm
unications

Industrial

Public Utilities

Financials and Real Estate

Consumer Discretionary

Energy

IT

Medical & Healthcare

Raw Materials

Consumer Staples

Total

Weighting in Shenzhen Connect

3.24%

14.92%

1.81%

12.07%

17.74%

1.44%

21.44%

8.76%

10.84%

7.74%

100.00%