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**第一卷在此 >>> https://klse.i3investor.com/blogs/12stocktalk/219954.jsp


种?今天这篇文就给大家介绍一下Direct Account 跟Nominee Account 的差


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首先,Direct Account 顾名思义,户口的名字是直接park under 你的。比如

说今天Mr. Lai 要开户口的话,户口名字就会显是 Lai XXX XXX。在公司的年报

(Annual Report)里面也会显示出户口拥有者的名字。而Nominee Account

的话,通常都是一些大型投资者想要借用margin facility* 才开这种类型的户口


XXXBank Nominees (Tempatan) Sdn. Bhd.

Pledged Securities Account for Lai XXX XXX

一般上来说,我都不会建议新手接触margin  这样东西,杠杆这样东西一旦


Direct Account 的话有一样好处相信每个新手都会喜欢的 – IPO

Application。这里要跟大家说明,只有Direct Account 才能subscribe IPO

的,如果是Nominee Account 的话是不能subscribe IPO 的,大家知道Direct

Account的重要性了吗? 最近比较红的Rakuten Trade 也是Nominee

Account,所以account holder 要注意咯!

那么问题来了,corporate exercise 比如说right issue subscription,

warrant conversion,preference share conversion 等等,Direct Account

跟Nominee Account 的差别又在哪里呢?

Direct Account 的话基本上你会收到right issue subscription 的信件,可以


而Warrant/preference share conversion 的话你可以联络自家dealer /

remisier 来帮你处理哦!Nominee 的话基本上这些都由Broker firm 帮你处

理,but,butttttt 他们都是有一定收费的,而且必须提早submit,迟了的话他

们就不帮你交去share registrar,到时候你就错失机会咯!

上面corporate exercise 的总结:Direct Account 自己搞定,Nominee

Account 别人帮你搞定,但是可能有一定的收费,而且要提早提交哦!

另外一个投资者也会非常关注的主题 – 股息(Dividend),Direct Account

跟 Nominee Account 的差别大家来猜一下?


答案是.. 很简单的 

enlightened  Direct Account 的话股息会“直接”进入你的Bank 户口

enlightened  Nominee 则会隔几个working day 进入到你的Trust Account(也就是你

的brokerage account),是不是很简单咧?不过我还是喜欢Nominee 进回去

Trust Account 里面,省得我每次dividend 都要再bank in 一次!

至于Annual Report(年报)的话,Direct Account Holder 是会收到一份

printed  的,而Nominee 的则需要向broker 要求才会收到哦!这样的差别

就是,AGM 出席的form 是在annual report 里面的,如果你想要出席的话,

必须要填写form 然后寄出才能出席哦!

可能一些朋友想到了,如果拿不到form,怎么出席呢?Nominee Account 其



总结来说,新手用Direct Account 会比较方便,因为大多数东西都透明化,也

不会miss out 一些东西(比如Annual Report要自己要求的)。但是如果你还

是要Nominee Account 的话,我也不阻止你

**如果你想要一个我个人推荐的Direct Account 的话,点击这个链接,就会有

人联系你开account 咯!>>> https://bit.ly/2P4Dg4R

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enlightened———— Check us out ————enlightened
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