Certificate of Compliance with the Banking Ordinance for Authorized Institutions

T C o . N o . M M Y Y CAT (For Official Use Only) SECRET und e r t he B ankin g O rdin an c e C E R T I F I C A T E O F C O M P L I A N C E W I T H T H E B A N K I N G O R D I N A N C E O F A N A U T H O R I Z E D I N S T I T U T I O N I N C O R P O R A T E D I N H O N G K O N G Position of *Local Office(s)/Local Offices and Overseas Branches/Consolidated Return for the quarter ended .................................................................. (last day of the quarter)

• D e l e t e w h e r e i n a p p l i c a b l e N a m e o f A u t h o r i z e d I n s t i t u t i o n D a t e o f S u b m i s s i o n The Ba n ki ng Ordi na nce In fo rmat i on r eq u est ed i n t h i s r et u rn i s req u i r ed u n d er s ec t i on 6 3 (2 ) o f t h e Ban k i n g Or d i n an ce. Th e r et u rn sh ou ld b e su b mi t t ed t o t h e M on et ar y Au t h ori t y n ot lat er t h an 1 4 d ays a ft er t h e en d o f each q u art er en d i n g on 3 1 M arch , 3 0 Ju n e, 3 0 Sep t emb er an d 3 1 Dec emb er, u n l ess ot h er wi s e ad vi s ed b y t h e M on et ar y Au t h ori t y. Note: This certificate is to be prepared in accordance with the completion instructions issued by the Monetary Authority. We c ert i f y t h at t h i s cert i fi ca t e i s, t o t h e b est o f ou r k n o wl ed g e an d b eli ef, c or r ect . C h i e f A c c o u n t a n t C h i e f E x e c u t i v e N a m e N a m e Name and telephone number of responsible person who may be contacted by the Monetary Authority in case of any query. N a m e T e l e p h o n e N u m b e r M A( B S ) 1 F ( a ) ( R e v . 9 / 2 0 1 9 )

• 2 - (HK$’000) I. As at (a) Tier 1 capital of the institution (b) Adjusted Tier 1 capital of the institution II. Compliance with the Banking Ordinance Please state whether or not, during the reporting period, the institution was in contravention of the provisions of the following sections of the Banking Ordinance Yes No (Please put an "X")

1. Exposure limits prescribed in the following parts of the Rules made under section 81A ("BELR”) (a) Part 2 (b) Part 3 (c) Part 4 (d) Part 5 (e) Part 6 (f) Part 7 (g) Part 8
2. Capital requirements specified in a notice served by the Monetary Authority under Section 97F(1)
3. Liquidity requirements prescribed in the Rules made under section 97H(1) that are applicable to the institution: (a) Hong Kong office position (b) Unconsolidated position (c) Consolidated position
4. Section 119A
5. Rules made under section If the answer is “yes”, please specify the relevant 60A(1) section(s) of the Rules that were contravened If the institution is exempted by the Monetary Authority for disclosures required under the Rules, please tick this box
   . III. Maximum exposures under the BELR At the close of business on any day during the reporting period : (HK$'000)
6. Maximum aggregate linked counterparty group exposure (ALCG exposure) to an LC group under Part 7 as calculated in accordance with rule 47(or the maximum aggregate single counterparty exposure (ASC exposure) to a counterparty as calculated in accordance with rule 46), amounted to Name of LC group/counterparty :

• 3 - 2. Maximum aggregate connected parties exposure (ACP exposure) under Part 8, as calculated in accordance with rule 90, other than those exempted under rule 92, amounted to

3. Maximum aggregate connected natural persons exposure (ACNP exposure) under Part 8, as calculated in accordance with rule 91, other than those exempted under rule 92, amounted to
4. Maximum aggregate single connected party exposure (ASCP exposure) to any connected natural person under Part 8, as calculated in accordance with rule 89, other than those exempted under rule 92, amounted to
5. Maximum aggregate equity exposure under Part 2, as calculated in accordance with rule 13, other than those exempted under rule 14, amounted to
6. Maximum land exposure under Part 6, as calculated in accordance with rule 37(1)(a), amounted to
7. Maximum adjusted land exposure under Part 6, as calculated in accordance with rule 37(1)(b), amounted to IV. Assets under charge
8. At the close of business on any day during the reporting period, maximum ratio calculated on the basis of the aggregate value of all charges over the total assets of the institution and the value of such assets, within the meaning of section 119A, other than those charges approved/exempted by the Monetary Authority, was (HK$'000) (a) Aggregate value of all charges (b) Value of total assets after provisions (excluding contra items) (c) Maximum ratio ((a) ÷ (b) x 100%) %
9. During the reporting p erio d, the follo wing ch arges were created within the meaning o f section 119 A: Ne w ch ar g es cr ea ted At th e clo se o f b u sin e ss o n th e d a y wh en a ch ar ge was cr ea ted Dat e V alu e o f ch ar g es (HK$ ¢0 ) Ag gr e g ate v alu e o f a ll ch ar g es (in c lu d in g th o se in clu d ed in co lu mn (b )) o th er th an th o se ap p ro ved o r e xe mp t ed b y th e Mo n etar y Au th o rit y (HK$ ¢0 ) V alu e o f to t al as set s a ft er p ro vi sio n s (e xc lu d in g co n tr a ite ms) (HK$ ¢0 ) Ratio o f a g gr e gat e va lu e o f all ch ar ge s to va lu e o f to tal a ss ets a ft er p ro vi sio n s (e xc lu d in g co n tr a it e ms) (c) ÷ (d ) x 1 0 0 % (%) (a) (b ) (c) (d ) (e)

• 4 - V. Exempted/Approved Tran sactions

1. During the reportin g period: th e maximu m amount o f fin ancial facilities / exposures exclud ed/disregarded und er th e BELR (1) fro m rule 27(2) b y the Monetary Authority’s written consent under rule 28(1); (2) fro m rule 44(1) and (2) b y the Monetary Auth ority’s appro val/written consent under rules 48(1)(e)(i)(B), 48(1)(f)(i)(B), 48 (1)(n) or 57(1)(d)(i); and (3) fro m rule 87(a), (b) and (c) b y the Mon etary Authority’s approval/written consent und er rules 85(3) or 92(1), amounted to Rel e van t ru le o f ex e mp tio n u n d er th e BE LR Na me o f cu sto mer Typ e o f Faci lit y/ Exp o su r e Li mit ap p ro ved b y th e Mo n etar y Au th o rit y (HK$ ¢0 ) Max i mu m a mo u n t o f fin an cia l fa cilit y/ exp o su re (HK$ ¢0 )
2. At the end o f the reporting p eriod, th e value o f capital interest, sh are capital, d ebt securities, investment structure (as the case applies) acquired (1) in the course o f satisfaction of debt due to the AI or (2 ) under an underwritin g/ subunderwritin g contract as appro ved b y the Monetary Authority in resp ect o f Part 2 of the BELR under rule 14(1)(b )(i)(B) and 14(1)(c)(i)(B) respectively and in resp ect of Part 7 o f th e BELR u nder rules 48(1)(e)(i)(B) and 48(1)(f)(i)(B) respectively; and th e value o f interest in land acquired in the course o f satisfaction o f debts due to the AI as appro ved b y the Monetary Authority under rule 38(b)(i)(B) o f th e BELR, amounted to Rel e van t ru le o f ap p ro v al u n d er th e BE LR Na me o f en t it y/ Lo cat io n o f p ro p er t y Dat e o f acq u i sitio n Exp ir y o f ap p ro ved p erio d o f h o ld in g V alu e (HK$ ¢0 )

• 5 -

3. During the reporting p eriod, the maximu m aggregate valu e o f all charges ap proved b y th e Monetary Au thority under section 11 9A(2 ), amounted to Li mit o f faci lit y Max i mu m P articu l ars o f ch ar g es V alu e o f ch ar g es se cu r ed b y ch a rg e s a mo u n t u til iz ed (HK$ ¢0 ) (HK$ ¢0 ) (HK$ ¢0 )
4. (a) Durin g the reporting period, the maximu m aggregate value o f all ch arges exempted b y th e Monetary Authority under section 119 A(3), amounted to Max i mu m Cla ss o f e x e mp t ed P articu l ars o f ch ar g es V alu e o f ch ar g es a mo u n t u til iz ed ch ar g es (HK$ ¢0 ) (HK$ ¢0 ) (b) Top 5 counterparties in favour o f wh ich exempted initial margin charges are created Charges in favour o f Particulars o f ch arges Value o f charges (HK$ ¢000)