Certificate of Compliance with the Banking Ordinance for Authorized Institutions Incorporated Outside Hong Kong

T SECRET
C o . N o . M M Y Y
(For Official use Only)
I nf o r ma ti on r equ ir e d und e r th e Banki ng 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 O U T S I D E H O N G K O N G A s a t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 T h e B a n k i n g O r d i n a n c e Th e Moneta r y Au th o rit y r eq ui res th e su bmitt in g Au th ori zed In sti tu tion to p rovide t he i nfo rma tion sp ec ifi ed i n th is retu rn to th e Mon eta r y Au th ori t y, in th e f orm s et ou t in th e r et urn , in ac c orda n c e wit h sect ion 63 (2) o f th e Ba n ki ng Ord in a nc e. Th e in f ormat i on, i n th e f or m of d ul y comp l et ed r etu rn, m u st b e su b mi tted to th e Mon et ar y Aut h orit y n ot la t er t ha n 14 d ays a fte r t he en d of ea c h q u arte r, u nl ess ot h er wis e ad vis ed b y th e M oneta r y Aut ho rit y. If th e sub missi on d ea d li n e f a lls on a p u blic h olid a y, it wi ll b e d ef err ed to t h e n e xt worki n g d a y. Thi s r etu rn mu st b e c omp let ed in a c cord a nc e with t he comp let i on in st ru c tions i ssu ed b y th e M oneta r y Au th orit y to en sur e th a t a ll req ui si t e in fo rma tion i s pr ovid ed an d su bmi tted i n th e r equ ired form. 1 . We c erti f y t ha t th is c erti fi ca te i s, to th e b est of ou r k no wled ge a nd b e li ef, c or r ec t. 2 . Pleas e p ut a n “X” in th e “Y e s” c olu mn i f th e in stit ut ion ha s c on tra ven ed th e fo llo win g resp ec ti ve s ec ti ons of th e Ba nk in g Ord in an c e d u ri ng th e r ep orti ng p eri od . If n ot, pl ea s e p u t a n “X” in t he “ No” c olu mn . Yes No (Pl ea s e p u t a n X”) (a) In r esp ec t of Pa rt 4 of the Ru les ma d e un d er s ec ti on 8 1 A, n o a dvan c e, etc ., a ga in st sec urit y of o wn sh ar es, et c. , with in t he m ea n in g of t ha t p a rt, oth er th an th os e a l lo we d u nd er ru le 28 , wa s g ra nt ed b y th e in st itu tion.

(b) In r e sp ec t o f Pa rt 5 of t he Ru le s mad e u n d er s ec ti on 81 A, a ggr egat e fi na n ci al fa c ilit y a mou n t in re la tion to e mpl oyee s, wi th in t he m ean in g o f ru le 2 9 (1 ), oth e r t ha n t hos e a llowed u n de r ru le 3 2, d id not e xc e ed th e limit sp eci fi ed i n th at Pa rt.

(c) Liq u id ity r equ ir em en t pr es c rib ed i n th e Ru le s ma d e un d er s ec tion 97 (H )1 th a t is a pp lic a ble t o th e i nsti tu tion.

(d) Ru les ma de u nd e r s ec tion 60 A(1 )

If th e a ns we r t o (d ) i s “ ye s”, p lea s e sp ec if y th e r e le va n t s ec ti on (s) of t h e R ul es t ha t wer e c on trav en ed a nd t he d isclo sure sta te ment to whi ch t he c on tra v ent ion r e la te s

If th e i nsti tu tion i s ex emp t ed b y th e M on et ar y Aut hori t y f or d isc losu r es r eq u ir ed un d er th e Rul es, p lea s e t ic k th is b ox .

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 ( b ) ( R e v. 3 / 2 0 2 5 )