Certificate of Compliance with the Banking Ordinance for Authorized Institutions

T SECRET C o . N o . M M Y Y CAT
(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 I N H O N G K O N G Position of *Local Office(s)/Local Offices and Overseas Branches/Consolidated Return
As at ..................................................................

• 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 Or di nance Th e Mon eta r y Au th orit y r eq ui re s th e su bmitt in g Au th o ri z e d In st itu ti on t o pr ovi de th e i nfor ma ti on sp ec ifi ed in t hi s retu rn t o th e M on eta r y Au th orit y, in t h e form s et ou t i n th e r et urn , i n ac c o rd a nc e with sec ti on 63 (2 ) of th e Ba n kin g Ord in a nc e. Th e i nfo rma tion, in t he fo rm of d ul y c omp let ed r etu rn, mu st b e su bmitt ed to th e Mon et ar y Au th ori t y n ot lat er th an 1 4 da ys aft er th e en d of ea c h qu a rt er, u n le ss oth er wis e a dvised b y th e M on et ar y A u th orit y. If t h e su bmission d ea dlin e fa lls on a p ub lic h oli da y, i t wi ll b e d e f er r ed t o th e n ext wo rk in g da y. Thi s r etu rn mu st be c ompl et ed i n ac c orda n c e wit h th e c om plet i on in st ruc ti ons i ssu ed b y th e M on et ar y Au th orit y t o 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. We c erti f y th at th is c erti fi ca t e i s, to th e b est of ou r kn o wl ed ge a nd b e li ef, c or r ec t.

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 . 3 / 2 0 2 5 )

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  (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
   60A(1)
   If the answer is “yes”, please specify the relevant
   section(s) of the Rules that were contravened and the
   disclosure statement to which the contravention relates

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)

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1. 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 :
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

1. 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$'000) (a) Aggregate value of all charges (b) Value of total assets after provisions (excluding contra items) (c) Maximum ratio ((a) ÷ (b) x 100%) %
2. During the reporting p erio d, the follo wing charges wer e created within the meaning of section 119 A:
   New ch ar ges created At the clo se of business on the day when a ch ar ge was cr eated Date Value o f charges (HK$ 000) Aggregate value o f all charges (including tho se included in colu mn (b)) other than those appro ved or exempted by the Monetary Authority (HK$ 000) Value o f total assets after provisions (excluding contra items) (HK$ 000) Ratio of aggregate value of all ch arges to value of total assets after provisions (excluding contra items) (c) ÷ (d) x 100 % (%) (a) (b) (c) (d) (e)

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  V. Exempted/Approved Tran sactions

1. During the reportin g period: th e maximu m amount o f financial facilities / exposur es
   excluded/disr egarded under the BELR (1) fro m rule 27(2) b y the Mon etar y Authority’s written consent under rule 28(1); (2) fro m rule 44(1) and (2) b y the Monetary Authority’s approval/written consent under rules 48(1)(n) or 57(1)(d)(i); and (3) from rule 87(a), (b) and (c) b y the Monetary Authority’s approval/written consent u nder rules 85(3) or 92(1), amounted to

Relevant rule of exemption under the
BE LR
Name of custo mer Type o f
Facility/
Exposur e
Limit approved b y the
Monetary Authority
(HK$ 000)
Maximum amount of finan cial facility/ expo sure (HK$ 000)

2. At the end o f the reporting period, th e value of capital interest, share capital, debt securities, in vestment
   structure (as the case applies) acquired (1) in th e course of satisfaction o f d ebt due to the AI or (2) under an under writing/ su bunderwriting contract as approved b y th e Monetar y Authority in respect of
   Part 2 of the BE LR under rule 14(1)(b)(i)(B) and 14 (1)(c)(i)(B) resp ectively; and the value o f interest
   in land acquir ed in the course o f satisfaction o f d ebts du e to th e AI as ap proved by the Monetary Au thority under rule 38(b)(i)(B) o f th e BELR, amoun ted to

Relevant rule of approval under the
BE LR
Name of entity/
Location of property
Date o f acquisition
Expiry o f appro ved period o f holding
Value
(HK$ 000)

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3. During the reporting p eriod, the maximu m aggregate value o f all charges approved b y the Monetar y
   Au thority under section 11 9A(2), amounted to

Particulars o f ch arges Value o f charges
(HK$ 000)
Limit o f facility secur ed by charges
(HK$ 000)
Maximum amount utilized
(HK$ 000)

4. (a) During th e r eportin g period, the maximu m aggr egate value o f all ch arges exempted b y th e Monetary
   Au thority under section 11 9A(3), amounted to Class of exempted charges Particulars o f ch arges Value o f charges (HK$ 000) Maximum amount utilized (HK$ 000)

(b) Top 5 counterparties in favour of which exempted initial mar gin charges ar e created Char ges in favour o f Particulars o f ch arges Value o f charges (HK$ 000)