Return of Assets and Liabilities of an Authorized Institution for Position of the Hong Kong Office(s)

MA(BS)1(Rev. 06/2021)
SECRET under !be Banking Orclinance and !be llfonetary Statistics Orclinance l k1 11 Co. No. 1{~! YY (For Official Use Ooly) RETURN OF ASSETS AND LlABnITIES OF AN AUTHORIZED INSTITUTION FOR POSITION OF THE HONG KONG OFFICE(S) OF AN AUTHORIZED INSTITUTION (lut day of ui~ moiuh) Pan~ :cporad i: tbb '.t:bciui:i:
Parn I ~o Vt!!
Put$ IX t<I' X
(phau- 1ick)
E3
Nnu of' ,\ad1oriud hHitutio~ Ou;; o! Sub:Dinio:
Tht Baul:.iag Ordiau<t ud the Moutary S tatistics Ordiouce loforma1ioo requested io this retun is uquired under ;ettioos '53(l)(a) and 63 (2) of the B11ok in~. Ordiuoa and sec 1ioos 3(1) aod 3(l) 0€ the Monetary 'Smi;tici Otdinance. The reru.rn should be ;ubmined to 1he Moneu11· Au1borit)· 001 latu 1bao 14 days after tbe last day of ucb calendar moo1b. Information required under Part; IX aod: X mo1y be separate?)· su.bmiued to 1he Moneu.ry Autborhy 001 !atu than 1 month after the hm day of ucb calendu mon1h. uniess 01berwise ad\·hed by the Mooeu.ry Au1borit)· . .\101,: Tbi,s rettl.tll is 10 be prep11nd i1: -1ccordance \'ilh tbe completion ii.·.tnacrions issued by tbe Monetary Atnhority. We c enii y 1bat this return is. to the bes1 of our koowledge and belief. coneu. Chi,J .J e<ounta11t Clti,J Ex,curh', Name .i.od: telepbooe numt,er of responsible person who ma)· be cootacted by the Mooetary Autbcirity i.n cas e of any query.

• 2 -
  (HKS'0-00)
  Other
  HK,S USS Currencias To111l
  (HK..1 equinlen.t) t LL.\BILITIES L Capata!~ resen-t; LI Paid up capital 11 Re..en>es 13 Cumnt profit•loss. L4 Tora.1

2. Qual.i..'yibg capital imm.tm!l!.t.
3. Other capital•t)Jle im.trWn!llt>

• • Nolt. in cimllation
    5. Due to E&d:uc1e Rmd

• • R!p!y;1ble 01 c.allitble wirhin 1 ClOOrh
  b. Benr.ffl:I 1 arid 3 moru:hs <. Luer dun 3 llXl!llbS. d. Total
  6. Depo;in from cm.101:nm
  6.1 Demand ~po.in ill!.d cumttt account.

• • lnte..rett b.Wg
  b. Noo-illwut be.l..•?l!.g,
  C. Total
  61 SJW!.pd - epos.iu
  63 Tu:c.e. Clll aod notice depos.i?s.
  ,. Repayable or callit-1.- within 7 day;, b. B~...n s <Illy'> and J mon.tb
  C. BetWMll l alld 3 momb;
  d. Luer lhim 3 month..

• • Toul
  6< Total depo:;its from «mou::en 7 Amo1JJU p,1yable under repos. i.i Aulhoriud iltirirutiow in Hong Kong 71 Bads o-11t.i& H~ Koog ;J Noa-bacl. ru;coor..:rs (UlC.huting W E~ e F'Jlld)
  7.4 Total
  8. Due to bank;
  S.l Authorized in.riru.tfon.s in Hong Ko~ conneaed '1ith the reporting inslir-.itior.

• • Payable oo d!ll'Wld m mol!.ey at call
  b. Ripay~Ole or cali!ble wfthill 1 mot:lb. orher than (a)
  C. Bem-em 1 and 3 moll.tbs.
  d. Uter th.ul 3 m.ol!.tlll
  ,_ T0<al
  81 Other .n1.1boriz.ed u:.ititu1io0; in Hong Koog

• • P.lyable on dtclarul and ll!Oney at all
  b. Repayable or calbble w£1hiD 1 mouth. other iban (a)
  C. Ber.rem 1 lll!d 3 mo11.im
  d. l.ata WO 3 ioomb e. T0<al

• 3
  (HKS'OOO)
  I Otbe-r
  HK1 USS Cmrencie; Total
  (HKS equinlen!)
  83 O\t;mea; offices of~ reponing i.nsttr.v:ioi. .. Payable OD dem.w:t and mon:ey• at call b. Repay.ible or call.lb le within I ll!Ollth. ol'M! th.'l!l (11) '- Be,tween 1 ar.d 3 moc.tm d. Lata than 3 moi:!h; ,. Ta<al
  8.4 OthP..r ~; o-:itside Hoog Kot?
  .. Payable OD dem.w:t and mon:ey• at call b. Repay.ible or call.lb le within I ll!Ollth. ol'M! th.'l!l (11) '- Be,tween 1 ar.d 3 moc.tm d. Lata thao 3 e:iomh; ,. Ta<al 85 T oral b11htl.c.e. due to banks 9 Negotilble dibt iimrun.:~s i.s:ued and o:amaod.:ing
  9.1 N,. otiab1' c.nifiu ms oi d,posil (>CD;)
  .. Du;;, lTitbm 1 n:oorh b. Between 1 and 3 mon1b; '- Between 3 moorhs arid l yur d. Luerthari l yw- ,. Toul liabilirie; oo NCDs 92 Otbr 1te:gotiable deb, ins1r.un!t1ts:
  .. Du.e within 1 tn0orh b. Between l an.d 3 mo!lths '- Later than 3 modt; d. Tot11J
  9.3 Tool
  JO. Other liabilitit;
  JO.I Accr11ed it.1mst payable￾10.l SU..-pense. items 10.J Olbm
  10.4 Tott!
  II. Totlll liabilities
  n. ASSETS
  ll. C•;b
  ll. Go"emDlfDI cenificatt of fndeb.1edt.e» ior DOies issued
  i.. Du, from E~ Fund
  .. R-e_piyable or callable within l l?IOOth b. Berwffll I arui 3 months ,. La.ter than 3 n:,:,o!hs d.. Tool

15. Low and advaru:es-t-o ru.;tomers
    15.1 Lo..ul.sto dnarice Ullp(lm to Ro~ Kong. and esporu and
    rHiq:>Om from Ho~ Kong
    15.2 LJm:$ to fin.ma merchaodisirlg ind! (trade tramaetfoz
    not tou.chmg, Hong Kong) l S.3 Other loam !or use in Hoog Koi:g l S.4 Other loam !or use outside Hong Kolli

• 4 •
  (HKS'000)
  I Otbu
  HKS USS Cu.rrencie; Total
  (HK.'i equi...alenl)
  155 Om.er lo,m; wbert tb pl.ice ofu.;e ll n.ot known. and whee w ctlSIODtU j_; in Hoe:g.Kong
  15.6 Odle-low v.-bm tl!.eplace of use 611.otknoWll.
  and •;:dt'm tht customer is Oil!Slde Hoog K.oog
  15.7 Tolill !oans and 111:.>antes to customers
  .. Orerdn.."n b. Other 1Gatu npayal>Je O!l d.e.m;md ,. Otber loom dUc withil!. 1 mon.dt d. Berw-ter: 1 and 3 mon.tm ,. Between 3 n:.ooths Mid l year f. La1er lhao I ye.u g. Total (=15.1 +l 5.2+15..3+ 1 H+155+l5.6)

16. Amow:l1 nc e.'\°ab!e W!der m..wse repos
    10.i Amhorized imrirurioo; ill Ho.n; Kon:
    16.2 Bat!l.s ou.n.ide Ho~ Kong
    16.3 NOll•oonk cu..'101!:P.n(Uld~ the Esilin_ge Fwd)
    JOA Total
17. Due from blllks
    (otw rhao bo!diop of 0eg0Wb!e debt ilmrun::erus)
    17.1 Authorized irutirurioo; ill H~ Kong comm~
    wfth ilie reporting instit'Jrion .. P.ty1ible oo dmwl.d llld mon.ey .a1 call b. Repa}-able or calhble wtthin 1 moll.th. orl!er than (11) ,. Becw-*e J and 3 mottih> d. Luer rhao 3 montlu ,. T«al
    17.2 Odt~ mi.thoriz.ed irutiMioos. in Hong Koog
    .. Payable OD demand aJld money At c.&ll b. Rep11yable or ulltblt v.'tthm I moll.th. other that. (11) ,. Betnei. 1 altd 3 month;. d. L!w than 3" momh.s ,. T0tal l 13 O\•ersaa; offices of~ reporrln:: insorurion .. Payable OD dematt.d aJld money a.t call b. Rep11yable or ulliblt v.'t!hil! l mo!!.th. other than (a) ,. Bernet. l altd 3 month;. d. L!w than 3" motuh.s ,. T<Kal l 7 A Otlt~ brallln o.mid~ Hoeg K.oq .. Payiibla or. demar.d and mocey at call b. Rep11yabl! or caiBbl! wfthin 1 mol!.tb. othu than (a) ,. Be.nTetc l iUld 3 mo~thi. d. Lltotr tMll. 3 mot!.tbi ,. Te<~ 175 Tot.tl b11SJ1.Ce. due from balll.s:
    JS. Ne.gotiab!e cuti.fium of &po;it (NCDi) h.e~d. 18.i ls siled br li:emed batik:. in Hor.g Kor.g 18.2: Issued by re.s:tticte.d licence banks: in Hot!.g.K~
    18.3 ls siled by tieyo;ir~ c.om;wri,H in Hong Ko~

;
(HKS'()OO)
I Other
HKS USS Currencies. Total
(HKS equivalen.l)
18.4 !.--sued by 111.nboriud Wtirutioos. in Rong Kong
.. Du.e widtln 1 c:oorh b. Betwten 1 and 3 montb.i
C. Betwten 311)'.)0ths arid 1 )'Eil.f
d. La~lhaDlyw-
,. Total (=!9.l+lS.}.-183)
18.S Is.uedbybatl. ouisidt Hong Kor.,:
.. Dile \il:hin I n:.onlh b. Between I ;u:.{I 3 moctbs.
C. Be,TWeen 3 moorbs and 1 yur
d. Later than 1 year
.. T0<al
18.6 Toral~CDs.held
19. AD negotiable debt tth7lWrlell.U J,Jd. or.b.u lban NCO;
19 .1 Floating ratnom h~d
(otl!.~ rhan boldin;>repomd 'imda 19.4) .. hs:ied by a·:at.ori.z.ed inrur'1tio11.1 m Hoog Kon., b. lsrued ~· 0th.et l!.OO· bank fmtirilriom m Hoeg Koog
C. hs:ied by banks OUl:$i\U! Hon.g, Kon:
d. hs:ied by noc41~ iru.tit,rtioa; oms.ide Hong Ko~ .. T0<al 19.2- ..\ccepi:arite a11d bills of e~e he?d .. Acupted or payab!e by b.?.nks(iriclu.ding mttic1ed ?icence ba!:lks and depo'iit-WU:.g compimm)
I. To fuwn npom fromEoqKon:
). Otbm b. Attepted or payat-!e by 000--b,mb
I. To filut!c.ee.~ fr<1mHoqKon:
2. Omen
C. T0<al
19 .3 Commercia.1 paper h=ld .. l.um:d in Uoi:.; Koi:.; b. Is;ued o·Jts.ide Hong Kong
C. T0<al
19 4 Gwemmeru bills. nor,;.; and boo:h .. lH.ti:d in Ho1!.J Ko~ b. Is;ued o·Jts.ide Hong Kong
C. T0<al
19. 5 0~ d~bdn.stt"UWtru heid
.. ~;ued in Hot4 Kon; b. Issued o'Jts:ide Rong Koog
C. T0<al
19 6 Ail nego1iiSble debt l!litl'Ulll!.l!.1S Ji..eld. or.her lhaD NCO;. .. Due within 1 n:oorh b. Bet.nm 1 and 3 molltb;.
C. La1a- rhaD 3 cw,nth;
d. T ot~J (= I 9.le+ 19 .le+! 9Jc+19. 4c+ 19 .Sc)

• 6 •
  (HKS'OOO)
  I Orhe.t
  HKS USS Cunencies: Total
  (HK~ equivalut)

20. lm''eS!Dl!ll!$
    20.! ln.~;mients in-shareholiing;, .. Llsu.d b. Unlined ~ Total
    20.2 Otbu im:~mnen.1s
    20.l To1al (=20.lc+lO.l)
21. Iruere;ts m Lmd. l\l!.d building;
    lll Bank prem:i;es ll.2 Ott,..er irum;1s m Lmd and buildmg,.. ll.3 Total
22. Omer awm
    22.1 Atcr..::ed i.ntm;1 r...c.el\1
    11ble
    22.2 F~dassets
    22.3 Sm:'.Am.e ilans
    22A Others
    22.S Total
23. i olitl,meu
24. Les;: Pro:irioo;
25. i olitl .u;ets !e;s ptO'l;ion.s

• 7 •
  {HK~·oooi
  I 01bu
  HKS USS Cu.treoc.ies Tl)till (HKS eqttivale1u) Men:orand:um ital:> (IIl - X) Ill F oreiro ("wnt!(V -;;y~ ;u:.-<l HK$ CllitO!lleE' cfeoo;fH (tbo;e-s~u;ly beiripeponed: iD liability item 6. ~!pt ilems (a}l .m:i (b) '!mow) (a) For=ign cunimty sw,3p dtpos?t; from c.istomm
  I. Booked locally
  l. Boobd offs.hon
  (b) Hoag.Kong dollar cu-s;~.s deposir-s booked offs.tote
  IV. Cbaci:es fD lilhilia:acd bl:!ldi~,. llllik.D~
  (li.!biliry ium 9.1 and as.SE1 item 18} (a) Cb.\n.1,e-s ill the reponing irutiru:rioo·-s liability on NCD; d'llring tb month
  I. 6sued by the iru.ritutiOll of it; 0~1!. NCO.
  .. Floatiogme NCDs b. Fi.-:e:i tlllt NCD-s
  C. Tota!
  l . Rede.•oo of W U:mm.uion'-s Ol''D ~CDs findudillf: earl\· .red..:n:11tioo arid final red""""rioo)

3. Repurchase of tb ~GrJtiol!. · -s O'i'll NCDs
4. SaR of Olt imtirution • s replll'c.h.l>ed NCDi
   ;. Cb.\r;ge in the irutinmt'n'-s liability oo NCD-s iD the mootb (=lc-1-3~) (l>) Ctuqe-s in the P.po.ning irutii:utioo·s 1:.o!din! ofNCDs:
   dilr'.::.-t, the month
   I. Purcha.;es by lbe fnstirurion in tile ,J)lllll.11l:' market
   .. is,S'!Udby liceruedbank. in Rong Koog b. Isrud by resw.n=-d lkence bad$ in Hon: Kon:
   C. Isrud by d,eyo;.it-taking compmfe-s in Hong Kong
   d. I.Sited by twiks omside Hoor Ko~ .. Tow
   l. Purd.ues by the Uutiruttoo m the secondmy madm
   ,. !nHol!.g Ko!!._g b. Outs&le Hong Koq.
   C. Tow
5. Sa~> by the llh-ntulionin W' secood.uy market
   ,. In Hol!.g Kon_g b. Oursii.e Hoi:.g,Koll!
   C. Tow

. s .
(HKS"OOO)
I 01her
HKS USS Cuneocin Total
(HKS eq-ui\•a!el!.t)
,. FinM n damprioo of NCDs held by th~ im.titution .. hsued by a1lth.orized i.rutirutioas in Hollf Kong b. Js;.-u!d by batiks ou.tsid.i Honi Kon:
,. Toa!
; _ Total (=le+2'•k-4c)
V. Vahle of secmitfe;
(•) 1ieoJriries so!d ~ J repo agreraents
I. Gownuneor 'bills. oom il!ld boods
l . NCD,
3. Ow.I debt fn.sa---.im.erirs
,. Tow
(b) Uamarored pu:rchlie; of ;.ec.uities
I. Go1,~ bills. notes a11dboo:h
2. NCDs
.. hwed by licensed bill!ks U!:Hot!J Kon; b. Is-sued)' mtrimd tiunce bd.s io Hoog Koog ,. Isoued by depoofMIWDg con:.paoi~ ill Hoi:.g Koo:
d. Iw.ied byb.mks owide Hong, Kon:
,. Tomi
3. Otha debt m.s:ir,mwm:
,. Tow
(c) Sealrir.its 11cquired wt.du m--ers.e reyo ap-tan&iU
I. GoWll!llliru: bills. notes and boo,h
l . NCD,
3. OlhP.:r debt fnslr-.llll.«IIS
,. Tow
(d) Uamarored sale> of ;ecuritfes
I. Go1,~ bills. note.> andboo:h
l. NCD<
,. Iwaed by lice.csed bads m Bon-g Kon..; b. Issued b}' rntric.ted ?iunce bd;; iD Hoog Koog ,. is..<Jed by ~po;tt-tiikirig con:.pacise; m Hong Ko:ig, d. hsaed byoook:s ours.id! Hoq Ror.g ,. Toal l . Other debt in.'>ITJl:niOli ,. Tow
VI. Mark'?! mu:m· sJt.on oo;.itfoo
(•) Hong Koog Got'ffl!lt.~ bills. note. and bocd;

9 .
(Pans VII and VIII are to be completed by institutions incorporated outside Hong Kong only) Principal Principal Amount Amotmt HK$'000 HK$'000
VIl. Residential mortue-es
(a) Residential mortgage Joans (b) S.,curities backed by, or participations in. re,idential mortgages (c) Total residential mortgages
Vill. Off-balance sheet exposures
(a) Direct credit substitutes (b) Transaction-related contingent items (c) Trade-related contingent items (d) Sale and repurchase agreeme.nts; assets sales or other transactions. ·with recourse; fon\lard as:set purchase.:;; amount o\iug on partly paid shares and securities; and fonvard fon'ard deposits placed (e) Note issuance and revolving lUlde.rwriting facilities (I) Other commitments
I. With an original maturity of under I year or are unconditionally cancellable
2. With an original maturity of I year and over
(g) Exchange rate ,u1,Q ge iQ contracts (b) Interest rate contracts (i) Equity contracts (j) Precious metals. edtE't l'&:Att including gold contracts (k) Commodities other than precious metals and gold contracts (I) Total off-balance sheet exposures

• l O •
  (HKS'OOO)
  I Otbu
  HK$ us~ C'Jlrencies Total
  (HK$ equh•alent)
  IX. Breakdown ofliab<.lities to Md ruilm oo bacl.s 11t1:i l!.oo-twlk;
  (•) Ll~bilities 10 banks ouside Hong Koog
  l. Chula

2. 1-
   l . Uru1ed Stam
3. Utu1ed Kinidom
   ; . All otbercoW!.tri~
   (b) Liabilities to oon-bacl. c..rstomm out»de Hon_: Korig
   l. Chula
4. Japan
   l . Unit-td Slam
   ,. Unit-:d Kingdom s. All o!bercow:.l!ie; (c) Chim; on banks out;fd~ Hoog Koq
   l. Chlo,
   1. 1- l . Unit~ Slates

• • Unit~ Kingdom
  s. All other cow:.tri~
  (d) Chi.ms on n.oo-t>.mk cusromm outside Hoog Koll!
  l. Chin,
  2. 1-
  l . Uru1ed Stam
  4. Utu1ed Kinidom
  ; . All otbercoW!.tri~

• 11 ·
  (HKS'0OO)
  I Other
  HKS USS C'U.t?enciu To1al
  (HK$ equivale.c.1)
  X. Breakdo-a,i.of liabilirv and ,met itam lA· midmD•
  L>11bilirv it~ refmoct
  6.l Dmw!.d deposits .md cwre.~1 accounn i Hoag Kon.g re;fd~lm ii n.oo-Hoog_ Kongrufd'elli 6.l Satting> deposits
  i. Hoog Kong m fd=11t>
  ii l!.00-800¥, Kont r:::.id~.nti
  6.3 Time.. cilland oor.it depo;;in.
  i. Hoog Kong m fd=11t>
  ii l!.OO-HOO¥, Koq r:::.id~.nu
  7.3 Amo'll!l.t payable Wld.:r te?O> - oon-bad cvstolll!!'S
  (tne looin,g th.e Escha:lge F1.l.lld) i Hoog Kol!.g mtd~; ii l!.ou-Hoog_Koni m id~; ~.l l\CD; is~.ied arid o-Jt;i:aodmg i Hoog Kol!.g mtd~; ii l!.ou-Hoog_Kon.s m id~; A;sei:fmn t=fH!Ila,
  15.7 Toal lo~ acd adt·an.ces 10 CUs.lOlD::1'.S.
  i. Hong Kong re;w.nt;
  ii coo-Hoct Kot!.g, m ida!t> 16., Amow!.1 J'e.(tinble uridet m 1me re-pos- oon-baok eui101l:US (mchldin: die Eschlllge fUDd) i Hoog Kott! m id.=IITT ii l!.oo-Hoog Ko~ruidm; 1!>20 Ac<epw,ct.md bill; o:exdwlg,e Mld - IICCEp~Ot payab!e byno1t--bacl.s
  I. To fim.11.u espom from Hoeg Koq_
  i Hong Koog midec.ts ii oon•Hong Koog residtl!.ts

1. O!bm
   i. HongK.oogmidmts
   ii oon•H~ K.oog midmts
   20.J Total in't>'!ln!Ots
   i. Hong Kong re.idau;
   ii con-Ho~Kot!.g,mtdam