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
4. 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
5. 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
6. 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 4. Utu1ed Kinidom ; . All otbercoW!.tri~ (b) Liabilities to oon-bacl. c..rstomm out»de Hon_: Korig l. Chula 2. 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
3. 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