Return of Liquidity Position and Certificate of Compliance with the Banking Ordinance for Authorized Institutions

T SECRET C o . N o . MM YY (For Official use Only) u n d e r t h e B a n k i n g O r d i n a n 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 f o r t h e q u a r t e r e n d e d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ( l a s t d a y o f t h e q u a r t e r ) 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 In formation req u ested in th is retu rn is req u ired u n d er section 6 3 (2 ) of th e Ban k in g Ord in an ce. Th e retu rn sh ou ld b e su b mitted to th e M on etary Au th ority n ot later th an 1 4 d ays after th e en d of each q u arter en d in g on 3 1 M arch , 3 0 Ju n e, 3 0 Sep temb er an d 3 1 Decemb er, u n less oth erwise ad vised b y th e M on etary Au th ority. No te: Th is certificate is to b e p rep ared in accord an ce with th e comp letion in stru ction s issu ed b y th e M on etary Au th ority.

1. We certify th at th is certificate is, to th e b est of ou r k n owled ge an d b elief, correct.
2. Please p u t an “X” in th e “Yes” colu mn if th e in stitu tion h as con traven ed th e followin g resp ective section s of th e Ban k in g Ord in an ce d u rin g th e rep ortin g p eriod . If n ot, p lease p u t an “X” in th e “No” colu mn . Yes No (Please p u t an X”) (a) No ad van ce, etc., again st se cu rity of own sh ares, etc., with in th e mean in g of section 8 0 , oth er th an th ose exemp ted u n d er section 8 0 (2 ), was gran ted b y th e in stitu tion . (b ) Ou tstan d in g u n secu red facilities to emp loyees, with in th e mean in g of section 8 5 , d id n ot exceed th e limit sp ecified in th at section . (c) Liq uid ity req uirem ent p rescrib ed in the Rules m a d e und er sectio n 9 7 H( 1 ) tha t is a p p lica b le to the institutio n. (d ) Ru les mad e u n d er section 6 0 A( 1 ) If th e an swer to (d ) is “ yes ” , p lease sp ecify th e relevan t section (s) of th e Ru les th at were con traven ed If th e in stitu tion is exemp t ed b y th e M on etary Au th ority for d isc losu res req u ired u n d er th e Ru les, p lease tick 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. 1 / 2 0 1 5 )