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

T SECRET C o . N o . MM YY CAT
(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 I N H O N G K O N G Position of *Local Office(s)/Local Offices and Overseas Branches/Consolidated Return
for the quarter ended ..................................................................
(last day of the quarter)

• D e le t e w he r e ina p p lic a b le
  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 nking Ordina nce 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 e n 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. Note: This certificate is to be prepared in accordance with the completion instructions issued by the Monetary Authority. 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. 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 ) (Rev. 1 / 2 0 1 5 )

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  (HK$’000)
  I. Capital base of the institution as at
  II. Compliance with the Banking Ordinance
  Please state whether or not, during the reporting period, the institu tion was in contravention of the provisions of the following sections of the Banking Ordinance Yes No (Please put a "X")

1. section 80
2. section 81
3. section 83
4. section 85
5. section 87
6. section 87A
7. section 88
8. section 90
9. capital requirements
   specified in a notice served by the Monetary
   Authority under
   Section 97F(1)
10. 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
11. section 119A
12. Rules made under section
    60A(1)
    If the answer is “yes”, please specify the relevant
    section(s) of the Rules that were contravened

If the institution is exempted by the Monetary Authority for disclosures required under the Rules, please tick this box .
III. Maximum exposures
At the close of business on any day during the reporting period :
(HK$'000)

1. Maximum financial exposure to any one person etc., within the meaning of section 81,
   other than those exempted under sections 81(4), 81(5), 81(6) and 81(7), amounted to

Name of counterparty :
2. Maximum aggregate of unsecured facilities to directors and connected parties, within
the meaning of section 83(1), other than those exempted under section 83(4A), amounted to
3. Maximum aggregate of unsecured fa cilities to directors and connected parties, within
the meaning of section 83(2)(a), other than those exempted under section 83(4A), amounted to
4. Maximum unsecured facilities to any individual director and connected party, within
the meaning of section 83(2)(b), other than those exempted under section 83(4A), amounted to

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  5. Maximum aggregate value of shareholdings, within the meaning of section 87(1), other
  than those exempted under section 87(2), amounted to
  6. Maximum aggregate value of int erests in land, within the meaning of section 88(1),
  excluding those occupied for conducting the institution's business as referred to in sections 88(2) and 88(3) and those exempted under section 88(5), amounted to
  7. Maximum aggregate total, as referred to in section 90(1), of outstanding facilities to
  directors etc., and value of holdings of share capital, interests in land and business premises, within the meaning of sections 83(1), 87(1), 88(1), and 88(2) and, including those transactions exempted under sections 83(4A), 87(1), 87(2) and 88(5) as may be required by the Monetary Authority, 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, w ithin the meaning of section 119A, other than those charges approved/exempted by the Monetary Authority, was (HK$'000) (a) Aggregate value of all charges (b) Value of total assets after provisions (excluding contra items) (c) Maximum ratio ((a) ÷ (b) x 100%) %
  2. During the reporting period, the following charges were created w ithin the meaning of section 119A :
  New charges created At the clos e of business on the day when a charge was created Date Value of charges (HK$000) Aggregate value of all charges (including those included in column (b)) other than those approved or exempted by the Monetary Authorit y (HK$000) Value of total assets after provisions (excluding contra items) (HK$000) Ratio of aggregate value of all charges 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 Transactions

1. During the reporting period, the maximum exposures in respect of the transactions that were excluded
   from sections 80, 81 and 83 as approved by the Monetary Authority under sections 80(2), 81(4), 81(5), 81(6)(b)&(i), 81(7), 83(4)(e)&(g) and 83(4A) respectively, amounted to Relevant
   section
   Name of customer Type of facility
   Limit approved by the
   Monetary Authority
   (HK$000)
   Maximum exposures
   (HK$000)
2. At the end of the reporting period, the value of shareholdings or debt securities acquired under an
   underwriting contract or in satisfaction of debts, etc., and the value of interests in l and acquired under mortgage to secure debts due to the institution as approved by the Monetary Authority under sections 81(6)(i), 81(7), 87(1), 87(2)(a) and 88(5) respectively, amounted to Relevant
   section
   Name of company/
   Location of property
   Date of acquisition
   Expiry of approved period of holding
   Value
   (HK$000)

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3. During the reporting period, the maximum aggregate value of all charges approved by the Monetar y
   Authority under section 119A(2), amounted to
   Particulars of charges Value of charges
   (HK$000)
   Limit of facility secured by charges
   (HK$000)
   Maximum amount utilized
   (HK$000)
4. During the rep orting period, the maximum aggregate value of all charges exempted by the Monetar y
   Authority under section 119A(3), amounted to
   Particulars of charges Value of charges
   (HK$000)
   Charge in favour of
   Maximum amount utilized
   (HK$000)