Return of Mandatory Provident Fund Related Activities

under the Banking Ordinance 根據《銀行業條例》

RETURN OF MANDATORY PROVIDENT FUND RELATED ACTIVITIES 強制性公積金業務申報表

Position of the Hong Kong offices of an authorized institution registered as an MPF intermediary with the Mandatory Provident Fund Schemes Authority 於強制性公積金計劃管理局註冊為強積金中介人的認可機構香港辦事處狀況

for the 6-month period ended _______________________________________ 在結束於 (last day of March / September 三月/ 九月 最後一天) 六個月內的狀況

|Name of Authorized Institution |Date of submission | |認可機構名稱 |遞交日期 | | | |

The Banking Ordinance 《銀行業條例》

Return required under section 63(2) of the Banking Ordinance to be submitted to the Monetary Authority not later than 21 days after the end of March and September each year, unless otherwise advised by the Monetary Authority. 除金融管理局另有指示外，根據《銀行業條例》第63(2)條規定，本申報表須於三月及九月最後一 日起計21天內交回金融管理局。

Note: This return is to be prepared in accordance with the completion instructions issued by the Monetary Authority. 註：本申報表按金融管理局發出的填報指示填寫。

We certify that this return is, to the best of our knowledge and belief, correct. 我們據我們所知及確信，證明本申報表內容正確無誤。

| | | | |Chief Accountant | |Chief Executive | |會計主任 | |行政總裁 |

| | | | |Name | |Name | |姓名 | |姓名 |

Name and telephone number of responsible person who may be contacted by the Monetary Authority in case of any query. 金融管理局有疑問時可聯絡的負責人姓名和電話號碼。

| | | | |Name | |Telephone Number | |姓名 | |電話號碼 |

PART I: SELLING OF OR ADVISING CLIENTS ON MANDATORY PROVIDENT FUND (“MPF”) SCHEMES 第I部： 銷售強制性公積金（「強積金」）計劃或就計劃提供意見

1. Types of MPF schemes 強積金計劃的種類

During the reporting period, whether your institution was engaged in the selling of or advising clients on 申報期內，機構有否銷售以下計劃或就計劃提供意見

(1) Master trust schemes? 集成信託計劃？

|Yes | | |No | |(Display “X” in the appropriate box) | |有 | | |否 | |(在適當空格內填上 “X”) |

(2) Industry schemes? 行業計劃？

|Yes | | |No | |(Display “X” in the appropriate box) | |有 | | |否 | |(在適當空格內填上 “X”) |

(3) Employer sponsored schemes? 僱主營辦計劃？

|Yes | | |No | |(Display “X” in the appropriate box) | |有 | | |否 | |(在適當空格內填上 “X”) |

2. Income from the selling of or advising clients on MPF schemes 來自銷售強積金計劃或就計劃提供意見的收入

|During the reporting period, the institution’s gross income arising from the selling of | |(HK$’000) | |and / or advising clients on MPF schemes amounted to | |(港幣千元) | |申報期內，機構因銷售強積金計劃或就計劃提供意見而得的總收人 | | | | | | |

3. Number of staff who were registered as MPF intermediaries 已註冊為強積金中介人的僱員人數

At end of the reporting period, the number of staff that were registered as MPF intermediaries 申報期完結時，已註冊為強積金中介人的僱員人數

|(1) |Full-time involvement in MPF related activities | | | |全職辦理強積金業務 | | |(2) |Part-time involvement in MPF related activities | | | |兼辦強積金業務 | | PART II: OTHER ROLES PLAYED BY THE INSTITUTION 第II部： 機構扮演的其他角色

1. Investment manager 投資經理：

(1) Whether during the reporting period your institution was the investment manager of any MPF schemes? 申報期內，機構是否任何強積金計劃的投資經理？

|Yes | | |No | |(Display “X” in the appropriate box. If| |是 | | |否 | |the answer is no, proceed to item 2) | | | | | | |(在適當空格內填上 “X” 。 如答案為否， | | | | | | |請轉至第2項) | | | | | | | |

(2) Please provide particulars of such activities. 請提供有關業務詳情。

|(a) |As at end of the reporting period, the number of MPF constituent funds | | | |that your institution was the investment manager | | | |在申報期完結時，機構以投資經理的身分所管理的強積金成分基金數目 | | | | |(HK$’000) | | | |(港幣千元) | |(b) |As at end of the reporting period, the aggregate size of the MPF | | | |constituent funds managed by your institution | | | |在申報期完結時，機構所管理的強積金成分基金總額 | | |(c) |During the reporting period, the institution’s gross income arising from | | | |its role as investment manager of MPF constituent funds | | | |申報期內，機構因作為強積金成分基金投資經理所得的總收入 | |

2. Custodian 保管人：

(1) Whether during the reporting period your institution was the custodian of any MPF schemes? 申報期內，機構是否任何強積金計劃的保管人？

|Yes | | |No | |(Display “X” in the appropriate box. If| |是 | | |否 | |the answer is no, proceed to item 3) | | | | | | |(在適當空格內填上 “X” 。 如答案為否， | | | | | | |請轉至第3項) | | | | | | | |

(2) Please provide particulars of such activities. 請提供有關業務詳情。

|(a) |As at end of the reporting period, the number of MPF constituent funds | | | |that your institution was the custodian | | | |在申報期完結時，機構以保管人身分所保管的強積金成分基金數目 | | | | |(HK$’000) | | | |(港幣千元) | |(b) |As at end of the reporting period, the aggregate size of the assets of MPF| | | |constituent funds in the custody of your institution | | | |在申報期完結時，機構以保管人身分所保管的強積金成分基金總額 | | |(c) |During the reporting period, the institution’s gross income arising from | | | |its role as custodian of MPF constituent funds | | | |申報期內，機構因作為強積金成分基金保管人所得的總收入 | |

3. Guarantor 擔保人：

(1) Whether during the reporting period your institution was the guarantor of any constituent funds of MPF schemes? 申報期內，機構是否任何強積金成分基金的擔保人？

|Yes | | |No | |(Display “X” in the appropriate box. If| |是 | | |否 | |the answer is no, proceed to item 4) | | | | | | |(在適當空格內填上 “X” 。 如答案為否， | | | | | | |請轉至第4項) | | | | | | | |

(2) Please provide particulars of such activities. 請提供有關業務詳情。

|(a) |As at end of the reporting period, the number of MPF constituent funds | | | |that your institution was a guarantor | | | |在申報期完結時，機構以擔保人身分所擔保的強積金成分基金數目 | | | | |(HK$’000) | | | |(港幣千元) | |(b) |As at end of the reporting period, the aggregate liabilities of your | | | |institution in respect of such guarantees | | | |在申報期完結時，機構就有關擔保所承擔的總負債 | | |(c) |During the reporting period, the institution’s gross income arising from | | | |its role as guarantor of MPF constituent funds | | | |申報期內，機構因作為強積金成分基金擔保人所得的總收入 | |

4. Financial supporter 財政支援：

(1) Whether during the reporting period your institution was providing continuous financial support to companies that were trustees / custodian of MPF schemes? 申報期內，機構有否向身為強積金計劃受託人／保管人的公司提供持續財政支援？

|Yes | | |No | |(Display “X” in the appropriate box. If| |是 | | |否 | |the answer is no, proceed to item 5) | | | | | | |(在適當空格內填上 “X” 。 如答案為否， | | | | | | |請轉至第5項) | | | | | | | |

(2) Please provide particulars of such activities. 請提供有關業務詳情。

|(a) |The number of companies that were the beneficiaries of the financial | | | |supports given by the institution | | | |獲機構提供財政支援的公司數目 | | | | |(HK$’000) | | | |(港幣千元) | |(b) |As at end of the reporting period, the aggregate obligation of the | | | |institution in respect of such financial supports | | | |在申報期完結時，機構就有關財政支援的總承擔額 | | |(c) |During the reporting period, the institution’s income arising from its | | | |undertaking to provide continuous financial support | | | |申報期內，機構因承諾提供持續財政支援所得的收入 | |

5. Other roles 其他角色

Please specify any other roles played by your institution in connection with any MPF schemes. 請註明機構就任何強積金計劃所扮演的任何其他角色。

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