Revised Return of Certificate of Compliance (MA(BS)1F) and Return of Capital Adequacy Ratio (MA(BS)3)

T SECRET C o . N o . M M Y Y (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 format i on req u est ed i n t h i s ret u rn i s req u i red u n d er sect i on 6 3 ( 2 ) of t h e Ban k i n g Ord i n an ce. Th e ret u rn sh ou ld b e su b mi t t ed t o t h e M on et ary Au t h ori t y n ot lat er t h an 1 4 d ays aft er t h e en d of each q u art er en d i n g on 3 1 M arch , 3 0 Ju n e, 3 0 Sep t emb er an d 3 1 Decemb er, u n less ot h erwi se ad vi sed b y t h e M on et ary Au t h ori t y. No t e: Th i s cert i fi cat e i s t o b e p rep ared i n accord an ce wi t h t h e comp let i on i n st ru ct i on s i ssu ed b y t h e M on et ary Au t h ori t y. 1 . We cert i fy t h at t h i s cert i fi cat e i s, t o t h e b est of ou r k n owled ge an d b eli ef, correct . 2 . Please p u t a n “X” i n t h e “Yes ” colu mn i f t h e i n st i t u t i on h as con t raven ed t h e followi n g resp ect i ve sect i on s of t h e Ban k i n g Ord i n an ce d u ri n g t h e rep ort i n g p eri od . If n ot , p lease p u t a n “X” i n t h e “No ” colu mn . Yes No (Please p u t a n X”) (a) In resp ect of Part 4 of t h e Ru les mad e u n d er sect i on 8 1 A, n o ad van ce, et c., agai n st secu ri t y of own sh ares, et c., wi t h i n t h e mean i n g of t h at p art , ot h er t h an t h ose allowed u n d er ru le 2 8 , was gran t ed b y t h e i n st i t u t i on . (b ) In resp ect of Part 5 of t h e Ru les mad e u n d er sect i on 8 1 A, aggregat e fi n an ci al faci li t y amou n t i n relat i on t o emp loyees, wi t h i n t h e mean i n g of ru le 2 9 (1 ), ot h er t h an t h ose allowed u n d er ru le 3 2 , d i d n ot exceed t h e li mi t sp eci fi ed i n t h at Part . (c) Li q u i d i t y req u i remen t p rescri b ed i n t h e Ru les mad e u n d er sect i on 9 7 (H)1 t h at i s ap p li cab le t o t h e i n st i t u t i on . (d ) Ru les mad e u n d er sect i on 6 0 A(1 ) If t h e an swer t o (d ) i s “yes ”, p lease sp eci fy t h e relevan t sect i on (s) of t h e Ru les t h at were con t raven ed If t h e i n st i t u t i on i s exemp t ed b y t h e M on et ary Au t h ori t y for d i sclosu res req u i red u n d er t h e Ru les, p lease t i ck t h i s 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. 9 / 2 0 1 9 )