Revised Return of Certificate of Compliance with the Banking Ordinance (Form MA(BS)1F(a))

Annex 1 T SECRET C o . N o . MM YY CAT (For Official Use Only) und e r t he B ankin g O rdin an 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 quarte r)

• D e l e t e w h e r e i n a p p l i c a b l e 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 n ki ng Ordina nce In fo rmation r eq u est ed in th is r etu rn is req u ir ed u n d er s ec tion 6 3 (2 ) o f th e Ban k in g Or d in an ce. Th e r etu rn sh ou ld b e su b mitted to th e M on etar y Au th orit y n ot later th an 1 4 d ays a ft er th e en d o f 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 Dec emb er, u n less oth er wis e ad vis ed b y th e M on etar y Au th orit y. Note: This certificate is to be prepared in accordance with the completion instructions issued by the Monetary Authority. We c ertif y th at th is certifica te is, to th e b est o f ou r k n o wled g e an d b eli ef, c or r ect. 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 ) (R e v . 9 / 20 1 8 )

• 2 - (HK$ ’000 ) I. As at (a) Capital base of the institution (b) Tier 1 capital of the institution II. Compliance with the Banking Ordinance Please state whether or not, during the reporting period, the institution was in contravention of the provisions of the following sections of the Banking Ordinance Yes No (Please put an "X")

1. section 80
2. section 81
3. section 83
4. section 85
5. section 87A
6. section 88
7. Exposure limits prescribed in the following parts of the Rules made under section 81A: (a)Part 2
8. capital requirements specified in a notice served by the Monetary Authority under Section 97F(1)
9. 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
10. section 119A
11. 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 Please note that there is no requirement to default an economic interdepend ence relationship between two individual counterpart ies of an AI which belong to the same family. AIs should always follow the considerati ons as set out in paragraph 8 of Annex 1 to Appendix 1 of the proposals in establishin g the economic interdepend ence relationship between its counterpart ies.

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3. Maximum aggregate of unsecured facilities 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
5. Maximum aggregate equity exposures within the meaning of Rule 12 of the Rules made under section 81A(other than those exempted under rule 13), amounted to
6. Maximum aggregate value of interests 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 IV. Assets under charge
7. 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, within the meaning of section 119A, other than those charges approved/exempted by the Monetary Authority, was (HK$'000) (a) Aggregate value of all charges (b) Value of total assets after provisions (excluding contra items) (c) Maximum ratio ((a) ÷ (b) x 100%) %
8. During the reporting p erio d, the follo wing ch arges were created w ithin the meaning o f section 119 A: New ch arges created At the clo se o f business on the day wh en a ch arge was created Date Value o f charges (HK$ 000) Aggregate valu e o f all charges (including tho se included in colu mn (b)) other th an those appro ved or exempted b y th e Monetary Authority (HK$ 000) Value o f total assets after provisions (excluding contra items) (HK$ 000) Ratio o f aggregate value o f all ch arges to value o f total assets after pro visions (excluding contra items) (c) ÷ (d) x 100 % (%) (a) (b) (c) (d) (e)

• 4 - V. Exempted/Approved Tran sactions

1. During the reportin g p erio d, the maximu m exposures in respect o f th e transactions that were exclud ed fro m sections 80, 81 and 8 3 as appro ved b y the Mon etary Authority under sections 80(2), 81(4), 81(5), 81(6)(b)&(i), 81(7), 83(4)(e)&(g) and 83(4 A) respectively, amounted to Relevant section Name o f cu sto mer Type o f facility Limit appro ved b y the Monetary Authority (HK$ 000) Maximu m expo sures (HK$ 000)
2. At the end of th e reporting period, th e valu e o f shareholdin gs or d ebt secu rities acquired under an underwriting contract or in satisfaction o f d ebts, etc., and the value o f interests in land acquired under mo rtgage to secure debts due to th e in stitutio n a s approved b y the Monetary Au thority under sections 81(6)(i), 81(7), 88(5) as well as rules 13(1)(b) and 13(1)(c ) of the Rules m ade under section 81A a s the ca se ap plicable , amounted to Relevant section/ rule Name o f co mpan y/ Lo cation of property Date o f acquisition Expiry o f approved period of holdin g Value (HK$ 000)

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3. During the reporting p eriod, the maximu m aggregate valu e o f all charges ap proved b y th e Monetar y Au thority under section 11 9A(2), amounted to Particulars o f ch arges Value o f charges (HK$ 000) Limit o f facility secured b y charges (HK$ 000) Maximu m amount utilized (HK$ 000)
4. (a) Durin g the reporting period, the maximu m aggregate value o f all ch arges exempted b y th e Monetar y Authority under section 119 A(3), amounted to Class o f exempted charges Particulars o f ch arges Value o f charges (HK$ 000) Maximu m amount utilized (HK$ 000) (b) Top 5 counterparties in favour o f wh ich exempted initial margin charges are created Charges in favour o f Particulars o f ch arges Value o f charges (HK$ 000)