Revised Return of Securities Related Activities

U SECRET

C o . N o . M M Y Y (For Official Use Only) Information required under the Banking Ordinance RETURN OF SECURITIES RELATED ACTIVITIES Position of the Hong Kong offices of an authorized institution that is a registered institution* under the Securities and Futures Ordinance for the 6-month period ended _______________________________________ (last day of June / December) Name of Authorized Institution Date of Submission The Banking Ordinance The Monetary Authority requires the submitting Authorized Institution to provide the information specified in this return to the Monetary Authority, in the form set out in the return, in accordance with section 63(2) of the Banking Ordinance. Information requested in this return is required under section 63(2) of the Banking Ordinance. The information, in Tthe form of the duly completed return, shouldmust be submitted to the Monetary Authority not later than 21 days after the end of June and December each year, unless otherwise advised by the Monetary Authority. If the submission deadline falls on a public holiday, it will be deferred to the next working day. This return must be completed in accordance with the completion instructions issued by the Monetary Authority to ensure that all requisite information is provided and submitted in the required form. Note: This return is to be prepared in accordance with the completion instructions issued by the Monetary Authority. We certify that this return is, to the best of our knowledge and belief, correct.

Chief Accountant Chief Executive

Name Name Name and telephone number of responsible person who may be contacted by the Monetary Authority in case of any query.

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Name Telephone Number [* including a deemed registered institution] MA(BS)14 (Dec 2003Dec 2024)

• An “Y” in the box indicates Yes and an “N” indicates No. I. Regulated Activities under the Securities and Futures Ordinance

1. Type 1: Dealing in Securities (Y/N)* Was your institution engaged in this activity during the reporting period? If yes, provide the following information. At the end of the reporting period: Accounts maintained with the reporting institution in Hong Kong Accounts maintained elsewhere (1) Dealing in securities for clients: (a) Number of securities accounts for cash clients (b) Number of securities accounts for margin clients (i) Institutions licensed by the SFC (ii) Others (2) For institution with branches in Hong Kong, the number of branch-office that provides services of dealing in securities for clients

During the reporting period, in relation to dealing in securities for clients: (HK$’000) (HK$’000)

• • 3 (3) The volume of transactions that were traded through the exchange in Hong Kong (4) The volume of transactions that were traded through overseas other exchanges (5) The volume of transactions that were traded through other means

2. Type 2: Dealing in Futures Contracts (Y/N)* Was your institution engaged in this activity during the reporting period?

If yes, provide the following information. At the end of the reporting period: Accounts maintained with the reporting institution in Hong Kong Accounts maintained elsewhere (1) Number of accounts for dealing in futures contracts for clients During the reporting period, in relation to dealing in futures contracts for clients: Number of contracts Number of contracts (2) Total number of futures contracts that were traded through the exchange in Hong Kong (a) Equity index futures (b) Equity futures (c) Interest rate futures (d) Other futures contracts (3) Total number of futures contracts that were traded through overseas other exchanges (a) Equity index futures (b) Equity futures

• • 4 (c) Interest rate futures (d) Other futures contracts

3. Type 4: Advising on Securities Was your institution engaged in any of the following activities during the reporting period? (Y/N)* (1) Giving advice on (i) whether; (ii) which; (iii) the time at which; or (iv) the terms or conditions on which, securities should be acquired or disposed of. (2) Issuing analyses or reports for the purposes of facilitating the recipients to make decision on (i) whether; (ii) which; (iii) the time at which; or (iv) the terms or conditions on which, securities are to be acquired or disposed of.

4. Type 5: Advising on Futures Contracts Was your institution engaged in any of the following activities during the reporting period? (Y/N)* (1) Giving advice on (i) whether; (ii) which; (iii) the time at which; or (iv) the terms or conditions on which, futures contracts should be entered into. (2) Issuing analyses or reports for the purposes of facilitating the recipients to make decision on (i) whether; (ii) which; (iii) the time at which; or (iv) the terms or conditions on which, futures contracts are to be entered into.

5. Type 6: Advising on Corporate Finance Was your institution engaged in any of the following activities during the reporting period? (Y/N)*

• • 5 (1) Giving advice concerning compliance with or in respect of rules made under section 23 or 36 of the Securities and Futures Ordinance (SFO) governing the listing of securities and the code published under section 399(2)(a) or (b) of the SFO.

(Y/N)* (2) Giving advice concerning (i) any offer to dispose of securities to the public; (ii) any offer to acquire securities from the public; or (iii) acceptance of any offer referred to in (i) or (ii), but only in so far as the advice is given generally to holders of securities or a class of securities. (3) Giving advice to a listed corporation or public company or a subsidiary of the corporation or company, or to its officers or shareholders, concerning corporate restructuring in respect of securities (including the issue, cancellation or variation of any rights attaching to any securities).

6. Type 7: Providing Automated Trading Services (ATS) Was your institution engaged in any of the following activities during the reporting period? (Y/N)* (1) Providing ATS for the sale or purchase of securities (2) Providing ATS for the sale or purchase of futures contracts

7. Type 9: Asset Management

(Y/N)* Was your institution engaged in this activity during the reporting period?

• • 6 If Yes, provide the following information. At the end of the reporting period: Accounts maintained with the reporting institution in Hong Kong Accounts maintained elsewhere (1) Asset management services for “non-discretionary” accounts of private banking clients: (a) Number of accounts (HK$’000) (HK$’000) (b) The aggregate size of portfolios under management by the institution Accounts maintained with the reporting institution in Hong Kong Accounts maintained elsewhere (2) Asset management services for “discretionary” accounts of private banking clients: (a) Number of accounts (HK$’000) (HK$’000) (b) The aggregate size of portfolios under management by the institution (3) Asset management services for collective investment schemes: (a) Number of accounts (HK$’000) (HK$’000) (b) The aggregate size of portfolios under management by the institution (4) Other asset management services: (a) Number of accounts
• • 7 (HK$’000) (HK$’000) (b) The aggregate size of portfolios under management by the institution During the reporting period, in relation to asset management services: (HK$’000) (HK$’000) (5) The volume of securities transactions that were traded through the exchange in Hong Kong (6) The volume of securities transactions that were traded through otheroverseas exchanges (7) The volume of securities transactions that were traded through other means

During the reporting period, in relation to asset management services: Number of contracts for accounts maintained with the reporting institution in Hong Kong Number of contracts for accounts maintained elsewhere (8) Total number of futures contracts that were traded through the exchange in Hong Kong (a) Equity index futures (b) Equity futures (c) Interest rate futures (d) Other futures contracts (9) Total number of futures contracts that were traded through overseas other exchanges (a) Equity index futures

(b) Equity futures

• • 8 (c) Interest rate futures (d) Other futures contracts

8. Type 10: Providing credit rating services Was your institution engaged in any of the following activities during the reporting period? (Y/N)* (1) Preparing credit ratings (i) for dissemination to the public, whether in Hong Kong or elsewhere; or (ii) with a reasonable expectation that they will be so disseminated. (2) Preparing credit ratings (i) for distribution by subscription, whether in Hong Kong or elsewhere; or (ii) with a reasonable expectation that they will be so distributed.

9. Type 13: Providing depositary services for relevant collective investment schemes (Y/N)* Was your institution engaged in this activity during the reporting period? If Yes, provide the following information. At the end of the reporting period: Number Aggregate net asset value (HK$’000) (1) Relevant collective investment schemes under the depositary services provided by the institution

10. Channels through which clients’ securities / futures contracts orders were received If your institution was engaged in Type 1, Type 2 and/or Type 9 regulated activities during the reporting period, on a best estimate basis, indicate the proportion of executed securities/futures contracts transactions (for all types of clients) that were executed through the following channels during the reporting period.

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Securities transactions As % of the total value of transactions As % of total number of transactions (1) (a) The Internet (b) Other unmanned electronic devices (e.g. voice response system, mobile phone trading system etc.) (2) Transactions executed through manned order-receiving channels (e.g. counter service, telephone order etc.) 100 100

Futures contracts As % of the total value of transactions As % of total number of transactions (3) (a) The Internet (b) Other unmanned electronic devices (e.g. voice response system, mobile phone trading system etc.) (4) Transactions executed through manned order-receiving channels (e.g. counter service, telephone order etc.) 100 100

119. The reporting institution’s income arising from regulated activities The institution’s income arising from regulated activity(ies) during the reporting period: (HK$’000) (1) Type 1: Dealing in securities (2) Type 2: Dealing in futures contracts (3) Type 4: Advising on securities (4) Type 5: Advising on futures contracts (5) Type 6: Advising on corporate finance

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(HK$’000) (6) Type 7: Providing automated trading services (7) Type 9: Asset management (8) Type 10: Providing credit rating services (9) Type 13: Providing depositary services for relevant collective investment schemes (810) Total

II. Additional information on transactions relating to Equity-linked Instruments, Collective Investment Schemes, as well as Underwriting and Placement of securities

1. Equity-linked Instruments (Y/N)* (1) Whether during the reporting period your institution was engaged as an intermediary in dealing in equity-linked instruments?

If Yes, provide the following information. During the reporting period: Minimum size of each deposit/ investment (HK$’000) Volume of transactions (HK$’000) (a) Transactions concerning equity-linked deposits (b) Transactions concerning equity-linked notes (c) Transactions concerning other equity-linked instruments (Y/N)* (2) Whether during the reporting period your institution was engaged as an issuer of equity-linked instruments (other than equity-linked deposits)?

If Yes, provide the following information. During the reporting period: Volume of transactions (HK$’000)

• • 11 (a) Transactions concerning equity-linked notes (b) Transactions concerning other equity-linked instruments
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2. Collective Investment Schemes

(Y/N)* Whether during the reporting period your institution was engaged as an intermediary in dealing in collective investment schemes?

If Yes, provide the following information. During the reporting period: Volume of transactions (HK$’000) (1) Transactions concerning unit trusts and/or mutual funds (other than hedge funds and fund-of-hedge funds) (2) Transactions concerning hedge funds (including fund-of-hedge-funds) (3) Transactions concerning other collective investment schemes

3. Underwriting and placement of securities (Y/N)* Whether during the reporting period your institution was engaged in the activities of underwriting and / or placement of securities? If Yes, provide the following information. During the reporting period: Number of transactions concluded Aggregate amount of securities (HK$’000) (1) Transactions concerning underwriting of securities: (a) Underwriting arrangements concluded during the reporting period (b) In respect of the underwriting arrangements reported under (a), the amount of securities that were sub￾underwritten by other entities (2) Transactions concerning placement of securities