This is a self-certification form provided by an account holder to Cinda International Securities Limited (“CISL”) for the purpose of automatic exchange of financial account information. The data collected may be transmitted by CISL to the Inland Revenue Department for transfer to the tax authority of another jurisdiction. An account holder should report all changes in his/her tax residency status to CISL and the updated-self certification form must mail to CISL.

If you need to self-certify on behalf of an entity (which includes businesses, trusts and partnerships) complete an “Self-Certification Form-Entity”. Similarly, if you are a controlling person of an entity, complete a “ Self-Certification Form-Controlling Person” . An account holder should report all changes in his/her tax residency status to CISL and the updated-self certification form must mail to CISL.

For clients who make securities transfer from / to another securities firm / custodian bank, please complete and mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390/ +852 2907-6659.

For clients who withdrawal physical securities, please complete and mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390.

For clients who needs to authorize a third party to withdraw the physical securities, please complete and sign this form. Please give this form (original) to the authorized person and return it to us when he/she comes to Cinda to collect the physical securities.

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals). Client has to mail this form (original) to Cinda International.

Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities). Client has to mail this form (original) to Cinda International.

Request for Taxpayer Identification Number and Certification for U.S. person to complete. Please mail this form (original) to Cinda International.

For clients who make internal stock transfer, please mail this form (original) to Cinda International.

For clients who authorize third party to operate securities accounts, please provide copy of the identity document of the third party and mail this form (original) to Cinda International.

For EIPO application, please mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390

For application for SMS order confirmation service, please mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390.

For physical securities deposit and transfer, please mail this form (original) to Cinda International.

Section 1: Personal Information Collection Statement concerning HKIDR and OTCR, to provide clients with services related to securities listed or traded on the Stock Exchange of Hong Kong Limited (“SEHK”) and for complying with the requirements of SEHK and the Securities and Futures Commission, clients need to give consent on the relevant content of the Personal Information Collection Statement concerning HKIDR and OTCR. Section 2: Client Money Standing Authority, to ensure the normal settlement of clients’ funds, securities, futures and/or options trading, clients need to give consent on the relevant content of the Client Money Standing Authority. If we cannot receive clients’ replied consent, we may no longer be able to, as the case may be, carry out clients’ trading instructions or provide clients with securities related services other than to sell, transfer out or withdraw clients’ existing holdings of securities (if any). Besides, clients must provide a written authorization before (i)transferring money from their related account(s) to their other accounts maintained with us and/or our associated company (Cinda International Futures Limited); (ii)converting money into any other currency(ies); and (iii)returning any rejected third-party deposit to its source. We are not liable for any losses incurred, including but not limited to the handling fees and/or interest expenses that may be incurred. Please complete section 3 of the form and mail the original form to Cinda International / scan this form and email to cs@cinda.com.hk, or fax to Cinda International at +852 2907-6390.

Acknowledge and agree that in providing Northbound trading services of China Connect Securities through CSC to you, please complete and mail this form (original) to Cinda International

For the purpose of allowing Client’s options and/or futures position to be subject to margin offset claim, Client shall consent to have his/her eligible position being allocated to the Client Offset Claim Accounts (“COCA”) in the Derivatives Clearing and Settlement System (“DCASS”). This enables Cinda International to apply for the margin offset claim arrangement under the applicable rules of clearing houses. Please mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390

This is a self-certification form provided by an account holder to Cinda International Futures Limited (“CIFL”) for the purpose of automatic exchange of financial account information. The data collected may be transmitted by CIFL to the Inland Revenue Department for transfer to the tax authority of another jurisdiction. An account holder should report all changes in his/her tax residency status to CIFL and the updated-self certification form must mail to CIFL.

If you need to self-certify on behalf of an entity (which includes businesses, trusts and partnerships) complete an “Self-Certification Form-Entity”. Similarly, if you are a controlling person of an entity, complete a “ Self-Certification Form-Controlling Person” . An account holder should report all changes in his/her tax residency status to CIFL and the updated-self certification form must mail to CIFL.

To ensure the normal settlement of clients’ funds, securities, futures and/or options trading, clients need to give consent on the relevant content of the Client Money Standing Authority. If we cannot receive clients’ replied consent, clients must provide a written authorization before (i)transferring money from their related account(s) to their other accounts maintained with us and/or our associated company (Cinda International Securities Limited); (ii)converting money into any other currency(ies); and (iii)returning any rejected third-party deposit to its source. We are not liable for any losses incurred, including but not limited to the handling fees and/or interest expenses that may be incurred. Please complete the form and mail the original form to Cinda International / scan this form and email to cs@cinda.com.hk, or fax to Cinda International at +852 2907-6390.

For the purpose of allowing Client’s options and/or futures position to be subject to margin offset claim, Client shall consent to have his/her eligible position being allocated to the Client Offset Claim Accounts (“COCA”) in the Derivatives Clearing and Settlement System (“DCASS”). This enables Cinda International to apply for the margin offset claim arrangement under the applicable rules of clearing houses. Please mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390

For clients who authorize third party to operate futures accounts, please provide copy of the identity document of the third party and mail this form (original) to Cinda International.

For subscribing the real time market data for CME, please mail this form (original) to Cinda International.

For clients subscribe the real time market data for CME and need to prove himself/herself is a non-professional person, pleases mail this form (original) to Cinda International.

For clients who withdraw funds from account, please complete and mail this form (original) to Cinda International / scan this form and email to customer service at cs@cinda.com.hk or fax to Cinda International at +852 2907-6390/ +852 2907-6659.

For subscription of the electronic trading service, pleases mail this form (original) to Cinda International.

For application of receiving electronic statement instead of physical statement, pleases mail this form (original) to Cinda International.

For clients who have changed his/her client’s information, please mail this form (original) to Cinda International.