Cinda International Holdings Ltd.

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Securities

Self-Certification Form-Individual (Securities)

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.

Self-Certification Form-Entity/Controlling Person (Securities)

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.

Meaning of terms and expressions used in Self-Certification Forms

Securities Settlement Instruction Form

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.

Withdrawal Advice

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.

Account Opening Form W-8BEN

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.

Account Opening Form W-8BEN-E

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

Account Opening Form W-9

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

Securities Internal Transfer Form

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

Third Party Authorization to Operate Securities Trading Account

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

EIPO Application Form

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

Application form for SMS for Confirmation of Order

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.

Standard Form of Transfer

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

Personal Information Collection Statement concerning Northbound Trading of China Connect Securities

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

Electronic Trading Service Subscription Form

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

Futures

Self-Certification Form-Individual (Futures)

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.

Self-Certification Form-Entity/Controlling Person (Futures)

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.

Meaning of terms and expressions used in Self-Certification Forms

Standing Authority For Futures Client Money

This form is to authorize Cinda International Futures Limited (“CIFL”) to transfer any sum of clients’ money deposited with CIFL to any futures/options trading/clearing/settlement account(s) maintained by CIFL with its agent broker(s) and/or clearing agent(s) for purpose of dealing in futures/options transactions for and on behalf of clients. Client has to mail this form (original) to Cinda International

Third party authorization to operate futures trading account

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

Subscription of market data

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

Certification of non-professional person

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.

General

Payment Instruction

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.

Electronic Statement / Notice Service Subscription Form

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

Notification of Change of Client's Informaton

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