Yardley Securities Limited

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1 利 Yardley Securities Limited 樓 20/F.,V-Heun Bldg.,138 Queen s Road Central, H.K. Tel (852) Fax(852) operations@yardley8200.com.hk ACA858 聯易參 Licenced with the Securities and Futures CommissionCentral Entity No. ACA858and a Participant of the Stock Exchange of Hong Kong Limited 料 CLIENT INFORMATION STATEMENT ( 聯 INDIVDUALJOINT ACCOUNT) Application Date 年年年年 DD MM Y Y Y Y 類聯金 Account Class Individual Account Joint Account Account Type Cash Margin A. 料 Personal Information 聯 IndividualPrimary Joint Account Holder 聯 Secondary Joint Account Holder 1 Client Name Mr. 女 Ms. Mrs. Miss Client Name Mr. 女 Ms. Mrs. Miss (English) Surname first (English) Surname first () () Relationship with Primary Account Holder Immediate Family, please specify Relative Friends Other 2 宅 Residential Address 宅 Residential Address ( 不 If different from Primary Account Holder) 3 Address ( 50 Max.50 characters) (/ For Individual/Primary Joint Account Holder Only) 4 HKID Card No.Passport No. Place of issueif Passport HKID Card No.Passport No. Place of issueif Passport 5 宅 Home Phone No 6 流 Mobile Phone No 7 宅 Home Fax No 宅 Home Phone No 流 Mobile Phone No 宅 Home Fax No 8 狀 Marital Status 狀 Marital Status Single Married 離 Divorced Single Married 離 Divorced 1

2 B. 狀 BusinessEmployment Status 1 Name of Employer Name of Employer 2 Business Nature of Employer 3 Job Title Business Nature of Employer Job Title 4 年 Years with Employer 年 Years with Employer 5 Office Address Office Address 6 Office Phone No. Office Phone No. 7 Office Fax No. Office Fax No. C. 狀 Financial Situation 1 年 HK$ 年 HK$ Annual IncomeHK$ <HK$100,000 Annual IncomeHK$ <HK$100,000 HK$100,000 HK$200,000 HK$100,000 HK$200,000 HK$200,001 HK$500,000 HK$200,001 HK$500,000 HK$500,001 HK$1,000,000 HK$500,001 HK$1,000,000 >HK$1,000,000 >HK$1,000,000 2 HK$ HK$ Net WorthHK$ <HK$500,000 Net WorthHK$ <HK$500,000 HK$500,000 HK$1,000,000 HK$500,000 HK$1,000,000 HK$1,000,001 HK$3,000,000 HK$1,000,001 HK$3,000,000 HK$3,000,001 HK$7,800,000 HK$3,000,001 HK$7,800,000 >HK$7,800,000 >HK$7,800,000 2

3 D. Investment Experience ( 聯 D,E,F G) (Please fill in by the Primary Account Holder for Joint Account in respect of Section D,E,F&G) 1 Does the client have the following experience 年易金 If yes, please specify average transaction amount per year. HK Listed stocks HK$ Overseas Listed stocks HK$ HK Futures & Options HK$ Overseas Futures & Options HK$ 金 Mutual funds or unit trust HK$ 没 None 2 年 Years of Experience in Securities Investment 没 Nil 年 1-3years 年 3-5years 年 5-10years 年 Over 10 years E. Investment Objectives Client s Investment Objectives 1) Short Term Medium Term Long Term 2) Income Capital Gain Hedging Speculation F. 行 Standing Payment Instruction 列行行 In relation to any money withdrawals from the Account, the client hereby authorizes the Company to pay money to the following bank account (bank account name must be the same as client name) : 行料 BANKING ACCOUNT PARTICULARS 行 Bank 類 Account Type(s) 來 Saving Current Others 3

4 G. Declaration by Client 1 Client s Statement of Account and Contract Notes to be sent to ( Pleases tick one only) 宅 Residential Address Office Address Other 2 Is client the person that stands to gainbear the commercial or economic benefitrisk of the transactions conducted in the Account i.e. Is client acting for his own account and not for a third party Yes No, details of the ultimate beneficial owner(s) isare: Name Phone Address Passport ID No. and Place of issuehkid Card No. 3 行易 Is client the person ultimately responsible for giving instructions in relation to transactions to be conducted through the Account Yes 易 No, details of the person(s) ultimately responsible for giving instructions isare Name Phone Address Passport ID No. and Place of issuehkid Card No. 4 易參理易理 Is client an employee or agent of a participant of a stockfutures exchange, or a securitiesfutures dealer or investment adviser licenced with the Securities & Futures Commission No 易參 Yes, the name of the related exchange participant or licenced person is 5 利 Is client a relative of an employeeagent of Yardley Securities Limited No Yes, Name of employeeagent 6 利 Is client s spouse a margin client of Yardley Securities Limited No Yes Account Name 7 利 35% Is client, either alone or with hisher spouse, in control of 35% or more of the voting rights of a company which is a margin client of Yardley Securities Limited No Yes Account Name 4

5 Client Name H. Client Acknowledgement, Execution and Specimen Signature 1 料 Acknowledgement regarding accuracy of information provided 2) 料料利料更利料利聯行料料 By execution at 2) below, I/we acknowledge that the information contained in this Client Information Statement is true and accurate. Yardley Securities Limited is entitled to reply fully on such information for all purposes, unless Yardley Securities Limited receives notice in writing of any change. Yardley Securities Limited is authorised at any time to contact anyone, including Client s banks, brokers or any credit agency, for the purpose of verifying the information provided in this Client Information Statement. 2 Execution by Client and Specimen Signature IndividualPrimary Joint Account Holder Specimen Signature of Individual Primary Joint Account 聯 Secondary Joint Account Holder 聯 Specimen Signature of Secondary Joint Account Holder 聯金兩 For Joint Account only In relation to the purchase and sale of any securities, the Account can be operated on the verbal or written instruction of any one. In relation to the withdrawal of moneysecurities, the account can be operated on the written instruction of any onetwo* of the above signature(s). Note* 不 Please delete as appropriate For Office Use Only 1 金易 HK$ 金金利率 i) %pa 率金 % HK$ ii) 不 iii) %pa %pa 易不 2 3 年年年年 5

6 Cash Securities Trading Account Opening Form And Acknowledgement for Account Opening Version 2 To Yardley Securities Limited, licensed with Securities and Futures Commission (CE No.ACA858) and an Exchange Participant of SEHK, of 20/F., V-Heun Building, 138 Queen s Road Central, Hong Kong (the Company ). Dear Sirs, 1. Account Opening Request I/We the undersigned (the Client ) hereby request you to open and maintain in your book one or more Cash Account(s) in the name of the Client on the Terms and Conditions set out in the Cash Client Agreement. 2. Acknowledgement I/We the undersigned hereby acknowledge and confirm that I/We have read and agreed to this Account Opening Form, the Cash Client Agreement (comprising the Terms and Conditions and the Risk Disclosure Statements set out in Appendix 1) and the Client Information Statement, all of which form the Agreement made between the Company and me/us in relation to the Cash Account(s). I/We the undersigned further acknowledge and confirm that the Risk Disclosure Statements were provided in a language of my/our choice (English or Chinese) and I/we was /were invited to read the Risk Disclosure Statements, to ask questions and take independent advice if I/we wish. In addition, I/we acknowledge receipt of the Cash Client Agreement bearing the same version number of this form for my/our account opening at Yardley Securities Limited. Date : dd mm yyyy SIGNED by the Client ) (name)) of HKID/Passport/CI No. : ) Client s Signature In the presence of : ) of address : 20/F., V-Heun Building, 138 Queen s Road Central, H.K. ) of HKID No. : ) Declaration by Registered Staff Member Signature of Witness I declare that I have provided the Risk Disclosure Statements to the Client in a language of the Client s choice (English or Chinese). I further declare that I have invited the Client to read the Risk Disclosure Statements, ask question and take independent advice if the Client wishes. Registered Person s Signature : Name of registered person : CE No. of registered person : ACKNOWLEDGEMENT BY YARDLEY SECURITIES LIMITED Duly authorized for and on behalf of Yardley Securities Limited (Signature of Director) 6

4. FPSB: Develop and present financial planning recommendations and/or alternatives. 5. FPSB: Implement the financial planning recommendations.

4. FPSB: Develop and present financial planning recommendations and/or alternatives. 5. FPSB: Implement the financial planning recommendations. 理流六 1. FPSB: Establish and define the client-planner relationship. FPAT: 立 2. FPSB: Gather client data, including goals. FPAT: 料 3. FPSB: Analyze and evaluate your financial status. FPAT: 料 4. FPSB: