PUBLIC BANK (HONG KONG) LIMITED (C.E. No. AAE468) SECURITIES SERVICES AGREEMENT

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1 PUBLIC BANK (HONG KONG) LIMITED (C.E. No. AAE468) SECURITIES SERVICES AGREEMENT CONTENT Clause Page Terms and Conditions for Securities Services 1. Interpretation Applicable Terms Information, Powers, Duties and Capacity Engagement of Agents Authorized Persons Dealing Practice Selling Securities Giving of Instructions Transaction Confirmation and Summary Expenses, Charges and Debit Authorization Acknowledgment, Representations and Warranties Event of Default and Disposal of Securities Set off and Lien Limitation of Liability and Investor Compensation Currency and General Indemnity Miscellaneous Notices Personal Data Client Identity Rule Termination Governing Law and Applicable Regulations Risk Disclosure Statements...12 Schedule I : Cash Transactions...14 Schedule II : Margin Transactions...14 Schedule III : Subscriptions for New Issue of Securities...17 Schedule IV : Safe keeping of Securities...18 Schedule V : Collective Investment Schemes...20 Schedule VI : Electronic Securities Trading Service...21 Account Mandate (attachment) The Agreement, comprising the Account Mandate, its Appendices and Supplements and the Terms and Conditions sets out the terms upon which Public Bank (Hong Kong) Limited will provide the Services (as defined herein) to you. By executing the Account Mandate, you confirm that you have received a copy of the Agreement and have read and understood, and agree to be bound by, the terms and conditions set out in the Agreement, as varied, amended or supplemented from time to time.

2 Terms and Conditions for Securities Services 1. Interpretation 1.1 In these Terms and Conditions, except where the context otherwise requires: "Access Codes" means the personal identification and the personal password assigned by the Bank or selected by the Customer and accepted by the Bank to enable the Customer to gain access to the Electronic Securities Trading Service; "Additional Margin" means cash deposit in such amount as shall be determined at any relevant time by the Bank as may be required to be paid by the Customer so as to maintain the Margin Requirement; "Agent" includes the Broker, the Nominee and any other person or service provider selected by the Bank in its discretion for the provision of the Services; "Agreed Signing Arrangement" means the signing arrangement of the Customer stipulated in Appendix 1 of the Account Mandate regulating the manner in which the signature authority conferred on the Authorized Persons under the Agreement is to be exercised, subject to such subsequent changes thereto as may be accepted by the Bank from time to time; "Agreement" means the Securities Services Agreement entered into between the Customer and the Bank, of which these Conditions, the Schedules, the Account Mandate and its Appendices and Supplements form an integral part, as from time to time amended or supplemented by the Bank; "Authorized Persons" means any one or more of the persons, if any, named in Appendix 1 of the Account Mandate and other persons from time to time duly authorized by the Customer and accepted by the Bank to have the authority stipulated in Clauses 5.1 and 5.2; "Available Balance" means the balance standing to the credit of the Settlement Account(s) together with, where applicable, the undrawn amount of any pre arranged credit facility made available to the Settlement Account(s) less any amount earmarked or held by the Bank, whether or not pursuant to the Agreement, as cash cover for the settlement of obligations owed by the Customer; "Bank" means Public Bank (Hong Kong) Limited, its successors and assigns; "Broker" means any stockbroker, underwriter, dealer or any other dealing agents selected by the Bank for effecting instructions relating to Securities Transactions on behalf of the Customer; "Business Day" means a day (other than Sundays, Saturdays and public holidays) on which the Bank is open for business in the HKSAR; "Cash Transaction" means a purchase of Securities effected by the Bank on behalf of the Customer for which full cash payment has been (or will be) made by the Customer, excluding the subscription for or purchase of Securities which are offered to the public; "CCASS" means the Central Clearing and Settlement System established and operated by SEHK Clearing House; "Central Depository" means the central depository established and operated by the SEHK Clearing House as part of CCASS to render and perform depository and custodian services in respect of Eligible Securities; "Charged Securities" means all present and future Securities from time to time purchased or acquired by the Bank for the Customer pursuant to any and all Margin Transactions and includes (a) the rights to call for the delivery of such Securities at any time before settlement of the purchase contract and all other incidental rights thereunder; (b) all accretion thereto by way of bonus or otherwise; (c) all interest, dividends, distributions, options or other rights, benefits and entitlements therein or in respect thereof; and (d) the sale proceeds of any of the foregoing; "Clearing House" means SEHK Clearing House in relation to SEHK and, in relation to any other stock exchange, the clearing house providing similar services to such stock exchange; "Collective Investment Scheme" means any arrangement in respect of any property where: (a) the property is managed as a whole by or on behalf of the person operating the arrangement and/or the investors' contributions and the profits or income derived from the arrangement are pooled; (b) the investors do not have day to day control over the management of the property; and (c) the purpose or effect of the arrangement is to enable the investors to participate in or receive profits, income or other returns to be paid or distributed in any form or manner arising from (i) the acquisition, holding, management or disposal of the property (or any part of it) or (ii) the acquisition, holding or disposal of, the exercise of any right in, the redemption of, or the expiry of, any right, interest, title or benefit in the property (or any part of it) and includes any arrangement regarded as a collective investment scheme pursuant to law; "Common Nominee" means the nominee company of SEHK Clearing House or such other person appointed by SEHK Clearing House to perform nominee services for CCASS; "Conditions" means these terms and conditions together with the Schedules in their present form and as amended or supplemented from time to time; "Customer" means the person who has signed the Agreement, and whose particulars are set out in Appendix 1 of the Account Mandate, including its successors and permitted assigns; "Electronic Securities Trading Service" means any facility provided or to be provided by the Bank from time to time under the Agreement which enables the Customer to give instructions relating to any Securities Transactions or otherwise operation of the Securities Account via electronic or telecommunication media (including through the use of interactive television, systems, computers, machines, terminals or any other electronic or telecommunications devices as the Bank may from time to time determine and prescribe for the giving of the instructions), and including, without limitation, the Internet Securities Trading Service and Mobile Securities Trading Service; "Eligible Securities" means Securities from time to time designated and accepted by SEHK Clearing House for deposit, clearance and settlement in CCASS; "Event of Default" means any of the events or circumstances described in Clause 12 of these Conditions; "Exchange" means SEHK and any foreign stock exchange permitted to operate in a country or territory outside HKSAR by the law of that country or territory or, in the case of a country or territory which has no written law relating to stock exchanges, is not prevented from operating by the law of that country or territory, at which the Bank is prepared to conduct Securities Transactions for the Customer on the terms of the Agreement; "HKSAR" means the Hong Kong Special Administrative Region of the People's Republic of China; "Internet Securities Trading Service" means services provided by the Bank which enable the Customer to give instructions relating to any Securities Transaction via the Internet; Effective Date: 16/04/ _9E

3 "instruction" includes any notice, order, direction and request of whatever nature whether it is written, oral or, subject to the Agreement, in electronic communication form which the Bank accepts in good faith; "Margin Call" means a demand by the Bank for Additional Margin; "Margin Deposit" means the sum total of all cash deposits from time to time paid by the Customer to the Bank in order to maintain the Margin Requirement and includes Additional Margin; "Margin Facility" means the credit facility granted by the Bank to the Customer in connection with the conduct of Margin Transactions on and pursuant to the provisions of Schedule II; "Margin Loan" means, in reference to any given Margin Transaction, a loan granted or to be granted to the Customer by the Bank to finance the payment of balance of purchase price of Securities purchased (or to be purchased) under that Margin Transaction, after taking into account the amount of the Margin Deposit initially paid or payable by the Customer for that Margin Transaction or (as the context may require or admit) the aggregate principal amount whereof outstanding at any relevant time in respect of all Margin Transactions; "Margin Requirement" means the requirement stipulated in Paragraph 2.1 of Schedule II in connection with the conduct of Margin Transactions; "Margin Transaction" means a purchase of Securities effected (or to be effected) by the Bank for the Customer under which, at the time of purchase, the Customer has only paid the initial Margin Deposit prescribed therefor as part payment of the purchase price and the balance whereof being intended to be financed by a Margin Loan; "Mobile Securities Trading Service" means services provided by the Bank which enable the Customer to give instructions relating to any Securities Transaction via mobile devices; "Nominee" means such nominee or other agents of the Bank as may be selected by the Bank in its discretion for the provision of nominee or custodian services to the Bank; "OTP" means the one time password or other codes which the Bank may require the Customer to input for authentication of certain activities to be conducted in the Customer s Securities Account; "Personal Identification Number" or "PIN" means the personal identification number(s) or code assigned to the Customer by the Bank or selected by the Customer and accepted by the Bank in relation to the operation of the Securities Account by telephone; "Prescribed Percentage" means the percentage for the time being prescribed by the Bank for the Customer in relation to the maintenance of Margin Requirement as notified by the Bank to the Customer; "Receipt" means the receipt required by law in writing issued by the Bank to its customer in the manner and within the time limit prescribed by law for Securities held in custody by the Bank for the Customer; "Registered Securities" means Securities held by the Bank for the account of the Customer which are registered in the Nominee's name; "Securities" includes but without limitation any shares, stocks, debentures, warrants, loan stocks, funds, bonds or notes of, or issued by, any body, whether incorporated or unincorporated, or of any government authority which are for the time being traded on an Exchange or over the counter including rights, options or interests (whether described as units or otherwise) in or in respect of any of the foregoing, interests in Collective Investment Schemes, structured products and any other interests, rights or property (whether in the form of an instrument or otherwise) commonly known or regarded as securities and the securities as defined under the Securities and Futures Ordinance. For the avoidance of doubt, it includes any interests, rights or property, prescribed by notice under section 392 of the Securities and Futures Ordinance as being regarded as securities in accordance with the terms of the notice and shall include, where the context permits, any other securities acceptable to the Bank; "Securities Account" means the account of the Customer maintained with the Bank to record (a) Securities Transactions from time to time effected for the Customer and (b) the transaction of businesses generally under or pursuant to the Agreement; "Securities Transactions" means any transactions concerning the purchase, acquisition, subscription, sale, exchange or otherwise disposal of and dealings in any and all kinds of Securities including Margin Transactions, safe keeping of Securities and the provision of nominee or custodian services therefor, subscriptions for new issue of Securities, and other transactions effected under or pursuant to the Agreement; "SEHK" means The Stock Exchange of Hong Kong Limited, its successors and assigns; "SEHK Clearing House" means Hong Kong Securities Clearing Co. Ltd. and includes its successors or assigns which provide clearing house services to SEHK; "Services" means any or all of the services provided by the Bank pursuant to the Agreement and any other services and facilities agreed from time to time between the Customer and the Bank; "Settlement Account(s)" means the account(s) of the Customer maintained with the Bank (whether in the nature of savings or current account) particularized in Appendix 1 of the Account Mandate for the settlement of monetary obligations arising from the conduct of Securities Transactions or the provision of the Services or related purpose or the provision of credit facilities to the Customer by the Bank or such other account as from time to time specified by the Customer and accepted by the Bank to serve the same or similar purpose; "Subscription Loan" means a loan granted to the Customer by the Bank to finance the payment of balance of subscription price payable on subscription for new issue of Securities effected by the Bank for the Customer under or pursuant to the Agreement; "Subscription Rights" means (a) all present and future Securities allotted (or to be allotted) to the Customer or purchased (or to be purchased) by the Bank on behalf of the Customer pursuant to subscription applications from time to time made or effected on the provisions of Schedule III which are funded by Subscription Loan; (b) all rights, benefits and entitlements of and in such Securities; and (c) any and all refund proceeds to be returned by or on behalf of the issuer in respect of a wholly or partially unsuccessful subscription application and all the Customer's rights, benefits and entitlements (present and future) of and in such refund proceeds, if any; "Transaction Charges" means, in reference to any Securities Transaction, all fees, costs, expenses, brokerage, commission, charges, stamp duties, taxes, imposts and levies of whatever nature and description charged, imposed or levied by the Exchange, any competent regulatory authority, the Bank or its Agent or any other person on or incidental to the full, partial or attempted execution, carrying out, effectuation or cancellation of the Securities Transaction; "Transfer Documents" means, in reference to any particular type of Securities, the certificates, warrants, transfers, any type of title document to such Securities and other documents, if any, required in accordance with the prevailing market practice for the completion of a sale or purchase or a valid transfer of such Securities; and "Website" means the website or mobile application operated by the Bank for provision of the Electronic Securities Trading Service. Effective Date: 16/04/ _9E

4 1.2 Clause headings are inserted in these Conditions for convenience of reference only and shall not affect construction. In these Conditions, unless the context otherwise requires: (a) words importing one gender include every gender and words denoting the singular include the plural and vice versa; (b) any matter in respect of which the Bank is vested with a discretion, such discretion is absolute and may be exercised by the Bank or the agent to whom such discretion has been delegated without any restriction whatsoever; (c) references to clauses and Schedules are to the clauses of and the schedules to these Conditions; (d) references to Paragraphs are to the paragraphs of the Schedule in which the references appear; (e) references to "Securities of the Customer deposited with the Bank" and any cognate expressions include Securities which are Eligible Securities or Registered Securities; (f) references to "writing" include , telex, cable and facsimile transmission and "written" shall be construed accordingly ; and (g) references to "persons" shall include any individual, company, firm, partnership, joint venture, association, organization or trust (in each case whether or not having a separate legal personality) and, where the context so permits or requires, includes the Customer. 1.3 All the Schedules hereto form an integral part of these Conditions. 2. Applicable Terms 2.1 These Conditions apply to and govern all Services provided by the Bank to the Customer except that the provisions of: (a) Schedule I apply to and govern exclusively all Cash Transactions; (b) Schedule II apply to and govern exclusively the Margin Facility, all Margin Transactions and Margin Loan; (c) Schedule III apply to and govern exclusively subscriptions for new issue of Securities; (d) Schedule IV apply to and govern the safe keeping of all Securities held by the Bank for the account of the Customer (including any Securities held as part of the Subscription Rights); (e) Schedule V apply to and govern all transactions relating to transactions for the acquisition, disposal or otherwise in respect of Collective Investment Schemes; and (f) Schedule VI apply to and govern Electronic Securities Trading Service. 2.2 If any provision of these Conditions is inconsistent with any present or future law, rule or regulation of the Exchange at which any given Securities Transaction is conducted, the Clearing House or any authority having jurisdiction over the subject matter of these Conditions, such provision shall be deemed to be rescinded or modified in accordance with any such law, rule or regulation. In all other respects, these Conditions shall continue and remain in full force and effect. 2.3 The rules of the Exchange and Clearing House, in particular those rules which relate to trading and settlement, shall be binding on both the Bank and the Customer in respect of Securities Transactions concluded on the Customer's instructions. 3. Information, Powers, Duties and Capacity 3.1 The Bank is a bank licensed under the Banking Ordinance and is registered under the Securities and Futures Ordinance to conduct Type 1 (dealing in securities) regulated activity. 3.2 Before the Customer's instruction is accepted by the Bank, the Bank may upon reasonable ground in its discretion at any time refuse to effect or act for the Customer in any Securities Transaction. 3.3 The duties and obligations of the Bank are limited to those expressly set out in these Conditions, in particular Clause 14 of these Conditions. 3.4 Unless otherwise indicated by the Bank, the Bank is only acting as the agent of the Customer for all Securities Transactions and nothing contained in these Conditions shall constitute the Bank or the Nominee as trustee for the Customer nor constitute a partnership between the Bank and the Customer. 3.5 The Bank or its Nominee may refrain from taking any step (or further step) to protect or enforce the Customer's rights under any Securities Transaction effected by the Bank on behalf of the Customer until the Bank or its Nominee has been indemnified and/or secured to the Bank's reasonable satisfaction against any and all losses or liabilities (including legal fees on a solicitor and own client basis and other costs and expenses reasonably incurred by the Bank) which the Bank or its Nominee would or might sustain or incur as a result. 3.6 The Bank or its Nominee may rely on any communication or document which the Bank reasonably believes to be genuine on the face of it and the Bank is entitled to reject any document which, on the face of it, is not regular, valid and/or acceptable in accordance with prevailing market practice. 3.7 The Bank reserves the right to charge interest on all overdue balances owing by the Customer to the Bank until actual receipt in full by the Bank at such rate as it may be determined by the Bank from time to time. 4. Engagement of Agents 4.1 The Bank may perform any of its duties under the Agreement by or through its agent and may delegate any of its authority, responsibility or discretion to such agent. The Bank may, in its reasonable discretion, engage any Agent for effecting or implementing the Customer's instructions relating to Securities Transactions, whether or not the Bank has any interest (whether directly or indirectly and whether financially or otherwise) in such Agent. The Bank shall not howsoever be liable to the Customer for any loss or damage of whatever nature suffered by the Customer as a result of or in connection with any act or omission of the Agent engaged by the Bank unless such loss or damage results from the fraud, negligence or wilful default of the Agent engaged by the Bank. 4.2 The Bank may engage its Agent on any terms and conditions and subject to such exemptions as the Bank may in its reasonable discretion determine and the same shall be binding on the Customer. The Bank will exercise reasonable care in the selection of the Agent and/or in the negotiation of terms with the Agent. 4.3 The Bank having made prior disclosure in writing as an addendum to the Agreement or otherwise (or where necessary, verbally) and in accordance with the Customer s language preference to the Customer as required by applicable law and/or regulations, shall be entitled to solicit, accept and/or retain for the Bank's own use and benefit monetary and/or non monetary benefits including but not limited to any rebate, fee, benefit (including goods and services), allowance, brokerage, discount, commission, trading profit and/or other advantage from the Agent and/or any other person arising from any Securities Transactions effected by the Bank. Subject as aforesaid, the Bank may, in its absolute discretion, offer any benefit to any third party in connection with any transaction effected with any person for the Customer pursuant to the Agreement, including any benefit relating to commissions or similar payments in connection therewith. Effective Date: 16/04/ _9E

5 5. Authorized Persons 5.1 Each of the Authorized Persons is hereby authorized and empowered by the Customer for or on its behalf: (a) to give to the Bank instructions, whether the same is sent in original, by fax or such other means as may be acceptable to the Bank in accordance with prevailing market practice for or in relation to or in respect of: (i) the conduct of Securities Transactions generally; (ii) the transaction of businesses generally under or pursuant to the Agreement; (iii) the operation of the Securities Account generally; (iv) the withdrawal, transfer or disposal of Securities, the proceeds thereof, other income, monies, assets, properties, rights or interests derived therefrom to or from the Securities Account (and to give valid receipt and discharge therefor); and (v) any other matter whatsoever touching upon, concerning or arising from the Agreement (whether or not specifically mentioned or referred to in the Agreement); and (b) to negotiate for, borrow and obtain from the Bank, and to repay Margin Loan, Subscription Loan, advances, credit or financial accommodation of any nature or description for or in relation to the conduct of Securities Transactions and to give or furnish any mortgage, charge, pledge or other encumbrance to the Bank as security for the repayment whereof; (c) generally, in all matters, dealings and transactions between the Bank and the Customer under or pursuant to the Agreement, to act as fully and effectually for all intents and purposes as the Customer could if personally present and acting in the matters, dealings and transactions aforesaid; and (d) to sign or receive all notices, confirmations, statements of account, receipts, acknowledgments, certificates, undertakings, agreements, instruments or documents for or relating to any of the matters mentioned in, referred to or contemplated under Clause 5.1(a), (b), and (c) provided that, in exercising such signing authority, the Authorized Persons shall sign in accordance with the Agreed Signing Arrangement for the time being in effect. However, the Bank is entitled, in its discretion upon reasonable ground, to refuse to accept any instruction given by an Authorized Person and shall not be liable to the Customer for any loss whatever arising out of the same. 5.2 All acts, things, matters and transactions done, performed, entered into or effected by the Authorized Persons on or pursuant to the authority conferred upon them under the Agreement shall in all respects be binding upon the Customer. The Authorized Persons shall have such continuous authority to deal with the Bank, for and on behalf of the Customer and the signatures of the Authorized Persons shall be a sufficient authority and shall bind the Customer in all respects, and the Bank is entitled to act and rely on such authority of the Authorized Persons unless prior to the material time: (a) the Bank has actually received instruction in writing from the Customer revoking, amending or varying the authority conferred upon or the composition of the Authorized Persons or the Agreed Signing Arrangement; and (b) such instruction is completed in form prescribed by the Bank or is otherwise found by the Bank to be satisfactory and evidence of due authorization thereto by the Customer has been furnished to the Bank and, without prejudice to the generality of the foregoing, (i) where the Customer is an individual or is comprised of several individuals, such instruction has been signed by him or, as the case may be, all of them; and (ii) where the Customer is a corporation, such instruction is accompanied by a certified true copy of the board resolution of the Customer (which shall be certified by the chairman of the board and, if so required by the Bank, one other director or the secretary of the Customer). 5.3 The Customer agrees to ratify at any time hereafter all acts, deeds or instructions given by any or all of the Authorized Persons and acknowledges that the same shall at all times be binding on the Customer. 6. Dealing Practice 6.1 All instructions relating to Securities Transactions must be given by the Customer in such manner and contain such details as the Bank shall prescribe in its discretion and subject to any applicable law, rule, regulation or order, or any direction, guideline, notice or restriction (whether or not having the force of law) issued by any competent authority, government agency, exchange or body. Where instructions are given in writing, they must be in such form and manner prescribed by the Bank from time to time and duly signed in accordance with the Agreed Signing Arrangement. Any instruction which is found by the Bank to be defective in any respect is liable to be rejected by the Bank without notice to the Customer. The Customer acknowledges that it has the sole responsibility to verify that all instructions to the Bank are precise and given in the prescribed manner and contain the required details and the Bank shall have no obligation to notify the Customer of any defective instruction. 6.2 Unless it is otherwise accepted by the Bank, no instruction from the Customer (written or verbal) relating to Securities Transactions are effective if received by the Bank outside the Bank's business hours prescribed for the conduct of Securities Transactions. 6.3 The Customer may not withdraw any instruction relating to Securities Transactions after such instruction has been given to and accepted by the Bank unless the Bank consents to the withdrawal or is otherwise permitted by law. In giving its consent to such withdrawal, the Bank may impose such conditions, including indemnity for costs and expenses, as the Bank may reasonably deem fit. 6.4 Save as herein specifically provided otherwise, all Securities Transactions shall be subject to the prevailing market practice in HKSAR or in any other places in which the Bank is dealing on the Customer's behalf therefor and the relevant provisions of the constitution, rules, regulation, bye laws, orders, directions, practice notes, customs and usage of the Exchange and the Clearing House and of the laws of HKSAR or such other relevant places as amended from time to time. The Bank or its Nominee may refrain from doing anything which would or might in the Bank's reasonable opinion be contrary to any law or directive or otherwise render the Bank or its Nominee liable to any person and may do anything which is in the Bank's opinion necessary to comply with any such law or directive. All actions taken by the Bank in accordance with such applicable laws and regulations shall be binding on the Customer. 6.5 In giving instruction for; (a) the purchase of Securities, the Customer shall specify whether the purchase shall be effected as a Cash Transaction or Margin Transaction; and (b) the subscription for new issue of Securities, the Customer shall specify, among other things, whether a Subscription Loan is required. In the absence of precise specification as required herein, the Bank may reject the instruction without notice to Customer. 6.6 The Bank may, in its discretion, give any of its instructions to any Agent either in the Customer's name or in the Bank's own name. Effective Date: 16/04/ _9E

6 6.7 The Bank and its Agent will use their reasonable endeavours to execute orders of the Customers on the best available terms. The Customer however acknowledges that, due to market conditions or other intervening circumstances, the Bank or its Agent may not be able to obtain the best available price for the Customer (whether for selling or buying) and that the Bank or its Agent may not be able to effect or carry out the Customer's instructions at all. 6.8 Any instruction for effecting Securities Transactions which is: (a) at the available market price, shall be at the price obtainable by the Bank or its Agent at the Exchange; and (b) at a set price or subject to a limit, shall be at the price set or at the limit and above for selling Securities and at the price set or at the limit and below for buying Securities; and the instruction will not be effected if any of the foregoing conditions, as applicable, cannot be attained. 6.9 Unless a duration for any given instruction has been specified and accepted by the Bank, an instruction for effecting Securities Transactions which for any reason has not been executed at all or, in case of partial execution, such part of the instruction which has not been executed, shall automatically lapse and be of no effect by the end of the trading day of the Exchange on which the instruction is given. Such portion of the instruction executed shall be binding on and be accepted by the Customer In the course of acting for the Customer under the Agreement, the Bank may reject any document which, on its face, is not regular, valid or acceptable in accordance with prevailing market practice In respect of each Securities Transaction, unless the Bank is already holding cash or Securities on behalf of the Customer or has earmarked funds to settle the Securities Transaction, or there is sufficient amount of Available Balance to cover the same, the Customer will pay the Bank cleared funds or deliver to the Bank Securities in deliverable form, or otherwise ensure that the Bank has received such funds or Securities, by such time as the Bank has notified the Customer in relation to that Securities Transaction. If the Customer fails to do so, the Bank may: (a) In the case of a purchase Securities Transaction (including subscriptions for new issue of Securities pursuant to Schedule III hereto), transfer or sell the Securities in the Securities Account (including the purchased Securities); and (b) in the case of a sale Securities Transaction, borrow and/or purchase Securities in order to settle the Securities Transaction. The Customer will be responsible to fully indemnify the Bank for any losses and expenses resulting from settlement failures of the Customer. 7. Selling Securities 7.1 The Customer acknowledges that uncovered short selling is not allowed and for every sell order which involves Securities traded on the SEHK, the Customer shall at the time of placing the order have a presently exercisable and unconditional right to vest the Securities to which the order relates in the purchaser of those Securities. The Customer shall notify the Bank when a sell order relates to Securities which the Customer does not have such right prior to or at the time of the order. In the absence of any information to the contrary, the Bank may assume that the Customer has such right at all times. 7.2 The Customer hereby declares that every sell order of Securities traded on the SEHK that the Customer (whether as principal or agent) asks the Bank to execute will be a "long" sale, unless the Customer otherwise confirms to the Bank in writing or (if sent electronically) which is capable of being printed, that: (a) the order is a short selling order; (b) the Customer has a presently exercisable and unconditional right to vest the Securities to which the relevant sale order relates in the purchaser of those Securities; and (c) to the extent that the Customer has borrowed the Securities has obtained a confirmation from the lender that it has the Securities available to lend or deliver to the Customer. The Bank is entitled to refuse to accept any instruction for short sale if the Bank is not satisfied that the conditions referred to in this Clause 7.2 have been complied with. 7.3 Instructions for selling Securities will be accepted only if: (a) the Customer has deposited or transferred or has arranged for the deposit or transfer of the relevant Securities with or to the Bank, and instructions for the deposit or transfer of the relevant Securities with or to the Bank have been duly given; and (b) the Customer has duly signed or caused to be signed the Transfer Documents relating to such Securities. 7.4 The Bank may, notwithstanding Clause 7.3, accept in its discretion an instruction for sale of Securities prior to full compliance with the requirements of Clause 7.3. If the Customer fails to comply with the requirements of Clause 7.3 before the close of business of that Business Day following receipt of the instruction concerned, the Bank may (without obligation), in order to complete the sale, at any time thereafter without prior notice to the Customer (i) withdraw Securities of the same type held for the Customer, if any; or (ii) purchase an equal quantity (or as the case may be, the quantity in shortfall) of the Securities concerned. 7.5 Any loss, shortfall or deficit arising as a result of invoking Clause 7.4 including all Transaction Charges incurred shall be borne by and for the account of the Customer. The Bank may debit the loss, shortfall or deficit to the Settlement Account(s) or any other account of the Customer. 7.6 The Customer hereby expressly acknowledges and consents that if there is any gain arising as a result of invoking Clause 7.4, such gain shall belong to and be retained by the Bank absolutely. 7.7 In effecting any instruction for the sale of Securities, the Bank is authorized to appropriate, withdraw or apply the appropriate quantity of the relevant Securities from the pool of Securities of the Customer deposited with the Bank so as to enable the Bank to complete the sale. 7.8 The net proceeds of sale after deducting all Transaction Charges incurred in selling the relevant Securities as instructed shall first be applied towards the payment and discharge (whether in full or part) of all indebtedness (if any) due and owing to the Bank under the Agreement and the surplus (if any) shall be credited into the Settlement Account(s). 7.9 Where the Securities concerned are in the course of being processed for transfer to and registration in the name of the Nominee or has been submitted for registration or re issue in the name of SEHK Clearing House or the Common Nominee, instruction for selling such Securities will not be accepted unless the same have been received by the Nominee after due registration or the same have become available for withdrawal from the Central Depository. 8. Giving of Instructions 8.1 Except in respect of interests in Collective Investment Schemes, the Bank may in its discretion in accordance with prevailing market practice accept written or oral instructions from the Customer given by personal delivery to the Bank or by telephone, facsimile transmission or other telecommunication or electronic devices. Any verbal instruction given by telephone must be given to any one of the Bank's securities dealing staff through any one of the telephone lines designated by the Bank for such purpose for the time being. The Customer shall provide such Effective Date: 16/04/ _9E

7 information to the Bank as the Bank may in its absolute discretion deem necessary, including the PIN for the operation of the Securities Account by telephone. Any instructions given by the Customer in connection with any Securities Transactions, the Securities Account, Settlement Account(s) or the Agreement shall be deemed to be proper, valid and binding instructions from the Customer if given by any person quoting such information about the Securities Account to which the instruction relates as may be required by the Bank. 8.2 All instructions transmitted to the Bank through telephone, facsimile transmission or other telecommunication or electronic devices or via the Electronic Securities Trading Service in the manner specified in Clause 8.1 and believed by the Bank upon reasonable ground to have been given by the Customer and which have been relied on or acted upon by the Bank shall be irrevocable and binding on the Customer whether or not such instructions have in fact been given personally or authorized by the Customer. For any written instruction transmitted by facsimile transmission or other telecommunication or electronic devices, the instruction must be transmitted to any one of the Bank's receiving facsimile machines or devices designated by the Bank for such purpose for the time being. So long as the facsimile signature is considered by the Bank to resemble the specimen signature provided to the Bank in the Agreed Signing Arrangement, the Bank shall be entitled to act on the same and the Customer shall be bound thereby absolutely. 8.3 The Customer shall be responsible for all instructions using the Access Codes and the PIN (whether authorized by the Customer or not and regardless of any other mandate instructions the Customer may provide the Bank). Instructions provided by the Customer electronically or telephonically shall be treated as if they have been made in writing and signed by the Customer. Any instructions even if given only by ONE person using the correct Access Codes and PIN in connection with any Securities Transactions, the Securities Account, Settlement Account(s) or the Agreement shall be deemed to be proper, valid and binding instructions from the Customer. If the Customer acts fraudulently or with gross negligence such as failing to properly keep the Access Codes or the PIN secure and secret, the Customer shall indemnify and keep the Bank fully indemnified at all times of all losses and damage as the Bank may suffer or sustain arising out of or otherwise in connection with complying with or executing any such instructions. 8.4 All holders of a joint account are jointly and severally responsible to the Bank for any instructions given via the Electronic Securities Trading Service or by telephone, provided that the correct Access Codes or PIN are used. Any instructions given in connection with any of the joint Customers' Securities Account and Settlement Account(s) and the Agreement through use of the Electronic Securities Trading Service or by telephone shall be deemed to be proper, valid and binding Instructions from the Customer even if given only by ONE person inputting the Access Codes or quoting the PIN of the Securities Account. 8.5 The Customer shall keep the Access Codes and the PIN confidential and the Customer acknowledges that it has an obligation to safe keep its Access Codes and the PIN at the Customer s own risk. If the Customer acts fraudulently or with gross negligence such as failing to properly keep the Access Codes or the PIN secure and secret, the Customer shall be solely liable for all costs and losses, whether directly or indirectly, arising out of or in connection with any unauthorized use of the Customer s Access Code or the PIN by a third party. 8.6 In the event of loss of the Access Codes or the PIN, actual or suspected disclosure of the Access Codes or the PIN to any other unauthorized person or knowledge or suspicion that any unauthorized Securities Transaction has been effected, the Customer shall notify the Bank as soon as reasonably practicable by telephone at such telephone numbers or in writing to such address of the Bank as may be designated by the Bank from time to time, or in person at one of the Bank's branches. Otherwise, the Customer may be held liable for the losses. 8.7 The Customer acknowledges and agrees that the Bank may use and rely on prevailing authentication technologies to verify the authenticity of the Customer in connection with the instruction facilities. 8.8 The Bank may (but shall not be obliged to) monitor electronically or record any of the Customer's instructions or orders given through the instruction facilities. The Customer agrees to accept the contents of any such electronic records or recordings as final and conclusive evidence of the contents and are binding on the Customer. The Bank may also maintain records of instructions or communications received from the Customer via the internet. In case of dispute, the Customer agrees to accept the contents of any such telephone recording or computer record as final and conclusive evidence of such instructions or communications from the Customer. 8.9 The Customer hereby consents to the monitoring or recording, at any time and from time to time, by the Bank of any and all communications and telephone conversations between the Customer and officers or employees of the Bank, and waives any further or prior notice of such monitoring or recording. 9. Transaction Confirmation and Summary 9.1 For each Securities Transaction effected for the Customer, the Bank will where applicable send a contract note or any other receipt, advice or statement required by law to the Customer in the manner and within the time limit prescribed by law. The Bank will send to the Customer a monthly statement of the Securities Account if a Securities Transaction has been effected for the Customer during the preceding month or there is any outstanding balance or position held in the Securities Account, or any other situations where a monthly statement is required by law. 9.2 The Customer shall have a duty to examine the contract note, receipt, advice or statement and to notify the Bank in person or in writing of any alleged error or irregularity therein. The contract note, receipt, advice or statement shall be conclusive and deemed to be accepted if not objected to by the Customer in writing within the period as specified by the applicable laws, rules and regulations applicable to the Bank for the time being in force, after transmittal thereof to the Customer. 10. Expenses, Charges and Debit Authorization 10.1 As and when the Bank has placed with any Broker instructions of the Customer relating to Securities Transactions or otherwise acted on the Customer's instruction, the Customer shall reimburse the Bank in full with or without demand for all Transaction Charges incurred or to be incurred The Customer undertakes to pay to the Bank agency, custodian, service charges or fees for the provision of Services to the Customer under or pursuant to the Agreement at such rates and in such manner as the Bank may from time to time prescribe in its discretion by notice or announcement. The Customer remains liable to pay such charges and fees notwithstanding any withdrawal of instruction with the Bank's consent. The determination by the Bank of such charges and fees shall become effective and binding on the Customer (save for manifest error) once they have been determined notwithstanding that the same may be notified to the Customer subsequently All Securities Transactions executed on the floor of the Exchange shall be subject to a transaction levy and any other levies that the Exchange from time to time may impose. The Bank is authorized to collect any such levies in accordance with rules prescribed by the Exchange from time to time The Bank is authorized to debit all Transaction Charges, all monies liable to be paid by the Customer under the Agreement, all costs, expenses and reimbursements due from the Customer to the Settlement Account(s) (notwithstanding that such debit may result in the creation of, or increase to, debit balance in the Settlement Account(s) or the limit on any overdraft made available to the Settlement Account(s) being exceeded) or any other account of the Customer with the Bank whether of savings, current, fixed deposit (matured or not yet matured) or deduct the same from the proceeds of any Securities Transactions effected for the Customer. Effective Date: 16/04/ _9E

8 11. Acknowledgment, Representations and Warranties 11.1 The Customer confirms that unless the Bank agrees in writing and as a specific exception to this Clause 11, it has been and will at all times continue to be solely responsible for (a) making its own independent investigation and appraisal of the business, operations, financial conditions, credit worthiness, status and affairs of the company or body whose Securities the Customer intends to deal with; and (b) making its own independent decision in respect of all Securities Transactions. In respect of all and any Securities Transactions, the Customer shall be deemed to have entered into the same on its own judgment and at its own risk. In particular, the Customer agrees and confirms that: (a) the Customer is capable, on its own behalf or through independent professional advice, of assessing the merits of and understanding, and understand and accept, the provisions of the Agreement and that the Customer is also capable of assuming, and is prepared to assume, the risks of the relevant Securities Transactions contemplated herein; (b) unless otherwise agreed by the Bank, the Customer is acting on its own account; (c) the Customer has reviewed and will review carefully its specific financial needs and investment objectives before entering into any Securities Transactions through the Bank and that the Customer has made its own independent decision to enter into the relevant Securities Transactions and as to the legality, suitability and appropriateness of the Securities Transactions based upon its own judgment and upon advice from such independent professional advisers as the Customer has deemed necessary; (d) the Customer has evaluated for itself and/or relied on the advice of such advisers as the Customer has deemed necessary regarding the financial and market risks in, and the consequences of, entering into any Securities Transactions through the Bank and any legal, regulatory, tax, accounting and credit issues in connection with those Securities Transactions and any relevant legal, tax and exchange control regulations in force in the countries of its citizenship, residence and/or domicile; (e) if the Bank solicits the sale of or recommend any Securities to the Customer, the Securities must be reasonably suitable for the Customer having regard to its financial situation, investment experience and investment objectives. No other provision of this Agreement or any other document the Bank may ask the Customer to sign and no statement the Bank may ask the Customer to make derogates from this clause; and (f) these Conditions including the same in the Schedules are not intended to be exhaustive and must be read together with the other provisions of the Agreement, in particular (but not limited to) any additional terms and conditions that apply specifically to particular types of the Securities Transactions The Customer hereby acknowledges and agrees that: (a) unless agreed in writing and as a specific exception to this Clause 11.2(a), the Bank does not act as an investment adviser or as any other adviser to the Customer in relation to any Securities Transaction that may be entered into pursuant to the Agreement; and (b) the Bank has not made, and will not be deemed to have made, any representations whatsoever and howsoever to the Customer in respect of any Securities or any Securities Transaction entered into by the Customer through the Bank as agent The Customer represents and warrants to the Bank that: (a) the Customer has unencumbered and unless otherwise agreed by the Bank, has absolute beneficial title to all Securities deposited with the Bank whether for safe custody, sale or otherwise; (b) all such Securities are (i) fully paid; (ii) free and clear of and not subject to any charge, lien, trust, negative pledge or other adverse interest and claim; (iii) regular, valid and acceptable in accordance with the prevailing market practice; (c) there are no monies or liabilities outstanding or payable in respect of such Securities; and (d) will not charge, pledge or allow to subsist any charge or pledge over the Securities or monies in the Securities Account or Settlement Account(s) or grant or purport to grant an option over any Securities or monies in the Securities Account or Settlement Account(s) without the prior written consent of the Bank. The foregoing representations and warranties shall be deemed to have been repeated and given by the Customer in respect of such further Securities deposited with the Bank on each and every subsequent occasion The Customer acknowledges, represents and warrants that: (a) the Customer, or any person whom the Customer is acting on behalf of, is in compliance with the laws of the relevant jurisdiction ( Local Law ) which are applicable to the Customer s use of the Services; (b) the Customer will inform the Bank immediately if the customer, or any person whom the Customer is acting on behalf of, becomes subject to any Local Law applicable to the Customer s use of the Services; (c) the Services may not be available to the Customer due to, including but not limited to, any Local Law applicable to the Customer s use of the Services; and (d) the Customer shall obtain legal advice regarding the applicability of any Local Law The Customer hereby acknowledges and agrees that: (a) the Customer may access the Securities Account by such means as prescribed by the Bank from time to time; (b) in the event of failure of a particular way, the Customer will attempt to use alternate ways to access the Securities Account; and (c) if the Customer has given the same instruction through different means of access to the Securities Account, the Bank will treat the duplicate instructions as separate instructions unless the Bank is informed by the Customer prior to the instructions being executed that the several instructions are duplicate and in fact constitute one instruction only. 12. Event of Default and Disposal of Securities 12.1 Without prejudice to Sub clause 12.2 below, the Bank may in its sole and absolute discretion, without further notice to the Customer, from time to time be entitled to exercise any of the rights to the Bank under Sub clause 12.3 below when (a) the Bank considers it necessary for the protection of its interest or reputation, (b) the Customer fails or refuses to meet the margin requirements as from time to time imposed by the Bank in relation to any of the Services, (c) any dispute or proceedings arise amongst directors or shareholders of the Customer or any of the persons comprising the Customer and/or (d) such other events or conditions occur affecting the Customer (whether financially or otherwise) which the Bank in its reasonable opinion considers undesirable to continue to provide Services to the Customer Any one of the following events shall constitute an event of default: (a) failure to pay any deposits or any other sums payable to the Bank or submit to the Bank any documents or deliver any Securities by the Customer to the Bank hereunder, when called upon to do so or on due date; Effective Date: 16/04/ _9E

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