Update on Hong Kong Investor Identification Regime and OTC Reporting Regime

Pain Points Obtaining Individual Client Consent asifma S Pain Points Growing Asia's Markets Applies to individuals (therefore ASIFMA did not make any submission in this regard) Code of Conduct Paragraph 5.6(p) for HKIDR and Paragraph 5.6(h) for OTCR • SFC's Circular to Intermediaries on Obtaining Client under HKIDR and OTCR dated 13 September 2021 ("Client Consent Circular") L_LIVE_APAC1:8040846v1 7

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