Investor Presentaiton

Hong Kong Investor ID Regime Un Hong Kong Investor ID Regime Responsibility to ensure CIDs are accurate and kept up-to-date • • Relevant Regulated Intermediaries should take all reasonable steps to ensure that the client information (including the data constituting the CID) they collect and submit to SEHK's data repository is accurate and kept up-to-date (drawing on Chapter 5.1 of the Code of Conduct) Such reasonable measures may include: • Obtaining relevant representations and warranties from clients Putting in place measures to require clients to give notice of any updates to CID Conducting a refresher of the CID exercise based on the timeframe prescribed by the AML/CFT Guidelines Relevant Regulated Intermediaries should submit updated BCAN-CID Mapping File to SEHK as soon as practicable upon actual notice of a change in CID

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