Investor Presentaiton

Introduction Further guidance to be issued • Un Introduction Implementation circular: To be issued by SFC by September 2021 on preparations required and relevant timeline Consent circular: To be issued by SFC by September 2021 on (i) specified purposes of use of personal data, (ii) how consent may be obtained (e.g. in writing, electronically or by phone) and (iii) the requirements to be observed Regime-specific guidance: Hong Kong Investor ID Regime - HKEX Information Paper: To be issued by SEHK on technical operational details and logistics OTC Securities Transactions Reporting Regime -Technical Document: To be issued by SFC by the end of 2021 on technical details (e.g. file specifications, reporting templates and submission channels for the OTCR submission portal) SFC will work with SEHK to provide a system testing period and conduct training sessions for the industry prior to implementation

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