Update on Hong Kong Investor Identification Regime and OTC Reporting Regime

Updates/"Mapping" asifma S Updates/"Mapping" Growing Asia's Markets Clarification Primary market creation and redemption orders submitted by PDs of ETFs - whether these are in-scope of HKIDR and OTCR Response by the SFC Question A.2 Primary creation and redemption of ETF units or shares are out of scope of the HKIDR. For transfers of a basket of securities for allotment or redemption of an ETF with a stamp duty remission are not reportable under the OTCR L_LIVE_APAC1:8040846v1 12

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