Update on Hong Kong Investor Identification Regime and OTC Reporting Regime

Outstanding Areas asifma S Outstanding Areas Growing Asia's Markets . • • Assignment of BCAN in a trade give-up scenario Suspension of BCAN Definition of "RRI" should be expanded to include "in its capacity as an exchange participant of SEHK" Confirm the definition of "Relevant Clients" for overseas booking model also applies to OTCR - for example, if the transfer of shares happen between the same Relevant Client (i.e. the overseas affiliate entity), although the transfer was between two different underlying clients of the overseas affiliate, confirm that this does not trigger OTCR reporting requirement FIX Tag Missing BCAN Language for inputting names (the SFC is working on it) Timeline for implementation ECM Block Trade L_LIVE_APAC1:8040846v1 13

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