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1 客戶請填妥此表格並郵寄至下列地址香港金鐘道 95 號統一中心 24 樓 B 及 C 室申萬宏源證券 ( 香港 ) 有限公司客戶服務部收致 : 申萬宏源證券 ( 香港 ) 有限公司申萬宏源期貨 ( 香港 ) 有限公司客戶名稱 [ 戶口號碼 ]: [ ] 此表格適用於公司客戶, 其搬遷的營業 / 通訊地址屬另外一個國家或欲更新其稅務居民身份記錄請列出您所有稅務居民身份及其所屬國家, 並提供相關的稅務識別號碼自動交換財務帳戶資料聲明本人 / 吾等 ( 代表本公司 ) 聲明本公司是 : (a) 於本地實施的自動交換標準中的身份是 : 財務機構選項類別 : 託管機構存款機構或指明保險公司投資實體, 但不包括由另一財務機構管理 ( 例如 : 擁有酌情權管理投資實體的資產 ) 並位於非参與稅務管轄區的投資實體非財務實體選項類別 : 該非財務實體的股票經常在 ( 一個具規模證券市場 ) 進行買賣的有關連實體, 該有關連實體的股票經常在 ( 一個具規模證券市場 ) 進行買賣政府實體國際組織中央銀行或由前述的實體全權擁有的其他實體其他主動非財務實體位於非参與稅務管轄區並由另一財務機構管理的投資實體此類實體被重新分類為被動非財務實體請填 C 部分被動非財務實體 ( 位於非參與稅務管轄區並由另一財務機構管理的投資實體除外 ) 請填寫 C 部分

2 自動交換財務帳戶資料聲明 ( 續 ) (b) 實體為下列司法管轄地的稅務居民請填寫你為稅務居民所屬的所有司法管轄地及相關的納稅人識別號碼 ( 稅務編號 ) ( 香港包括在內 ) 如果你對你的稅務居民司法管轄地有任何疑問, 請聯絡你的稅務顧問如帳戶持有人是香港稅務居民, 稅務編號是其香港商業登記號碼如未能提供稅務編號, 請填寫理由 A B 或 C 理由 A - 申請人的居留司法稅務管轄區並沒有向其居民發出稅務編號理由 B - 申請人不能取得稅務編號 ( 如選取這一理由, 請在下表中解釋申請人不能取得稅務編號的原因 ) 理由 C - 申請人毋須提供稅務編號 ( 這理由只適用於居留司法管轄區的主管機關不需要申請人披露稅務編號 ) 稅務居民司法管轄地稅務編號如果不能提供稅務編號, 請填寫理由 A B 或 C 如選取理由 B, 解釋不能取得稅務編號的原因 (c) 此部分只供被分類為被動非財務實體填寫就每位控權人士而言, 必須填寫每位控權人士持有稅籍之所有司法管轄地及有關稅籍編號 ( 包括美國和香港, 如適用 ) 就法人實體, 如行使控制權的並非自然人, 控權人會是該法人實體的高級管理人員請留意控權人士代表符合指定條件之自然人如果有超過 3 位控權人士, 請使用額外的聲明書如控權人士是香港稅務居民, 稅務編號是其香港身份證號碼理由 A - 控權人士的的居留司法稅務管轄區並沒有向其居民發出稅務編號理由 B - 控權人士不能取得稅務編號 ( 如選取這一理由, 請在下表中解釋控權人士不能取得稅務編號的原因 ) 理由 C - 控權人士毋須提供稅務編號 ( 請注意 : 這理由只適用於居留司法管轄區的主管機關不需要控權人士披露稅務編號 ) 控權人士之姓名控權人士稅務居民司法管轄地控權人士在該司法管轄地持有稅籍之稅務編號, 如果不能提供稅籍編號, 請填寫理由 A B 或 C 如選取理由 B, 解釋不能取得稅務編號的原因控權人士 1 控權人士 2 控權人士 3

3 自動交換財務帳戶資料聲明 ( 續 ) 在適當方格內加上號, 指出控權人就每個實體所屬的控權人類別實體類別控權人類別控權人士 1 控權人士 2 控權人士 3 擁有控制股權的個人 ( 即擁有不少於百分之二十五的已發行股本 ) 法人以其他途徑行使控制權或有權行使控制權的個人 ( 即擁有不少於百分之二十五的表決權 ) 擔任該實體的高級管理人員 / 對該實體的管理行使最終控制權的個人財產授予人受託人信託保護人受益人或某類別受益人的成員其他 ( 例如 : 如財產授予人 / 受託人 / 保護人 / 受益人為另一實體, 對該實體行使控制權的個人 ) 處於相等 / 相類於財產授予人位置的個人處於相等 / 相類於受託人位置的個人除信託以外的法律安排處於相等 / 相類於保護人位置的個人處於相等 / 相類於受益人或某類別受益人的成員位置的個人其他 ( 例如 : 如處於相等 / 相類於財產授予人 / 受託人 / 保護人 / 受益人位置的人為另一實體, 對該實體行使控制權的個人 ) 控權人士之居住地址控權人士之出生日期 ( 日 / 月 / 年 ) 控權人士 1 控權人士 2 控權人士 3 ( 城市 ) ( 國家 ) ( 城市 ) ( 國家 ) ( 城市 ) ( 國家 )

4 我們在此聲明已查閲此自我聲明書之內容及陳述, 並盡本人所知及確信, 聲明內容均屬真實正確及完整我們承認此聲明書及有關本實體其控權人士 ( 如有 ) 及須申報帳戶的任何資料可向任何本地或海外政府監管或稅務機關或機構 ( 包括但不限於中華人民共和國香港特別行政區政府稅務局 ) 提供, 以及向適用法例法規慣例或指引 ( 包括但不限於香港稅務條例任何在本地實施的 OECD 經濟合作與發展組織税務金融訊息自動交換標準 / 通用報告準則及在香港或任何其他相關司法管轄地已落實的同類税務資訊共用制度 ) 所規定或指示或申萬宏源證券 ( 香港 ) 有限公司 / 申萬宏源期貨 ( 香港 ) 有限公司認為必要的任何其他本地或海外人士或單位提供 ; 及可由申萬宏源證券 ( 香港 ) 有限公司 / 申萬宏源期貨 ( 香港 ) 有限公司存儲使用及披露, 以便其遵從有關向我們提供服務的義務承諾安排或市場慣例我們承諾, 如以上聲明有任何情況改變, 而影響本表格的本公司或所標示控權人士 ( 如有 ) 的稅收居民身份有任何變化或導致此聲明書之內容及陳述變得不正確的信息時, 將通知申萬宏源證券 ( 香港 ) 有限公司 / 申萬宏源期貨 ( 香港 ) 有限公司, 並於情況改變發生的 30 日內向申萬宏源證券 ( 香港 ) 有限公司 / 申萬宏源期貨 ( 香港 ) 有限公司重新提供正確的聲明書 For Office Use Only S.V 授權簽署及 / 或公司印章日期 Approved by Input by

5 Please complete and submit this form to below address Unit B&C, 24/F, United Centre, 95 Queensway, Admiralty, Hong Kong. Customer Service Department, Shenwan Hongyuan Securities (H.K.) Limited To: Shenwan Hongyuan Securities (H.K.) Limited Shenwan Hongyuan Futures (H.K.) Limited Name of A/C Holder(s) [ A/C No. ]: [ ] This form is applicable to a corporate account client who has updated a new business/correspondence address that involves a change of country or corporate client who wishes to update his tax residency information to Shenwan Hongyuan Securities (H.K.) Limited/ Shenwan Hongyuan Futures (H.K.) Limited. Please indicate all countries in which you are a resident for tax purposes and provide the associated Tax Identification Number ( TIN ). I/We (on behalf of the entity) certify that the entity is: (a) An account holder of the following type for the purposes of local jurisdiction implementation of the OECD Standard for Automatic Exchange of Financial Account Information in Tax Matters: Financial Institution Specify Type: Depository Institution, Custodial Institution, Specified Insurance Company Investment Entity, except an investment entity that is managed by another financial institution (e.g. with discretion to manage the entity s assets) and located in a non-participating jurisdiction Non-Financial Entity ( NFE ) Specify Type: NFE the stock of which is regularly traded on, which is an established securities market. Related entity of, the stock of which is regularly traded on, which is an established securities market. NFE is a governmental entity, an international organization, a central bank, or an entity wholly owned by one or more of the foregoing entities Active NFE other than the above Investment Entity that is managed by another financial institution and located in a non-participating jurisdiction This entity is reclassified as a Passive NFE ( Passive Non-Financial Entity ) Complete Part C below Passive NFE (other than Investment Entity that is managed by another financial institution and located in a non-participating jurisdiction) Complete Part C below

6 (Continued) (b) A tax resident in the following jurisdiction(s): Please fill in ALL jurisdiction(s) and the associated Tax Identification Number(s) ( TIN(s) ) where you are a tax resident (including Hong Kong). If you have any questions about your jurisdiction(s) of tax residency, please contact your tax advisor. If you are a tax resident of Hong Kong, the TIN is the Hong Kong Business Registration Number. If a TIN is unavailable, provide the appropriate reason A, B or C: Reason A - The jurisdiction where you are a resident for tax purposes does not issue TINs to its residents. Reason B - You are unable to obtain a TIN or equivalent number (Please explain why you are unable to obtain a TIN in the below table if you have selected this reason) Reason C - TIN is not required. Select this reason only if the authorities of the jurisdiction of tax residence do not require the TIN to be disclosed Jurisdiction of Tax Residence TIN Enter Reason A, B or C if TIN is unavailable Explain why you are unable to obtain a TIN if you have selected Reason B (c) Complete this part only for an entity that is classified as a Passive NFE. For each Controlling Person, fill in ALL jurisdiction(s) and the associated TIN(s) where that Controlling Person is tax resident (including U.S. and Hong Kong, where applicable). If no natural person exercises control over an entity which is a legal person, the controlling person will be the individual holding the position of senior managing official. Please note that Controlling Person refers natural persons who meet specified requirements. If you have more than 3 Controlling Persons, please use an additional Form. If the Controlling Person is a tax resident of Hong Kong, the TIN is the Hong Kong Identity Card Number. Reason A - The jurisdiction where Controlling Person is a resident for tax purposes does not issue TINs to its residents. Reason B - Controlling Person is unable to obtain a TIN or equivalent number (Please explain why Controlling Person is unable to obtain a TIN in the below table if you have selected this reason) Reason C - TIN is not required. Select this reason only if the authorities of the jurisdiction of tax residence do not require the TIN to be disclosed Name of Controlling Person ( CP ) All Jurisdiction(s) of Tax Residence of CP TIN(s) for Each Jurisdiction of Tax Residence of CP or Enter Reason A, B or C if TIN is unavailable Explain why you are unable to obtain a TIN if you have selected Reason B CP 1 CP 2 CP 3

7 (Continued) Please tick the appropriate box to indicate the type of controlling person for each controlling person. Type of Entity Type of Controlling Person CP1 CP2 CP3 Legal Person Individual who has a controlling ownership interest (i.e. not less than 25% of issued share capital) Individual who exercises control/is entitled to exercise control through other means (i.e. not less than 25% of voting rights) Individual who holds the position of senior managing official/ exercises ultimate control over the management of the entity Settlor Trustee Trust Protector Beneficiary or member of the class of beneficiaries Other (e.g. individual who exercises control over another entity being the settlor/trustee/protector/beneficiary) Individual in a position equivalent/similar to settlor Individual in a position equivalent/similar to trustee Legal Arrangeme nt other than Trust Individual in a position equivalent/similar to protector Individual in a position equivalent/similar to beneficiary or member of the class of beneficiaries Other (e.g. individual who exercises control over another entity being equivalent/similar to settlor/trustee/protector/beneficiary) Residence Address of CP Date of Birth of CP (dd/mm/yyyy) CP1 CP2 CP3 (City) (City) (City) (Country) (Country) (Country)

8 We declare that the information given and statements made in this form are, to the best of our knowledge and belief, true, correct and complete. We acknowledge that the information contained in this form and information regarding the account holder, controlling person(s) (if any) and any reportable account(s) may be reported to any local or foreign governmental, regulatory or tax authorities or bodies (including without limitation the Inland Revenue Department of the Government of the Hong Kong Special Administrative Region of the People s Republic of China) and to any other local foreign persons or entities required or directed by applicable laws, regulations, practices or guidelines (including without limitation the Hong Kong Inland Revenue Ordinance, any local implementation of the OECD Standard for Automatic Exchange of Financial Information in Tax Matters/Common Reporting Standard and local implementation hereof, and any similar tax information sharing regime put in place in Hong Kong or any other relevant jurisdiction) or deemed necessary by Shenwan Hongyuan Securities (H.K.) Limited/ Shenwan Hongyuan Futures (H.K.) Limited and stored, used and disclosed by Shenwan Hongyuan Securities (H.K.) Limited/ Shenwan Hongyuan Futures (H.K.) Limited so that it can comply with obligations, commitments, arrangement or market practices in relation to providing services to me. Weundertake to advise by Shenwan Hongyuan Securities (H.K.) Limited/ Shenwan Hongyuan Futures (H.K.) Limited of any change in circumstances which affects the tax residency status of the entity or controlling person(s) set out in this form or cause the information contained herein to become incorrect, and to provide Shenwan Hongyuan Securities (H.K.) Limited/ Shenwan Hongyuan Futures (H.K.) Limited with a suitably updated declaration form within 30 calendar days of such change in circumstances. For Office Use Only S.V Authorised Signatory and/or Company Chop Date Approved by Input by

Please complete in BLOCK letters 請以正楷填寫此表格 1. Controlling Person Information 控權人個人資料 Name of Controlling Person 控權人姓名 [Surname 姓 ] [Given Name & Middl

Please complete in BLOCK letters 請以正楷填寫此表格 1. Controlling Person Information 控權人個人資料 Name of Controlling Person 控權人姓名 [Surname 姓 ] [Given Name & Middl Controlling Person Tax Residency Self-Certification Form (CRS) 控權人稅務居民身份自我證明表格通用報告準則 Important Notes 重要事項 : Tax law and regulations (including but not limited to the Inland Revenue Ordinance (Cap.112)