1140 2016/2017

2 4 6 31 33 35 37 38 40

2016/17 2

3 2016/17 Royal Bank of Canada Trust Company (Cayman) Limited 4th Floor, Royal Bank House 24 Shedden Road, George Town Grand Cayman KY1-1110 Cayman Islands 1140 www.opfin.com.hk 183 22 P.O. Box 309GT Ugland House South Church Street George Town Grand Cayman Cayman Islands

2016/17 4 2,16326.2 ETFRQFII ETF ETF ETF 9HFM2016 +

5 2016/17

2016/17 6 1140 1,866

7 2016/17 12.1074 45.6% 4,821 1.8% 1.0463 3.9% 537 0.2% 528 0.2% 1.5226 5.7% 2,283 0.9% 3.5167 13.2% 4.9778 18.8% 2,327 0.9% 1.1635 4.4% 1.1635 4.4% Xiaoju Kuaizhi Inc.Gooagoo Group Holdings Ltd

2016/17 8 4,5173.5167 Treasure Up Ventures LimitedTreasure Up25%Treasure Up 15.3% 3.8% 69.92,064 18.52 9.78 68 16.316.6%750 17%

9 2016/17 Xiaoju Kuaizhi Inc. Xiaoju Kuaizhi Inc.A-18 1,5001.1635 3 87%1,100 Uber280350

2016/17 10 Guardforce Investment Holdings PTY Ltd 600654 Guardforce Hong Kong Ltd 6,4184.9778 Guardforce Investment Holdings PTY Ltd6.5% 1,5001.1635 Guardforce Holdings Ltd 75%Guardforce Cash Solutions (Thailand) Ltd 97.5% 17 22%20%

11 2016/17 Gooagoo Group Holdings Ltd 3002,327 Tsingdata Holdings L.P. Gooagoo Group Holdings Ltd +

2016/17 12 Nobel Holdings Investments Ltd Thrive World Ltd Nobel Holdings Investments Ltd 50%3,000 2.3265 1.22 1.75 1.31291.0463

13 2016/17 Jin Dou Development Fund L.P. Jin Dou Development Fund L.P. 31,500 150 556537

2016/17 14 5,027 3,266 461 RQFII (ETF)RQFII ETF 67% RQFII ETF74% 24% 1.1938 14.04%

15 2016/17 OP Investment Management (Cayman) LtdOPIM CaymanOP Investment Management LtdOPIM Hong Kong OPIM Hong Kong OPIM Cayman 30%100% Preqin 670 2,668

2016/17 16 1515 1.99083.4% 1.2574 Dance Biopharm Holdings Inc. 2201,708Dance Biopharm Holdings Inc. Dance548,531 Dance Dance Harmony Plus Holdings Ltd. Dance Dance1% 13 14 15

17 2016/17 26.2 1.42 0.01 0.01 Treasure Up Treasure Up 2.54%4.7832 4.6645 1.927247.11%2.8351 2.83536.5108 (i)(ii) 16.7 12.1(i) (ii)

2016/17 18 1,866 3,877 (1) 698 2,038 (2) 7,758 7,752 (3) 16,798 (4) 21,408 3,035 46,662 12,825 (1) Real Estate Opportunity Capital Fund (2) 776 775 (3) (4) 2,141

19 2016/17 5,603 (i)5,972(ii) 855(iii)1.0724 1.2574 4,612Dance 8203 4,299 1,4701,348 297(i)4,892 (ii) 4,612 1,866

2016/17 20 (26,667) (14,088) (2,378) 1,057 3,010 545 (187) (538) Dance (21,268) (4,322) OP Vision (1,334) (97) (3) (48,924) (17,346) 2.0 1.5 1.35 1.41 1.35 1.43 1.42 1.0 0.5 0 31/03/13 31/03/14 31/03/15 31/03/16 30/09/16

21 2016/17 12.1 16.7 26.2 26.41,841,396,000 1,841,396,000

2016/17 22 Guardforce Investment Holdings PTY Ltd4.9778 1.1635 1.1635 2,327 3.2482 58 597 1,630892 18

23 2016/17 55,00064,000 55,00066,000

2016/17 24 A.6.7

25 2016/17 XVXV7 8 352

2016/17 26 1 2 3 359,800,000 359,800,000 19.54% 2 3 359,800,000 359,800,000 19.54% 182,330,000 182,330,000 9.90% (1) 1,841,396,000 (2) Ottness Investments LimitedOIL 330,000,000 Oriental Patron Financial Services Group LimitedOPFSGL 29,800,000 (3) OIL Oriental Patron Financial Group LimitedOPFGLOPFSGL 95%OPFGLOPFGL 51% 49%OIL OPFSGL 352

27 2016/17 336 5% 1 OIL3 330,000,000 330,000,000 17.92% OPFGL2 3 359,800,000 359,800,000 19.54% 182,330,000 182,330,000 9.90% 4 21st Century Champion Limited4 170,000,000 170,000,000 9.23% 170,000,000 170,000,000 9.23% 4 170,000,000 170,000,000 9.23% 163,574,500 163,574,500 8.88% Grand Link Finance Limited5 158,244,000 158,244,000 8.59%

2016/17 28 1 5 158,244,000 158,244,000 8.59% 106,100,000 106,100,000 5.76% (1) 1,841,396,000 (2) OIL330,000,000OPFSGL29,800,000 (3) OIL OPFGL OPFSGL 95%OPFGL OPFGLOILOPFSGL (4) 170,000,000 21st Century Champion Limited21st Century Champion 100%21st Century Champion100% 21st Century Champion (5) Grand Link Finance LimitedGLFL 158,244,000 GLFL100%GLFL

29 2016/17 5%

2016/17 30 2410

31 2016/17 33 88 34 34

2016/17 32 2410 34

33 2016/17 6 46,662 12,825 15 (55,704) (27,606) (329) (1,936) (56,033) (29,542) 125,741 15,265 7,269 66,824 14 (46,125) (14,088) 18 (5,602) (387) (42,993) (26,937) 21,650 31,229 14,700 13,484 13 (1,765) 34,585 44,713 8 (12,958) 9 21,627 44,713

2016/17 34 14 (48,924) (17,346) 14 46,125 14,088 (2,456) (170) (234) (2,969) (5,948) 18,658 38,765 11(a) 1.17 3.65 11(b) 1.17 3.64 40 88

35 2016/17 12 311 96 13 478,321 466,453 14 283,515 192,721 15 133,150 8,596 895,297 667,866 15 517,930 274,934 16 11,663 3,905 18,390 804 714 39,655 1,210,739 1,670,548 1,759,436 1,989,846 2,654,733 2,657,712 17 184,140 184,140 2,432,428 2,454,203 2,616,568 2,638,343

2016/17 36 5,600 4,929 4,691 27,636 14,678 38,165 19,369 2,654,733 2,657,712 2,616,568 2,638,343 19 1.42 1.43 40 88

37 2016/17 94,140 965,680 18,494 5,227 183,315 1,266,856 18 6,276 6,276 18 (5,889) (5,889) 18 (5,308) 5,308 17 90,000 1,232,880 1,322,880 (5,714) (234) 44,713 38,765 184,140 2,198,560 13,573 (487) (234) 233,336 2,628,888 184,140 2,198,560 16,020 1,031 (307) 238,899 2,638,343 18 5,602 5,602 10 (46,035) (46,035) (2,799) (170) 21,627 18,658 184,140 2,198,560 21,622 (1,768) (477) 214,491 2,616,568 40 88

2016/17 38 (317,950) 87,101 698 2,038 3,823 2,762 (313,429) 91,901 (139,717) 39,634 45,276 4,500 285,650 (262) (34) (100,345) 335,392 (46,035) 1,322,880 (46,035) 1,322,880

39 2016/17 (459,809) 1,750,173 1,670,548 513,375 19 1,210,739 2,263,567 1,210,739 2,263,567 40 88

2016/17 40 1 P.O. Box 309GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands 622 436 622662(3)6 3 622406(2)407(2) (3)

41 2016/17 2 34 3 3

2016/17 42 3 1012 28 10 10 28 1012 28 27 27

43 2016/17 3 7 34 77 34 34 34

2016/17 44 3 i) 9 9 39 9 39 9 39 9

45 2016/17 3 ii) 15 18 11 15 iii) 16 16 17 16

2016/17 46 4 (a) (b) 5 14 15

47 2016/17 4 (c) 18 (d) 10 10 10

2016/17 48 4 (e) 46,125,00014,088,00014

49 2016/17 5 (a) (b) 13

2016/17 50 5 (b) 4,626 4,626 623,629 623,629 15,523 7,302 22,825 5,284 5,284 278,231 278,231 9,910 15,523 909,162 934,595

51 2016/17 5 (b) 8,596 185,059 193,655 (#) 42 (371) (329) (46,545) (46,545) 623,587 139,717 763,304 (923) (923) 623,629 7,302 278,231 909,162 (#) 42 (371) (329)

2016/17 52 5 (b) 251,226 251,226 23,708 8,596 32,304 7,662 7,662 185,059 185,059 258,888 23,708 193,655 476,251

53 2016/17 5 (b) 11,823 201,975 213,798 (#) (3,684) (3,684) (32,877) (32,877) 3,101 15,961 19,062 (2,644) (2,644) 8,596 185,059 193,655 (#) (3,684) (3,684) #

2016/17 54 5 (b) 14 15 OPIM OPIMC 25,939 Thrive World Limited 104,628 Jin Dou Development Fund, L.P. 5,372 12.92% -3.61% 14.07% 3.19% 14.26% 50 62 OP Vision L.P. 2,674 Xiaoju Kuaizhi 116,348 Tsingdata Holdings L.P. 23,270 Dance Biopharm Holdings Inc.

55 2016/17 5 (b) Real Estate Opportunity Capital Fund Zhong Wei Capital L.P. 3,869 3,433 Guardforce Investment Holdings Pty Ltd 497,781 116,348 9,500

2016/17 56 5 (b) OPIM OPIMC 22,929 Thrive World Limited 131,295 Dance Biopharm Holdings Inc. Jin Dou Development Fund, L.P. 13.57% 6.61%/3% 14.94% 42.767.5 21,268 5,559 OP Vision L.P. 4,008 Real Estate Opportunity Capital Fund Zhong Wei Capital L.P. 5,668 2,928

57 2016/17 6 698 2,038 7,758 7,752 16,798 21,408 3,035 46,662 12,825

2016/17 58 7 8 8 30,118 5,037 7,758 7,788 8,786 46,662 12,825

59 2016/17 7 126,961 114,878 351,671 351,671 10% 10%16,798,0009,183,000 8,088,0007,758,000 7,752,0002,038,000

2016/17 60 8 16.5%16.5% 16,375,000 44,086,000

61 2016/17 9 703 585 302 285 1,005 870 47 8 20,663 13,364 2,751 2,236 10,523 8,396 175 136 5,602 387 16,300 8,919 10 2.5 46,034,900

2016/17 62 11 (a) 21,627 44,713 1,841,396 1,226,642 1.17 3.65

63 2016/17 11 (b) 21,627 44,713 1,841,396 1,226,642 94 1,841,396 1,226,736 1.17 3.64

2016/17 64 12 94 11 76 181 34 34 128 11 76 215 71 11 73 155 8 8 79 11 73 163 49 3 52 156 11 101 268 200 62 262 200 218 11 101 530 87 11 74 172 28 15 4 47 28 102 11 78 219 172 116 23 311

65 2016/17 13 478,321 466,453 Treasure Up Ventures LimitedTUVL 25% 25% 351,671 351,671 24% 24% 119,385 104,682 29.9% 29.9% 6,194 7,039 OPIM Holdings Limited OPIMH 30% 30% 740 965

2016/17 66 13 Harmony Plus Holdings Limited Harmony Plus a 20% 20% 331 2,096 Miran Capital Management LimitedMCM 29% 29% South South Green Energy Limited 30% 30% 478,321 466,453 (a) Dance Biopharm Harmony Plus Holdings Ltd.Dance 1,765,000 15

67 2016/17 14 5,284 7,662 278,231 185,059 283,515 192,721 48,924,000 17,346,000

2016/17 68 14 Thrive World LimitedTWL a OPIM OPIMC Jin Dou Development Fund L.P. Dance Biopharm Holdings Inc. Dance Holding b OP Vision L.P.OP Vision 3.5% 3.5% 10% 10% 100% 100% 1.48% 1.48% 3.55% 3.72% 66.7% 66.7% 5,284 7,662 104,628 131,295 25,939 22,929 5,372 5,559 21,268 2,674 4,008

69 2016/17 14 Xiaoju Kuaizhi Inc.Xiaoju c Tsingdata Holdings L.P. d 0.055% 47.3% 116,348 23,270 283,515 192,721 (a) Thrive World Limited26,667,000 (b) Dance Biopharm Dance Biopharm17,080,000 (c) Profit Raider Investments Limited 15,000,000116,348,000Xiaoju Kuaizhi IncA-18 392,392Xiaoju (d) Profit Raider Investments Limited Tsingdata Holdings L.P. 3,000,00023,270,000Tsingdata Holdings L.P. Gooagoo Group Holdings Ltd 16

2016/17 70 15 4,626 251,226 22,825 32,304 623,629 651,080 283,530 517,930 274,934 133,150 8,596 651,080 283,530 56,033,00029,542,000

71 2016/17 15 4,626 5,552 a 245,674 Greater China Select Fundb 7,618 15,281 Greater China Special Value Fundb 7,905 8,427 Real Estate Opportunity Capital Fundb 3,869 5,668 Zhong Wei Capital L.P.b 3,433 2,928 Guardforce Investment Holdings Pty Ltd c 497,781 d 116,348 e 9,500 651,080 283,530

2016/17 72 15 (a) (b) (c) Profit Raider Investments Limited 64,176,000497,781,000Guardforce Investment Holdings Pty LtdGuardforce Investment Holdings Pty Ltd 600654 6.5 (d) Profit Raider Investments Limited 15,000,000116,348,000 20 Guardforce Holdings Ltd 75% Guardforce Cash Solutions (Thailand) Ltd 97.5% (e) 9,500,000 5 17

73 2016/17 16 (a) 11,635 3,877 (b) 28 28 11,663 3,905 11,663 3,905 (a) 11,635 3,877 (b)

2016/17 74 17 0.10 2,000,000 200,000 a 2,000,000 200,000 4,000,000 400,000 4,000,000 400,000 941,396 94,140 b 900,000 90,000 1,841,396 184,140 1,841,396 184,140

75 2016/17 17 (a) 2,000,000,000 0.10200,000,0002,000,000,000 400,000,0004,000,000,000 (b) 1.50900,000,000

2016/17 76 18 (a) (b) (c) 1 10% 21

77 2016/17 18 20.5.2016 4,500,000 4,500,000 1.65 20.5.2017 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2018 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2019 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2020 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2017 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2018 19.5.2021 20.5.2016 4,500,000 4,500,000 1.65 20.5.2019 19.5.2021

2016/17 78 18 20.5.2016 4,500,000 4,500,000 1.65 20.5.2020 19.5.2021 20.5.2016 3,750,000 3,750,000 1.65 20.5.2017 19.5.2021 20.5.2016 3,750,000 3,750,000 1.65 20.5.2018 19.5.2021 20.5.2016 3,750,000 3,750,000 1.65 20.5.2019 19.5.2021 20.5.2016 3,750,000 3,750,000 1.65 20.5.2020 19.5.2021 51,000,000 51,000,000

79 2016/17 18 20.4.2010 3,500,000 (3,500,000) 1.64 20.4.2010 19.4.2015 20.4.2010 3,500,000 (3,500,000) 1.64 31.7.2010 19.4.2015 20.4.2010 1,750,000 (1,750,000) 1.64 31.12.2010 19.4.2015 20.4.2010 1,750,000 (1,750,000) 1.64 31.3.2011 19.4.2015 20.4.2010 3,500,000 (3,500,000) 1.64 31.12.2012 19.4.2015 20.4.2010 1,750,000 (1,750,000) 1.64 20.4.2010 19.4.2015 20.4.2010 1,750,000 (1,750,000) 1.64 31.7.2010 19.4.2015

2016/17 80 18 20.4.2010 1,750,000 (1,750,000) 1.64 31.3.2011 19.4.2015 20.4.2010 1,750,000 (1,750,000) 1.64 31.12.2012 19.4.2015 18.2.2011 7,500,000 7,500,000 7,500,000 1.64 18.2.2011 17.2.2016 22.5.2015 4,500,000 4,500,000 1.65 22.5.2016 21.5.2020 22.5.2015 4,500,000 4,500,000 1.65 22.5.2017 21.5.2020 22.5.2015 4,500,000 4,500,000 1.65 22.5.2018 21.5.2020 22.5.2015 4,500,000 4,500,000 1.65 22.5.2019 21.5.2020 22.5.2015 6,250,000 (1,250,000) 5,000,000 1.65 22.5.2016 21.5.2020

81 2016/17 18 22.5.2015 6,250,000 (1,250,000) 5,000,000 1.65 22.5.2017 21.5.2020 22.5.2015 6,250,000 (1,250,000) 5,000,000 1.65 22.5.2018 21.5.2020 22.5.2015 6,250,000 (1,250,000) 5,000,000 1.65 22.5.2019 21.5.2020 22.5.2015 3,250,000 3,250,000 1.65 22.5.2016 21.5.2020 22.5.2015 3,250,000 3,250,000 1.65 22.5.2017 21.5.2020 22.5.2015 3,250,000 3,250,000 1.65 22.5.2018 21.5.2020 22.5.2015 3,250,000 3,250,000 1.65 22.5.2019 21.5.2020 28,500,000 56,000,000 (14,000,000) (12,000,000) 58,500,000 7,500,000

2016/17 82 18 (a) 1.55 1.521.621.45 (b) 51,000,000 51,000,000 0.1 1.65 (c)

83 2016/17 18 (c) 13,706,000 5,794,000 2.027% 97.288% 2.423% 10,607,000 1.897% 99.38% 0.75% 36,038,000 6,181,000 1.079% 62.58% 4.58%

2016/17 84 18 (c) 36,038,000 5,602,000 1.079% 62.58% 4.58% 18(b)

85 2016/17 19 2,616,568,0002,638,343,000 1,841,396,0001,841,396,000 20 (a) (1) 104,713 104,686 Zhong Wei Capital L.P. (2) 12,410 12,407 OP Fine Billion L.P. (3) 5,000 5,000 (1) Jin Dou Development Fund, L.P. 13,500,000104,713,000

2016/17 86 20 (a) (2) Profit Raider 2,000,000 15,500,000 400,000 (3) OPFI GP(2) Limited 5,000,000 (b) 1,637 4,388 300 660 1,937 5,048

87 2016/17 21 (a) 1. 20,663,00013,364,000 1.5% 3,345,000 3,394,000 2. Oriental Patron Management Service LimitedOPMSL2,751,000 2,236,000OPMSL OPMSL 3. 500,000

2016/17 88 21 (b) 620 495 6 6 (1) 1,976 (1,359) 2,602 (858) (1) 22