TO: WING LUNG BANK LIMITED 45 DES VOEUX ROAD CENTRAL HONG KONG (CE Number: AAF294 (a registered institution under the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong In consideration of your agreeing at my/our request to open and maintain a cash securities trading account and/or a margin securities trading account (each a Securities Account : 1. I/We (whose particulars are specified in Schedule 1 hereto hereby undertake and agree to be absolutely bound by this Agreement in connection with the Securities Account and/or the use of the Services. 2. I/We hereby agree and confirm that the Authorized Person(s / Authorized Representative(s (as such terms are defined in this Agreement together with his/her/their specimen signature(s and the agreed signing arrangement of the Securities Account shall be the same as those of the Settlement Account (Hong Kong dollar specified in Schedule 1 hereto (as amended from time to time unless specifically set out in Schedule 1 hereto and approved by you or as otherwise notified to you in writing from time to time in accordance with the terms of this Agreement and approved by you. 3. I/We acknowledge that it is obligatory for me/us to supply to you all such information required by you in connection with the Securities Account and that failure to do so may result in you being unable to open and/or maintain the Securities Account for me/us. Furthermore, it may be necessary for me/us to supply to you additional information from time to time in connection with your provision of Services. 4. I/We hereby declare that all information given by me/us in the Schedules hereto and/or otherwise stated in this Agreement is true, complete and correct. You are entitled to rely fully on such information and representations for all purposes, unless notice in writing of any change is received by you from me/us. You are authorized at any time to contact anyone, including my/our bankers, brokers or any credit agency, for purposes of verifying the information provided in the Schedules and/or otherwise and stated in this Agreement. 5. I/We understand and acknowledge that you may provide me/us with NET Banking ancillary, or in addition, to the Services provided in respect of the Securities Account in accordance with your applicable terms and conditions. I/We hereby agree that the Electronic Trading Services will be subject to the Wing Lung NET Banking General and Special Conditions (as amended from time to time and any other relevant terms and conditions provided by you to me/us from time to time. 6. In addition to the Counter Trading Service, I/We hereby request you to provide the following Facilities to me/us: Automated Securities Service (PIN Mailer S/N: Internet Trading Service Mobile Phone Trading Service Phone-in Trading Service (Please tick the appropriate box(es. In respect of the above Facilities requested by me/us, I/we hereby request and instruct you to issue me/us the Access Codes for using the above Facilities, the receipt of which I/we hereby acknowledge. 7. If I/we have both a cash securities trading account and a margin securities trading account, I/we agree that unless I/we give you prior notification in advance in respect of each transaction, all transactions contemplated under this Agreement shall be effected through the margin securities trading account. 8. I/We hereby acknowledge receipt of a full set of this Agreement. 9. Unless otherwise defined, terms used herein shall bear the same meanings as defined in Part 1 (General Terms and Conditions of the Terms and Conditions of this Agreement. Dated the day of. Declaration and Execution by the Customer I/We acknowledge and confirm that : you have provided and highlighted to me/us the risk disclosure statements set out in Part 7 (Risk Disclosure Statements of the Terms and Conditions of the Agreement in English or Chinese (and as the case may be, being the language of my/our choice; and you have invited me/us to read the said risk disclosure statements, to ask questions and take independent professional advice if I/we so wish. (For Individual Customers SIGNED, SEALED AND DELIVERED by 1 SCD-92(O (1-2008
(For Corporate Customers* SIGNED by For and on behalf of in the presence of OR SEALED with the Common Seal of in the presence of * If the corporate customer wishes to open a margin securities trading account, it must execute this Agreement under seal. Declaration by Wing Lung Bank Limited staff I declare that: the risk disclosure statements set out in Part 7 (Risk Disclosure Statements of the Terms and Conditions of the Agreement have been provided to the Customer in English or Chinese (as the case may be, being the language of the Customer s choice; and I have invited the Customer to read the said risk disclosure statements, ask questions and take independent professional advice if the Customer so wishes. Declared by Name (in block letters: CE Number / Registration Number: Date: Acknowledged and accepted by WING LUNG BANK LIMITED. For and on behalf of Wing Lung Bank Limited Authorized signature(s 2
45 (CE AAF294 571 1. 2. 3. 4. 5. 6. (PIN Mailer S/N: 7. 8. 9. 3
* * CE 4
SCHEDULE 1 ACCOUNT OPENING INFORMATION ACCOUNT PARTICULARS Account Opening Date Language of Communication Chinese English Securities Account(s Cash Securities Trading Account (Account No. ( (Please tick one box only Margin Securities Trading Account (Account No. ( ( Settlement Account No. (Hong Kong Dollar ( (Foreign Currency ( Account Name (English ( (Chinese ( HKID Card No./Passport No. / Date of Birth/Incorporation / C.I. No. Business Registration No. Nationality/Country of Incorporation / Email Address Residential/Registered Address / Correspondence Address Residential Phone No. Mobile Phone No./Pager / Office Phone No. Fax No. Emergency Phone No. Residential Office Mobile/Pager Others (please specify / ( Marital Status Single Married Divorced Others (please specify ( Employment Status Employed Self-employed Retired Others (please specify ( Name of Employer Office Address Occupation/Business Position Are you a licensed representative, relevant individual, responsible officer, director or an employee engaged in regulated activities of a person licensed by, or registered with, the SFC or HKMA? No Yes, please specify the registration/licence number and provide a letter of consent from your employer for the opening of securities account. / Phone-in Trading Service Password (Only if you wish to use Phone-in Trading Service ( Are you the person(s or entity ultimately responsible for originating the instructions? Are you the person(s or entity standing to gain the commercial/economic benefit of the transaction and/or bear the commercial/economic risk? / / / Yes Yes No No 5
If any of the above items are No, please provide the name, identification document number, occupation/business, address, telephone number, etc. of the person(s or entity concerned: / FINANCIAL SITUATION & INVESTMENT EXPERIENCE Monthly Income (HKD ( < $10,000 $10,000 - $29,999 $30,000 - $49,999 > $50,000 Assets Held Deposits Property Others: Type(s of Investment(s Local Shares Foreign Currencies Unit Trusts/Bonds / Others: Investment Experience Investment Objective Risk Bearing Level Year(s Short Term Low Year(s Medium Term Medium Year(s Long Term High Year(s SPECIMEN SIGNATURE(S AND/OR AUTHORIZED SIGNATURE(S / (To be completed only if specimen signature(s and/or the signing arrangements are different from those of the Settlement Account (Hong Kong Dollar ( Name HKID Card/Passport No. / Signature Specimen of Company Chop / Seal: Instruction: The account can be operated on the instructions of any of the above signatures (if more than one authorized signatures. For Official Use Only Introduced By: Bank & Credit Reference Obtained: Yes / No E-Signature No.: Status: S / SR / RS / N (Staff No. Remark: Br/Dept: Maker: S.V.: Checked: Approved: Input: Report: 6
SCHEDULE 2 ADDITIONAL INFORMATION FOR MARGIN TRADING (To be completed by Margin Securities Trading Account Customers only MARGIN FACILITIES LIMIT APPLIED (HKD ( Margin Securities Trading Account No. Account Name Residence Address Type of Residence Self-owned Mortgaged Rented Others (please specify ( Years of Living If mortgaged, outstanding amount Marital Status Single Married Divorced Others (please specify ( Education Level Primary Secondary Tertiary or above Others (please specify ( Employment Status Employed Self-employed Retired Others (please specify ( Name of Employer Years of Service FINANCIAL SITUATION Annual Income (HKD ( < $149,999 $150,000 - $299,999 > $300,000 : Source of Income Salary Commission Business Profit Rent Dividend/Interest Others / Assets Held Deposits Property Others: Total Net Worth (HKD < $100,000 $100,000 - $499,999 $500,000 - $999,999 ( $1,000,000 - $1,499,999 $1,500,000 - $1,999,999 > $2,000,000 : Major Banker & A/C No. Other Banker & A/C No. Existing Credit Facilities (HKD Credit Card Personal Loans Others: ( $ $ SPOUSE INFORMATION Name Contact Phone No. Occupation Monthly Income PERSONAL REFEREE INFORMATION Name Relationship Correspondence Address Contact Phone No. I/We confirm that the individual whose particulars appeared above has agreed to act as my/our personal referee in connection with this application and has authorized me/us to supply the above information to you and may be contacted accordingly. Notes to customer: The customer is requested to notify the Bank as early as possible of any change of address or telephone number. Notwithstanding any other provisions to the contrary in this Agreement, any communication from the Bank made, or attempted to be made by the leaving of a voice message on the customer s telephone recording system (whether or not the customer subsequently retrieves the telephone message, through the emergency phone number on record provided to the Bank shall be deemed to have been communicated to the customer. For Official Use Only H O I E M A T R Checked Approved Facility Limit Approved: Margin Interest Rate: % per annum Facility Expiry/Review: 7
SCHEDULE 3 ADDITIONAL INFORMATION FOR SECURITIES SAVINGS SCHEME (To be completed by Customers who wish to apply for the Securities Savings Scheme only I/We hereby instruct you to purchase the following Securities each month in accordance with the terms of Part 4 of the Terms and Conditions of this Agreement: Stock Code Name of Securities Investment Amount Per Month First Payment Month (Year/Mth (/ For Official Use Only Maker: Checker: Approved: Input: Report: 8
SCHEDULE 4 ADDITIONAL MANDATE FOR CORPORATE CUSTOMERS To: WING LUNG BANK LIMITED Hong Kong Certified copy of a Minutes of the Resolution of the Board Director of ( the Company passed on the day of At a meeting of the directors of the Company duly convened, constituted and held at of the Company on the day of, the following resolutions were passed: 1. That it was desirable for the Company to open a cash securities trading account and/or margin securities trading account* (the Securities Account with Wing Lung Bank Limited and it was resolved that the agreement in the form tabled (the Agreement and any other ancillary documents be approved, entered into and signed by for and on behalf of the Company and where necessary, the common seal of the Company be affixed thereto in accordance with the constitutional documents of the Company and that any transactions entered into by the Company pursuant to the Agreement be approved. 2. THAT it was further resolved that: such persons as are authorized to operate the Hong Kong Dollar Settlement Account (as specified in Schedule 1 to the Account Mandate contained in the Agreement shall be authorized to give instructions to Wing Lung Bank Limited in connection with the operation of the Securities Account and the use of the Facilities (as such term is defined in the Agreement, to withdraw or to deal with any securities or funds held in the Securities Account and to execute all related documents in connection with the Securities Account. any of / all of the person(s listed below be authorized to give instructions to Wing Lung Bank Limited in connection with the operation of the Securities Account and the use of the Facilities (as such term is defined in the Agreement, to withdraw or to deal with any securities or funds held in the Securities Account and to execute all related documents in connection with the Securities Account. The authorized person(s referred to above are as follows:- Name Signature (Please tick the appropriate box. This authorization shall remain in effect until notice in writing is received by Wing Lung Bank Limited altering it. 9
*3. That it was desirable for the Company to apply to Wing Lung Bank Limited for Electronic Trading Service / Phone-in Trading Service* (each a Facility, as such terms are defined in the Agreement and it was resolved that an application be made to Wing Lung Bank Limited for the provision of such Facilities. It was further resolved that the operation of the Securities Account (including the giving of instructions through the use of the Access Codes (as defined in the Agreement whether or not authorized by the Company shall be binding on the Company and that any requirement in any mandate given by the Company to the Bank for signatories shall be regarded as satisfied by the use of the Access Codes. It was further resolved that the Bank shall be authorized to release the Access Codes to any one of the following person(s: Name: Name: Name: Name: HKID/Passport No.: HKID/Passport No.: HKID/Passport No.: HKID/Passport No.: 4. (If credit facilities or margin facilities are provided by Wing Lung Bank Limited That any credit facilities granted by Wing Lung Bank Limited to the Company and any collateral charging arrangement referred to in the Agreement be approved. * * * I, the undersigned, hereby certify the foregoing to be a true copy of the extracts of the resolutions as entered in the Minute Book of the Company duly passed at a meeting of the directors of the Company in accordance with the Articles of Association of the Company duly constituted and held as aforesaid. Dated this day of. Chairman / Director * Delete if not applicable. Note: Alterations to the above resolutions (including deletion of inapplicable items or ticking of boxes should be initialed against by the Chairman / Director signing above. 10
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