881 28 (a) (b) (c) (d) We undertake during the period in which our structured products are listed on the stock exchange to make available to you for inspection at the office of Daiwa Capital Markets Hong Kong Limited, which is presently at Level 28, One Pacific Place, 88 Queensway, Hong Kong (a) a copy of this document, the base listing document and the first addendum together with any other addendum or successor to the base listing document (both the English version and the Chinese translation) (b) a copy of the applicable supplemental listing document of any issue of structured products (both the English version and the Chinese translation) (c) a copy of our latest publicly available annual report and interim report or quarterly financial statements (if any)and (d) a copy of the consent letter of the auditors from our auditors referred to in this document, the base listing document and any addendum or successor to the base listing document (if any). 15A.13(2)15A.13(3)???? www.hk.daiwacm.com www.daiwa-grp.jp
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Hironori Oka 88128 Shiko Yanagisawa 6 Shenton Way #26-08, DBS Building Tower Two, Singapore 068809 Terence Patrick Mackey 88128 Hiroaki Kato 1-9-1, Marunouchi, Chiyoda-ku, Tokyo, 100-6751, Japan Shinji Shibuya 1-9-1, Marunouchi, Chiyoda-ku, Tokyo, 100-6751, Japan
2015 2015 2015 881282015 www.dcmw.com.hk/zh/
881 28 6 43 20 Hironori Oka Terence Patrick Mackey Shinji Shibuya Takashi Chiba John Gerard Williams Hiroaki Kato Shiko Yanagisawa Tetsuo Akuzawa 1
Hironori Oka 2
6 43 405 820 3
4
KPMG 10 8 5
3 $ 85,533,762 $ 104,127,697 4 53,100,164 49,781,408 5 (54,965,150) (59,096,194) 10 (10,218,046) (9,862,541) (87,715,316) (99,277,748) $ (14,264,586) $ (14,327,378) 6(a) (228,977) (3,807,420) 6 $ (14,493,563) $ (18,134,798) $ (149,040) $ 554,006 (68,855) (69,957) $ (217,895) $ 484,049 $ (14,711,458) $ (17,650,749) 1243 6
9 $ 383,731 $ 383,582 10 15,321,099 20,224,584 11 2,794,179 3,017,287 4,408,686 5,095,883 $ 22,907,695 $ 28,721,336 12 $ 50,907,800 $ 15,676,914 13 38,946,641 14,22 1,272,800,860 1,130,382,620 22 35,770,634 20,087,716 15 454,861,858 520,007,700 $ 1,814,341,152 $ 1,725,101,591 16 $ 50,727,432 $ 15,676,094 17 38,903,001 18,22 1,225,549,687 1,130,650,591 22 61,698,683 55,843,731 $ 1,337,975,802 $ 1,241,073,417 $ 476,365,350 $ 484,028,174 $ 499,273,045 $ 512,749,510 22 $ 3,573,675 $ 2,338,682 $ 495,699,370 $ 510,410,828 7
20 $ 697,860,644 $ 697,860,644 21(a) 12,008,165 12,008,165 21(b) 744,689 962,584 (214,914,128) (200,420,565) $ 495,699,370 $ 510,410,828 Hironori Oka Terence Patrick Mackey 1243 8
$ 557,860,644 $ 12,008,165 $ 478,535 $ (182,285,767) $ 388,061,577 20 $ 140,000,000 $ $ $ $ 140,000,000 $ $ $ $ (18,134,798) $ (18,134,798) 484,049 484,049 $ $ $ 484,049 $ (18,134,798) $ (17,650,749) $ 697,860,644 $ 12,008,165 $ 962,584 $ (200,420,565) $ 510,410,828 $ $ $ $ (14,493,563) $ (14,493,563) (217,895) (217,895) $ $ $ (217,895) $ (14,493,563) $ (14,711,458) $ 697,860,644 $ 12,008,165 $ 744,689 $ (214,914,128) $ 495,699,370 1243 9
$ (14,493,563) $ (18,134,798) 10,218,046 9,862,541 11,887 479,360 (479,360) (616,777) (52,273) (67,302) 424,770 (2,644,483) (2,189,966) 228,977 3,807,420 (1,226) (1,586) $ (6,307,865) $ (7,340,468) 687,197 (59,185) (35,230,886) 896,998 38,946,641 (7,604,185) (142,418,240) 357,135,650 (15,545,392) 4,931,465 35,051,338 (896,992) (38,903,001) 7,597,991 (2,898,865) 94,899,096 (357,897,116) 7,089,945 (20,721,984) $ (61,731,167) $ (26,856,691) 10
$ 2,506,957 $ 2,101,094 (5,755,087) (5,359,190) 3,869 2,901,358 58,563 73,489 $ (3,185,698) $ (283,249) $ $ 140,000,000 (140,000,000) (228,977) (4,621,132) $ (228,977) $ (4,621,132) $ (65,145,842) $ (31,761,072) 485,007,700 516,768,772 15 $ 419,861,858 $ 485,007,700 1243 11
1. 2. (a) 2(c) (b) 12
2. (b) (c) 10 1227 32 36 622 9 (d) 13
2. (d) 2(i) (e) 2(q) 14
2. (e) (f) (g) 2(i) 6 4 4 15
2. (h) 2(i) (i) (i) 16
2. (i) (ii) 17
2. (j) 2(i) 2(i) (k) (l) (m) (n) 18
2. (n) 19
2. (o) (p) (q) 20
2. (q) (r) (s) (1) (i) (ii) (iii) (2) (i) (ii) (iii) 21
2. (s) (2) (iv) (v) (vi) (1) (vii) (1)(i) (t) 3. $ 66,025,134 $ 81,579,814 16,935,776 18,410,850 2,572,852 4,137,033 $ 85,533,762 $ 104,127,697 22
4. $ 30,542 $ 22,823 8,692,869 8,187,358 36,118,911 32,760,256 2,644,483 2,189,966 2,753,620 2,951,183 2,602,061 1,584,934 (280,878) 303,871 616,777 52,273 67,302 269,125 420,409 217,158 676,529 $ 53,100,164 $ 49,781,408 5. $ 53,619,258 $ 57,493,374 1,345,892 1,602,820 $ 54,965,150 $ 59,096,194 23
6. (a) $ 4,848 $ 115 3,102,828 111,748 145,265 $ 116,596 $ 3,248,208 112,381 559,212 $ 228,977 $ 3,807,420 (b) $ 39,985,614 $ 50,503,957 2,277,064 4,235,366 14,695,563 14,881,858 538,523 410,747 11,887 479,360 424,770 858,893 7. 24
7. $ (14,493,563) $ (18,134,798) 16.5% $ (2,391,438) $ (2,992,242) 160,156 608,378 (411,846) (431,288) 2,643,128 2,807,694 7,458 $ $ 8. 383 2 $ 2,455,224 $ 2,684,921 25
9. $ 419,448 $ 383,578 $ 803,026 149 149 $ 419,448 $ 383,727 $ 803,175 419,444 419,444 $ 4 $ 383,727 $ 383,731 $ 419,448 $ 383,373 $ 802,821 205 205 $ 419,448 $ 383,578 $ 803,026 419,444 419,444 $ 4 $ 383,578 $ 383,582 26
10. $ 9,544,866 $ 46,831,950 $ 315,379 $ 56,692,195 250,406 5,504,681 5,755,087 (324,581) (139,510) (464,091) (5,195,465) (5,195,465) $ 9,795,272 $ 46,816,585 $ 175,869 $ 56,787,726 $ 3,451,471 $ 32,700,761 $ 315,379 $ 36,467,611 1,622,067 8,595,979 10,218,046 (308,825) (139,510) (448,335) (4,770,695) (4,770,695) $ 5,073,538 $ 36,217,220 $ 175,869 $ 41,466,627 $ 4,721,734 $ 10,599,365 $ $ 15,321,099 $ 9,252,194 $ 43,277,864 $ 315,379 $ 52,845,437 918,945 4,440,245 5,359,190 (626,273) (886,159) (1,512,432) $ 9,544,866 $ 46,831,950 $ 315,379 $ 56,692,195 $ 2,074,901 $ 25,247,862 $ 315,379 $ 27,638,142 1,524,440 8,338,101 9,862,541 (147,870) (885,202) (1,033,072) $ 3,451,471 $ 32,700,761 $ 315,379 $ 36,467,611 $ 6,093,395 $ 14,131,189 $ $ 20,224,584 27
11. $ 2,794,179 $ 3,017,287 12. $ 810 $ 820 23 50,906,990 15,676,094 $ 50,907,800 $ 15,676,914 173,943,506155,300,092 13. $ $ 38,946,641 45,916,106 142,215,187316,650,697 27(c) 28
14. 1,081,549 24(a) 15. $ 411,331,183 $ 459,019,250 43,530,675 60,988,450 $ 454,861,858 $ 520,007,700 (35,000,000) (35,000,000) $ 419,861,858 $ 485,007,700 36,386,739 46,355,104 16. 23 $ 50,727,432 $ 15,676,094 29
17. 18. 19. (a) (b) 338,859,624322,840,668 20. 10 10,000,000 $ 21,126,414 10,000,000 $ 21,126,414 10 67,673,423 $ 676,734,230 53,673,423 $ 536,734,230 14,000,000 140,000,000 67,673,423 $ 676,734,230 67,673,423 $ 676,734,230 77,673,423 $ 697,860,644 77,673,423 $ 697,860,644 30
20. 14,000,00010 14,000,000 495,699,370 510,410,828 10,000,000 3,000,000 2,000,000,000 31
21. (a) (b) 2(d) 22. $ 519,074,555 $ 513,933,996 19,473,901 5,519,093 (694,176,728) (608,829,628) (4,625,514) (1,185,736) 23. $ 50,698,181 $ 50,698,181 $ 15,676,094 $ 15,676,094 208,809 29,251 50,906,990 50,727,432 15,676,094 15,676,094 32
24. (a) 33
24. (b) $ $ $ $ $ 38,903,001 $ 38,903,001 $ 38,903,001 $ 1,225,549,687 1,225,549,687 1,225,549,687 1,130,650,591 1,130,650,591 1,130,650,591 65,272,358 65,272,358 61,698,683 3,573,675 58,182,413 58,182,413 55,843,731 2,338,682 $ 1,290,822,045 $ 1,290,822,045 $ 1,287,248,370 $ 3,573,675 $ 1,227,736,005 $ 1,227,736,005 $ 1,225,397,323 $ 2,338,682 34
24. (c) 0.60% $ 411,331,183 0.45% $ 459,019,250 0.81% 38,946,641 0.38% (38,903,001) $ 411,331,183 $ 459,062,890 0.2% 0.2% 822,000 918,000 35
24. (d) $ 41,908,167 $ 10,042,887 34,786,486 45,726,770 $ 33,286,178 $ (74,893,900) $ 9,716,192 $ (19,432,384) $ (34,013,814) $ (45,014,752) $ 981,297 $ (1,015,936) (e) 50,698,18115,676,094 23 50,698,18115,676,09423 36
24. (f) 13 $ 2,794,179 $ $ 2,794,179 $ 50,907,800 208,809 50,698,991 $ 53,701,979 $ 208,809 $ 53,493,170 $ $ (50,727,432) $ (16,724) $ (50,710,708) $ 37
24. (f) $ 3,017,287 $ $ 3,017,287 $ 15,676,914 820 15,676,094 $ 18,694,201 $ 820 $ 18,693,381 $ $ (15,676,094) $ $ (15,676,094) $ 38
24. (f) (g) $ 105,481,518 $ (86,796,983) $ 18,684,535 $ (7,139,486) $ (3,540,160) $ 8,004,889 $ 49,857,266 $ (47,241,728) $ 2,615,538 $ $ (2,615,538) $ $ 97,476,629 $ (86,796,983) $ 10,679,646 $ (7,139,486) $ (3,540,160) $ $ 82,743,617 $ (47,241,728) $ 35,501,889 $ $ (2,615,538) $ 32,886,351 39
24. (g) $ 18,684,535 $ 2,615,538 1,254,116,325 1,127,767,082 $ 1,272,800,860 $ 1,130,382,620 $ 10,679,646 $ 35,501,889 1,214,870,041 1,095,148,702 $ 1,225,549,687 $ 1,130,650,591 40
25. $ 6,778,743 $ 4,539,766 7,308,635 3,018,385 2,753,620 2,951,183 8,691,859 8,187,358 36,118,911 33,180,665 (24,035,767) (31,508,224) (111,748) (145,265) (3,102,828) 26. 278,691,000 288,378,000 539,292,0001,011,621,000 195,811,000195,736,000 499,292,000971,619,000 38,864,000 41
27. (a) $ 617,403 $ 642,078 1,782,498 1,599,944 $ 2,399,901 $ 2,242,022 $ 1,808,392 $ 1,807,690 6,634,120 8,439,234 $ 8,442,512 $ 10,246,924 $ 10,842,413 $ 12,488,946 (b) $ 14,121,561 $ 13,095,940 34,476,000 44,540,430 $ 48,597,561 $ 57,636,370 (c) $ 142,215,187 $ 316,650,697 42
28. Daiwa Capital Markets Asia Holding, B.V. Daiwa Securities Group Inc.Daiwa Securities Group Inc. 29. 15 9 43
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