Arrangements for the launch of the Over-the-counter Securities Transactions Reporting Regime

Reference is made to the circular issued by the Securities and Futures Commissions (“SFC”) dated 20 December 2022. The Over-the-counter Securities Transactions Reporting Regime (OTCR) will be launched on 25 September 2023.

Under the OTCR, BOCOM International Securities Limited (“we” or “BOCOM”) is required to report to the SFC (a) when BOCOM, whether as principal or agent, makes a transfer of shares in connection with a transaction not recorded by SEHK as an on-exchange order or required to be reported to SEHK as an off-exchange trade in respect of which stamp duty is chargeable in Hong Kong, except where (i)the transaction is granted stamp duty relief (whether in full or in part) from the Inland Revenue Department, or (ii) the transfer of shares is made in accordance with the terms of a structured product or a derivative, or for the conversion of a depository receipt into shares or vice versa; or (b)when there is a deposit to or withdrawal from the BOCOM, whether as principal or agent, of physical share certificates.

Thus, BOCOM is required to collect up-to-date client identification information (“Client Identification Data” or “CID”) from you and provide to the SFC such CID relating to you as the SFC may request from time to time. In case of any update to your identification information, please notify us and provide relevant supporting documents. For the waterfall of the identity documents, please refer to the news posted on our Company website on 30 March 2023.

Furthermore, as a gentle reminder, if individual / joint account client has not provided explicit consent to "Personal Information Collection Statement Concerning Trading of Securities Listed on the Stock Exchange of Hong Kong”, BOCOM will no longer be able to provide you with services in relation to transfers of shares or deposits of physical share certificates into the client’s account.

Should you have any questions, please contact your account manager or the Customer Service Hotline at (852) 3768-2888 during office hours.

BOCOM International Securities Limited