Common use of Eligible Investors Clause in Contracts

Eligible Investors. 4.1 As Northbound trading is available only to Hong Kong and overseas investors, the Client makes the representations set out in Clause 4.2 below. 4.2 The Client represents and undertakes on a continuing basis, including without limitation on the first date that this Schedule is effective and on each date that the Client places an order or gives an instruction in respect of China Connect Securities under this Schedule, that: 4.2.1 (where the Client is an individual) he is not a PRC citizen, resident or domiciled in the PRC and his authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities are not PRC citizens resident or domiciled in the PRC; 4.2.2 (where the Client is a body corporate) it is not a legal entity incorporated or registered in the PRC; 4.2.3 (where the Client is a personal investment company) it is not a legal entity incorporated or registered in the PRC and its authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities and beneficial owners are not PRC citizens, resident or domiciled in the PRC; 4.2.4 (where the Client is a corporate trustee) it is not a legal entity incorporated or registered in the PRC and its authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities and the settlor of the underlying trust are not PRC citizens, resident or domiciled in the PRC; and 4.2.5 the Client will trade ChiNext Shares only when the Client is, and in the case where the Client is an intermediary (including, but not limited to, a fund manager, asset manager, broker or order placer) trading for or on behalf of an underlying client or clients, each such underlying client is, an Eligible ChiNext Investor.

Eligible Investors. 4.1 3A.1 As Northbound trading is available only to Hong Kong and overseas investors, the Client Customer makes the representations set out in Clause 4.2 3A.2 below. 4.2 3A.2 The Client Customer represents and undertakes on a continuing basis, including without limitation on the first date that this Schedule is effective and on each date that the Client Customer places an order or gives an instruction in respect of China Connect Securities under this Schedule, that: 4.2.1 3A.2.1 (where the Client Customer is an individual) he is not a PRC citizen, resident or domiciled in the PRC and his authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities are not PRC citizens resident or domiciled in the PRC; 4.2.2 3A.2.2 (where the Client Customer is a body corporate) it is not a legal entity incorporated or registered in the PRC; 4.2.3 3A.2.3 (where the Client Customer is a personal investment company) it is not a legal entity incorporated or registered in the PRC and its authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities and beneficial owners are not PRC citizens, resident or domiciled in the PRC; 4.2.4 3A.2.4 (where the Client Customer is a corporate trustee) it is not a legal entity incorporated or registered in the PRC and its authorized persons and/or agents with authority to give Northbound trading instructions with respect to China Connect Securities and the settlor of the underlying trust are not PRC citizens, resident or domiciled in the PRC; and 4.2.5 3A.2.5 the Client Customer will trade ChiNext Shares only when the Client Customer is, and in the case where the Client Customer is an intermediary (including, but not limited to, a fund manager, asset manager, broker or order placer) trading for or on behalf of an underlying client or clients, each such underlying client is, an Eligible ChiNext Investor.