Common use of Undertakings by Intermediary Clause in Contracts

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 Client confirms that it is a Specified Intermediary; 21.19.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKB’s intermediary to carry out for SHKB the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB in writing, Client shall carry out all the aforesaid CDD measures for SHKB; 21.19.3 Client shall on request provide to SHKB a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB without delay; 21.19.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB to Client from time to time, provide to SHKB a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB as soon as reasonably practicable after receiving the request; 21.19.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB to Client from time to time, provide to SHKB a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB as soon as reasonably practicable after receiving the request; 21.19.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 If Client is about to cease trading or does not wish to continue to act as SHKB’s intermediary to carry out the aforesaid CDD measure(s) for SHKB, Client shall give SHKB 60 days’ written notice in advance and shall provide to SHKB all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 without delay; 21.19.8 If SHKB terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB in respect of any client(s) of Client, Client shall immediately provide to SHKB all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 and in respect of such client(s); 21.19.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.19. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 In this Clause 21.19, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 21.16.1 Client confirms that it is a Specified Intermediary; 21.19.2 21.16.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBSHKOS’s intermediary to carry out for SHKB SHKOS the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB SHKOS in writing, Client shall carry out all the aforesaid CDD measures for SHKBSHKOS; 21.19.3 21.16.3 Client shall on request provide to SHKB SHKOS a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKOS without delay; 21.19.4 21.16.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB SHKOS within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB SHKOS to Client from time to time, provide to SHKB SHKOS a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKOS as soon as reasonably practicable after receiving the request; 21.19.5 21.16.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB SHKOS (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB SHKOS to Client from time to time, provide to SHKB SHKOS a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKOS as soon as reasonably practicable after receiving the request; 21.19.6 21.16.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB SHKOS to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 21.16.7 If Client is about to cease trading or does not wish to continue to act as SHKBSHKOS’s intermediary to carry out the aforesaid CDD measure(s) for SHKBSHKOS, Client shall give SHKB SHKOS 60 days’ written notice in advance and shall provide to SHKB SHKOS all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 without delay; 21.19.8 21.16.8 If SHKB SHKOS terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB SHKOS in respect of any client(s) of Client, Client shall immediately provide to SHKB SHKOS all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 and in respect of such client(s); 21.19.9 21.16.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKOS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 21.16.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKOS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKOS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1921.16. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB SHKOS (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB SHKOS stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 21.16.11 In this Clause 21.1921.16, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 20.19.1 Client confirms that it is a Specified Intermediary; 21.19.2 20.19.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBSHKCOM’s intermediary to carry out for SHKB SHKCOM the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB SHKCOM in writing, Client shall carry out all the aforesaid CDD measures for SHKBSHKCOM; 21.19.3 20.19.3 Client shall on request provide to SHKB SHKCOM a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM without delay; 21.19.4 20.19.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB SHKCOM within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB SHKCOM to Client from time to time, provide to SHKB SHKCOM a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM as soon as reasonably practicable after receiving the request; 21.19.5 20.19.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB SHKCOM (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB SHKCOM to Client from time to time, provide to SHKB SHKCOM a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM as soon as reasonably practicable after receiving the request; 21.19.6 20.19.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB SHKCOM to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 20.19.7 If Client is about to cease trading or does not wish to continue to act as SHKBSHKCOM’s intermediary to carry out the aforesaid CDD measure(s) for SHKBSHKCOM, Client shall give SHKB SHKCOM 60 days’ written notice in advance and shall provide to SHKB SHKCOM all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 without delay; 21.19.8 20.19.8 If SHKB SHKCOM terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB SHKCOM in respect of any client(s) of Client, Client shall immediately provide to SHKB SHKCOM all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 and in respect of such client(s); 21.19.9 20.19.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 20.19.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1920.19. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB SHKCOM (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB SHKCOM stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 20.19.1 In this Clause 21.1920.19, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 16.21.1 Client confirms that it is a Specified Intermediary; 21.19.2 16.21.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBSHKFX’s intermediary to carry out for SHKB SHKFX the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB SHKFX in writing, Client shall carry out all the aforesaid CDD measures for SHKBSHKFX; 21.19.3 16.21.3 Client shall on request provide to SHKB SHKFX a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKFX without delay; 21.19.4 16.21.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB SHKFX within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB SHKFX to Client from time to time, provide to SHKB SHKFX a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKFX as soon as reasonably practicable after receiving the request; 21.19.5 16.21.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB SHKFX (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB SHKFX to Client from time to time, provide to SHKB SHKFX a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKFX as soon as reasonably practicable after receiving the request; 21.19.6 16.21.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 16.21 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB SHKFX to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 16.21.7 If Client is about to cease trading or does not wish to continue to act as SHKBSHKFX’s intermediary to carry out the aforesaid CDD measure(s) for SHKBSHKFX, Client shall give SHKB SHKFX 60 days’ written notice in advance and shall provide to SHKB SHKFX all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 16.21 without delay; 21.19.8 16.21.8 If SHKB SHKFX terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB SHKFX in respect of any client(s) of Client, Client shall immediately provide to SHKB SHKFX all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 16.21 and in respect of such client(s); 21.19.9 16.21.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKFX and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 16.21 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 16.21.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKFX and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 16.21 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKFX and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 16.21 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1916.21. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB SHKFX (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB SHKFX stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 16.21.11 In this Clause 21.1916.21, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 21.16.1 Client confirms that it is a Specified Intermediary; 21.19.2 21.16.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBSHKIS’s intermediary to carry out for SHKB SHKIS the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB SHKIS in writing, Client shall carry out all the aforesaid CDD measures for SHKBSHKIS; 21.19.3 21.16.3 Client shall on request provide to SHKB SHKIS a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKIS without delay; 21.19.4 21.16.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB SHKIS within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB SHKIS to Client from time to time, provide to SHKB SHKIS a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKIS as soon as reasonably practicable after receiving the request; 21.19.5 21.16.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB SHKIS (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB SHKIS to Client from time to time, provide to SHKB SHKIS a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKIS as soon as reasonably practicable after receiving the request; 21.19.6 21.16.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB SHKIS to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 21.16.7 If Client is about to cease trading or does not wish to continue to act as SHKBSHKIS’s intermediary to carry out the aforesaid CDD measure(s) for SHKBSHKIS, Client shall give SHKB SHKIS 60 days’ written notice in advance and shall provide to SHKB SHKIS all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 without delay; 21.19.8 21.16.8 If SHKB SHKIS terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB SHKIS in respect of any client(s) of Client, Client shall immediately provide to SHKB SHKIS all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 21.16 and in respect of such client(s); 21.19.9 21.16.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKIS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 21.16.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKIS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKIS and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 21.16 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1921.16. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB SHKIS (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB SHKIS stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 21.16.11 In this Clause 21.1921.16, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. 中介人承諾 22.1. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Counter -Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 (a) Client confirms that it is a Specified Intermediary; 21.19.2 (b) In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBWAN LUNG’s intermediary to carry out for SHKB the customer due diligence (“"CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“"AMLO”") and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB WAN LUNG in writing, Client shall carry out all the aforesaid CDD measures for SHKBWAN LUNG; 21.19.3 (c) Client shall on request provide to SHKB WAN LUNG a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG without delay; 21.19.4 In (d) ln relation to each transaction it carries out for the Account, Client shall, if requested by SHKB WAN LUNG within a period of 6 six (6) years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB WAN LUNG to Client from time to time, provide to SHKB WAN LUNG a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG as soon as reasonably reasonable practicable after receiving the request; 21.19.5 In (e) ln relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB Wan LUNG (i) during the continuance of the Business Relationship with the client or within a period of 6 six (6) years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB WAN LUNG to Client from time to time, provide to SHKB WAN LUNG a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG as soon as reasonably practicable after receiving the request; 21.19.6 In (f) ln relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 six (6) years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB WAN LUNG to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 (g) If Client is about to cease trading or does not wish to continue to act as SHKBWAN LUNG’s intermediary to carry out the aforesaid CDD measure(s) for SHKBWAN LUNG, Client shall give SHKB 60 WANG LUNG sixty (60) days’ written notice in advance and shall provide to SHKB WAN LUNG all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 without delay; 21.19.8 (h) If SHKB WAN LUNG terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) ), for SHKB WAN LUNG in respect of any client(s) of Client, Client shall immediately provide to SHKB WAN LUNG all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 and in respect of such client(s);): 21.19.9 (i) If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 (j) To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1922. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB WAN LUNG (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB WAN LUNG stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 (k) In this Clause 21.1922, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.. 若客戶是《打擊洗錢及恐佈份子資金籌集（金融機構）條例》附表 2 第 2 部第 4 分部下第 18（3）條（第 18（3）（b）條除外）所指明的中介人（「指明中介人」）並代表其㇐位或多位客戶（不論以全權或非全權委託為基準）或為與其㇐位或多位客戶的㇐項或多項交易而運作及管理帳戶，客戶承諾以下條款︰ (a) 中介人客戶確認其為指明中介人； (b) 就中介人的每㇐位客戶(帳戶乃代表該(等)客戶或為與其(等)的㇐項或多項交易而運作及管理的)，中介人同意擔任萬隆的中介人代萬隆執行《打擊洗錢及恐佈份子資金籌集（金融機構）條例》（「反洗黑錢條例」）以及證監會不時發佈的適用監管要求所述的客戶盡職審查措施。並且，除非萬隆另以書面同意，中介人將代萬隆執行所有前述的客戶盡職審查措施； (c) 中介人將應要求沒有延誤地向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (d) 就每㇐項為帳戶執行的交易，若萬隆於該交易完成的日期起計的 6 年期間（不論任何有關業務關係(定義見反洗黑錢條例附表 2 第 1 部第 1（1）條)是否在該段期間內終止）或不時由證監會所規定並萬隆已通知中介人的更⾧期間內提出要求，則中介人須在接獲該要求後，在合理地切實可行的最快時間內，盡快向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (e) 就中介人的每㇐位客戶（帳戶乃代表該（等）客戶或為與其（等）的㇐項或多項交易而運作及管理的），若萬隆於 (i) 與該客戶的業務關係繼續期間內或在自有關業務關係終止的日期起計的 6 年期間內或（ii）不時由證監會所規定並萬隆已通知中介人的更⾧期間內提出要求，則中介人須在接獲該要求後，在合理地切實可行的最快時間內，盡快向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (f) 就每㇐項為帳戶執行的交易或就中介人的每㇐位客戶（帳戶乃代表該（等）客戶或為與其(等)的㇐項或多項交易而運作及管理的），中介人應於仍與任何有關客戶的業務關係存續期間（不論任何其他有關客戶的業務關係已終止亦然）及在自有關業務關係或最後 ㇐個有關業務關係（若多於㇐名客戶）終止的日期起計的 6 年期間內備存本第 22 條款以上段落所提及的所有文件、紀錄、數據及資料。若證監會規定㇐段更⾧期間，即所有該等文件，紀錄、數據及資料須於該不時由萬隆通知中介人的更⾧時間內被中介人備存。同時，中介人必須按反洗黑錢條例備存所有該等文件、紀錄、數據及資料； (g) 中介人將結業或不欲繼續作萬隆的中介人為萬隆執行上述的客戶盡職審查措施，中介人須事先給予萬隆 60 天書面通知，並且沒有延誤地向萬隆提供本第 22 條款以上段落所提及的所有文件、紀錄、數據及資料； (h) 若萬隆終止委任中介人客戶作其中介人就任何中介人的㇐個或多個客戶代萬隆執行上述客戶盡職審查措施，中介人須立即向萬隆提供於本第 22 條款以上段落所提及並有關該（等）客戶的所有文件、紀錄、數據及資料； (i) 若除了反洗黑錢條例所規定或由證監會所發出的監管要求外，還有任何其他法律或監管的要求提及關於中介人代萬隆執行上述客戶盡職審查措施及／或本第 22 條款以上段落所提及的任何文件、紀錄、數據及／或資料及／或其（等）的備存，中介人亦須遵守該法律或監管要求； (j) 若反洗黑錢條例中或證監會不時發出的監管要求中的任何條文（該等條文乃關於中介人代萬隆執行上述的客戶盡職審查措施及／或本第 22 條款以上段落所提及的任何文件、紀錄、數據及／或資料及／或備存任何該等文件、紀錄、數據及／或資料）未有明文收納於本協議，則該等條文以提述方式收納於本協議內。反洗黑錢條例中或證監會不時發出的監管要求的條文（該等條文乃關於中介人代萬隆執行上述的客戶盡職審查措施及／或本第 22 條款以上段落所提及的任何文件、紀錄、數據及／或資料及/或備存任何該等文件、紀錄、數據及／或資料）將凌駕本第 22 條款的條文。儘管本協議或任何其他文件有任何規定，中介人須遵守關於代萬隆執行上述客戶盡職審查措施的所有法律及監管要求（及其等不時的修訂本）（包括但不限於相關的備存紀錄的要求），但前述並沒有以任何方式影響反洗黑錢條例附表 2 第 2 部第 4 分部下第 18（2）條所述的任何萬隆的責任；及 (k) 於本第 22 條款，（i）凡未有詮釋之文字，應具有按反洗黑錢條例或證監會不時發出的適用監管要求中的定義，除非文意另有所指；及（ii）證監會不時發出的監管要求包括（但不限於）打擊洗錢及恐佈分子資金籌集指引中的要求。

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 19.4.1 Client confirms that it is a Specified Intermediary; 21.19.2 19.4.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBCES Capital (HK)’s intermediary to carry out for SHKB CES Capital (HK) the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB CES Capital (HK) in writing, Client shall carry out all the aforesaid CDD measures for SHKBCES Capital (HK); 21.19.3 19.4.3 Client shall on request provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) without delay; 21.19.4 19.4.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB CES Capital (HK) within a period of 6 six(6) years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB CES Capital (HK) to Client from time to time, provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) as soon as reasonably practicable after receiving the request; 21.19.5 19.4.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB CES Capital (HK) (i) during the continuance of the Business Relationship with the client or within a period of 6 six(6) years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB CES Capital (HK) to Client from time to time, provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) as soon as reasonably practicable after receiving the request; 21.19.6 19.4.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 six(6) years beginning on the date on which the relevant Business Relationship or the last relevant Business business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB CES Capital (HK) to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 19.4.7 If Client is about to cease trading or does not wish to continue to act as SHKBCES Capital (HK)’s intermediary to carry out the aforesaid CDD measure(s) for SHKBCES Capital (HK), Client shall give SHKB 60 CES Capital (HK) sixty(60) days’ written notice in advance and shall provide to SHKB CES Capital (HK) all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 without delay; 21.19.8 19.4.8 If SHKB CES Capital (HK) terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB CES Capital (HK) in respect of any client(s) of Client, Client shall immediately provide to SHKB CES Capital (HK) all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 and in respect of such client(s); 21.19.9 19.4.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 19.4.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.19. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 In this Clause 21.19, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.Clause

Undertakings by Intermediary. 中介人承諾 22.1. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Counter -Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 (a) Client confirms that it is a Specified Intermediary; 21.19.2 ; (b) In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBWAN LUNG’s intermediary to carry out for SHKB the customer due diligence (“"CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“"AMLO”") and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB WAN LUNG in writing, Client shall carry out all the aforesaid CDD measures for SHKB; 21.19.3 WAN LUNG; (c) Client shall on request provide to SHKB WAN LUNG a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG without delay; 21.19.4 In ; (d) ln relation to each transaction it carries out for the Account, Client shall, if requested by SHKB WAN LUNG within a period of 6 six (6) years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB WAN LUNG to Client from time to time, provide to SHKB WAN LUNG a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG as soon as reasonably reasonable practicable after receiving the request; 21.19.5 In ; (e) ln relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB Wan LUNG (i) during the continuance of the Business Relationship with the client or within a period of 6 six (6) years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB WAN LUNG to Client from time to time, provide to SHKB WAN LUNG a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB WAN LUNG as soon as reasonably practicable after receiving the request; 21.19.6 In ; (f) ln relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 six (6) years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB WAN LUNG to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 ; (g) If Client is about to cease trading or does not wish to continue to act as SHKBWAN LUNG’s intermediary to carry out the aforesaid CDD measure(s) for SHKBWAN LUNG, Client shall give SHKB 60 WANG LUNG sixty (60) days’ written notice in advance and shall provide to SHKB WAN LUNG all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 without delay; 21.19.8 ; (h) If SHKB WAN LUNG terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) ), for SHKB WAN LUNG in respect of any client(s) of Client, Client shall immediately provide to SHKB WAN LUNG all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 22 and in respect of such client(s); 21.19.9 ): (i) If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 ; (j) To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB WAN LUNG and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 22 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1922. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB WAN LUNG (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB WAN LUNG stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 and (k) In this Clause 21.1922, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.. 若客戶是《打擊洗錢及恐佈份子資金籌集（金融機構）條例》附表 2 第 2 部第 4 分部下第 18（3）條（第 18（3）（b）條除外）所指明的中介人（「指明中介人」）並代表其一位或多位客戶（不論以全權或非全權委託為基準）或為與其一位或多位客戶的一項或多項交易而運作及管理帳戶，客戶承諾以下條款︰ (a) 中介人客戶確認其為指明中介人； (b) 就中介人的每一位客戶(帳戶乃代表該(等)客戶或為與其(等)的一項或多項交易而運作及管理的)，中介人同意擔任萬隆的中介人代萬隆執行《打擊洗錢及恐佈份子資金籌集（金融機構）條例》（「反洗黑錢條例」）以及證監會不時發佈的適用監管要求所述的客戶盡職審查措施。並且，除非萬隆另以書面同意，中介人將代萬隆執行所有前述的客戶盡職審查措施； (c) 中介人將應要求沒有延誤地向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (d) 就每一項為帳戶執行的交易，若萬隆於該交易完成的日期起計的 6 年期間（不論任何有關業務關係(定義見反洗黑錢條例附表 2 第1 部第 1（1）條)是否在該段期間內終止）或不時由證監會所規定並萬隆已通知中介人的更長期間內提出要求，則中介人須在接獲該要求後，在合理地切實可行的最快時間內，盡快向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (e) 就中介人的每一位客戶（帳戶乃代表該（等）客戶或為與其（等）的一項或多項交易而運作及管理的），若萬隆於(i)與該客戶的業務關係繼續期間內或在自有關業務關係終止的日期起計的 6 年期間內或（ii）不時由證監會所規定並萬隆已通知中介人的更長期間內提出要求，則中介人須在接獲該要求後，在合理地切實可行的最快時間內，盡快向萬隆提供中介人在代萬隆執行上述客戶盡職審查措施時取得的任何文件的複本或取得的任何數據或資料的紀錄； (f) 就每一項為帳戶執行的交易或就中介人的每一位客戶（帳戶乃代表該（等）客戶或為與其(等)的一項或多項交易而運作及管理的）， 中介人應於仍與任何有關客戶的業務關係存續期間（不論任何其他有關客戶的業務關係已終止亦然）及在自有關業務關係或最後一個有關業務關係（若多於一名客戶）終止的日期起計的 6 年期間內備存本第 22 條款以上段落所提及的所有文件、紀錄、數據及 資料。若證監會規定一段更長期間，即所有該等文件，紀錄、數據及資料須於該不時由萬隆通知中介人的更長時間內被中介人備 存。同時，中介人必須按反洗黑錢條例備存所有該等文件、紀錄、數據及資料； (g) 中介人將結業或不欲繼續作萬隆的中介人為萬隆執行上述的客戶盡職審查措施，中介人須事先給予萬隆 60 天書面通知，並且沒有延誤地向萬隆提供本第 22 條款以上段落所提及的所有文件、紀錄、數據及資料；

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 20.19.1 Client confirms that it is a Specified Intermediary; 21.19.2 20.19.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBSHKCOM’s intermediary to carry out for SHKB SHKCOM the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB SHKCOM in writing, Client shall carry out all the aforesaid CDD measures for SHKBSHKCOM; 21.19.3 20.19.3 Client shall on request provide to SHKB SHKCOM a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM without delay; 21.19.4 20.19.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB SHKCOM within a period of 6 years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB SHKCOM to Client from time to time, provide to SHKB SHKCOM a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM as soon as reasonably practicable after receiving the request; 21.19.5 20.19.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB SHKCOM (i) during the continuance of the Business Relationship with the client or within a period of 6 years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB SHKCOM to Client from time to time, provide to SHKB SHKCOM a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB SHKCOM as soon as reasonably practicable after receiving the request; 21.19.6 20.19.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 years beginning on the date on which the relevant Business Relationship or the last relevant Business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB SHKCOM to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 20.19.7 If Client is about to cease trading or does not wish to continue to act as SHKBSHKCOM’s intermediary to carry out the aforesaid CDD measure(s) for SHKBSHKCOM, Client shall give SHKB SHKCOM 60 days’ written notice in advance and shall provide to SHKB SHKCOM all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 without delay; 21.19.8 20.19.8 If SHKB SHKCOM terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB SHKCOM in respect of any client(s) of Client, Client shall immediately provide to SHKB SHKCOM all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 20.19 and in respect of such client(s); 21.19.9 20.19.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 20.19.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB SHKCOM and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 20.19 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1920.19. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB SHKCOM (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB SHKCOM stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 20.19.11 In this Clause 21.1920.19, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.

Undertakings by Intermediary. If Client is an intermediary specified in section 18(3) (excluding section 18(3)(b)) under Part 2, Division 4 of Schedule 2 of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“Specified Intermediary”) and operates and manages the Account for its own client(s) (whether on a discretionary or non-non- discretionary basis) or otherwise for the transaction(s) with its own client(s), Client agrees to the following terms: 21.19.1 19.4.1 Client confirms that it is a Specified Intermediary; 21.19.2 19.4.2 In respect of each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed, Client consents to be SHKBCES Capital (HK)’s intermediary to carry out for SHKB CES Capital (HK) the customer due diligence (“CDD”) measure(s) as stated in the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (“AMLO”) and applicable regulatory requirements issued by the SFC from time to time and unless otherwise agreed by SHKB CES Capital (HK) in writing, Client shall carry out all the aforesaid CDD measures for SHKBCES Capital (HK); 21.19.3 19.4.3 Client shall on request provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) without delay; 21.19.4 19.4.4 In relation to each transaction it carries out for the Account, Client shall, if requested by SHKB CES Capital (HK) within a period of 6 six(6) years (beginning on the date on which the transaction is completed, regardless of whether any relevant Business Relationship (defined in section 1(1) under Part 1 of Schedule 2 of the AMLO) ends during that period) or such longer period of time as imposed by the SFC and notified by SHKB CES Capital (HK) to Client from time to time, provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) as soon as reasonably practicable after receiving the request; 21.19.5 19.4.5 In relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall, if requested by SHKB CES Capital (HK) (i) during the continuance of the Business Relationship with the client or within a period of 6 six(6) years beginning on the date on which the relevant Business Relationship ends; or (ii) within such longer period of time as imposed by the SFC and notified by SHKB CES Capital (HK) to Client from time to time, provide to SHKB CES Capital (HK) a copy of any document, or a record of any data or information, obtained by Client in the course of carrying out the aforesaid CDD measure(s) for SHKB CES Capital (HK) as soon as reasonably practicable after receiving the request; 21.19.6 19.4.6 In relation to each transaction it carries out for the Account or in relation to each of its own client(s) for whom or for whose transaction(s) the Account is operated and managed by Client, Client shall keep all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 for so long as the Business Relationship(s) with any relevant client(s) remain(s) subsisting (regardless of whether the Business Relationship(s) with any other relevant client(s) has/have already ended) and for a period of 6 six(6) years beginning on the date on which the relevant Business Relationship or the last relevant Business business Relationship (if more than one client) ends. If a longer period of time is imposed by the SFC, all such documents, records, data and information shall be kept by Client for such longer period of time as notified by SHKB CES Capital (HK) to Client from time to time and Client must keep all such documents, records, data and information in accordance with the AMLO; 21.19.7 19.4.7 If Client is about to cease trading or does not wish to continue to act as SHKBCES Capital (HK)’s intermediary to carry out the aforesaid CDD measure(s) for SHKBCES Capital (HK), Client shall give SHKB 60 CES Capital (HK) sixty(60) days’ written notice in advance and shall provide to SHKB CES Capital (HK) all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 without delay; 21.19.8 19.4.8 If SHKB CES Capital (HK) terminates its appointment of Client as its intermediary to carry out the aforesaid CDD measures(s) for SHKB CES Capital (HK) in respect of any client(s) of Client, Client shall immediately provide to SHKB CES Capital (HK) all the documents, records, data and information referred to in the above paragraphs of this Clause 21.19 19.4 and in respect of such client(s); 21.19.9 19.4.9 If there is any legal or regulatory requirement (other than those stated in the AMLO or issued by the SFC) in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of the same, Client shall also comply with such legal or regulatory requirement; 21.19.10 19.4.10 To the extent that any provisions of the AMLO, or of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of any such documents, records, data and/or information are not expressly incorporated in this Agreement, the same shall be incorporated by reference in this Agreement. The provisions of the AMLO, and of the regulatory requirements issued by the SFC from to time to time, in respect of the aforesaid CDD measure(s) carried out by Client for SHKB CES Capital (HK) and/or any documents, records, data and/or information referred to in the above paragraphs of this Clause 21.19 19.4 and/or the keeping of any such documents, records, data and/or information shall prevail over the provisions of this Clause 21.1919.4. Notwithstanding anything in this Agreement or any other document, Client shall comply with all legal and regulatory requirements (as amended from time to time) in respect of the aforesaid CDD measure(s) carried out for SHKB CES Capital (HK) (including, without limitation, the relevant record-keeping requirements); however, nothing in the foregoing shall, in any way, affect any obligation of SHKB CES Capital (HK) stated in section 18(2) under Part 2, Division 4 of Schedule 2 of the AMLO; and 21.19.11 19.4.11 In this Clause 21.1919.4, (i) words not defined shall have the meanings ascribed to them in the AMLO or applicable regulatory requirements issued by the SFC from time to time unless the context requires otherwise; and (ii) regulatory requirements issued by the SFC from time to time include, without limitation, the requirements contained in the Guideline on Anti-Money Laundering and Counter-Terrorist Financing.