FAQ - CMB International Capital Corporation Limited

1.Fund In

***In accordance to the Guideline on Anti-Money Laundering and Counter Terrorist Financing issued by Securities and Futures Commission, our company does not accept cash or third party deposit (including but not limited to transfers, remittances and cheque deposit and etc.).

(If cash or third-party deposit is being identified, fund will be returned to the depositor/originated bank account. Bank charges, if any, may be deducted fromthe returned fund.)

1.Ways to Deposit：

Method 1: Through Bank Counters（Transfers and cheque deposits）

Clients can visit bank counters and deposit fund to the designated bank accountsof CMBI. Clients must provide certificates of deposit, including the deposit receipt and the cheque voucher/image of the front of the cheque, etc. (the image must clearly show the client's name) to prove that the depositor is the account holder. If clients transfer money to our bank account, please provide a transfer voucher (which clearly shows the amount transferred from the client's own bank account).

Method 2: Internet Transfer

Clients can transfer funds via internet transfer services offered by different banks to the designated bank accounts of CMBI.

Clients must notify our company by the following means after depositing funds:

Write down your name and futures account number on the deposit slip or transfer slip and send an e-mail to

deposit@cmbi.com.hk/settlement@cmbi.com.hk

CMBI can only update client’s account balance when the above instruction is verified. The above deposit notification methods are only applicable to deposits made from client’s personal bank account.

If the client cannot prove that the depositor is the account holder, CMBI reserves the right to return the funds, and the client shall bear all bank charges and related risks, including but not limited to forced closed-out caused by failing to deposit in time to settle margin obligations.

2.Designated Bank Accounts of CMBI(for stock options accounts)

1. HKD Accounts：

Standard Chartered Bank (Hong Kong) Limited

Account Name: CMB INTL S L - C A

Account Number: 44719162796

SWIFT CODE: SCBLHKHHXXX

2.Fund Out

***In accordance to the Guideline on Anti-Money Laundering and Counter Terrorist Financing issued by Securities and Futures Commission, our company does not accept cash or third party withdrawal (including but not limited to transfers, remittances andcheque withdrawal and etc.).***

Ways to Withdraw as follows(Clients can withdraw funds from futures account through the following methods):

Method 1: Phone Confirmation

Clients can directly call our company at 3761-8888 to request fund out to the linked bank account.

Method 2: Email the signed Fund Withdrawal Instruction Form

Email the filled-in and signed form to stockoptions@cmbi.com.hk

Remark

CMBI will handle fund-out requests submitted before 12:00p.m. of the working day. Instructions placed after 12:00p.m. will be handled the next working day. If you wish to TT funds to an overseas account under your name, you must present the original copyof your overseas payment instruction form and pay for the charges of the TT.

3.About the account and transactions

Stock options are derivatives contract of stocks. Clients need to set up a securities account before setting up a stock options account. The stock options account and the securities account are independently operatedaccounts, and the funds are handled separately.
You must have sufficient funding for option premium (buying options) or margin (selling options except covered short call holder) and related handling fees in your stock options account in order to send option trading orders on the online system successfully.
The exercise of stock options:
- The exercise of options must be done in a securities account with physical delivery, cash delivery is not allowed. (not a stock options account). If you need to exercise stock options, please instruct your relationshipmanager to handle it on before 16:00.
- To exercise an option, the stock or cash must be settled on T+2. Clientswithout stocks must buyback the stocks of the exercised option in the morning of T+1 to fulfill the settlement.
- All stock transactions caused by the exercise of stock options will be settled on T+2 and will be carried out in the securities account preset by the client.
On the expiry day of the stock option, if the final clearing price of the stockoption is 1.5% or more in the money, the option shall be automatically exercised, and the exchange will charge an additional exercise fee of HK$2 and relevant stock transaction fees. Other types of options will be regardedas out-of-the-money or at-the-money options, and will be invalidated on the expiry day, and no additional cost shall be charged..