[Important Notice] Re: Implementation of the Hong Kong Investor Identification Regime

The Hong Kong Investor Identification Number ("HKIDR") will be officially launched on 20 March 2023. If client fails to provide the consent to Emperor Securities Limited ("Emperor") to transfer personal data to HKEx, Emperor will, beginning from 20 March 2020, be unable to execute the securities transaction instructions (including but not limited to purchasing securities, subscribing IPO and depositing securities) except selling, transferring or withdrawing securities holdings.

If you have yet to provide the consent of “Hong Kong Investor Identification and OTC securities reporting Regime – Client Agreement”, please submit through the following channels:

1. Logon and confirm on internet trading platform of Emperor (mobile, desktop or website version)
2. Send an email to esl_HKIDR@EmperorGroup.com with the following declaration by your email address registered with us (please also state your name and account no.):
   “I/We agree that Emperor could collect, store, process, use, disclose and transfer personal data relating to me/us (including CID and BCAN(s)) for fulfilling the requirement of HKIDR.”
3. Reply to our Whatsapp message about “HKIDR”
4. Download, sign and return the “Client Agreement” to us by the following channels
   A. Email: esl_HKIDR@EmperorGroup.com
   B. Post: Emperor Securities Limited, 23-24/F. Emperor Group Centre, 288 Hennessy Road, Wan Chai, H.K.  Attn: Legal & Compliance Department;
   C. Fax: (852) 2699 9454
   D. WhatsApp: (852) 666 18 717
5. Call our Customer Service Hotline (852) 2919 2919 or contact your Relationship Manager to submit the consent by phone

If you would like to know more about HKIDR, please visit the following website:

1. Securities and Futures Commission (SFC): https://www.sfc.hk/en/Rules-and-standards/Investor-Identification-and-OTC-Securities-Transactions-Reporting
2. Investor and Financial Education council (IFEC): https://www.ifec.org.hk/web/en/blog/2021/01/investor-identification.page

Important Message:
Emperor and HKEx will require 1 to 2 trading days to process and update your consent information. Emperor will not be able, before the consent information is updated, to execute trading instructions on HK stock placed by the clients if the consent is submitted on or after 16 March 2023 (including but not limited to purchasing securities, subscribing IPO and depositing securities). Emperor shall not be liable for any delay and/or loss in securities transactions caused by the failure of the client to submit the above consent in time.

Act Now!

Emperor Securities Limited