Common use of Quotas used up Clause in Contracts

Quotas used up. When the respective aggregate quota balance for Northbound and Southbound trading is less than the daily quota, the corresponding buy orders will be suspended on the next trading day ( sell orders will still be accepted ) until the aggregate quota balance returns to the daily quota level. Once the daily quota is used up, acceptance of the corresponding buy orders will also be immediately suspended and no further buy orders will be accepted for the remainder of the day. Buy orders which have been accepted will not be affected by the using up of the daily quota, while sell orders will continue to be accepted. Depending on the aggregate quota balance situation, buying services will be resumed on the following trading day. Currency risks Northbound investments in the SSE Securities will be traded and settled in Renminbi (RMB). If the Customer holds a local currency other than RMB, the Customer will be exposed to currency risk if the Customer invests in a RMB product due to the need for the conversion of the local currency into RMB. During the conversion, the Customer will also incur currency conversion costs. Even if the price of the RMB asset remains the same when the Customer purchases it and when the Customer redeems / sells it, the Customer will still incur a loss when you convert the redemption / sale proceeds into local currency if RMB has depreciated. Restrictions on selling imposed by front-end monitoring For Client who keeps their A-shares outside GNS, if he wants to sell certain A-shares he holds, he must transfer those A-shares to the respective accounts of GNS before the market opens on the day of selling (T day). If he fails to meet this deadline, he will not be able to sell those A-shares on T day. Short selling In investing in A-share via the Northbound trading, Hong Kong and overseas investors are prohibited from naked short selling in A-shares. In selling A-shares via the Northbound trading, Hong Kong and overseas investors are not allowed to participate in any securities lending on the Mainland. Not protected by Investor Compensation Fund The Client should note that Northbound trading under Shanghai-Hong Kong Stock Connect will not be covered by Hong Kong's Investor Compensation Fund. As far as Hong Kong investors participating in Northbound trading are concerned, since they are carrying out Northbound trading through securities brokers in Hong Kong and these brokers are not Mainland brokers, they are not protected by China Securities Investor Protection Fund on the Mainland as well. Local market rules, foreign shareholding restrictions and disclosure obligations Under Shanghai Hong Kong Stock Connect, A-share listed companies and trading of A-share are subject to market rules and disclosure requirements of the A-share market. Any changes in laws, regulations and policies of the A-share market or rules in relation to Shanghai-Hong Kong Stock Connect may affect share prices. The Client should also take note of the foreign shareholding restrictions and disclosure obligations applicable to A-shares. The Client will be subject to restrictions on trading (including restriction on retention of proceeds) in A-shares as a result of its interest in the A-shares. The Client is solely responsible for compliance with all notifications, reports and relevant requirements in connection with its interests in A-shares. Under the current Mainland rules, once an investor holds up to 5% of the shares of a company listed on the SSE, the investor is required to disclose his interest within three working days and during which he cannot trade the shares of that company. The investor is also required to disclose any change in his shareholding and comply with related trading restrictions in accordance with the Mainland rules. In addition, under the Mainland practices, Hong Kong and overseas investors as beneficial owners of A-shares traded via Shanghai-Hong Kong Stock Connect cannot appoint proxies to attend shareholders’ meetings on their behalf. The recalling of eligible stocks and trading restrictions A stock may be recalled from the scope of eligible stocks for trading via Shanghai-Hong Kong Stock Connect for various reasons, and in such event the stock can only be sold but restricted from being bought. This may affect the investment portfolio or strategies of the Client. The Client should therefore pay close attention to the list of eligible stocks as provided and renewed from time to time by the SSE and the Exchange. Under Shanghai-Hong Kong Stock Connect, the Client will only be allowed to sell A-share but restricted from further buying if: (i) the A-share subsequently ceases to be a constituent stock of the relevant indices; (ii) the A-share is subsequently under "risk alert" ; and / or (iii) the corresponding H share of the A-share subsequently ceases to be traded on the Exchange. The Client should also note that price fluctuation limit would be applicable to A-shares. The above may not cover all risks related to Shanghai-Hong Kong Stock Connect and any above mentioned laws, rules and regulations are subject to change.

Quotas used up. When the respective aggregate quota balance for Northbound and Southbound trading is less than the daily quota, the corresponding buy orders will be suspended on the next trading day ( sell orders will still be accepted ) until the aggregate quota balance returns to the daily quota level. Once the daily quota is used up, acceptance of the corresponding buy orders will also be immediately suspended and no further buy orders will be accepted for the remainder of the day. Buy orders which have been accepted will not be affected by the using up of the daily quota, while sell orders will continue to be accepted. Depending on the aggregate quota balance situation, buying services will be resumed on the following trading day. Currency risks Northbound investments in the SSE Securities will be traded and settled in Renminbi (RMB). If the Customer holds a local currency other than RMB, the Customer will be exposed to currency risk if the Customer invests in a RMB product due to the need for the conversion of the local currency into RMB. During the conversion, the Customer will also incur currency conversion costs. Even if the price of the RMB asset remains the same when the Customer purchases it and when the Customer redeems / sells it, the Customer will still incur a loss when you convert the redemption / sale proceeds into local currency if RMB has depreciated. Restrictions on selling imposed by front-end monitoring For Client who keeps their A-shares outside GNSSW, if he wants to sell certain A-shares he holds, he must transfer those A-shares to the respective accounts of GNS SW before the market opens on the day of selling (T day). If he fails to meet this deadline, he will not be able to sell those A-shares on T day. Short selling In investing in A-share via the Northbound trading, Hong Kong and overseas investors are prohibited from naked short selling in A-A- shares. In selling A-shares via the Northbound trading, Hong Kong and overseas investors are not allowed to participate in any securities lending on the Mainland. Not protected by Investor Compensation Fund The Client should note that Northbound trading under Shanghai-Hong Kong Stock Connect will not be covered by Hong Kong's Investor Compensation Fund. As far as Hong Kong investors participating in Northbound trading are concerned, since they are carrying out Northbound trading through securities brokers in Hong Kong and these brokers are not Mainland brokers, they are not protected by China Securities Investor Protection Fund on the Mainland as well. Local market rules, foreign shareholding restrictions and disclosure obligations Under Shanghai Hong Kong Stock Connect, A-share listed companies and trading of A-share are subject to market rules and disclosure requirements of the A-share market. Any changes in laws, regulations and policies of the A-share market or rules in relation to Shanghai-Hong Kong Stock Connect may affect share prices. The Client should also take note of the foreign shareholding restrictions and disclosure obligations applicable to A-shares. The Client will be subject to restrictions on trading (including restriction on retention of proceeds) in A-shares as a result of its interest in the A-shares. The Client is solely responsible for compliance with all notifications, reports and relevant requirements in connection with its interests in A-shares. Under the current Mainland rules, once an investor holds up to 5% of the shares of a company listed on the SSE, the investor is required to disclose his interest within three working days and during which he cannot trade the shares of that company. The investor is also required to disclose any change in his shareholding and comply with related trading restrictions in accordance with the Mainland rules. In addition, under the Mainland practices, Hong Kong and overseas investors as beneficial owners of A-shares traded via Shanghai-Shanghai- Hong Kong Stock Connect cannot appoint proxies to attend shareholders’ meetings on their behalf. The recalling of eligible stocks and trading restrictions A stock may be recalled from the scope of eligible stocks for trading via Shanghai-Hong Kong Stock Connect for various reasons, and in such event the stock can only be sold but restricted from being bought. This may affect the investment portfolio or strategies of the Client. The Client should therefore pay close attention to the list of eligible stocks as provided and renewed from time to time by the SSE and the Exchange. Under Shanghai-Hong Kong Stock Connect, the Client will only be allowed to sell A-share but restricted from further buying if: (i) the A-share subsequently ceases to be a constituent stock of the relevant indices; (ii) the A-share is subsequently under "risk alert" ; and / or (iii) the corresponding H share of the A-share subsequently ceases to be traded on the Exchange. The Client should also note that price fluctuation limit would be applicable to A-shares. The above may not cover all risks related to Shanghai-Hong Kong Stock Connect and any above mentioned laws, rules and regulations are subject to change.

Quotas used up. When the respective aggregate quota balance for Northbound and Southbound trading is less than the daily quota, the corresponding buy orders will be suspended on the next trading day ( (sell orders will still be accepted accepted) until the aggregate quota balance returns to the daily quota level. Once the daily quota is used up, acceptance of the corresponding buy orders will also be immediately suspended and no further buy orders will be accepted for the remainder of the day. Buy orders which have been accepted will not be affected by the using up of the daily quota, while sell orders will continue to be accepted. Depending on the aggregate quota balance situation, buying services will be resumed on the following trading day. Currency risks Northbound investments in the SSE Securities securities will be traded and settled in Renminbi (RMB)Renmibi. If the Customer holds a local currency other than RMB, the Customer will be exposed to currency risk if the Customer invests in a RMB product due to the need for the conversion of the local currency into RMB. During the conversion, the Customer will also incur currency conversion costs. Even if the price of the RMB asset remains the same when the Customer purchases it and when the Customer redeems / redeems/ sells it, the Customer will still incur a loss when you convert the redemption / sale proceeds into local currency if RMB has depreciated. Restrictions on selling imposed by front-front- end monitoring For Client Customers who keeps their A-shares outside GNSMalahon, if he wants they want to sell certain A-shares he holdsthey hold, he they must transfer those A-A- shares to the respective accounts of GNS Malahon before the market opens on the day of selling (T day). If he fails they fail to meet this deadline, he they will not be able to sell those A-shares on T day. Short selling In investing in A-share via the Northbound trading, Hong Kong and overseas investors are prohibited from naked short selling in A-shares. In selling A-shares via the Northbound trading, Hong Kong and overseas investors are not allowed to participate in any securities lending on the Mainland. Not protected by Investor Compensation Fund The Client Customer should note that Northbound trading under Shanghai-Hong Kong Stock China Connect will not be covered by Hong Kong's ’s Investor Compensation Fund. As far as Hong Kong investors participating in Northbound trading are concerned, since they are carrying out Northbound trading through securities brokers in Hong Kong and these brokers are not Mainland brokers, they are not protected by China Securities Investor Protection Fund on the Mainland as well. Local market rules, foreign shareholding restrictions and disclosure obligations Under Shanghai Hong Kong Stock China Connect, A-share shares listed companies and trading of A-share are subject to market rules and disclosure requirements of the A-share market. Any changes in laws, regulations and policies of the A-share market or rules in relation to Shanghai-Hong Kong Stock China Connect may affect share prices. The Client Customer should also take note of the foreign shareholding restrictions and disclosure obligations applicable to A-A- shares. The Client Customer will be subject to restrictions on trading (including restriction on retention of proceeds) in A-shares as a result of its interest in the A-A- shares. The Client Customer is solely responsible for compliance with all notifications, reports and relevant requirements in connection with its interests in A-shares. Under the current Mainland rules, once an investor holds up to 5% of the shares of a company listed on the SSE, the investor is required to disclose his interest within three working days and during which he cannot trade the shares of that company. The investor is also required to disclose any change in his shareholding and comply with related trading restrictions in accordance with the Mainland rules. In additionNorthbound Trading investors will not be able to attend general meetings in person or by means of proxy, under the Mainland practices, as opposed to what they can do in Hong Kong and overseas investors as beneficial owners of A-shares traded via Shanghai-if they hold Hong Kong Stock Connect cannot appoint proxies to attend shareholders’ meetings on their behalfstocks. The recalling of eligible stocks and trading restrictions A stock may be recalled from the scope of eligible stocks for trading via Shanghai-Hong Kong Stock China Connect for various reasons, and in such event the stock can only be sold but restricted from being bought. This may affect the investment portfolio or strategies of the ClientCustomer. The Client Customer should therefore pay close attention to the list of eligible stocks as provided and renewed from time to time by the SSE and the ExchangeSEHK. Under Shanghai-Hong Kong Stock China Connect, the Client Customer will only be allowed to sell A-share but restricted from further buying if: (i) the A-share subsequently ceases to be a constituent stock of the relevant indices; (ii) the A-share is subsequently under "“risk alert" ”; and / or and/or (iii) the corresponding H share of the A-share subsequently ceases to be traded on the ExchangeSEHK. The Client Customer should also note that price fluctuation limit would be applicable to A-shares. The above may not cover all risks related to Shanghai-Hong Kong Stock Connect and any above mentioned laws, rules and regulations are subject to change.