[公告]晋商黑桃K平台银行:黄色申请表格

黑桃K平台 http://www.cnmpsolar 评论

Staple your payment here 請將股款 緊釘在此 Sample 樣版 This Application Form uses the same terms as defined in the prospectus of Jinshang Bank Co., Ltd.* (the “Bank”) dated June 28, 2019 (the “Prospectus”). 本申請表格所使用詞彙與晉商

 
Staple your
payment here

請將股款
緊釘在此


Sample 樣版
This Application Form uses the same terms as defined in the prospectus of Jinshang Bank Co., Ltd.* (the “Bank”) dated June 28, 2019 (the
“Prospectus”).
本申請表格所使用詞彙與晉商銀行股份有限公司
(*「本行」)於
2019年6月28日刊發的招股章程(「招股章程」)所界定詞彙相同。

Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer Shares
in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares have not been and will not be registered under the U.S. Securities Act
of 1933, as amended, (the “U.S. Securities Act”), or any state securities laws of the United States and shall not be offered, sold, pledged or
transferred within the United States, but the Offer Shares may be offered, sold or delivered outside the United States in offshare transactions in
accordance with Rule 903 or Rule 904 of Regulation S. There will be no public offering of the Hong Kong Offer Shares in the United States.

本申請表格及招股章程概不構成在香港以外任何司法管轄區要約出售或游說要約購買任何香港發售股份。香港發售股份並無
亦將不會根據1933年美國《證券法》(經修訂)(「美國《證券法》」)或美國任何州證券法登記,且不得在美國境內發售、出售、
抵押或轉讓,惟可根據S規例第903或第904條在美國境外以離岸交易的方式發售、出售或交付發售股份。香港發售股份將不
會於美國進行公開發售。



This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever in any
jurisdiction where such forwarding, distribution or reproduction is not permitted under the law of that jurisdiction.

在任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法管轄區內,概不得發送、派發或複製(不論以任何
方式,也不論全部或部分)本申請表格及招股章程。



Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar
of Companies and Available for Inspection —
1. Documents Delivered to the Registrar of Companies” section in Appendix VIII to the
Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by section 342C of the Companies (Winding Up and
Miscellaneous Provisions) Ordinance (Cap. 32). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited
(the “Hong Kong Stock Exchange”), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of
Hong Kong (the “SFC”) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents.
招股章程、所有相關申請表格及招股章程附錄八「送呈公司註冊處處長及備查文件-1.送呈公司註冊處處長的文件」一節所
述其他文件已按第32章《公司(清盤及雜項條文)條例》第
342C條規定送呈香港公司註冊處處長登記。香港交易及結算所有限
公司、香港聯合交易所有限公司(「香港聯交所」)、香港中央結算有限公司(「香港結算」)、香港證券及期貨事務監察委員會

(「證監會」)及香港公司註冊處處長對此等文件的內容概不負責。




JINSHANG BANK CO., LTD.*
晉商銀行股份有限公司
*

(A joint stock company incorporated in the People’s Republic of China with limited liability)

(於中華人民共和國註冊成立的股份有限公司)


Stock code : 2558
股份代號:
2558
Maximum Offer Price : HK$3.98 per H Share (payable in full on application in
Hong Kong dollars, subject to refund on final pricing),
plus brokerage of 1%, a SFC transaction levy of
0.0027% and a Hong Kong Stock Exchange trading fee
of 0.005%
最高發售價:每股H股3.98港元(須於申請時以港元繳足,最終定價
後多繳款項可予退還),另加
1%經紀佣金、0.0027%
證監會交易徵費及
0.005%香港聯交所交易費


You should read this Application Form in conjunction with the Prospectus, which contains further information on
the application procedures.

招股章程尚有關於申請程序的其他資料,本申請表格應與招股章程一併閱讀。

Application Form申請表格


To:
Jinshang Bank Co., Ltd. 致:晉商銀行股份有限公司
Joint Sponsors 聯席保薦人
Joint Representatives 聯席代表
Joint Global Coordinators 聯席全球協調人
Joint Bookrunners 聯席賬簿管理人
The Hong Kong Underwriters 香港承銷商

Applicants’ declaration 申請人聲明
I/We agree to the terms and conditions and application 本人╱吾等同意本申請表格及招股章程的條款及條件
procedures in this Application Form and the Prospectus. 以及申請程序。請參閱本申請表格「填交本申請表格
Please refer to the “Effect of completing and submitting 的效用」一節。

this Application Form” section of this Application Form.

Warning: Only one application may be made for the 警告:任何人士只限作出一次為其利益而進行的認購
benefit of any person. Please refer to the last four bullets 申請。請參閱「填交本申請表格的效用」一節最後四
of “Effect of completing and submitting this Application 點。

Form” section.

*
Jinshang Bank Co., Ltd. is not an authorized institution within the meaning of the Banking Ordinance (Chapter 155 of the Laws of Hong Kong), not subject to the
supervision of the Hong Kong Monetary Authority, and not authorized to carry on banking and/or deposit-taking business in Hong Kong.
*
晉商銀行股份有限公司並非香港法例第155章《銀行業條例》所指認可機構,不受限於香港金融管理局的監督,亦不獲授權在香港經營銀行及╱
或接受存款業務。


Signed by (all) applicant(s) (all joint applicants must sign):

由(所有)申請人簽署(所有聯名申請人必須簽署):


Date:日期
: ╱╱
D日
M月
Y年


Number of Hong Kong Offer Shares applied for (not more than
43,000,000 shares)
申請香港發售股份數目(不超過
43,000,000股股份)


Total amount總額


HK$港元


Sample 樣版
For Broker use此欄供經紀填寫Lodged by遞交申請的經紀
Broker No.經紀號碼Broker’s Chop經紀印章
Cheque/banker’s cashier order number支票╱銀行本票號碼
Name of bank on which cheque/Banker’s cashier order is
drawn (see “How to make your application” section)兌現支
票╱銀行本票的銀行名稱(見「申請手續」一節)
Name in English (in BLOCK letters)英文姓名╱名稱(正楷)


Family name or company name姓氏或公司名稱
Forename(s)名字


Name in Chinese中文姓名╱名稱


Family name or company name姓氏或公司名稱
Forename(s)名字


Occupation in English職業(以英文填寫)


Names of all other joint applicants in English (if any, in BLOCK letters)

所有其他聯名申請人的英文姓名╱名稱(如有,正楷)


1)
2)
3)

Hong Kong Identity Card No./Passport No./Hong Kong Business
Registration No.* (Please delete as appropriate) 香港身份證號碼╱
護照號碼╱香港商業登記號碼
*

(請刪除不適用者)


Hong Kong Identity Card No./Passport No./Hong Kong Business
Registration No. of all other joint applicants* (Please delete as
appropriate)所有其他聯名申請人的香港身份證號碼╱護照號
碼╱香港商業登記號碼
*

(請刪除不適用者)


1)
2)
3)

Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant
only in BLOCK letters)香港地址(以英文正楷填寫)及電話號碼(聯名申請人只須填寫排名首位申請人的地址及電話號碼)


Telephone No.電話號碼
For Nominees: You will be treated as applying for your own

THIS BOX MUST BE DULY COMPLETED

benefit if you do not complete this section. Please provide an

必須填妥此欄


account number or identification code for each (joint) beneficial

Participant I.D. of the CCASS Investor Participant or designated

owner.由代名人遞交:代名人若不填寫本節,則是項認購申

CCASS Participant中央結算系統投資者戶口持有人或指定的中

請將視作為閣下本身利益提出。請填寫每名(聯名)實益擁

央結算系統參與者的參與者編號


有人的賬戶號碼或識別編碼。



For designated CCASS Participant or Corporate CCASS Investor
Participant, please also affix the company chop bearing its company
name指定的中央結算系統參與者或公司中央結算系統投資者戶口

ADDRESS LABEL地址標貼
(Your name(s) and address in

Hong Kong in BLOCK letters請用正楷填寫姓名╱名稱及香港

持有人,請加蓋顯示公司名稱的公司印章


地址)


For Internal use此欄供內部使用


(See paragraph 2 in the section “How to make your application”)
(請參閱「申請手續」一節第
2段)


Sample 樣版
*(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual)
or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this
application, please see paragraph 2 under the section “How to make your application”.
如閣下為中央結算系統投資者戶口持有人,是項申請僅接納香港身份證號碼(如屬個別人士)
或香港商業登記號碼(如屬法人團體),請參閱「申請手續」一節第
2段。



(2)
If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For
an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a
Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please
provide your passport number. For a body corporate, please provide your Hong Kong Business Registration
number.
如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請:如屬
個別人士,必須填寫閣下的香港身份證號碼或護照號碼(持有香港身份證者,請填寫香港身份
證號碼,否則請填寫護照號碼);如屬法人團體,請填寫香港商業登記號碼。



(3)
Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named
applicant may be printed on your refund cheque (if any). Such data will be used for checking the validity
of Application Form and such data would also be transferred to a third party for such purpose and refund
purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number
before you can cash your refund cheque.
退款支票(如有)上或會印有閣下或(如屬聯名申請人)排名首位申請人的香港身份證號碼╱
護照號碼的一部分。有關資料將用於核實申請表格是否有效,亦會轉交第三方作資料核實和退
款。銀行兌現退款支票前或會要求查證閣下的香港身份證號碼╱護照號碼。



(4)
If an application is made by an unlisted company and:
.
the principal business of that company is dealing in securities; and
.
you exercise statutory control over that company,
then the application will be treated as being made for your benefit.
倘若申請人是一家非上市公司,而:
.該公司主要從事證券買賣業務;及
.閣下對該公司可行使法定控制權,
則是項申請將視作為閣下的利益提出。



(5)
All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where
applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration
numbers.
所有聯名申請人必須提供(如屬個別人士)其香港身份證號碼或(如適用)護照號碼,或(如屬法
人團體)其香港商業登記號碼。



Sample 樣版
This page is intentionally left blank

此乃白頁特意留空


How to make your application

1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 1,000
Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS
No. of Hong Amount No. of Hong Amount No. of Hong Amount No. of Hong Amount
Kong Offer payable on Kong Offer payable on Kong Offer payable on Kong Offer payable on
Shares application Shares application Shares application Shares application
applied for HK$ applied for HK$ applied for HK$ applied for HK$
1,000 4,020.11 35,000 140,703.73 400,000 1,608,042.58 4,500,000 18,090,479.07
2,000 8,040.21 40,000 160,804.26 450,000 1,809,047.91 5,000,000 20,100,532.30
3,000 12,060.32 45,000 180,904.80 500,000 2,010,053.23 6,000,000 24,120,638.76
4,000 16,080.43 50,000 201,005.32 600,000 2,412,063.88 7,000,000 28,140,745.22
5,000 20,100.54 60,000 241,206.39 700,000 2,814,074.52 8,000,000 32,160,851.68
6,000 24,120.63 70,000 281,407.45 800,000 3,216,085.17 9,000,000 36,180,958.14
7,000 28,140.74 80,000 321,608.52 900,000 3,618,095.81 10,000,000 40,201,064.60
8,000 32,160.85 90,000 361,809.58 1,000,000 4,020,106.46 20,000,000 80,402,129.20
9,000 36,180.96 100,000 402,010.65 1,500,000 6,030,159.69 30,000,000 120,603,193.80
10,000 40,201.06 150,000 603,015.97 2,000,000 8,040,212.92 40,000,000 160,804,258.40
15,000 60,301.60 200,000 804,021.29 2,500,000 10,050,266.15 43,000,000(1) 172,864,577.78
20,000
25,000
30,000
80,402.13
100,502.67
120,603.19
250,000
300,000
350,000
1,005,026.62
1,206,031.94
1,407,037.26
3,000,000
3,500,000
4,000,000
12,060,319.38
14,070,372.61
16,080,425.84
(1) Maximum number of Hong
Kong Offer Shares you may
apply for.

2.
You, as the applicant(s), must complete the form in English in BLOCK letters as indicated below and sign
on the second page of the Application Form. Only written signatures will be accepted (and not by way of
personal chop).
If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant):
.
the designated CCASS Participant must endorse the form with its company chop (bearing its company
name) and insert its participant I.D. in the appropriate box.
If you are applying as an individual CCASS Investor Participant:


.
the form must contain your NAME and Hong Kong I.D. Card number;
. your participant I.D. must be inserted in the appropriate box.
If you are applying as a joint individual CCASS Investor Participant:
.
the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card number of
all joint investor participants;
. your participant I.D. must be inserted in the appropriate box.
If you are applying as a corporate CCASS Investor Participant:
.
the form must contain your company NAME and Hong Kong Business Registration number;
.
your participant I.D. and your company chop (bearing your company name) must be inserted in the
appropriate box.
Incorrect or omission of details of the CCASS Participant including participant I.D. and/or company chop
bearing its company name or other similar matters may render your application invalid.

Sample 樣版

3.
Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares
must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application
will be rejected if your cheque or banker’s cashier order does not meet all the following requirements:
The cheque must: Banker’s cashier order must:
. be in Hong Kong dollars;
. not be post-dated;
. be made payable to “BANK OF CHINA (HONG KONG) NOMINEES LIMITED – JINSHANG BANK
PUBLIC OFFER”;
. be crossed “Account Payee Only”;
. be drawn on your Hong Kong dollar bank
account in Hong Kong; and
. show your account name, which must either be
pre-printed on the cheque, or be endorsed on the
back by a person authorised by the bank. This
account name must correspond with your name.
If it is a joint application, the account name must
be the same as the first-named applicant’s name.
. be issued by a licensed bank in Hong Kong, and
have your name certified on the back by a person
authorised by the bank. The name on the banker’s
cashier order must correspond with your name.
If it is a joint application, the name on the back
of the banker’s cashier order must be the same as
the first-named applicant’s name.

4.
Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or
banker’s cashier order attached) to one of the collection boxes at any of the following branches of:
Bank of China (Hong Kong) Limited

District
Branch Address

Hong Kong Island
Lee Chung Street Branch 29-31 Lee Chung Street, Chai Wan, Hong Kong
409 Hennessy Road Branch 409-415 Hennessy Road, Wan Chai, Hong Kong

Kowloon
Chuk Yuen Estate Branch Shop S1, Chuk Yuen Shopping Centre, Chuk Yuen

South Estate, Kowloon
Lam Tin Branch Shop 12, 49 Kai Tin Road, Lam Tin, Kowloon
Whampoa Garden Branch Shop G8B, Site 1, Whampoa Garden, Hung

Hom, Kowloon
Waterloo Road Branch Shop A2, Man Kee Mansion, 86 Waterloo Road,
Kowloon

New Territories Fo Tan Branch No 2,1/F Shatin Galleria, 18-24 Shan Mei Street,
Fo Tan, New Territories
East Point City Branch Shop Nos. 217 D-E, Level 2, East Point City,

8 Chung Wa Road, Tseung Kwan O, New Territories
Castle Peak Road (Yuen Long) 162 Castle Peak Road, Yuen Long, New Territories
Branch
Castle Peak Road (Tsuen Wan) G/F-1/F, Sin Ching Building, 201-207 Castle Peak
Branch Road (Tsuen Wan), Tsuen Wan, New Territories

5.
Your Application Form can be lodged at these times:
Friday, June 28, 2019 – 9:00 a.m. to 5:00 p.m.
Saturday, June 29, 2019 – 9:00 a.m. to 1:00 p.m.
Tuesday, July 2, 2019 – 9:00 a.m. to 5:00 p.m.
Wednesday, July 3, 2019 – 9:00 a.m. to 5:00 p.m.
Thursday, July 4, 2019 – 9:00 a.m. to 5:00 p.m.
Friday, July 5, 2019 – 9:00 a.m. to 5:00 p.m.
Saturday, July 6, 2019 – 9:00 a.m. to 1:00 p.m.
Monday, July 8, 2019 – 9:00 a.m. to 5:00 p.m.

Tuesday, July 9, 2019 – 9:00 a.m. to 5:00 p.m.

Wednesday, July 10, 2019 – 9:00 a.m. to 5:00 p.m.

Thursday, July 11, 2019 – 9:00 a.m. to 12:00 noon

6.
The latest time for lodging your application is 12:00 noon on Thursday, July 11, 2019. The application lists
will be open from 11:45 a.m. to 12:00 noon on that day, subject only to the weather conditions, as described
in “10. Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for Hong Kong
Offer Shares” section of the Prospectus.
Sample 樣版

申請手續


1.
使用下表計算閣下應付的款項。閣下申請認購的股數須至少為
1,000股香港發售股份,並為
下表所列的其中一個數目,否則恕不受理。

可供申請認購股份數目及應繳款項
申請認購的申請時申請認購的申請時申請認購的申請時申請認購的申請時
香港發售應繳款項香港發售應繳款項香港發售應繳款項香港發售應繳款項
股份數目港元股份數目港元股份數目港元股份數目港元
1,000 4,020.11 35,000 140,703.73 400,000 1,608,042.58 4,500,000 18,090,479.07
2,000 8,040.21 40,000 160,804.26 450,000 1,809,047.91 5,000,000 20,100,532.30
3,000 12,060.32 45,000 180,904.80 500,000 2,010,053.23 6,000,000 24,120,638.76
4,000 16,080.43 50,000 201,005.32 600,000 2,412,063.88 7,000,000 28,140,745.22
5,000 20,100.54 60,000 241,206.39 700,000 2,814,074.52 8,000,000 32,160,851.68
6,000 24,120.63 70,000 281,407.45 800,000 3,216,085.17 9,000,000 36,180,958.14
7,000 28,140.74 80,000 321,608.52 900,000 3,618,095.81 10,000,000 40,201,064.60
8,000 32,160.85 90,000 361,809.58 1,000,000 4,020,106.46 20,000,000 80,402,129.20
9,000 36,180.96 100,000 402,010.65 1,500,000 6,030,159.69 30,000,000 120,603,193.80
10,000 40,201.06 150,000 603,015.97 2,000,000 8,040,212.92 40,000,000 160,804,258.40
15,000 60,301.60 200,000 804,021.29 2,500,000 10,050,266.15 43,000,000(1) 172,864,577.78
20,000 80,402.13 250,000 1,005,026.62 3,000,000 12,060,319.38
25,000 100,502.67 300,000 1,206,031.94 3,500,000 14,070,372.61 (1)閣下可申請認購的香港發售
30,000 120,603.19 350,000 1,407,037.26 4,000,000 16,080,425.84 股份最高數目。



2.
閣下作為申請人,必須按照下列指示以英文正楷填妥表格,並於申請表格第二頁簽署,只接納
親筆簽名(不得以個人印章代替)。

如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請:
.該指定中央結算系統參與者必須於表格蓋上公司印章(附有公司名稱),並在適當方格內填
寫參與者編號。

如閣下以個人中央結算系統投資者戶口持有人名義提出申請:
.表格須載有閣下的姓名和香港身份證號碼;
.須在適當方格內填寫閣下的參與者編號。

如閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請:
.表格須載有所有聯名投資者戶口持有人的姓名和香港身份證號碼;
.須在適當方格內填寫閣下的參與者編號。

如閣下以公司中央結算系統投資者戶口持有人名義提出申請:
.表格須載有閣下的公司名稱和香港商業登記號碼;
.須在適當方格內填寫閣下的參與者編號並蓋上公司印章(附有公司名稱)。

中央結算系統參與者的資料(包括參與者編號及╱或顯示公司名稱之公司印章)如有不確或遺漏
或其他類似事項,均可能導致申請無效。


Sample 樣版

3.閣下須將支票或銀行本票釘於表格上。每份香港發售股份申請須附一張獨立開出支票或一張獨
立開出銀行本票。支票或銀行本票必須符合以下所有規定,否則有關認購申請將不獲接納:
支票必須:銀行本票必須:
.為港元;
.不得為期票;
.註明抬頭人為「中國銀行(香港)代理人有限公司
—晉商銀行公開發售」;
.劃線註明「只准入抬頭人賬戶」;
.從閣下在香港的港元銀行賬戶中開出;及
.顯示閣下的賬戶名稱,而該賬戶名稱必須
已預印在支票上,或由有關銀行授權的人士
在支票背書。賬戶名稱必須與閣下姓名╱
名稱相同。如屬聯名申請,則賬戶名稱必須
與排名首位申請人的姓名
╱名稱相同。

.須由香港持牌銀行開出,並由有關銀行授
權的人士在銀行本票背面簽署核證閣下
姓名╱名稱。銀行本票所示姓名╱名稱須
與閣下姓名╱名稱相同。如屬聯名申請,
銀行本票背面所示姓名╱名稱必須與排名首
位申請人的姓名╱名稱相同。



4.
請撕下申請表格,對摺一次,然後將填妥的申請表格(連同隨附的支票或銀行本票)投入下列任
何一家分行特設的收集箱:
中國銀行(香港)有限公司

地區分行名稱地址
香港島利眾街分行
軒尼詩道
409號分行
香港柴灣利眾街
29-31號
香港灣仔軒尼詩道
409-415號
九龍竹園邨分行
藍田分行
黃埔花園分行
窩打老道分行
九龍竹園南邨竹園中心商場
S1號
九龍藍田啟田道
49號12號舖
九龍紅磡黃埔花園第一期商場
G8B號
九龍窩打老道
86號萬基大廈
A2舖
新界火炭分行
東港城分行
元朗青山道分行
荃灣青山道分行
新界火炭山尾街
18-24號沙田商業中心
1樓2號
新界將軍澳重華路
8號東港城
2樓217 D-E號
新界元朗青山公路
162號
新界荃灣青山公路荃灣段201-207號新青大廈地
下及一樓
5.閣下可於下列時間遞交申請表格:


2019年6月28日(星期五)-上午九時正至下午五時正
2019年6月29日(星期六)-上午九時正至下午一時正
2019年7月2日(星期二)-上午九時正至下午五時正
2019年7月3日(星期三)-上午九時正至下午五時正
2019年7月4日(星期四)-上午九時正至下午五時正
2019年7月5日(星期五)-上午九時正至下午五時正
2019年7月6日(星期六)-上午九時正至下午一時正
2019年7月8日(星期一)-上午九時正至下午五時正


2019年7月9日(星期二)-上午九時正至下午五時正
2019年7月10日(星期三)-上午九時正至下午五時正
2019年7月11日(星期四)-上午九時正至中午十二時正


6.
截止遞交申請的時間為
2019年
7月
11日(星期四)中午十二時正。本行將於當日上午十一時
四十五分至中午十二時正期間開始辦理申請登記,惟須視乎當日的天氣情況而定(詳見招股章程
「如何申請香港發售股份」一節「
10.惡劣天氣對開始辦理申請登記的影響」)。


Sample 樣版

JINSHANG BANK CO., LTD.*
晉商銀行股份有限公司
*

(A joint stock company incorporated in the People’s Republic of China with limited liability)

GLOBAL OFFERING

Conditions of your application

A.
Who can apply
1.
You and any person(s) for whose benefit you are applying
must be 18 years of age or older and must have a Hong
Kong address.
2.
If you are a firm, the application must be in the individual
members’ names.
3.
The number of joint applicants may not exceed 4.
4.
If you are a body corporate, the application must be signed
by a duly authorised officer, who must state his representative
capacity, and stamped with your corporation’s chop.
5.
You must be outside the United States, not be a U.S. Person
(within the meaning of Regulation S under the U.S. Securities
Act) or are a person described in paragraph h(3) of Rule 902 of
Regulation S, and not be a legal or natural person of the PRC.
6.
Unless permitted by the Listing Rules, you cannot apply for
any Hong Kong Offer Shares if you are:
.
an existing beneficial owner of any Shares in the Bank
and/or any of its subsidiaries;
.
a Director, Supervisor or chief executive officer of the
Bank and/or any of its subsidiaries;
.
a core connected person (as defined in the Listing
Rules) of the Bank or will become a core connected
person of the Bank immediately upon completion of
the Global Offering;
.
a close associate (as defined in the Listing Rules) of
any of the above; or
.
have been allocated or have applied for or indicated
an interest in any Offer Shares under the International
Offering.
B.
If you are a nominee
You, as a nominee, may make more than one application for the
Hong Kong Offer Shares by: (i) giving electronic instructions to
HKSCC via Central Clearing and Settlement System (“CCASS”)
(if you are a CCASS Participant); or (ii) using a WHITE or
YELLOW Application Form, and lodge more than one application
in your own name on behalf of different beneficial owners.

C.
Effect of completing and submitting this Application
Form
By completing and submitting this Application Form, you (and
if you are joint applicants, each of you jointly and severally) for
yourself or as an agent or a nominee on behalf of each person for
whom you act:

.
undertake to execute all relevant documents and instruct
and authorise the Bank and/or the Joint Representatives (or
their agents or nominees), as agents of the Bank, to execute
any documents for you and to do on your behalf all things
necessary to register any Hong Kong Offer Shares allocated
to you in the name of HKSCC Nominees as required by the
Articles of Association;
.
agree to comply with the Companies Ordinance, the
Companies (Winding Up and Miscellaneous Provisions)
Ordinance (Cap. 32), the PRC Company Law, the Special
Regulations and the Articles of Association;
.
confirm that you have read the terms and conditions and
application procedures set out in the Prospectus and in this
Application Form and agree to be bound by them;
Sample 樣版
.
confirm that you have received and read the Prospectus
and have only relied on the information and representations
contained in the Prospectus in making your application and
will not rely on any other information or representations
except those in any supplement to the Prospectus;
.
confirm that you are aware of the restrictions on the Global
Offering in the prospectus;
.
agree that none of the Bank, the Joint Representatives, the Joint
Global Coordinators, the Joint Sponsors, the Joint Bookrunners,
the Joint Lead Managers, the Underwriters, their respective
directors, officers, employees, partners, agents, advisers and any
other parties involved in the Global Offering is or will be liable
for any information and representations not in the Prospectus
(and any supplement to it);
.
undertake and confirm that you or the person(s) for whose
benefit you have made the application have not applied for or
taken up, or indicated an interest for, and will not apply for
or take up, or indicate an interest for, any International Offer
Shares under the International Offering nor participated in
the International Offering;
.
agree to disclose to the Bank, the H Share Registrar, the
receiving bank, the Joint Representatives, the Joint Global
Coordinators, the Joint Sponsors, the Joint Bookrunners,
the Joint Lead Managers, the Underwriters and/or their
respective advisers and agents any personal data which they
may require about you and the person(s) for whose benefit
you have made the application;
.
if the laws of any place outside Hong Kong apply to your
application, agree and warrant that you have complied with
all such laws and none of the Bank, the Joint Representatives,
the Joint Global Coordinators, the Joint Sponsors, the Joint
Bookrunners, the Joint Lead Managers and the Underwriters
nor any of their respective officers or advisers will breach
any law outside Hong Kong as a result of the acceptance of
your offer to purchase, or any action arising from your rights
and obligations under the terms and conditions contained in
the Prospectus and this Application Form;
.
agree that once your application has been accepted, you may
not rescind it because of an innocent misrepresentation;
.
agree that your application will be governed by the laws of
Hong Kong;
.
represent, warrant and undertake that (i) you understand that
the Hong Kong Offer Shares have not been and will not be
registered under the U.S. Securities Act; and (ii) you and
any person for whose benefit you are applying for the Hong
Kong Offer Shares are outside the United States (as defined
in Regulation S) or are a person described in paragraph (h)
(3) of Rule 902 of Regulation S;
.
warrant that the information you have provided is true and
accurate;
.
agree to accept the Hong Kong Offer Shares applied for, or
any lesser number allocated to you under the application;
*
Jinshang Bank Co., Ltd. is not an authorized institution within the meaning of the Banking Ordinance (Chapter 155 of the Laws of
Hong Kong), not subject to the supervision of the Hong Kong Monetary Authority, and not authorized to carry on banking and/or
deposit-taking business in Hong Kong.

.
authorise the Bank to place the name of the HKSCC Nominees
on the Bank’s register of members as the holder(s) of any Hong
Kong Offer Shares allocated to you, and the Bank and/or its
agents to deposit any H share certificate(s) into CCASS and/or
to send any refund cheque(s) to you or the first-named applicant
for joint application by ordinary post at your own risk to the
address stated on the application, unless you fulfil the criteria
mentioned in “personal collection” section in the Prospectus to
collect H share certificate(s) and/or refund cheque(s);
.
agree that the shares to be allotted shall be issued in the
name of HKSCC Nominees and deposited directly into
CCASS for credit to your investor participant stock account
or the stock account of your designated CCASS participant;
.
agree that each of HKSCC and HKSCC Nominees reserves the
right (1) not to accept any or part of such allotted shares issued
in the name of HKSCC Nominees or not to accept such allotted
shares for deposit into CCASS; (2) to cause such allotted shares
to be withdrawn from CCASS and issued in your name at your
own risk and costs; and (3) to cause such allotted shares to be
issued in your name (or, if you are a joint applicant, to the firstnamed
applicant) and in such a case, to post the certificates for
such allotted shares at your own risk to the address on your
application form by ordinary post or to make available the same
for your collection;
.
agree that each of HKSCC and HKSCC Nominees may
adjust the number of allotted shares issued in the name of
HKSCC Nominees;
.
agree that neither HKSCC nor HKSCC Nominees shall have
any liability for the information and representations not so
contained in the Prospectus and this application form;
.
agree that neither HKSCC nor HKSCC Nominees shall be
liable to you in any way;
.
declare and represent that this is the only application made
and the only application intended by you to be made to
benefit you or the person for whose benefit you are applying;
.
understand that the Bank and the Joint Representatives will
rely on your declarations and representations in deciding
whether or not to make any allotment of any of the Hong
Kong Offer Shares to you and that you may be prosecuted
for making a false declaration;
.
(if the application is made for your own benefit) warrant
that no other application has been or will be made for your
benefit on a WHITE or YELLOW Application Form or by
giving electronic application instructions to HKSCC or to
the White Form eIPO Service by you or by any one as your
agent or by any other person; and
.
(if you are making the application as an agent for the benefit
of another person) warrant that (i) no other application has
been or will be made by you as agent for or for the benefit of
that person or by that person or by any other person as agent
for that person on a WHITE or YELLOW Application
Form or by giving electronic application instructions
to HKSCC; and (ii) you have due authority to sign the
Application Form or give electronic application instructions
on behalf of that other person as their agent.
D.
Power of attorney
If your application is made through an authorised attorney, the
Bank and the Joint Representatives may accept or reject your
application at their discretion, and on any conditions they think fit,
including evidence of the attorney’s authority.

Determination of Offer Price and Allocation of Hong Kong
Offer Shares

The Offer Price is expected to be fixed on or around Thursday, July
11, 2019. Applicants are required to pay the maximum Offer Price of
HK$3.98 for each Hong Kong Offer Share together with 1% brokerage,
0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange
trading fee. If the Offer Price is not agreed between the Bank and the Joint
Representatives (on behalf of the Underwriters) on or before Wednesday,
July 17, 2019, the Global Offering will not proceed and will lapse.
Applications for Hong Kong Offer Shares will not be processed
and no allotment of any Hong Kong Offer Shares will be made
until the application lists close.
The Bank expects to announce the fixed offer price, the indication
of the level of interest in the International Offering, the level of
applications under the Hong Kong Public Offering and the basis

Sample 樣版
of allocation of the Hong Kong Public Offering on Wednesday,
July 17, 2019 in the South China Morning Post (in English) and
the Hong Kong Economic Times (in Chinese), the website of the
Hong Kong Stock Exchange at and the Bank’s
website at Results of allocations in Hong
Kong Public Offering, and the Hong Kong Identity Card/passport/
Hong Kong business registration numbers of successful applicants
(where applicable) will be available on the above websites.

If your application for Hong Kong Offer Shares is successful
(in whole or in part)

If your application is wholly or partially successful, your H
Share certificate(s) (subject to their becoming valid certificates
of title provided that the Hong Kong Public Offering has become
unconditional and not having been terminated at 8:00 a.m. on
Thursday, July 18, 2019) will be issued in the name of HKSCC
Nominees and deposited directly into CCASS for credit to your
CCASS Investor Participant stock account or the stock account of
your designated CCASS Participant as instructed by you in your
Application Form on Wednesday, July 17, 2019 or, in the event
of a contingency, on any other date as shall be determined by
HKSCC or HKSCC Nominees.

.
If you are applying through a designated CCASS Participant
(other than a CCASS Investor Participant): For Hong
Kong Offer Shares credited to the stock account of your
designated CCASS Participant (other than a CCASS Investor
Participant), you can check the number of Hong Kong Offer
Shares allotted to you with that CCASS Participant.
.
If you are applying as a CCASS Investor Participant: The
Bank expects to publish the results of CCASS Investor
Participants’ applications together with the results of the
Hong Kong Public Offering on Wednesday, July 17, 2019.
You should check the announcement published by the Bank
and report any discrepancies to HKSCC before 5:00 p.m.
on Wednesday, July 17, 2019 or such other date as shall be
determined by HKSCC or HKSCC Nominees. Immediately
after the credit of the Hong Kong Offer Shares to your
stock account you can check your new account balance via
the CCASS Phone System and CCASS Internet System
(under the procedures contained in HKSCC’s “An Operating
Guide for Investor Participants” in effect from time to time).
HKSCC will also make available to you an activity statement
showing the number of Hong Kong Offer Shares credited to
your stock account.
No receipt will be issued for application money paid. The Bank
will not issue temporary documents of title.

Refund of your money

If you do not receive any Hong Kong Offer Shares or if your
application is accepted only in part, the Bank will refund to you your
application monies (including the related 1% brokerage, 0.0027%
SFC transaction levy and 0.005% Hong Kong Stock Exchange trading
fee) without interest. If the offer price is less than the maximum Offer
Price, the Bank will refund to you the surplus application monies
(including the related 1% brokerage, 0.0027% SFC transaction levy
and 0.005% Hong Kong Stock Exchange trading fee) without interest.
The refund procedures are stated in the “14. Dispatch/Collection of
Share Certificates and Refund Monies” in the “How to Apply for
Hong Kong Offer Shares” section of the Prospectus.

Effect of the Information You Give to Computershare Hong
Kong Investor Services Limited

Computershare Hong Kong Investor Services Limited and its
related bodies’ corporate, directors, officers, employees and agents
(“Representatives”) expressly disclaim and exclude to the maximum
extent permitted by law any liability for any loss or damage suffered
or incurred by the applicant or any other person or entity however
caused relating in any way to, or connected with, any information
provided by or on behalf of the applicant on or in connection with this
document or any services provided hereunder, or any other written
or oral communication provided by or on behalf of the applicant in
connection with this document or any services provided hereunder.
This includes, without limitation, any errors or omissions in such
information however caused, or the Representatives or any other
person or entity placing any reliance on such information or any
documentation, image, recording or reproduction of such information,
or its accuracy, completeness, currency or reliability.


JINSHANG BANK CO., LTD.*
晉商銀行股份有限公司
*

(於中華人民共和國註冊成立的股份有限公司)

全球發售


申請條件

甲、可提出申請的人士


1.
閣下及閣下為其利益提出申請的人士必須年滿18歲
並有香港地址。

2.
如閣下為商號,則申請須以個別成員名義提出。

3.
聯名申請人不得超過四名。

4.
如閣下為法人團體,申請須獲正式授權人員簽署,
並註明其所代表身份及蓋上公司印章。

5.
閣下必須身處美國境外,並非美籍人士(定義見美國
《證券法》
S規例)或
S規例第902條第h(3)段所述人士,
亦非中國法人或自然人。



6.
除《上市規則》批准外,下列人士概不得申請認購任何
香港發售股份:
.本行及╱或其任何附屬公司的任何股份的現有實
益擁有人;
.本行及╱或其任何附屬公司的董事、監事或行政
總裁;
.本行核心關連人士(定義見《上市規則》)或緊隨
全球發售完成後成為本行核心關連人士的人士;
.上述任何人士的緊密聯繫人(定義見《上市規
則》);或
.已獲分配或已申請或表示有意申請國際發售的任
何發售股份。


乙、如閣下為代名人

閣下作為代名人可提出超過一次香港發售股份申請,方法
是:(i)透過中央結算及交收系統(「中央結算系統」)向香
港結算發出電子認購指示(如閣下為中央結算系統參與
者);或
(ii)使用白色或黃色申請表格以自身名義代表不同
的實益擁有人提交超過一份申請。


丙、填交本申請表格的效用

閣下填妥並遞交本申請表格,即表示閣下(如屬聯名申
請人,即各人共同及個別)代表閣下本身,或作為閣
下代其行事的每位人士的代理或代名人:
.承諾簽立所有相關文件,並指示及授權本行及╱或作

為本行代理的聯席代表(或彼等的代理或代名人)

代表閣下簽立任何文件,並按照公司章程的規定代(,)


閣下辦理一切必要事宜以將閣下獲分配的任何

香港發售股份以香港結算代理人的名義登記;
.同意遵守《公司條例》、第32章《公司(清盤及雜項條

文)條例》、《中國公司法》、《特別規定》及公司章程;


Sample 樣版
.確認閣下已細閱招股章程及本申請表格所載的條款
及條件以及申請程序,並同意受其約束;


.確認閣下已接獲及細閱招股章程,提出申請時也僅
依據招股章程載列的資料及陳述,且除招股章程任何
補充文件所載者外,不會依賴任何其他資料或陳述;


.
確認閣下知悉招股章程內有關全球發售的限制;


.同意本行、聯席代表、聯席全球協調人、聯席保薦
人、聯席賬簿管理人、聯席牽頭經辦人、承銷商、彼
等各自的董事、高級職員、僱員、合夥人、代理、顧
問及參與全球發售的任何其他人士現時及日後均毋須
對並非載於招股章程(及其任何補充文件)的任何資料
及陳述負責;


.承諾及確認閣下或閣下為其利益提出申請的人士
並無申請或接納或表示有意認購(亦不會申請或接納
或表示有意認購)國際發售的任何國際發售股份,亦
無參與國際發售;


.同意應本行、H股過戶登記處、收款銀行、聯席代
表、聯席全球協調人、聯席保薦人、聯席賬簿管理
人、聯席牽頭經辦人、承銷商及╱或彼等各自的顧問
及代理的要求,向彼等披露其所要求提供有關閣下
及閣下為其利益提出申請人士的個人資料;


.若香港境外任何地方的法例適用於閣下的申請,則
同意及保證閣下已遵守所有有關法例,且本行、聯
席代表、聯席全球協調人、聯席保薦人、聯席賬簿管
理人、聯席牽頭經辦人及承銷商和彼等各自任何高級
職員或顧問概不會因接納閣下的購買要約,或閣
下在招股章程及本申請表格所載條款及條件項下的權
利及責任所引致的任何行動,而違反香港境外的任何
法例;


.同意閣下的申請一經接納,即不得因無意的失實陳
述而撤銷;


.
同意閣下的申請受香港法例規管;


.聲明、保證及承諾:(i)閣下明白香港發售股份不曾
亦不會根據美國證券法登記;及
(ii)閣下及閣下為
其利益申請香港發售股份的人士均身處美國境外(定
義見S規例),又或屬
S規例第902條第(h)(3)段所述的
人士;


.保證閣下提供的資料真實及準確;
.同意接納所申請數目或根據申請分配予閣下較少數
目的香港發售股份;


*晉商銀行股份有限公司並非香港法例第155章《銀行業條例》所指認可機構,不受限於香港金融管理局的監督,亦不
獲授權在香港經營銀行及╱或接受存款業務。


.授權本行將香港結算代理人的名稱列入本行股東名
冊,作為閣下獲分配任何香港發售股份的持有人,
並授權本行及╱或其代理將任何H股股票存入中央結算
系統及╱或以普通郵遞方式按申請所示地址向閣下
或聯名申請排名首位的申請人寄發任何退款支票,郵
誤風險由閣下承擔,除非閣下符合招股章程內「親
身領取」章節的條件領取
H股股票及╱或退款支票;


.同意獲配發的股份是以香港結算代理人的名義發行,
並直接存入中央結算系統,以便記存於閣下的投資
者戶口持有人股份戶口或閣下的指定中央結算系統
參與者股份戶口;


.同意香港結算及香港結算代理人各自保留權利(1)不
接納以香港結算代理人名義發行的該等獲配發的任何
或部分股份,或不接納該等獲配發的股份存入中央結
算系統;(2)安排該等獲配發的股份從中央結算系統提
取,並以閣下名義發行,有關風險及費用概由閣
下自行承擔;及(3)安排該等獲配發的股份以閣下
名義發行(或如屬聯名申請人,則以排名首位申請人
的名義發行),而在此情況下,會以普通郵遞方式將
該等獲配發股份的股票寄往閣下在申請表格上所示
地址(郵誤風險概由閣下自行承擔)或提供該等股票
予閣下領取;


.同意香港結算及香港結算代理人均可調整以香港結算
代理人名義發行的獲配發股份數目;
.同意香港結算及香港結算代理人對招股章程及本申請
表格未載列的資料及陳述概不負責;
.同意香港結算及香港結算代理人無論如何毋須對閣
下負責;
.聲明及表示此乃閣下為本身或閣下為其利益提出
申請人士的利益提出及擬提出的唯一申請;


.明白本行及聯席代表將依據閣下的聲明及陳述決定
是否向閣下配發任何香港發售股份,閣下如作出
虛假聲明,可能會被檢控;


.(如本申請是為閣下本身利益提出)保證閣下或作
為閣下代理的任何人士或任何其他人士不曾亦不會
為閣下利益而以白色或黃色申請表格或向香港結算或
白表
eIPO服務發出電子認購指示而提出其他申請;及


.(如閣下作為代理為另一人士的利益提出申請)保證


(i)閣下(作為代理或為該人士利益)或該人士或任何
其他作為該人士代理的人士不曾亦不會以白色或黃色
申請表格或向香港結算發出電子認購指示而提出其他
申請;及
(ii)閣下獲正式授權作為該人士的代理代為
簽署申請表格或發出電子認購指示。

丁、授權書

如閣下透過授權代理人提出申請,本行及聯席代表可按
其認為合適的任何條件(包括出示代理人獲授權證明)酌情
接納或拒絕閣下的申請。


釐定發售價及分配香港發售股份

預期發售價會於2019年7月11日(星期四)或前後釐定。申
請人須繳付每股香港發售股份
3.98港元的最高發售價,另
加1%經紀佣金、0.0027%證監會交易徵費及0.005%香港
聯交所交易費。倘若本行與聯席代表(代表承銷商)並無於
2019年7月17日(星期三)或之前協定發售價,全球發售將
不會進行,並將失效。

截止辦理認購申請登記前概不處理香港發售股份的申請或
配發任何香港發售股份。

本行預期於
2019年
7月
17日(星期三)在南華早報

(英文)、香港經濟日報(中文)、香港聯交所網站
及本行網站
公佈協定
發售價、國際發售認購踴躍程度、香港公開發售的申請水

Sample 樣版
平及香港公開發售分配基準。香港公開發售的分配結果以
及獲接納申請人的香港身份證號碼╱護照號碼╱香港商業
登記號碼(如適用)亦會於上述網站公佈。


如閣下成功申請認購香港發售股份(全部或部分)

如閣下的申請全部或部分獲接納,閣下的
H股股票(前
提是到2019年7月18日(星期四)上午八時正香港公開發售
成為無條件且並無終止,H股股票成為有效的所有權證明)
將以香港結算代理人名義發出,並按閣下在申請表格的
指示於2019年7月17日(星期三)或在特別情況下由香港結
算或香港結算代理人決定的任何其他日期直接存入中央結
算系統,記存於閣下的中央結算系統投資者戶口持有人
股份戶口或閣下指定的中央結算系統參與者股份戶口。

.如閣下透過中央結算系統投資者戶口持有人以外的

指定中央結算系統參與者提出申請:香港發售股份將
存入閣下指定的中央結算系統參與者(非中央結算
系統投資者戶口持有人)股份戶口,閣下可向該中央
結算系統參與者查詢閣下獲配發的香港發售股份數
目。



.如閣下以中央結算系統投資者戶口持有人身份提出
申請:本行預期於2019年7月17日(星期三)刊登中央
結算系統投資者戶口持有人的申請結果及香港公開發
售結果。閣下應查閱本行刊發的公告,如有任何資
料不符,請於2019年7月17日(星期三)下午五時正前
或香港結算或香港結算代理人決定的任何其他日期前
知會香港結算。在香港發售股份存入閣下的股份戶
口後,閣下即可透過「結算通」電話系統及中央結算
系統互聯網系統(根據香港結算不時有效的「投資者戶
口操作簡介」所載程序)查詢閣下的新戶口結餘。

香港結算亦將向閣下提供一份活動結單,列出存
入閣下股份戶口的香港發售股份數目。


本行不會就申請時繳付的款項發出收據,亦不會發出臨時
所有權文件。


退回款項

若閣下未獲分配任何香港發售股份或申請僅部分獲接
納,本行將不計利息退回閣下的申請股款(包括相關的
1%經紀佣金、0.0027%證監會交易徵費及0.005%香港聯
交所交易費)。如發售價低於最高發售價,本行將不計利
息向閣下退回多收申請股款(包括相關的
1%經紀佣金、


0.0027%證監會交易徵費及
0.005%香港聯交所交易費)。

有關退款程序載於招股章程「如何申請香港發售股份」一節
「14.寄發╱領取股票及退回股款」。


閣下提供給香港中央證券登記有限公司的資訊的有關影響

香港中央證券登記有限公司和其有關連的法人團體、董
事、高級人員、僱員及代理人(「代表」)在法律所容許的最
大限度內明確卸棄及免除在任何方面與申請人或代表申請
人在此文件提供的或與此文件或在此文件下提供的任何服
務相關的任何資料,或任何申請人或代表申請人提供與此
文件或在此文件下提供的任何服務相關的任何其他書面或
口頭通訊,有關或相關由申請人或任何其他人士或實體所
遭受或招致不論如何造成的任何損失或損害的任何法律責
任。此包括,但不限於,該等資料中不論如何造成的任何
錯誤或遺漏,或代表或任何其他人士或實體對該等資料或
任何該等資料的文件記錄、影像、記錄或複製品作出的任
何依據,或其準確性、完整性、合時性或可靠性。



Personal Data

Personal Information Collection Statement

This Personal Information Collection Statement informs
the applicant for, and holder of, Hong Kong Offer
Shares, of the policies and practices of the Bank and its
H Share Registrar in relation to personal data and the
Personal Data (Privacy) Ordinance (Chapter 486 of the
Laws of Hong Kong) (the “Ordinance”).

1.
Reasons for the collection of your personal data
It is necessary for applicants and registered holders of
securities to supply correct personal data to the Bank
or its agents and the H Share Registrar when applying
for securities or transferring securities into or out of
their names or in procuring the services of the H Share
Registrar. Failure to supply the requested data may
result in your application for securities being rejected,
or in delay or the inability of the Bank or its H Share
Registrar to effect transfers or otherwise render their
services. It may also prevent or delay registration or
transfers of the Hong Kong Offer Shares which you
have successfully applied for and/or the dispatch of H
share certificate(s) and/or refund cheque(s) to which
you are entitled.

It is important that securities holders inform the
Bank and the H Share Registrar immediately of any
inaccuracies in the personal data supplied.

2.
Purposes
The personal data of the securities holders may be used,
held, processed, and/or stored (by whatever means) for
the following purposes:

.
processing your application and refund cheque,
where applicable, verification of compliance with
the terms and application procedures set out in
this Application Form and the Prospectus and
announcing results of allocation of the Hong Kong
Offer Shares;
.
compliance with applicable laws and regulations
in Hong Kong and elsewhere;
.
registering new issues or transfers into or out of
the names of securities’ holders including, where
applicable, HKSCC Nominees;
.
maintaining or updating the register of securities’
holders of the Bank;
.
verifying securities holders’ identities;
.
establishing benefit entitlements of securities’
holders of the Bank, such as dividends, rights
issues, bonus issues, etc.;
.
distributing communications from the Bank and its
subsidiaries;
.
compiling statistical information and securities’
holder profiles;
.
disclosing relevant information to facilitate claims
on entitlements; and
.
any other incidental or associated purposes relating
to the above and/or to enable the Bank and the H
Share Registrar to discharge their obligations to
Sample 樣版
securities’ holders and/or regulators and/or any
other purposes to which the securities’ holders
may from time to time agree.

3.
Transfer of personal data
Personal data held by the Bank and its H Share
Registrar relating to the securities holders will be kept
confidential but the Bank and its H Share Registrar
may, to the extent necessary for achieving any of the
above purposes, disclose, obtain or transfer (whether
within or outside Hong Kong) the personal data to,
from or with any of the following:

.
the Bank’s appointed agents such as financial
advisers, receiving bank and overseas principal
share registrar;
.
where applicants for securities request a deposit
into CCASS, HKSCC or HKSCC Nominees,
who will use the personal data for the purposes of
operating CCASS;
.
any agents, contractors or third-party
service providers who offer administrative,
telecommunications, computer, payment or other
services to the Bank or the H Share Registrar
in connection with their respective business
operation;
.
the Hong Kong Stock Exchange, the SFC and
any other statutory regulatory or governmental
bodies or otherwise as required by laws, rules or
regulations; and
.
any persons or institutions with which the
securities’ holders have or propose to have
dealings, such as their bankers, solicitors,
accountants or stockbrokers etc.
4.
Retention of personal data
The Bank and its H Share Registrar will keep the
personal data of the applicants and holders of securities
for as long as necessary to fulfil the purposes for which
the personal data were collected. Personal data which
is no longer required will be destroyed or dealt with in
accordance with the Ordinance.

5.
Access to and correction of personal data
Securities holders have the right to ascertain whether
the Bank or the H Share Registrar hold their personal
data, to obtain a copy of that data, and to correct any
data that is inaccurate. The Bank and the H Share
Registrar have the right to charge a reasonable fee for
the processing of such requests.

All requests for access to data or correction of data
should be addressed to us, at our registered address
disclosed in the “Corporate Information” section of
the Prospectus or as notified from time to time, for
the attention of the joint company secretaries, or our
H Share Registrar for the attention of the privacy
compliance officer.

By signing an Application Form or by giving
electronic application instructions to HKSCC, you
agree to all of the above.


個人資料
個人資料收集聲明

此項個人資料收集聲明是向香港發售股份的申請
人和持有人說明有關本行及其H股過戶登記處有
關個人資料和香港法例第486章個人資料(私隱)
條例(「條例」)方面的政策和慣例。



1.收集閣下個人資料的原因
證券申請人及登記持有人以本身名義申請證券或
轉讓或受讓證券時或尋求H股過戶登記處的服務
時,必須向本行或其代理人及H股過戶登記處提
供準確個人資料。未能提供所要求的資料可能導
致閣下申請證券被拒,或本行或其H股過戶登
記處延遲或無法落實轉讓或提供服務。此舉也可
能妨礙或延遲登記或轉讓閣下成功申請的香港
發售股份及╱或寄發閣下應得的H股股票及╱
或退款支票。


證券持有人所提供的個人資料如有任何錯誤,須
立即通知本行及
H股過戶登記處。



2.目的
證券持有人的個人資料可以任何方式被採用、持
有、處理及╱或保存,以作下列用途:
.處理閣下的申請及退款支票(如適用)、核

實是否符合本申請表格及招股章程載列的條

款和申請程序以及公佈香港發售股份的分配

結果;
.遵守香港及其他地區的適用法律及法規;
.以證券持有人(包括香港結算代理人(如適

用))的名義登記新發行證券或轉讓或受讓證

券;
.存置或更新本行證券持有人的名冊;
.核實證券持有人的身份;
.確定本行證券持有人的受益權利,例如股

息、供股和紅股等;
.分發本行及其附屬公司的通訊;
.編製統計數據和證券持有人資料;
.披露有關資料以便就權益索償;及
.與上述有關的任何其他附帶或相關目的及╱

或使本行及
H股過戶登記處能履行對證券持

Sample 樣版
有人及╱或監管機構承擔的責任及╱或證券
持有人不時同意的任何其他目的。



3.轉交個人資料
本行及其H股過戶登記處所持有關證券持有人的
個人資料將會保密,但本行及其H股過戶登記處
可以在為達到上述任何目的之必要情況下,向下
列任何人士披露、獲取或轉交(無論在香港境內
或境外)有關個人資料:
.本行委任的代理人,例如財務顧問、收款銀

行和主要海外股份過戶登記處;


.(如證券申請人要求將證券存於中央結算系
統)香港結算或香港結算代理人;彼等將會
就中央結算系統的運作使用有關個人資料;


.向本行或
H股過戶登記處提供與其各自業務
營運有關的行政、電訊、電腦、付款或其他
服務的任何代理人、承包商或第三方服務供
應商;


.香港聯交所、證監會及任何其他法定監管機
關或政府部門或其他法例、規則或法規要求
者;及


.證券持有人與其進行或擬進行交易的任何人
士或機構,例如彼等的銀行、律師、會計師
或股票經紀等。



4.個人資料的保留
本行及其H股過戶登記處將按收集個人資料所需
的用途保留證券申請人及持有人的個人資料。無
需保留的個人資料將會根據條例銷毀或處理。



5.查閱和更正個人資料
證券持有人有權確定本行或H股過戶登記處是否
持有其個人資料,並有權索取有關該資料的副本
並更正任何不準確資料。本行和H股過戶登記處
有權就處理該等要求收取合理費用。


所有查閱資料或更正資料的要求應按招股章程

「公司資料」一節所披露或不時通知的本行註冊地
址送交聯席公司秘書,或向本行的H股過戶登記
處的私隱條例事務主任提出。


閣下簽署申請表格或向香港結算發出電子認購指
示,即表示同意上述各項。



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