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Financial Health Check Questionnaire – Derivatives Knowledge Account Name Email Account No. Tel No. country code tel no This questionnaire is designed to assist you in assessing your knowledge of derivatives investment and the suitability of certain financial products with derivatives exposures in your investment portfolio. You are required to complete this questionnaire as you will be restricted from investing in certain funds if you do not pass this assessment. SECTION 1 – Work experience in financial industry For Internal Use Have you, (or if the account is a joint account, either all joint accountholders or the sole investment decision maker for the joint account), ever been either a licensed person under Hong Kong Securities and Futures Commission (SFC) or a relevant individual with Hong Kong Monetary Authority (HKMA)? No Yes SECTION 2 – Derivatives knowledge acquired from academic background Have you, (or if the account is a joint account, either all joint accountholders or the sole investment decision maker for the joint account), ever obtained any financial qualification(s) or completed a finance course from a reputable institute? No Yes (please select multiple options if applicable) (HKSI) 7 / 8 (CFP) Passed Hong Kong Securities Institute (HKSI) Paper 7 / 8 Certified Financial Planner (CFP) - Investment Module (IIQE) 5