Goldhorse Securities Limited Unit 4308, 43/F, COSCO Tower

183 Queen’s Road Central, Hong Kong

金馬證券有限公司 香港皇后大道中 183 號中遠大廈 43 樓 4308 室
Participants of The Stock Exchange of Hong Kong Limited Tel 電話 : (852) 2153 3838
香港聯合交易所有限公司參與者 Fax 傳真 : (852) 3974 5275
SFC C.E. No. 證監會中央編號 : BFU406 E-mail 電郵 : cs@igoldhorse.com

Account Name Account Number

帳戶名稱： 宁德时代 帳戶號碼： 100054.002

Assessment Questionnaire on Knowledge of Derivative Products

衍生產品認識評估問卷

IMPORTANT INFORMATION FOR THIS ASSESSMENT 本評估重要須知：

• This “Assessment Questionnaire on Knowledge of Derivative Products” (“Assessment”) is designed to assist Goldhorse Securities Limited
(“GHSL”) in understanding the Client’s knowledge in derivative products and assessing whether the Client is suitable to purchase derivative
products.
本「衍生產品認識評估問卷」(「評估」) 用以協助金馬證券有限公司 (「金馬證券」) 了解客戶對衍生產品的認識，並評估客戶
是否適合認購衍生產品。

• For Clients who have “No knowledge of derivative products” and have already accepted GHSL’s explanation on the risks associated with
derivatives products, please complete this Assessment (must get 2 correct answers in 3 questions in each part).
如客戶過去並「沒有對衍生產品有認識」，並已接受金馬證券就相關衍生產品作出之風險解釋，請完成本評估 (每部分必須答對
3 條內其中 2 條)。

• Upon completing this Assessment, GHSL will inform the Client of the result of this Assessment. If the Client passes this Assessment, the
Client will be classified by GHSL as “having general knowledge of derivative products” and is suitable to purchase derivative products in
the above-mentioned account. Please note that the Client’s record will normally be updated within 3 business days upon receipt by GHSL.
當完成本評估，金馬證券將通知客戶是次評估結果。如客戶成功通過評估，客戶將被金馬證券分類為「對衍生產品有一般認識
的客戶」，並適合於上述帳戶認購衍生產品。客戶的記錄一般將於金馬證券收到資料後 3 個工作日內更新。

• The results of this Assessment are derived from information that the Client provided to GHSL. The Client must provide information that is
valid, true, complete, accurate and up-to-date. If the Client fails in doing so, it would affect the results of this Assessment and thereby the
Client’s investment decision.
本評估的結果乃根據客戶提供給金馬證券的資料得出。客戶需提供有效、真實、完整、準確及最新的資料。若客戶未能提供該
等資料，將影響本評估的結果，繼而影響客戶的投資決定。

• For joint account, the person(s) who is/are going to place order or operate the joint account must complete this Assessment.
如果此乃聯名帳戶，所有將會為此聯名帳戶下單或操作此聯名帳戶的持有人，均須完成此評估。

• Depending on the firm type, investment process and management structure, this Assessment shall be completed by the person(s) with whom
the investment decisions of the Company rest.
視乎公司類別、投資程序及管理架構，本評估必須由負責為公司作出投資決定的個人填寫。

• Please choose the most appropriate answer.

請選擇最適合的一項答案。

(Version 07/2022) 1
 Part 1: Interest in Trading Derivative Products 第一部分 – 衍生產品交易意向
1. Is the Client interested in trading Derivative Products? 客戶是否有意買賣衍生產品？
Yes, please proceed to Part 2 of this Assessment. 是，請繼續完成本評估的第二部分。
✔ No 沒有

Part 2: Assessment Questionnaire on Knowledge of Derivative Products 第二部分 – 衍生產品認識評估問卷

Callable Bull/Bear Contracts (“CBBCs”) 牛熊證
1. Can the residual value of CBBCs be zero after it was mandatory called?
牛熊證於強制回收後，其價值是否有機會等於零？ Yes 是 No 否

2. Is funding cost one of the risks for trading CBBCs?

融資成本是否牛熊證的其中一項風險？ Yes 是 No 否

3. Can investors continue to trade CBBCs after it was mandatory called?

牛熊證於強制回收後，投資者是否仍能進行買賣？ Yes 是 No 否

Derivative Warrants 衍生權證

1. Is issuer risk one of the risks for trading derivative warrants?
發行商風險是否買賣衍生權證的其中一項風險？ Yes 是 No 否

2. Is gearing risk one of the risks for trading derivative warrants?

槓桿風險是否買賣衍生權證的其中一項風險？ Yes 是 No 否

3. Is volatility risk one of the risks for trading derivative warrants?

波幅風險是否買賣衍生權證的其中一項風險？ Yes 是 No 否

Exchange Traded Funds (“ETFs”) 交易所買賣基金 (「ETF」)

1. Would the issuer of ETFs be classified as a financial institution that would not default nor bankrupt?
ETF 的發行商是否被視為不會失責或破產的金融機構？ Yes 是 No 否

2. Is foreign exchange risk one of the risks of ETFs?

外匯風險是否 ETF 的其中一項風險？ Yes 是 No 否

3. Is counterparty risk with different replication strategies one of the risks of ETFs?
不同複製策略涉及對手風險是否 ETF 的其中一項風險？ Yes 是 No 否

Leveraged and Inverse (“L&I”) Products 槓桿及反向產品

1. May investment in the L&I Products suffer substantial/total losses?
投資槓桿及反向產品是否有機會蒙受巨額/全盤損失？ Yes 是 No 否

2. If the L&I Product is a futures-based product, are high volatility, leverage, rollover and margin risks
one of the risks of the L&I Products?
如槓桿及反向產品是以期貨為基礎的產品，期貨合約風險 (如高波動性、槓桿作用、轉倉及保 Yes 是 No 否
證金風險) 是否槓桿及反向產品的其中一項風險？

3. May the manager of the L&I Products adopt any temporary defensive position when the index moves
in an unfavorable direction? Yes 是 No 否
槓桿及反向產品管理人是否會在指數向不利方向移動時採取臨時防禦措施？

Inline Warrants 界內證產品

1. Is Inline Warrants have Upper and Lower Strikes?
界內證是否設有上限價及下限價？ Yes 是 No 否

2. Is Inline Warrants have knockout barrier?

界內證是否有強制收回的風險？ Yes 是 No 否

3. Is Inline Warrants settled in cash only on the expiration date?

在到期日，界內證是否只會以現金結算？ Yes 是 No 否

** Please put a “✓” in the appropriate box. 請於適當空格內加上「✓」 號。

(Version 07/2022) 2
 Part 3: Client Declaration 第三部份 – 客戶聲明
The Client hereby confirms that the above information provided is true and complete. The Client also understands that GHSL relies on the above
information provided to assess whether the Client has acquired knowledge of derivative products, in order to comply with relevant requirements of the
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.
客戶確認上述資料完全真實及完整，並明白金馬證券將根據上述資料評估客戶是否擁有對衍生產品之認識，以符合證券及期貨事務監察委
員會持牌人或註冊人操守準則之有關要求。

The Client understands that the provision of information in this Assessment is voluntary for the purpose of the Client’s derivative knowledge assessment.
If the Client fails to provide the information, this Assessment will not be processed.
客戶明白於本評估上提供資料為評估客戶對衍生產品的認識是自願的。倘客戶未能提供有關資料，是次評估將不獲處理。

S.V
.
2022-08-25 16:14:05 2022-08-25
Client Signature 客戶簽署 Date 日期

宁德时代
Client Name 客戶姓名

For Internal Use Only 只供內部使用

1. Details – Phone Assessment (Complete this part if this Assessment was conducted via recorded office phone)
Call Date/Time:
Date: _______________________________________ Time: ______________________________________
Phone Number:

Handled the Phone Assessment Name: Signature: Date:

by CS Department:

Voice Record Checked Name: Signature: Date:

by CS Department:

2. Assessment Result (The Client is required to answer at least 2 out of 3 questions correctly for each part in order to pass)
Client’s Result
□ Passed (“Have knowledge of Derivative Products”) □ Failed (“No knowledge of Derivative Products”)

Client Result Notification

□ Face-to-Face □ Telephone, Recorded phone number: ________________; Date: ______________; Time: ______________

3. Assessment Approved by GHSL

Handled this Assessment Name: Signature: Date:
by CS Department:

Reviewed this Assessment Name: Signature: Date:

by CS Department:

Input Name: Signature: Date:

by CS Department:

Checked Name: Signature: Date:

by CS Department:

(Version 07/2022) 3