Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

1546063D.CN Aero Engine Corporation of China N.A. 2021-01-12 CAICPZ.CN Aviation Industry Corporation of China (AVIC) N.A. 2021-01-12 510270.CH SSE EN 100 ETF CNE099900449 B6QN5D2 2021-01-27 510010.CH BCOMM SCHRODER SSE180 ETF CNE0999003G6 B557Z83 2021-01-27 510270.SS BOC SSE STATE-OWNED ENTERPRISES 100 ETF CNE099900449 2021-01-27 510010.SS BOCOM SSE 180 CORPORATE GOVERNANCE INDEX ETF CNE0999003G6 2021-01-27 159811.SZ BOSERA CSI 5G INDUSTRY 50 ETF 159811.SZ 2021-01-27 512960.SS BOSERA CSI CENTRAL-SOES STRC REFORM IDX ETF FUND CNE100003HL1 2021-01-27 515900.SS BOSERA CSI CENTRAL-SOES TECH INNOV IDX ETF FD 515900.SS 2021-01-27 159968.SZ BOSERA CSI SMALLCAP 500 INDEX EXCHANGE TRADED FUND159968.SZ 2021-01-27 515090.SS BOSERA CSI SUSTAINABLE DEVELOPMENT INDEX ETF 515090.SS 2021-01-27 512960.CH BOSERA SOE STRCTRL REFM ETF CNE100003HL1 BJCZ0T4 2021-01-27 510710.SS BOSERA SSE 50 ETF FUND 510710.SS 2021-01-27 510020.CH BOSERA SSE LARGE CAP ETF CNE100000QX3 B3W2QM82021-01-27 510020.SS BOSERA SSE MEGA CAP INDEX ETF CNE100000QX3 2021-01-27 513660.CH C-AMC SH-HK STOCK CN HSI ETF CNE1000028V7 BVL80K9 2021-01-27 159954.CH C-S HANG SENG CHINA ENT CNE100003837 BFXSF88 2021-01-27 512950.CH CAMC SOES STRCTRL REFM ETF CNE100003HM9 BJCZ0X8 2021-01-27 00743.TT CATHAY FTSE CHINA A150 ETF TW0000074301 BG1XLM8 2021-01-27 00743.TW CATHAY FTSE CHINA A150 ETF TW0000074301 2021-01-27 513680.CH CCB PP HK HANGSENG EP ETF CNE100003HC0 BJ2KSH3 2021-01-27 513680.SS CCB PRINCIPAL HANG SENG CHINA ENTERPRISES ETF FUND CNE100003HC0 2021-01-27 510800.SS CCB PRINCIPAL SSE 50 INDEX ETF CNE100002S64 2021-01-27 510090.SS CCB PRINCIPAL SSE SOCIAL RESPONSIBILITY INDEX ETF CNE100000TH0 2021-01-27 159916.SZ CCB PRINCIPAL SZFI 60 INDEX ETF CNE100001856 2021-01-27 159916.CH CCB F60 INDEX ETF CNE100001856 B6VSF65 2021-01-27 510090.CH CCB SOC RESPONSIBILITY ETF CNE100000TH0 B3MQ1Y7 2021-01-27 510800.CH CCB SSE 50 INDEX ETF CNE100002S64 2021-01-27 94C CGN Power Co Ltd CNE100001T80 BT9Q3X5 2021-01-07 003816.C2 CGN POWER CO LTD-A CNE100003N43 BKT6GZ5 2021-01-07 003816.CH CGN POWER CO LTD-A CNE100003N43 BJ9MMN6 2021-01-07 1056701D.HK CGN POWER CO LTD-H CNE100001T80 2021-01-07 1816.HK CGN POWER CO LTD-H CNE100001T80 BSBMM04 2021-01-07 CGNWF.US CGN POWER CO LTD-H CNE100001T80 BJ5RY28 2021-01-07 510050.SS CHINA 50 EXCHANGE TRADED OPEN-END INDEX FUND ETF CNE000001LM6 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

1268213D.CN China Academy of Launch Vehicle Technology (CALT) N.A. 2021-01-12 CASZ.CN China Aerospace Science and Industry Corporation (CASIC) N.A. 2021-01-12 CASTCZ.CN China Aerospace Science and Technology Corporation (CASC) N.A. 2021-01-12 510330.SS CHINA AMC CSI 300 CNE0999004C3 2021-01-27 510330.CH CHINA AMC CSI 300 INDEX ETF CNE0999004C3 B7XL0R5 2021-01-27 1575.JP CHINA AMC CSI 300 JDR JP5344090005 B9JB589 2021-01-27 512500.CH CHINA AMC CSI 500 ETF CNE1000028Y1 BYPC5N6 2021-01-27 159920.CH CHINA AMC HANG SENG ETF CNE100001M87 B3PLFM5 2021-01-27 510050.CH CHINA AMC SSE50 ETF CNE000001LM6 B05GVN2 2021-01-27 CCCGY.US CHINA COMMUNICATI-UNSPON ADR US1689261030 B3KWPZ6 2021-01-07 601800.C1 CHINA COMMUNICATIONS CONST-A CNE100001FN5 BP3R3C5 2021-01-07 601800.CH CHINA COMMUNICATIONS CONST-A CNE100001FN5 B6Y7DS7 2021-01-07 1800.HK CHINA COMMUNICATIONS CONST-H CNE1000002F5 B1JKTQ6 2021-01-07 CCCGF.US CHINA COMMUNICATIONS CONST-H CNE1000002F5 B1MT2B6 2021-01-07 CYY.GY CHINA COMMUNICATIONS CONST-H CNE1000002F5 B1L7ZX4 2021-01-07 1800.H1 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800.H2 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800N.B3 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800N.L1 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800N.L3 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800N.PO China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 1800N.S2 China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 601800.CN China Communications Construction Company (CCCC) CNE100001FN5 2021-01-07 CYY.GR China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 CYY.GZ China Communications Construction Company (CCCC) CNE1000002F5 2021-01-07 510500.CH CHINA CSI 500 ETF CNE099900464 B9LC687 2021-01-27 CHELEZ.CN China Electronics Corporation (CEC) N.A. 2021-01-12 CETCGZ.CN China Electronics Technology Group Corporation (CETC) N.A. 2021-01-12 003816.CN China General Nuclear Power Corp. CNE100003N43 2021-01-07 1816.H1 China General Nuclear Power Corp. CNE100001T80 2021-01-07 1816.H2 China General Nuclear Power Corp. CNE100001T80 2021-01-07 1816N.B3 China General Nuclear Power Corp. CNE100001T80 2021-01-07 1816N.L1 China General Nuclear Power Corp. CNE100001T80 2021-01-07 1816N.L3 China General Nuclear Power Corp. CNE100001T80 2021-01-07 1816N.PO China General Nuclear Power Corp. CNE100001T80 2021-01-07

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

1816N.S2 China General Nuclear Power Corp. CNE100001T80 2021-01-07 94C.GR China General Nuclear Power Corp. CNE100001T80 2021-01-07 94C.TH China General Nuclear Power Corp. CNE100001T80 2021-01-07 CGNPCZ.CN China General Nuclear Power Corp. N.A. 2021-01-12 159907.SZ CHINA GF SZSE SME300 INDEX ETF CNE1000018G9 2021-01-27 510380.CH CHINA LIFE AMP CSI 300 ETF CNE100002SJ4 BF598Q8 2021-01-27 510380.SS CHINA LIFE AMP CSI 300 INDEX ETF CNE100002SJ4 2021-01-27 510560.CH CHINA LIFE AMP CSI 500 ETF CNE0999009T6 BYX23Z6 2021-01-27 510560.SS CHINA LIFE AMP ETF CNE0999009T6 2021-01-27 159909.CH CHINA MERCHANTS SZSE TMT50 CNE100001872 B4136Q3 2021-01-27 0HX8.LN -SPON ADR - CDI US16941M1099 BG05RW7 2021-01-07 941.H1 China Mobile Communications Group HK0941009539 2021-01-07 941.H2 China Mobile Communications Group HK0941009539 2021-01-07 CHMOBZ.CN China Mobile Communications Group N.A. 2021-01-12 CHT.SW China Mobile Communications Group HK0941009539 2021-01-07 CTM.GR China Mobile Communications Group HK0941009539 2021-01-07 CTM.GZ China Mobile Communications Group HK0941009539 2021-01-07 CTM.QT China Mobile Communications Group HK0941009539 2021-01-07 CTM.TH China Mobile Communications Group HK0941009539 2021-01-07 CTMA.GR China Mobile Communications Group US16941M1099 2021-01-07 CTMA.SW China Mobile Communications Group US16941M1099 2021-01-07 941.HK CHINA MOBILE LTD HK0941009539 6073556 2021-01-07 CHLKF.US CHINA MOBILE LTD HK0941009539 B01DDV9 2021-01-07 CHT.SE CHINA MOBILE LTD HK0941009539 BRTM834 2021-01-07 CMOB.LI CHINA MOBILE LTD HK0941009539 B162JB0 2021-01-07 CTM.GY CHINA MOBILE LTD HK0941009539 5563575 2021-01-07 CTMA China Mobile Ltd US16941M1099 BMHZYM12021-01-07 CHL.US CHINA MOBILE LTD-SPON ADR US16941M1099 2111375 2021-01-07 CHLN.MM CHINA MOBILE LTD-SPON ADR US16941M1099 B2Q4173 2021-01-07 CHLX.SP CHINA MOBILE LTD-SPON ADR US16941M1099 B3MK4G2 2021-01-07 CHML.SP CHINA MOBILE LTD-SPON ADR US16941M1099 B3MK4G2 2021-01-07 CML.SP CHINA MOBILE LTD-SPON ADR US16941M1099 B3MK4G2 2021-01-07 CTMA.GY CHINA MOBILE LTD-SPON ADR US16941M1099 5360163 2021-01-07 C1HL34.BZ CHINA MOBILE-BDR BRC1HLBDR003 BN44XY3 2021-01-07 601117.CN China National Chemical Corporation (ChemChina) CNE100000KC0 2021-01-07

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

CHNCCZ.CN China National Chemical Corporation (ChemChina) N.A. 2021-01-12 ZHJTTZ.CN China National Chemical Engineering Group Co., Ltd. (CNCEC) N.A. 2021-01-12 601117.C1 CHINA NATIONAL CHEMICAL-A CNE100000KC0 BP3R4J9 2021-01-07 601117.CH CHINA NATIONAL CHEMICAL-A CNE100000KC0 B58R0Z2 2021-01-07 601985.CN China National Nuclear Corp. CNE1000022N7 2021-01-07 CNNZ.CN China National Nuclear Corp. N.A. 2021-01-12 601985.C1 CHINA NATIONAL NUCLEAR POW-A CNE1000022N7 BYQDNJ0 2021-01-07 601985.CH CHINA NATIONAL NUCLEAR POW-A CNE1000022N7 BYL7784 2021-01-07 CNIZ.CN China North Industries Group Corporation ( Group) N.A. 2021-01-12 601611.C1 CHINA NUCLEAR ENGINEERING -A CNE100002896 BYV1VD9 2021-01-07 601611.CH CHINA NUCLEAR ENGINEERING -A CNE100002896 BYY7YM4 2021-01-07 CWYCY.US CHINA RAILWAY CONS-UNSPN ADR US16947L1052 B3F9NV4 2021-01-07 1186.H1 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186.H2 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186N.B3 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186N.L1 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186N.L3 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186N.PO China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 1186N.S2 China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 4FF.GR China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 4FF.QT China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 4FF.TH China Railway Construction Corporation (CRCC) CNE100000981 2021-01-07 601186.CN China Railway Construction Corporation (CRCC) CNE1000009T1 2021-01-07 601186.C1 CHINA RAILWAY CONSTRUCTION-A CNE1000009T1 BP3R381 2021-01-07 601186.CH CHINA RAILWAY CONSTRUCTION-A CNE1000009T1 B2PPPG4 2021-01-07 1186.HK CHINA RAILWAY CONSTRUCTION-H CNE100000981 B2PFVH7 2021-01-07 4FF.GY CHINA RAILWAY CONSTRUCTION-H CNE100000981 B2Q4J02 2021-01-07 CWYCF.US CHINA RAILWAY CONSTRUCTION-H CNE100000981 B2RJ1K0 2021-01-07 510160.CH CHINA SECURITY SOUTHERN ETF CNE0999003P7 B5SQ178 2021-01-27 600482.C1 CHINA SHIPBUILDING INDUSTR-A CNE000001KB1 BP3RG71 2021-01-12 600482.CH CHINA SHIPBUILDING INDUSTR-A CNE000001KB1 B01WHX6 2021-01-12 601989.C1 CHINA SHIPBUILDING INDUSTR-A CNE100000J75 BP3R2R3 2021-01-07 601989.CH CHINA SHIPBUILDING INDUSTR-A CNE100000J75 B4X9DB3 2021-01-07 600482.CN China Shipbuilding Industry Corporation (CSIC) CNE000001KB1 2021-01-12 601989.CN China Shipbuilding Industry Corporation (CSIC) CNE100000J75 2021-01-07

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

CSIZ.CN China Shipbuilding Industry Corporation (CSIC) N.A. 2021-01-12 159902.CH CHINA SME ETF CNE000001MW3 B2Q4L51 2021-01-27 CSIGCZ.CN China South Industries Group Corporation (CSGC) N.A. 2021-01-12 512100.SS CHINA SOUTHERN CSI 1000 INDEX ETF FUND 512100.SS 2021-01-27 512200.SS CHINA SOUTHERN CSI ALL SHARE REAL ESTATE INDEX ETF CNE100002SD7 2021-01-27 159954.SZ CHINA SOUTHERN HANG SENG CHINA INDEX FUND ETF CNE100003837 2021-01-27 513600.SS CHINA SOUTHERN HANG SENG ETF CNE1000028X3 2021-01-27 600118.CG China Spacesat CNE000000SM3 2021-01-07 600118.CN China Spacesat CNE000000SM3 2021-01-07 600118.C1 CHINA SPACESAT CO LTD -A CNE000000SM3 BP3R5Y1 2021-01-07 600118.CH CHINA SPACESAT CO LTD -A CNE000000SM3 6018858 2021-01-07 601668.C1 CHINA STATE CONSTRUCTION -A CNE100000F46 BP3R2Q2 2021-01-07 601668.CH CHINA STATE CONSTRUCTION -A CNE100000F46 B3Y6LV2 2021-01-07 601668.CN China State Construction Group Co., Ltd. CNE100000F46 2021-01-07 CSECCZ.CN China State Construction Group Co., Ltd. N.A. 2021-01-12 CHCD.LI CHINA TELECOM CORP LTD CNE1000002V2 B16PQ74 2021-01-07 CHA.SP CHINA TELECOM CORP LTD-ADR US1694261033 B3MKH96 2021-01-07 CHA.US CHINA TELECOM CORP LTD-ADR US1694261033 2026565 2021-01-07 ZCHA.GY CHINA TELECOM CORP LTD-ADR US1694261033 B00D4P1 2021-01-07 CHA.AR CHINA TELECOM CORP LTD-CEDEA ARDEUT114014 B1C5T02 2021-01-07 CHAB.AR CHINA TELECOM CORP LTD-CEDEA ARDEUT114014 B1C5T02 2021-01-07 CHAC.AR CHINA TELECOM CORP LTD-CEDEA ARDEUT114014 N.A. 2021-01-07 CHAD.AR CHINA TELECOM CORP LTD-CEDEA ARDEUT114014 N.A. 2021-01-07 728.HK CHINA TELECOM CORP LTD-H CNE1000002V2 6559335 2021-01-07 CHJHF.US CHINA TELECOM CORP LTD-H CNE1000002V2 B01XKW9 2021-01-07 ZCH.GY CHINA TELECOM CORP LTD-H CNE1000002V2 B06KKC5 2021-01-07 728.H1 China Telecommunications Corp. CNE1000002V2 2021-01-07 728.H2 China Telecommunications Corp. CNE1000002V2 2021-01-07 728N.B3 China Telecommunications Corp. CNE1000002V2 2021-01-07 728N.L1 China Telecommunications Corp. CNE1000002V2 2021-01-07 728N.L3 China Telecommunications Corp. CNE1000002V2 2021-01-07 728N.PO China Telecommunications Corp. CNE1000002V2 2021-01-07 728N.S2 China Telecommunications Corp. CNE1000002V2 2021-01-07 CNTELZ.CN China Telecommunications Corp. N.A. 2021-01-12 ZCH.GR China Telecommunications Corp. CNE1000002V2 2021-01-07

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

ZCH.GZ China Telecommunications Corp. CNE1000002V2 2021-01-07 ZCH.TH China Telecommunications Corp. CNE1000002V2 2021-01-07 ZCHA.GR China Telecommunications Corp. US1694261033 2021-01-07 ZCHA.GZ China Telecommunications Corp. US1694261033 2021-01-07 CIWGCZ.CN China Three Gorges Corporation Limited N.A. 2021-01-12 CJSXGZ.CN China Three Gorges Corporation Limited N.A. 2021-01-12 762.HK HONG KONG LTD HK0000049939 6263830 2021-01-07 CHUFF.US CHINA UNICOM HONG KONG LTD HK0000049939 B01XKX0 2021-01-07 XCI.GY CHINA UNICOM HONG KONG LTD HK0000049939 4101374 2021-01-07 CHU.SP CHINA UNICOM HONG KONG-ADR US16945R1041 B3N2QJ4 2021-01-07 CHU.US CHINA UNICOM HONG KONG-ADR US16945R1041 2603496 2021-01-07 CHUN.MM CHINA UNICOM HONG KONG-ADR US16945R1041 B5NBMQ4 2021-01-07 XCIA.GY CHINA UNICOM HONG KONG-ADR US16945R1041 4006479 2021-01-07 0A2F.LN CHINA UNICOM HONG-ADR-CDI US16945R1041 BK5MT92 2021-01-07 600050.CN China United Network Communications Group Co Ltd CNE000001CS2 2021-01-07 762.H1 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762.H2 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762N.B3 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762N.L1 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762N.L3 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762N.PO China United Network Communications Group Co Ltd HK0000049939 2021-01-07 762N.S2 China United Network Communications Group Co Ltd HK0000049939 2021-01-07 XCI.GR China United Network Communications Group Co Ltd HK0000049939 2021-01-07 XCI.GZ China United Network Communications Group Co Ltd HK0000049939 2021-01-07 XCI.SW China United Network Communications Group Co Ltd HK0000049939 2021-01-07 XCI.TH China United Network Communications Group Co Ltd HK0000049939 2021-01-07 XCIA.GR China United Network Communications Group Co Ltd US16945R1041 2021-01-07 XCIA.QT China United Network Communications Group Co Ltd US16945R1041 2021-01-07 XCIA.SW China United Network Communications Group Co Ltd US16945R1041 2021-01-07 600050.C1 CHINA UNITED NETWORK-A CNE000001CS2 BP3R2X9 2021-01-07 600050.CH CHINA UNITED NETWORK-A CNE000001CS2 6547998 2021-01-07 515310.SS CHINA UNIVERSAL CSI 300 INDEX ETF FUND 515310.SS 2021-01-27 515800.SS CHINA UNIVERSAL CSI 800 INDEX ETF FUND 515800.SS 2021-01-27 515990.SS CHINA UNIVERSAL CSI SOES ALONG BELT AND RD INDEX FUND515990.SS 2021-01-27 512650.SS CHINA UNIVERSAL CSI YANGTZE DELTA AREA DEV ETF 512650.SS 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

159912.CH CHINA UNIVERSAL SZSE 300 CNE100001H92 B5KNVN3 2021-01-27 7373.HK CHINAAMC CSI 300 IDX -1X ETF HK0000628104 BLPHTG1 2021-01-27 7272.HK CHINAAMC CSI 300 IDX 2X ETF HK0000628096 BLPHTJ4 2021-01-27 83188.HK CHINAAMC CSI 300 IDX ETF-CNY HK0000110269 B87KV61 2021-01-25 3188.HK CHINAAMC CSI 300 IDX ETF-HKD HK0000123577 B4LF1K8 2021-01-18 CHMCF.US CHINAAMC CSI 300 IDX ETF-HKD HK0000123577 B99KTN9 2021-01-18 QCA1.GY CHINAAMC CSI 300 IDX ETF-HKD HK0000123577 BWV05W92021-01-18 512500.SS CHINAAMC CSI 500 ETF FUND CNE1000028Y1 2021-01-27 515070.SS CHINAAMC CSI ARTIFICIAL INTELLIGENCE IDX ETF FUND 515070.SS 2021-01-27 512950.SS CHINAAMC CSI CENTRAL-SOES STRC REFORM IDX ETF CNE100003HM9 2021-01-27 159920.SZ CHINAAMC EXCHANGE TRADED FUND CNE100001M87 2021-01-27 513660.SS CHINAAMC SH-HK STOCK CONNECT HANG SENG ETF CNE1000028V7 2021-01-27 159975.SZ CMF SZE 100 INDEX ETF FUND 159975.SZ 2021-01-27 513600.CH CN-S HENG SENG INDEX ETF CNE1000028X3 BV9FZ30 2021-01-27 515660.SS CPIC CSI 300 INDEX ETF FUND CNE100003X25 2021-01-27 C2L CRRC Corp Ltd CNE100000BG0 B3CSBD2 2021-01-07 1766.HK CRRC CORP LTD - H CNE100000BG0 B2R2ZC9 2021-01-07 CRRRF.US CRRC CORP LTD - H CNE100000BG0 2021-01-07 CRCCY.US CRRC CORP LTD ADR-UNSPONSOR US12651K1025 BYQFSR9 2021-01-07 601766.C1 CRRC CORP LTD-A CNE100000CP9 BP3R358 2021-01-07 601766.CH CRRC CORP LTD-A CNE100000CP9 B3CPT84 2021-01-07 1766.H1 CRRC Corp. CNE100000BG0 2021-01-07 1766.H2 CRRC Corp. CNE100000BG0 2021-01-07 1766N.B3 CRRC Corp. CNE100000BG0 2021-01-07 1766N.L1 CRRC Corp. CNE100000BG0 2021-01-07 1766N.L3 CRRC Corp. CNE100000BG0 2021-01-07 1766N.PO CRRC Corp. CNE100000BG0 2021-01-07 1766N.S2 CRRC Corp. CNE100000BG0 2021-01-07 601766.CN CRRC Corp. CNE100000CP9 2021-01-07 C2L.GR CRRC Corp. CNE100000BG0 2021-01-07 C2L.GZ CRRC Corp. CNE100000BG0 2021-01-07 C2L.QT CRRC Corp. CNE100000BG0 2021-01-07 C2L.TH CRRC Corp. CNE100000BG0 2021-01-07 512930.SS CSI AI ETF CNE100003L37 2021-01-27 510160.SS CSI SOUTHERN WELL-OFF INDUSTRY INDEX ETF CNE0999003P7 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

7333.HK CSOP CSI 300 INDEX -1X ETF HK0000629649 BMXTWR82021-01-27 7233.HK CSOP CSI 300 INDEX 2X ETF HK0000629656 BMXTWY52021-01-27 3005.HK CSOP CSI 500 ETF HKD HK0000578549 BLB6CW9 2021-01-27 83005.HK CSOP CSI 500 ETF RMB HK0000578531 BLB6CN0 2021-01-27 159923.CH DACHENG CSI 100 ETF CNE100001PN4 B9BP1G9 2021-01-27 510440.SS DACHENG CSI 500 SSE STOCKS INDEX ETF CNE1000028J2 2021-01-27 510440.CH DACHENG CSI 500 STOCK ETF CNE1000028J2 B8FB0S1 2021-01-27 159943.CH DACHENG SZSE COMPONENT ETF CNE1000029N2 BZ2JCJ2 2021-01-27 159943.SZ DACHENG SZSE COMPONENT INDEX ETF FUND CNE1000029N2 2021-01-27 603019.C1 DAWNING INFORMATION INDUST-A CNE100001TW7 BZ0D207 2021-01-07 603019.CH DAWNING INFORMATION INDUST-A CNE100001TW7 BRKB8G3 2021-01-07 603019.CN Dawning Information Industry Co (Sugon) CNE100001TW7 2021-01-07 510900.CH E FUND CHINA ENTERPRISES ETF CNE100001MG5 B8P54P8 2021-01-27 510310.SS E FUND CSI 300 CNE100001NS8 2021-01-27 510310.CH E FUND CSI 300 ETF CNE100001NS8 BBPRDP8 2021-01-27 515810.SS E FUND CSI 800 INDEX ETF FUND 515810.SS 2021-01-27 512560.CH E FUND CSI MILITARY INDU ETF CNE100002SC9 BF2VVF7 2021-01-27 512560.SS E FUND CSI NATIONAL DEFENSE INDEX ETF CNE100002SC9 2021-01-27 515110.SS E FUND CSI SOES ALONG BELT AND ROAD INDEX ETF 515110.SS 2021-01-27 159807.SZ E FUND CSI TECHNOLOGY 50 INDEX ETF 159807.SZ 2021-01-27 510900.SS E FUND HANG SENG CHINA ENTERPRISES INDEX ETF CNE100001MG5 2021-01-27 83100.HK E FUND HK CSI300 ASHARE ETF HK0000111275 B4PH2L8 2021-01-27 3100.HK E FUND HK CSI300 ASHARE HKD HK0000126661 B7T9YQ0 2021-01-27 159901.SZ E FUND SHENZHEN 100 ETF CNE000001MV5 2021-01-27 510100.CH E FUND SSE 50 ETF CNE100003KZ5 BJYMBS9 2021-01-27 510100.SS E FUND SSE 50 INDEX ETF CNE100003KZ5 2021-01-27 510130.CH E FUND SSE MID-CAP ETF CNE0999003J0 B3TMB48 2021-01-27 510130.SS E FUND SSE MID-CAP ETF CNE0999003J0 2021-01-27 159901.CH E FUND SZSE100 INDEX FUND CNE000001MV5 B39QTC4 2021-01-27 515860.SS EMERGIN TECH 100 ETF 515860.SS 2021-01-27 512710.CH FG CSI MLTR LD ENTRPRSS ETF CNE100003L03 BK6VQN1 2021-01-27 006207.TW FH CSI300 ETF TW0000062074 2021-01-27 512810.CH FORTUNE SG CSI MILITARY ETF CNE100002B14 BD81BL3 2021-01-27 512810.SS FORTUNE SG CSI NATIONAL DEFENSE ETF CNE100002B14 2021-01-27 510030.SS FORTUNE SG SSE 180 VALUE ETF CNE0999003K8 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

515360.SS FOUNDER FUBON CSI 300 INDEX ETF FUND 515360.SS 2021-01-27 510550.CH FOUNDER FUBON CSI 500 ETF CNE100003H74 BGPBPG0 2021-01-27 510550.SS FOUNDER FUBON CSI 500 INDEX ETF FUND CNE100003H74 2021-01-27 159961.CH FOUNDER FUBON SZSE 100 ETF CNE100003FZ5 BHNZKY4 2021-01-27 159961.SZ FOUNDER FUBON SZSE 100 PRICE INDEX ETF FUND CNE100003FZ5 2021-01-27 00783.TT FUBON CH CSI 500 INDEX ETF TW0000078302 BJVKHT9 2021-01-27 00700.TW FUBON HANG SENG H-SHARE ETF TW0000070002 2021-01-27 00700.TT FUBON HANG SHENG CN EN ETF TW0000070002 BF2VVP7 2021-01-27 00783.TW FUBON MULTIPLE INCOME II ETF UMBRELLA FUND-FUBON CHINATW0000078302 CSI 500 INDEX ETF 2021-01-27 006205.TW FUBON SSE 180 CHINA TRACKER ETF FUND TW0000062058 2021-01-27 00625K.TW FUBON SSE 180 ETF TW00000625K4 2021-01-27 006205.TT FUBON SSE 180 INDEX ETF TW0000062058 B43JRH7 2021-01-27 00625K.TT FUBON SSE 180 INDEX ETF-RMB TW00000625K4 BZ5Z8X3 2021-01-27 00633L.TT FUBON SSE180 LEV 2X IN ETF TW00000633L6 BSQX912 2021-01-27 00633L.TW FUBON SSE180 LEVERAGED 2X INDEX FUND TW00000633L6 2021-01-27 00639.TT FUBON SZSE 100 ETF TW0000063908 BZ07BR9 2021-01-27 00639.TW FUBON SZSE 100 ETF (EQUITY ETF) TW0000063908 2021-01-27 006207.TT FUH HWA CSI 300 A SHARES ETF TW0000062074 B8N4480 2021-01-27 159974.SZ FULLGOAL CSI CENTRAL-SOES TECH INNOVATION IDX ETF 159974.SZ 2021-01-27 512710.SS FULLGOAL CSI MILITARY TOP INDEX ETF FUND CNE100003L03 2021-01-27 515150.SS FULLGOAL CSI SOES ALONG BELT AND ROAD IDX ETF 515150.SS 2021-01-27 515750.SS FULLGOAL CSI TECHNOLOGY 50 STRATEGY INDEX ETF FUND515750.SS 2021-01-27 159963.SZ FULLGOAL HANG SENG CHINA ENTERPRISES INDEX ETF FD 159963.SZ 2021-01-27 510210.CH FULLGOAL SCI INDEX ETF CNE0999003Z6 B5239K4 2021-01-27 510210.SS FULLGOAL SCI INDEX ETF CR CNE0999003Z6 2021-01-27 512910.CH GF CSI 100 ETF CNE100003KQ4 BGMG922 2021-01-27 512910.SS GF CSI 100 INDEX ETF FUND CNE100003KQ4 2021-01-27 510360.SS GF CSI 300 ETF 510360.SS 2021-01-27 510510.SS GF CSI 500 CNE1000028H6 2021-01-27 159939.CH GF CSI ALL SH INFOR TECH ETF CNE1000037Q8 BVVJ8K8 2021-01-27 515600.SS GF CSI CENTRAL-SOES TECH INNOVATION INDEX ETF FUND 515600.SS 2021-01-27 512680.SS GF CSI NATIONAL DEFENSE ETF FUND 512680.SS 2021-01-27 159936.SZ GF SZSE CONSUMER ALL SHARE CONSUMER DISCRETIONARY159936.SZ ETF (CNY) 2021-01-27 159939.SZ GF SZSE CSI IT ETF CNE1000037Q8 2021-01-27 515660.CH GTJA ALLIANZ CSI 300 ETF CNE100003X25 BG0WP57 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

510510.CH GUANGFA CSI 500 ETF CNE1000028H6 BB36RK0 2021-01-27 159907.CH GUANGFA SZSE SEM300 FUND ETF CNE1000018G9 B6VTM12 2021-01-27 515880.SS GUOTAI CSI ALL SHARE COMM EQUIPMENT INDEX ETF 515880.SS 2021-01-27 512720.SS GUOTAI CSI COMPUTER INDEX ETF FUND CNE100003L11 2021-01-27 512720.CH GUOTAI CSI COMPUTER THM ETF CNE100003L11 BK9Z0C7 2021-01-27 512660.CH GUOTAI CSI NATIONAL DEFENSE CNE100002953 BDCSCJ5 2021-01-27 512660.SS GUOTAI CSI NATIONAL DEFENSE ETF CNE100002953 2021-01-27 512260.CH HA CSI 500 NEUTRAL L-VLT ETF CNE100003HG1 BHTD406 2021-01-27 2811.HK HAITONG CSI 300 INDEX ETF-HD HK0000179355 BJ05PW4 2021-01-27 82811.HK HAITONG CSI 300 INDEX ETF-RB HK0000179348 BJ05PR9 2021-01-27 82828.HK HANG SENG CH ENTP IND ETF-RM HK0000251360 BYM1D32 2021-01-27 3128.HK HANG SENG CHINA A TOP ETF HK HK0000159977 BCZXJ66 2021-01-27 83128.HK HANG SENG CHINA A TOP ETF RB HK0000159969 BCZXGP4 2021-01-27 1HSA.GY HANG SENG CHINA ENT IND ETF HK2828013055 BWV6DK1 2021-01-27 2828.HK HANG SENG CHINA ENT IND ETF HK2828013055 6724092 2021-01-27 HSXUF.US HANG SENG CHINA ENT IND ETF HK2828013055 B01XXN1 2021-01-27 0080.TT HANG SENG H-SHARE IND ETF-HK HK2828013055 B3X9PM1 2021-01-27 83130.HK HANG SENG HARVEST CSI300 CNY HK0000638731 BNHR082 2021-01-27 3130.HK HANG SENG HARVEST CSI300 HKD HK0000638723 BNHR071 2021-01-27 0081.TT HANG SENG INDEX ETF-HKD HK2833027330 B3YVQR8 2021-01-27 2833.HK HANG SENG INDEX ETF-HKD HK2833027330 B02V6C4 2021-01-27 82833.HK HANG SENG INDEX ETF-RMB HK0000252970 BYM1D54 2021-01-27 002415.CN Hangzhou Digital Technology Co., Ltd. (Hikvision) CNE100000PM8 2021-01-07 002415.C2 HANGZHOU HIKVISION DIGITAL-A CNE100000PM8 BD5CPQ2 2021-01-07 002415.CH HANGZHOU HIKVISION DIGITAL-A CNE100000PM8 B450X03 2021-01-07 515980.SS HARFOR CSI AI INDUSTRY IDX ETF 515980.SS 2021-01-27 159951.CH HARVEST CNI A SHARE INDEX CNE100003G34 BF0PQP6 2021-01-27 159951.SZ HARVEST CNI Z A-SHARE INDEX ETF FUND CNE100003G34 2021-01-27 515300.SS HARVEST CSI 300 DIVIDEND LOW VOLATILITY IDX ETF 515300.SS 2021-01-27 159919.SZ HARVEST CSI 300 ETF CNE100001FX4 2021-01-27 159919.CH HARVEST CSI 300 INDEX ETF CNE100001FX4 B4RLJ84 2021-01-27 159922.CH HARVEST CSI 500 ETF CNE100001PC7 B8BSGG6 2021-01-27 515680.SS HARVEST CSI CENTRAL-SOES TECH INNOVATION IDX ETF 515680.SS 2021-01-27 512750.SS HARVEST CSI RAFI 50 INDEX ETF CNE100003KP6 2021-01-27 512750.CH HARVEST CSI RAFI 50 INDX ETF CNE100003KP6 BK6L545 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

159823.SZ HARVEST HANG SENG CHINA ENTERPRISES ETF (QDII) CNE1000045B3 2021-01-27 159910.CH HARVEST SHENZHEN F120 ETF CNE100001864 B4VRZT1 2021-01-27 513900.SS HUA AN CES STOCK CONNECT HK SELECT 100 INDEX ETF CNE100003100 2021-01-27 515390.SS HUA AN CSI 300 INDEX ETF FUND 515390.SS 2021-01-27 512270.SS HUA AN CSI 300 SECTOR NEUT LOW VOLATILITY ETF CNE100003H58 2021-01-27 512260.SS HUA AN CSI 500 SECTOR NEUTRAL LOW-VOL IDX ETF CNE100003HG1 2021-01-27 510190.SS HUA AN SSE INDUSTRY TOP ETF CNE0999003S1 2021-01-27 513900.CH HUAAN CES HKST SLCT100 ETF CNE100003100 BZ16Z06 2021-01-27 512270.CH HUAAN CSI300SN L-VLTLT ETF CNE100003H58 BJ5PXV4 2021-01-27 510190.CH HUAAN SSE IND TOP INDEX ETF CNE0999003S1 B67ZZX7 2021-01-27 510300.CH HUATAI-PB CSI 300 ETF CNE100001DN0 B7TZ4K2 2021-01-27 510300.SS HUATAI-PB CSI 300 ETF CNE100001DN0 2021-01-27 512510.CH HUATAI-PB CSI 500 ETF CNE100002961 BZ0YD29 2021-01-27 515580.SS HUATAI-PB CSI TECHNOLOGY 100 INDEX ETF FUND 515580.SS 2021-01-27 510220.CH HUATAI-PIN SSE MED-SMALL ETF CNE099900407 B45HJT5 2021-01-27 510220.SS HUATAI-PINEBRIDGE SSE MID & SMALL CAP CR CNE099900407 2021-01-27 KMCACZ.CN N.A. 2021-01-12 159823.CH HV HS CHINA ETP IDX ETF QDII CNE1000045B3 BMF7C70 2021-01-27 515000.SS HWABAO WP CSI TECHNOLOGY TOP INDEX ETF FUND 515000.SS 2021-01-27 510060.CH ICBC CRED SUISSE CENT 50 ETF CNE100000H93 B5TRBK3 2021-01-27 510350.CH ICBC CREDIT SUISS CSI300 ETF CNE100003HN7 BK9Z0G1 2021-01-27 510850.CH ICBC CREDITSUISSE SSE 50 ETF CNE100003HP2 BJQQP43 2021-01-27 159905.CH ICBC SHENZHEN DVD PRICE ETF CNE100001450 B3QW1J6 2021-01-27 510350.SS ICBCCS CSI 300 INDEX ETF FUND CNE100003HN7 2021-01-27 510530.SS ICBCCS CSI 500 INDEX ETF FUND 510530.SS 2021-01-27 510850.SS ICBCCS SHANGHAI 50 INDEX ETF FUND CNE100003HP2 2021-01-27 510060.SS ICBCCS SSE CENTRAL STATE-OWNED ENTERPRISES 50 ETF CNE100000H93 2021-01-27 159970.SZ ICBCCS SZSE 100 INDEX ETF FUND 159970.SZ 2021-01-27 LANZ.CN Inspur Group N.A. 2021-01-12 512220.CH INVESCO CSI TMT 150 ETF CNE1000028N4 BQ26CL2 2021-01-27 159935.SZ INVESCO GREAT WALL CSI 500 ETF 159935.SZ 2021-01-27 512220.SS INVESCO GREAT WALL SSE CSI TMT 150 INDEX ETF CNE1000028N4 2021-01-27 174360.KS KB KBSTAR CH MAINLAND CSI100 KR7174360008 BBD7NB6 2021-01-27 250730.KS KB KBSTAR CHINA HSCEI H ETF KR7250730009 BDBBHB2 2021-01-27 168580.KS KINDEX CHINA A CSI300 ETF KR7168580009 B7M6TN0 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

219900.KS KINDEX CHINA LEV ETF SYNTH KR7219900008 BYL6RR0 2021-01-27 204450.KS KODEX CHINA H LEVERAGE ETF KR7204450001 BQR8R63 2021-01-27 KBA KraneShares Bosera MSCI China A Share N.A. 2021-01-12 1322.JP LISTED INDEX FUND CHINA A SH JP3046760009 B2QNY15 2021-01-27 1695789D.SP LYXOR CHINA ENTREPRISE LU1900069136 2021-01-27 ASI.SP LYXOR CHINA ENTREPRISE LU1900069136 BJRG735 2021-01-27 LYASC.SE LYXOR CHINA ENTREPRISE LU1900069136 BJQYSD7 2021-01-27 245360.KS MA TIGER CHINA H-SHARE ETF KR7245360003 BD0M2S8 2021-01-27 515350.SS MINSHENG ROYAL CSI 300 INDEX ETF FUND 515350.SS 2021-01-27 192090.KS MIRAE ASSET TIGER CH A300ETF KR7192090009 BJFL0S8 2021-01-27 117690.KS MIRAE ASSET TIGER CHINA HANG KR7117690008 B520PD0 2021-01-27 512870.SS NANHUA CSI HANGZHOU BAY AREA INDEX ETF FUND CNE100003H82 2021-01-27 512870.CH NANHUA CSI HANGZHOU BAY ETF CNE100003H82 BJ5CL55 2021-01-27 600775.C1 NANJING PANDA ELEC CO LTD-A CNE000000NB7 BP3R1W1 2021-01-07 600775.CH NANJING PANDA ELEC CO LTD-A CNE000000NB7 6617567 2021-01-07 553.HK NANJING -H CNE1000003T4 6623371 2021-01-07 NJGPF.US NANJING PANDA ELECTRONICS-H CNE1000003T4 B01XLP9 2021-01-07 NNJ.GY NANJING PANDA ELECTRONICS-H CNE1000003T4 5919402 2021-01-07 HSBEES.IN NIPPON INDIA ETF HANG SENG B INF204KB19I1 BK8VMM0 2021-01-27 553.H1 Panda Electronics Group CNE1000003T4 2021-01-07 553.H2 Panda Electronics Group CNE1000003T4 2021-01-07 600775.CN Panda Electronics Group CNE000000NB7 2021-01-07 NNJ.GR Panda Electronics Group CNE1000003T4 2021-01-07 NNJ.GZ Panda Electronics Group CNE1000003T4 2021-01-07 159982.SZ PENGHUA CSI 500 INDEX ETF 159982.SZ 2021-01-27 512670.SS PENGHUA CSI DEFENSE INDEX ETF FUND 512670.SS 2021-01-27 512510.SS PINEBRIDGE 500 ETF CNE100002961 2021-01-27 159960.CH PING AN-UOB HK HANG SENG ETF CNE100003886 BGSYZV1 2021-01-27 510390.SS PING-AN CSI 300 INDEX ETF FUND CNE100002S49 2021-01-27 510590.SS PING-AN DAHUA CSI 500 INDEX ETF FUND CNE100002S15 2021-01-27 159960.SZ PING-AN HANG SENG CHINA ENTERPRISES ETF FUND CNE100003886 2021-01-27 512930.CH PINGAN CSI ARTFC INTLGNC ETF CNE100003L37 BKTHWS3 2021-01-27 510390.CH PINGAN-UOB CSI 300 TRADED CNE100002S49 BYVNY92 2021-01-27 510590.CH PINGAN-UOB CSI 500 ETF CNE100002S15 BFXBX38 2021-01-27 3181.HK PREMIA ASIA IN TECH ETF HKD HK0000433398 BZ56Q32 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

9181.HK PREMIA ASIA IN TECH ETF USD HK0000433406 BZ56Q21 2021-01-27 2803.HK PREMIA CHINA BEDROCK ETF HK0000366176 BF0VNM0 2021-01-27 3173.HK PREMIA CHINA NEW ECON ETF HK HK0000366184 BF0VNP3 2021-01-27 9173.HK PREMIA CHINA NEW ECON USD ET HK0000526258 BKTLPK8 2021-01-27 515590.SS QHKY CSI 500 EQUAL WEIGHT INDEX ETF FUND 515590.SS 2021-01-27 099140.KS SAMSUNG KODEX CHINA H ETF KR7099140006 B28CN57 2021-01-27 510180.CH SHANGHAI SSE180 ETF CNE000001MT9 B2QPCS4 2021-01-27 510180.SS SHANGHAI 180 ETF CNE000001MT9 2021-01-27 515570.SS SHANXI CSI DIVIDEND POTENTIAL INDEX ETF FUND 515570.SS 2021-01-27 1001Z.CN Group Co Ltd N.A. 2021-01-12 600500.CN Sinochem Group Co Ltd CNE0000011R3 2021-01-07 600500.C1 SINOCHEM INTL CORP-A CNE0000011R3 BP3R7D4 2021-01-07 600500.CH SINOCHEM INTL CORP-A CNE0000011R3 6203104 2021-01-07 159902.SZ SMALL & MEDIUM ENTERPRISE BOARD ETF CNE000001MW3 2021-01-27 512200.CH SOUTH CSI REAL ESTATE ETF CNE100002SD7 BYXHQK7 2021-01-27 510500.SS SOUTHERN CSI 500 CNE099900464 2021-01-27 283580.KS SS KODEX CHINA CSI300 ETF KR7283580009 BDRMZW62021-01-27 510030.CH SSE 180 VALUE ETF CNE0999003K8 B4078J3 2021-01-27 510120.CH SSE NON-CYCLICAL 100 ETF CNE099900423 B4RHNW42021-01-27 510120.SS SSE NON-CYCLICAL INDUSTRY 100 ETF CR CNE099900423 2021-01-27 512770.SS STRATEGIC EMER ETF CNE100003134 2021-01-27 512770.CH STRTGC EMER CMPNT IDX ETF FD CNE100003134 BYVKG86 2021-01-27 515200.SS SWS MU CSI INNOVATION 100 INDEX ETF FUND 515200.SS 2021-01-27 510600.CH SWS MU SSE 50 ETF LNCHD FD CNE100003126 BGHHQJ6 2021-01-27 510600.SS SWS MU SSE 50 INDEX ETF FUND CNE100003126 2021-01-27 159910.SZ SZFI 120 INDEX ETF CNE100001864 2021-01-27 159912.SZ SZSE 300 INDEX ETF CNE100001H92 2021-01-27 159903.SZ SZSE COMPONENT INDEX ETF CNE100000R42 2021-01-27 159903.CH SZSE COMPONENT INDEX FUND ET CNE100000R42 B3R5KX1 2021-01-27 159923.SZ SZSE DA CHENG CSI 100 CNE100001PN4 2021-01-27 159905.SZ SZSE DIVIDEND ETF CNE100001450 2021-01-27 159922.SZ SZSE HARVEST CSI 500 CNE100001PC7 2021-01-27 159925.SZ SZSE SOUTHERN CSI 300 159925.SZ 2021-01-27 159909.SZ SZSE TMT50 ETF CNE100001872 2021-01-27 515380.SS TAIKANG CSI 300 INDEX ETF FUND 515380.SS 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list. Executive Order 13959 - Restricted Securities

Ticker Name ISIN SEDOL Date Added

515330.SS TIANHONG CSI 300 INDEX ETF FUND 515330.SS 2021-01-27 159998.SZ TIANHONG CSI COMPUTER INDEX ETF 159998.SZ 2021-01-27 159997.SZ TIANHONG CSI ELECTRONICS INDEX ETF 159997.SZ 2021-01-27 217780.KS TIGER SYNTH-CHINA A INVERSE KR7217780006 BZ064W2 2021-01-27 204480.KS TIGER SYNTH-CHINA A LVG ETF KR7204480008 BQLDLB7 2021-01-27 2800.HK TRACKER FUND OF HONG KONG HK2800008867 6188557 2021-01-14 TAHKF.US TRACKER FUND OF HONG KONG HK2800008867 B05P913 2021-01-14 TF5.GY TRACKER FUND OF HONG KONG HK2800008867 5856220 2021-01-14 CHNMYR.MK TRADEPLUS S&P NEW CHN TRCKR MYL0829EA001 BHPG3K2 2021-01-27 CHNUSD.MK TRADEPLUS S&P NEW CHN TRCKR MYL0829EB009 BHPG4D2 2021-01-27 0061.TT W.I.S.E. YUANTA/P SHS C300 E TW0000061001 B3X53N6 2021-01-27 0061.TW W.I.S.E. YUANTA/P-SHARES CSI 300 TW0000061001 2021-01-27 510680.SS WANJIA SSE 380 INDEX ETF CNE100001QX1 2021-01-27 510680.CH WANJIA SSE50 ETF CNE100001QX1 BGLP2G5 2021-01-27 1WIA.GY WISE - CSI 300 CHINA TRACKER HK2827039002 BWV6828 2021-01-27 2827.HK WISE - CSI 300 CHINA TRACKER HK2827039002 B23CV47 2021-01-27 WSEZF.US WISE - CSI 300 CHINA TRACKER HK2827039002 BMYHT03 2021-01-27 2825.HK WISE - CSI HK100 TRACKER HK0000046224 B2RJXR1 2021-01-27 008201.TT WISE SSE 50 CHINA TRACKER HK0000052297 B4WYB60 2021-01-27 3024.HK WISE SSE 50 CHINA TRACKER HK0000052297 B3V4CL6 2021-01-27 3049.HK XTRACKERS CSI300 SWAP UCITS ETF 2D 3049.HK 2021-01-27 159959.SZ YINHUA CSI CENTRAL-SOES STRC REFORM IDX ETF CNE100003FY8 2021-01-27 159959.CH YINHUA SOE STRCTRL REFM ETF CNE100003FY8 BJ2FQ29 2021-01-27 159969.SZ YINHUA SZSE 100 INDEX ETF FUND 159969.SZ 2021-01-27 00637L.TW YUANTA DAILY CSI 300 BULL 2X ETF TW00000637L7 2021-01-27 00637L.TT YUANTA/P-SHRS CSI 300 2X ETF TW00000637L7 BXVKT91 2021-01-27 159965.SZ ZHONGRONG CCTV 50 INDEX ETF FUND 159965.SZ 2021-01-27 515550.SS ZHONGRONG CSI 500 INDEX ETF FUND 515550.SS 2021-01-27 510580.SS ZZ500ETF ETF 510580.SS 2021-01-27

Last Updated: January 26 2021 Please be advised that this list is provided for informational purposes only. The list is subject to change and Bernstein may include or remove securities with no obligation to notify you of those changes. Under no circumstances will Bernstein be liable for any liability related to this list.