Guotai Junan Futures ( Kong) Limited Futures - Contract Summary

Hang Seng Index Mini Hang Seng H-shares Index Mini H-shares Index HSI Volatility Index CES China 120 Index Product Stock Futures USD/CNH Futures Futures Index Futures Futures Futures Futures Futures Underlying Hang Seng Index(HSI) Hang Seng China Enterprises Index (HSCEI) Underlying Stocks HSI Volatility Index (VHSI) CES China 120 Index (CES120) USD/CNH Index/Stocks HKATS Code HSI MHI HHI MCH List of Stock Futures(Table1&2) VHS CHH CUS Contract Equal to or More than One HK$50 per index point HK$10 per index point HK$50 per index point HK$10 per index point HK$5000 per Index point HK$50 per index point USD100000 Multiplier/Size Underlying Board Lot Share

Minimum Fluctuation One index point HK$0.01 0.05 Index point (i.e. HK$250) 0.5 index point RMB 0.0001 (4 decimal places) Spot, next calendar month & Spot month, the next three calendar Contract Months Spot, next calendar month & next two calendar quarter months Spot & next 2 calendar months next two calendar quarter months and the next three calendar months quarter months Pre-Market Opening 8:45am - 9:15am & 12:30pm - 1:00pm Not Available Period 9:30am - 12:00pm & 9:30 am - 12:00 pm & 9:15 am - 12:00 noon & Trading Hours 9:15 am - 12:00 noon , 1:00 pm - 4:15 pm & *After-hours 9:00am - 4:15pm 1:00pm - 4:00pm 1:00 pm - 4:15 pm 1:00 pm - 4:15 pm Trading Hours on Expiring contract month Expiring contract month Expiring contract month Expiring contract month closes at 4:00 pm Not Available Last Trading Day closes at 4:00 pm closes at 3:00 pm closes at 11:00 am

*After-hours 5:00 - 11:45pm Not Available 5:00 - 11:45pm

30 calendar days prior to the The Day immediately Two Hong Kong Business Days prior Last Trading Day The Business Day immediately preceding the last Business Day of the Contract Month second last Business Day of preceding the last Business to the Final Settlement Day next month Day of the Contract Month The 3rd Wednesday Final Settlement Day The first business day after the Last Trading Day of Contract Month The average of readings of (i) the midpoints of the best bid and The average of the values of best ask prices for the underlying the CES China 120 Index common share taken at five- compiled, computered and Average of 30 quotations of minute intervals from five disseminated by China Spot USD/CNY (HK) fixing published The average of quotations taken at (i) five (5) minute intervals from five (5) minutes after the the HSI Volatility Index taken Final Settlement minutes after the start of, and up Exchanges Services Company at 11:15 am on the Last Trading Day start of, and up to five (5) minutes before the end of, the Continuous Trading Session of SEHK; at 1 minute intervals between Price to five minutes before the end of, Limited, rounded up to the by Treasury Markets Association and (ii) the close of trading on SEHK on the Last Trading Day. 3:30 pm and up to 4:00 pm the Continuous Trading Session nearest 1 decimal place, taken (TMA) of Hong Kong. on the Last Trading Day. of SEHK and (ii) the closing price at five (5) minute intervals of the underlying common share from 1:00 pm up to 3:00 pm as quoted by SEHK on the Last on the Last Trading Day. Trading Day.

Delivery of US dollars by the Seller Settlement Method Cash settled contract of difference (HK$) and payment of the Final Settlement Value in RMB by the Buyer

Please visit “Rules, Regulations and Procedures of the Futures Exchange” of “Trading Rules” under “Rules and Regulations” of the HKEx website for full contract specifications.

05/2016 Guotai Junan Futures (Hong Kong) Limited Hong Kong Sector Index Futures - Contract Summary

Hang Seng Hang Seng Hang Seng Hang Seng Hang Seng Hang Seng CES Gaming Top 10 Product Mainland Oil & Gas Mainland Mainland Healthcare Mainland Properties IT Hardware Software & Service Index Futures Index Futures Index Futures Index Futures Index Futures Index Futures Index Futures

Underlying Hang Seng Hang Seng Hang Seng Hang Seng Hang Seng Hang Seng CES Gaming Top 10 Index Index/Stocks Mainland Oil & Gas Index Mainland Banks Index Mainland Healthcare Index Mainland Properties Index IT Hardware Index Software & Service Index

HKATS Code GTI MOI MBI MCI MPI ITI SSI Contract HK$50 per index point Multiplier/Size

Minimum Fluctuation 0.5 index point (i.e. HK$25)

Contract Months Spot, next calendar month & next two calendar quarter months

Pre-Market Opening Not Available Period

Trading Hours 9:15 am - 12:00 noon & 1:00 pm - 4:15 pm (Hong Kong Time)

Trading Hours on Expiring contract month closes at 4:00 pm (Hong Kong Time) Last Trading Day

Last Trading Day The Business Day immediately preceding the last Business Day of the Contract Month

Final Settlement Day The first business day after the Last Trading Day

The average value of the sector index taken at Final Settlement (i) five (5) minute intervals from five (5) minutes after the start of the trading session on the Last Trading Day up to five (5) minutes before the end of the Continuous Trading Session of SEHK; and Price (ii) the close of trading on SEHK on the Last Trading Day. The Chief Executive of the Exchange has the power under the Regulations for trading Stock Index Futures Contracts to determine the Final Settlement Price under certain circumstances.

Settlement Method Cash settled contract of difference (HK$)

Please visit “Rules, Regulations and Procedures of the Futures Exchange” of “Trading Rules” under “Rules and Regulations” of the HKEx website for full contract specifications.

05/2016 Guotai Junan Futures (Hong Kong) Limited Hong Kong Index Options - Contract Summary

Product Hang Seng Index Options H-shares Index Options Mini Hang Seng Index Options Underlying Index Hang Seng Index (HSI) Hang Seng China Enterprises Index (HSCEI) Hang Seng Index (HSI) Contract Multiplier HK$50 per index point HK$10 per index point Minimum Fluctuation One index point Exercise Style European Style Option Premium Quoted in whole index points Item Standard Options Flexible Options Standard Options Flexible Options Standard Options HKATS Code HSI XHS HHI XHH MHI Standard Options Flexible Options Short-dated Options: Spot, next two calendar months & next three calendar quarter months Any calendar month not further out than the longest Spot, next calendar month, & next two calendar Contract Months Long-dated Options: the next five months of June & term of expiry months that are available for trading quarter months December Strike Prices Short-dated Options:- Hang Seng Index Options ：Within +/-30% from the Index points Intervals Index points Intervals opening price of the spot month futures contract on the day of At or above 2,000 but below 8,000 100 Below 2,000 50 request, or the range of the prevailing highest and lowest strike At or above 8,000 200 At or above 2,000 but below 8,000 100 prices available amongst the contract month requested to be created, and all other existing contract months with longer At or above 8,000 200 expiry terms on the day of request, whichever range is the largest Long-dated Options:- Index points Intervals H-shares Index Options ：Within +/-30% from the opening Below 4,000 100 price of the spot month futures contract on the day of request, At or above 4,000 but below 8,000 200 or the range of the prevailing highest and lowest strike prices At or above 8,000 but below 12,000 400 available amongst the contract month requested to be created, At or above 12,000 but below 15,000 600 and all other existing contract months with longer expiry terms on the day of request, whichever range is the largest At or above 15,000 but below 19,000 800 At or above 19,000 1,000 9:15 am - 12:00 noon & 1:00 pm - 4:15 pm Trading Hours (Expiring contract month closes at 4:00 pm on the Expiry Day) For Flexible Index Options, no request of series creation is acceptable within the last 30 minutes before market close Expiry Day The Business Day immediately preceding the last Business Day of the Contract Month The average of quotations taken at (i) five (5) minute intervals from five (5) minutes after the start of, and up to five (5) minutes before the end of, the Continuous Official Settlement Price Trading Session of SEHK; and (ii) the close of trading on SEHK on the Last Trading Day

Please visit “Rules, Regulations and Procedures of the Futures Exchange” of “Trading Rules” under “Rules and Regulations” of the HKEx website for full contract specifications.

02/2014 (Table 1)

Guotai Junan Futures (Hong Kong) Limited Stock Futures

SEHK HKATS Contract Multiplier Market No. Underlying Stocks Code Code (shares) Makers 1 1 CK Hutchison Holdings Ltd. CKH 500 Y 2 2 CLP Holdings Limited CLP 500 Y 3 3 The Hong Kong and China Gas Company Limited HKG 1,000 Y 4 4 The Wharf (Holdings) Limited WHL 1,000 Y 5 5 HSBC Holdings Plc. HKB 400 Y 6 6 Limited HEH 500 Y 7 11 Hang Seng Limited HSB 100 Y 8 12 Henderson Land Development Company Limited HLD 1,000 Y 9 16 Limited SHK 1,000 Y 10 17 Company Limited NWD 1,000 Y 11 19 Pacific Limited 'A' SWA 500 Y 12 23 The , Limited BEA 200 Y 13 66 MTR Corporation Limited MTR 500 Y 14 267 CITIC Limited CIT 1,000 Y 15 293 Cathay Pacific Airways Limited CPA 1,000 Y 16 330 Esprit Holdings Limited ESP 100 Y 17 386 China Petroleum & Chemical Corporation CPC 2,000 Y 18 388 Hong Kong Exchanges and Clearing Limited HEX 100 Y 19 494 Li & Fung Limited LIF 2,000 Y 20 728 China Telecom Corporation Limited CTC 2,000 Y 21 762 (Hong Kong) Limited CHU 2,000 Y 22 857 PetroChina Company Limited PEC 2,000 Y 23 874 Guangzhou Baiyunshan Pharmaceutical Holdings Co. Ltd. BAI 2,000 N 24 883 CNOOC Limited CNC 1,000 Y 25 902 Huaneng Power International, Inc. HNP 2,000 Y 26 939 Corporation CCB 1,000 Y 27 941 Limited CHT 500 Y 28 1398 Industrial and Commercial Limited ICB 1,000 Y 29 1800 China Communications Construction Company Limited CCC 1,000 Y 30 2038 FIH Mobile Limited FIH 1,000 Y 31 2318 (Group) Company of China, Ltd. PAI 500 Y 32 2328 PICC Property and Casualty Company Limited PIC 2,000 Y 33 2388 BOC Hong Kong (Holdings) Limited BOC 500 Y 34 2600 Aluminum Corporation of China Limited ALC 2,000 Y 35 2628 China Life Insurance Company Limited CLI 1,000 Y 36 3328 Co., Ltd. BCM 1,000 Y 37 3968 China Merchants Bank Co., Ltd. CMB 500 Y 38 3988 Bank of China Limited BCL 1,000 Y

Note: Stock Futures with Contract Size Equal to One Underlying Board Lot Shares ^ Synthetic ETF

05/2016 (Table 2)

Guotai Junan Futures (Hong Kong) Limited Stock Futures

SEHK HKATS Contract Multiplier Number of Market No. Underlying Stocks Code Code (shares) Board Lots Makers 1 119 Poly Property Group Co., Ltd POL 10,000 10 N 2 410 SOHO China Ltd. SOH 10,000 20 N 3 493 GOME Electrical Appliances Holding Ltd. GOM 50,000 50 N 4 656Fosun International Ltd. FOS 10,000 20 N 5 700 Holdings Ltd. TCH 1,000 10 N 6 861 Digital China Holdings Ltd. DIG 5,000 5 N 7 981 Semiconductor Manufacturing International SMC 50,000 50 N 8 998Corporation China CITIC Bank Corporation Ltd. CTB 20,000 20 N 9 1055 China Southern Airlines Co. Ltd. SOA 10,000 5 N 10 1060 Alibaba Pictures Group Ltd. ALI 50,000 5 N 11 1088China Shenhua Energy Co. Ltd. CSE 10,000 20 Y 12 1171Yanzhou Coal Mining Co. Ltd. YZC 10,000 5 N 13 1288 Agricultural Bank of China Ltd. ABC 50,000 50 Y 14 1336 New China Life Insurance Co. Ltd. NCL 5,000 50 N 15 1359 China Cinda Asset Management Co., Ltd. CDA 50,000 50 N 16 1378 China Hongqiao Group Ltd. CHQ 10,000 20 N 17 1668 China South City Holdings Ltd. CTY 10,000 5 N 18 1766CRRC Corporation Ltd. CRR 10,000 10 N 19 1816 CGN Power Co., Ltd. CGN 50,000 50 N 20 1898 China Coal Energy Co. Ltd. CCE 10,000 10 N 21 1918Sunac China Holdings Ltd. SUN 10,000 10 N 22 1988 China Minsheng Banking Corp., Ltd. MSB 10,000 20 N 23 2238 Guangzhou Automobile Group Co., Ltd. GAC 10,000 5 N 24 2333 Great Wall Motor Co. Ltd. GWM 10,000 20 N 25 2357 AviChina Industry & Technology Co. Ltd. AVI 10,000 10 N 26 2822CSOP FTSE China A50 ETF CSA 5,000 25 Y 27 2823 iShares FTSE A50 China Index ETF^ A50 5,000 50 Y 28 2883 China Oilfield Services Ltd. CHO 10,000 5 N 29 2899 Zijin Mining Group Co., Ltd. ZJM 10,000 5 N 30 3188China AMC CSI300 Index ETF AMC 2,000 10 N 31 3333 Evergrande Real Estate Group Ltd. EVG 20,000 20 N 32 3888Kingsoft Corporation Ltd. KSO 5,000 5 N 33 6030 CITIC Securities Co. Ltd. CTS 10,000 20 N 34 6837Haitong Securities Co. Ltd. HAI 10,000 25 N 35 6863 China Huishan Dairy holdings Co. Ltd. HUD 50,000 50 N 36 6886 Huitai Securities Co., Ltd. HTS 10,000 50 N

Note: Stock Futures with Contract Size More Than One Underlying Board Lot Shares ^ Synthetic ETF

05/2016