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 BANK OF CHINA 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 SHENZHEN 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 CHINA MOBILE -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 (Norinco 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