ASIFMA ASSET MANAGEMENT GROUP (AAMG)
MEMBERSHIP APPLICATION FOR 2023-2024
Firm Name* _______________________________________________________________________________
Address __________________________________________________________________________________
City _________________________________________ State/Province _______________________________
Zip/Postal Code__________________________________ Country_________________________________Web Site Address _________________________________________________________________________MEMBER ELIGIBILITY
We confirm that our firm meets the following AAMG membership criteria:(a) We are licensed or registered as an asset management company in ___________________________;(b) We manage third party assets;(c) We have offices in more than one Asian jurisdiction; and(d) We have been operating an asset/investment management business for at least five years.
NOMINATED REPRESENTATIVE**
Name__________________________________________________________________________________

Title ____________________________________________________________________________________
Department and Floor ______________________________________________________________________Phone _______________________________ Fax _______________________________________________
E-mail Address ____________________________________________________________________________DUES CONTACT
Name ___________________________________________________________________________________
Title _____________________________________________________________________________________
Department and Floor _______________________________________________________________________
Phone ___________________________________________ Fax ____________________________________
E-mail Address ____________________________________________________________________________RELATED ORGANIZATIONS:
Please list your parent company and majority-owned companies, if any:_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________* Membership includes any and all majority owned group affiliates of a member firm at no-additional cost.
**The Nominated Representative will exercise the member’s voting rights and otherwise be responsible forspeaking or acting on behalf of the member, as applicable.

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DUES
Dues are based on the dues category that your firm/company falls under. A current list of dues and dues categories
is contained in Appendix I of this application (though this is subject to review at the end of each financial year, i.e.
31 October). Dues are payable in Hong Kong dollars and shall be paid gross without withholding or deduction fortaxes, levies, duties, bank charges or any other deductions of any nature. Dues are pro-rated for those joining
mid-year.
TERMS AND CONDITIONS
Subscriptions•

The membership year shall, unless otherwise determined by the Board, run from 1 November to 31October.

•An institution joining during the year will pay a pro-rata amount equivalent to the remaining part of themembership year.

Resignation & Removal from Membership, Right of Appeal•

Each member firm is entitled to terminate AAMG membership by giving 6 months’ prior written notice.
AAMG membership is deemed to be renewed automatically on 1 November unless written notice has
been received by 1 May of that year.

•Member firms are liable for their pro-rata share of any financial or other obligations entered into prior tothe date of their resignation from AAMG.

•No paid membership dues shall be refunded to any member which resigns or which membership isterminated.

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MEMBERSHIP AGREEMENTAs the duly authorized representative of _________________________________ (the “Applicant”) and acting on
Insert Firm/Company Name
behalf of the Applicant, I the undersigned hereby apply for membership in the Asia Securities Industry and FinancialMarkets Association (ASIFMA) and, if admitted, agree: (1) To comply with ASIFMA’s By-Laws and AAMG’s
Operating Procedures and advance purposes stated therein; and (2) To pay such initial dues and assessmentsthat are agreed to by the Applicant and other dues, assessments and charges in the manner and amount as shallfrom time to time be fixed by the ASIFMA’s Board of Directors and AAMG’s Steering Committee pursuant to theBy-Laws and AAMG’s Operating Procedures. Dues once paid are not refundable and resignation from membershipis only effective at the end of each financial year.

I hereby certify that the statements made herein and about the dues category under which the Applicant falls aretrue, accurate and complete. I understand that in the event false information is given in this application or there
are omissions of material facts, the Applicant’s request to join ASIFMA may be denied; or, if admission has
previously been granted, such false information may be grounds for termination of membership.

I acknowledge that information provided in this application form will be used by ASIFMA to process the application
request. Once the Applicant’s membership is approved by ASIFMA’s Board and AAMG’s Steering Committee, I
hereby authorize and allow ASIFMA to indicate the Applicant’s membership on ASIFMA’s website and in its various
marketing materials. I consent to the release of the Applicant’s membership status and information provided herein
to ASIFMA, its employees and agents and other trade associations at ASIFMA's sole discretion.

I have read and understood ASIFMA’s Personal Information Collection Statement contained in Appendix II of thisapplication.

By _________________________________________ Title ________________________________________
Signature ______________________________________

Date ____________________________________PLEASE DIRECT ALL INQUIRIES AND COMPLETED APPLICATION FORMS TO:
The Asia Securities Industry and Financial Markets Association Limited
Unit 3603, Tower 2
Lippo Centre
89 Queensway
Admiralty, Hong Kong
Tel: 852 2531 6500
Fax: 852 2537 1673
E-mail: wwong@asifma.org

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Appendix I – DUES and DUES CATEGORIES1
2023-2024
Dues Structure:

AAMG has a two-tier membership dues structure based on the higher of assets under management sourced from,or total investments made in, Asia ex-Japan ex-Australia (“AUM”). When completing the membership application,
the Applicant should certify, by checking one of the boxes below, their AUM as of the end of the semi-annual period
immediately preceding their application date.

All member applications, including the tier designation, will be reviewed for approval by the ASIFMA Board andAAMG Steering Committee. Otherwise, they will remain confidential.

Category

Payable in: HK$2

Traditional Asset Managers> US$30 billion AUM3

$ 203,000 Less than US$30 billion AUM3

$ 86,000 Notes:

1*

Membership includes any and all majority-owned group affiliates of a member firm**

No consideration for "umbrella structure" or affiliated entity discounts***

No consideration for B/D affiliates

Subject to change at the end of each financial year (i.e. 31 October) or at other times as determined by the AAMG

Steering Committee.
2Net amount, excludes bank transaction fees.

3

AUM = Higher of assets under management sourced from, or total investments made in, Asia ex-Japan ex-Australia.
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Appendix II – Personal Information Collection Statement
This Personal Information Collection Statement is made by the Asia Securities Industry and Financial Markets
Association Limited in accordance with the Personal Data (Privacy) Ordinance of the Hong Kong Special
Administrative Region (the “Ordinance”) and contains details of how ASIFMA may collect, hold, process and use
the personal data collected from you or relevant representatives of your firm or company. “Personal data” means
any personally identifying information as more particularly defined in the Ordinance.

WHAT ASIFMA GATHERSASIFMA collects and keeps information about how to reach you or relevant representatives (such as names, titles,firms, mailing and e-mail addresses, and phone and fax numbers) and information about the specific markets,
functional areas, and types of information pertinent to you or relevant representatives. ASIFMA uses this data tohelp provide useful information to you or relevant representatives and to avoid providing information that isn't useful.

WHAT ASIFMA DOES WITH THE DATA•

Order Forms and Registration Forms: ASIFMA keeps track of addresses to facilitate re-registration orreordering. Other information is gathered to facilitate billing, product shipment or other relevant services.

•Password Requests: Information gathered in the course of an application for a password access tomembers-only pages is only used to generate and communicate the password, as appropriate.

•Webpage Subscriptions: A subscriber’s email address will be used only to notify the subscriber when thepage is updated.

•Member Survey Responses: From time to time ASIFMA updates its member database and address list
through a member survey in order to keep members properly informed and to tailor ASIFMA’s Website
based and printed materials to suit member preferences.

•Information collected by IP address and Cookies: This information is used by ASIFMA for broad
demographic data, to produce aggregated information about the number and types of visitors to theWebsite and to ensure ASIFMA delivers the information members want.

•In a few carefully considered cases ASIFMA will provide personal data to reputable organizations(including other trade associations in Hong Kong or overseas and ASIFMA’s global alliance partners: theGlobal Financial Markets Association (GFMA), the Securities Industry and Financial Markets Association(SIFMA) and the Association for Financial Markets in Europe (AFME)) that it believes may provide
information of interest to industry participants. In very rare circumstances ASIFMA may be judiciallycompelled to produce such data to authorities.

HOW TO CONTROL YOUR INFORMATION
Should you or any representative wish to be removed from ASIFMA’s member database at any time, or if youor any representative feels ASIFMA has inaccurate or outdated information about you, please contact us atwwong@asifma.org.

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