ASIFMA NON-BANK MEMBERSHIP APPLICATION FOR 2023-2024
Firm Name* ______________________________________________________________________________________
Address________________________________________________________________________________________

City ________________________________________ State/Province _______________________________________
Zip/Postal Code __________________________________ Country_________________________________________Web Site Address __________________________________________________________________________________
Is your firm a registered institution at the regulatory body of your jurisdiction?
☐ Yes (Please specify the regulator ________________________________ )☐ No (More details and supporting documents may be requested by ASIFMA.)NOMINATED REPRESENTATIVE**
Name ___________________________________________________________________________________________
Title ____________________________________________________________________________________________
Department ______________________________________________________________________________________
Phone _______________________________ Fax _______________________________________________________
E-mail Address ____________________________________________________________________________________DUES CONTACT
Name ___________________________________________________________________________________________
Title ____________________________________________________________________________________________Department ______________________________________________________________________________________
Phone _______________________________ Fax _______________________________________________________
E-mail Address ____________________________________________________________________________________PLEASE SELECT THE CATEGORY THAT BEST DESCRIBES YOUR FIRM/COMPANY:

 International Rating Agency

 Local Broker Intermediary/Trading Platform International Broker Intermediary/Trading Platform Local Rating Agency

 Financial Market Infrastructure: Clearance/Settlement/Custody Quasi - Government

Provider Local Law Firm/Accounting Firm/Consulting Firm

 Information/Technology Vendor

 Associate Financial Market Infrastructure: Payments/FX and Index Provider

 Other ____________________________________PLEASE SPECIFY

 International Law Firm/Accounting Firm/Consulting Firm
 Mortgage Insurer Trustees
 Regional Law Firm/Accounting Firm/Consulting Firm

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RELATED ORGANIZATIONS:
Please list parent company, if any:________________________________________________________________________________________________________________________________________________________________________________________*Membership includes any and all majority owned group affiliates of a member firm at no-additional cost.

Please specify other related associated companies, (i.e., JVs), if any:________________________________________________________________________________________________________________________________________________________________________________________**The Nominated Representative will exercise the member’s voting rights and otherwise be responsible for speaking or
acting on behalf of the member, as applicable.

How do you get to know ASIFMA? Please specify: _____________________________________________________DUES
Dues are based on the nature and type of activity that your firm/company conducts in the fixed-income securities and/orequities markets. A current list of dues and dues categories is contained in Appendix I of this application (though this issubject to review at the end of each financial year being 31 October). Dues are payable in Hong Kong dollars and shall be
paid gross without withholding or deduction for taxes, levies, duties, bank charges or any other deductions of any nature.
When a firm belongs to more than one membership category, the higher membership dues will apply.
TERMS AND CONDITIONS
Subscriptions•The membership year shall, unless otherwise determined by the Board, run from 1 November to 31 October.

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

Resignation & Removal from Membership, Right of Appeal•

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

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

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

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MEMBERSHIP AGREEMENTAs the duly authorized representative of _______________________________ (the “Applicant”) and acting on behalf
Insert Firm/Company Nameof the Applicant, I the undersigned hereby apply for membership in the Asia Securities Industry and Financial Markets
Association (ASIFMA) and, if admitted, agree: (1) To comply with ASIFMA’s By-Laws and advance its purposes; and (2) To
pay such initial dues and assessments that are agreed to by the Applicant and other dues, assessments and charges in themanner and amount as shall from time to time be fixed by the ASIFMA’s Board of Directors pursuant to the By-Laws. Dues
once paid are not refundable and resignation from membership is only effective at the end of each financial year.

I hereby certify that the statements made herein are true and complete. I understand that in the event false information isgiven in this application or there are omissions of material facts, the Applicant’s request to join ASIFMA may be denied; or, ifadmission 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 approved, I hereby authorize and allow ASIFMA to indicate the Applicant’s membership on ASIFMA’s website and inits 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 this application.

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
Payablein:

Category

HK$2

International Rating Agency$134,730

International Broker Intermediary/Trading Platform$134,730

Financial Market Infrastructure: Clearance/Settlement/Custody Provider$134,730

Information/Technology Vendor$134,730

Financial Market Infrastructure: Payments/FX and Index Provider$110,700International Law Firm/Accounting Firm/Consulting Firm

$110,700

Mortgage Insurer$110,700

Trustees$110,700

Regional Law Firm/Accounting Firm/Consulting Firm

$73,500

Local Broker Intermediary/Trading Platform$55,500

Local Rating Agency$55,500

Quasi - Government$55,500

Local Law Firm/Accounting Firm/Consulting Firm

$34,600

Associate$28,400

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Subject to change at the end of each financial year (31 October) or at other times as determined by the board of directors.
Net amount, excludes bank transaction fees.

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Appendix II – Personal Information Collection StatementThis 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 youor relevant representatives of your firm or company. “Personal data” means any personally identifying information as moreparticularly 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, andtypes of information pertinent to you or relevant representatives. ASIFMA uses this data to help 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 or reordering.
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 to members-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 the page isupdated.

•Member Survey Responses: From time to time ASIFMA updates its member database and address list through amember 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 the Website and to ensure ASIFMA
delivers the information members want.

•In a few carefully considered cases ASIFMA will provide personal data to reputable organizations (including othertrade associations in Hong Kong or overseas and ASIFMA’s global alliance partners: the Global 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. Invery rare circumstances ASIFMA may be judicially compelled 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 you or anyrepresentative feels ASIFMA has inaccurate or outdated information about you, please contact us at wwong@asifma.org.

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