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GUOTAI JUNAN GREAT DRAGON RMB FUNDSGuotai Junan Great Dragon China Fixed Income Fund

A S S E T M A N A G E M E N T

(FOR INTERNAL USE)

To:BOCI-Prudential Trustee Limited12/F., Citicorp Centre, 18 Whitfield Road, Causeway Bay, Hong KongAttention: Unit Trust Services DepartmentFacsimile: (852) 2907 – 1887

Copy to: –DirectorsGuotai Junan Assets (Asia) LimitedFacsimile: (852) 2509 7784

APPLICATION FORM

Please complete this Application Form in English using block capitals. Complete details must be given to ensure that your application request is properly processed.

Please read the “Notes” carefully before completing this Application Form. Unless the context otherwise requires, defined terms used in the Explanatory Memorandum and the Addendums to the Explanatory Memorandum respectively dated 14 February 2012, 13 March 2014 and 30 May 2014 (together, the “Memorandum”) shall have the same meaning in this Application Form.

1. Application Details

* I/We confirm that * I/we have received and read the Memorandum of the Guotai Junan Great Dragon China Fixed Income Fund (“Sub-Fund”) and wish to subscribe for Units in the Sub-Fund subject to the terms of the Memorandum.

Please state the amount in which you wish to subscribe for Units in the Sub-Fund. (For Class A Units, the Minimum Initial Subscription Amount is RMB10,000, and the Minimum Subsequent Subscription Amount is RMB1,000. For Class I Units, the Minimum Initial Subscription Amount is RMB6,500,000 and the Minimum Subsequent Subscription Amount is RMB1,000,000) (inclusive of subscription fee of up to 5% of the Subscription Price)

Subscription Amount (RMB)(inclusive of subscription fee of up to 5% of the Subscription Price)

Please state the Subscription Fee in terms of the percentage (%) of the Subscription Price

Class A Class I**

RMB RMB

% of the Subscription Price % of the Subscription PriceSource of funds

** Applicants may apply for Class I Units through the Manager only.

All application monies must originate from an account held in the name of the applicant or in the case of joint applicants, one of the applicants. No third party payments will be permitted.

2. Payment Details

* I/We wish to pay the subscription amount by telegraphic transfer for value on to:

Bank name and address Bank of China (Hong Kong) Limited, Bank of China Tower, 1 Garden Road, Hong Kong

Swift address BKCHHKHHXXXBank account name BOCI-PRUDENTIAL TRUSTEE LTD – GTJA GREAT DRAGON RMB FUNDSBank account number 012-875-9-258271-4For credit to BOCI-Prudential Trustee Limited – Guotai Junan Great Dragon RMB Funds –

Guotai Junan Great Dragon China Fixed Income Fund

3. Distributions

I/We wish to have any distributions declared by the Manager (who has absolute discretion as to whether any distribution is made) in relation to any and all Units held by me/us to take the form of one of the following (please tick one box only):–

(1) cash distribution

(2) additional Units in the Sub-FundAny distribution will automatically be reinvested to subscribe for additional Units in the Sub-Fund to be issued to such Unitholders unless Unitholders indicate otherwise in Section 3(1) above. This selection supersedes any previous instructions provided by me/us in relation to distributions for any and all Units held by me/us.

Investors should note that, subject to the terms of the Memorandum, for your application to be processed (i) as part of the Initial Offer Period or (ii) on any particular Dealing Day, cleared funds must be received in Hong Kong prior to (i) 4:00 p.m. (Hong Kong time) on the last day of the Initial Offer Period or (ii) by 4:00 p.m.(Hong Kong time) on or before the third Business Day following that particular Dealing Day, respectively.

Each applicant should attach a copy of the remittance advice with this application form and send it to BOCI-Prudential Trustee Limited for ease of identification.

Investors are reminded that the actual amount remitted should include the subscription amount plus the applicable subscription fee, bank charges in respect of telegraphic transfer and all other fees and expenses which will reduce the amount remitted. Only the amount actually received by the Trustee (exclusive of the subscription fee) will be applied towards subscription of Units in the Sub-Fund.

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4. Investor’s Details

Details of Individual Investor

Name (English) Name (Chinese)

Nationality

Date of Birth Country of Birth

ID/Passport No.(Issue Country: )

Gender Male Female

Residential Address*(Country: )

Mailing Address*(Country: )

(Country Code) Home Tel. No.

( ) (Country Code) Home Fax No.

( )

(Country Code) Mobile No.

( ) Email Address

Occupation/Business

Present Position

Office Address(Country: )

(Country Code) Office Tel. No.

( ) (Country Code) Office Fax No.

( )

Source of Income

Have US tax obligations? Yes No

* For joint holders, only the first registered address and the first mailing address stated on this page will be entered in the register of Unitholders of the Sub-Fund. No P.O. Boxes will be accepted.

Applicant’s Declaration

(please put a “3” in the appropriate box below)I/We am/are or have beeni) in charge of important political and/or public functions, e.g. heads of state or government, senior politicians, senior government,

judicial or military officials, senior executives of the government owned corporations, important political party officials; and/orii) family members and close associates of the persons engaged in the important political and/or public functions alike: Yes No

Details of Corporate Investor

Name (English) Name (Chinese)

Country of Incorporation

Incorporation No.

Type of Entity (e.g. company, trust, partnership, other)

Date of Incorporation

Is it a financial institution?

Yes No Global Intermediary Identification Number (GIIN No.)

Registered Address(Country: )

Business Address(Country: )

Mailing Address Registered Address Business Address Other:

(Country: )

(Country Code)Office Tel. No.

( ) (Country Code)Office Fax No.

( )

Email Address

Nature of Business

Have US tax obligations? Yes No

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Directors and Authorised Signatories Information

Name Capacity

(1) Director Authorised Signatory

(2) Director Authorised Signatory

(3) Director Authorised Signatory

(4) Director Authorised Signatory

Shareholders/Beneficial Owners Information

Name Home Address Shareholding % US Person* Other shareholders/beneficial owners withfamily relationship

(1) No Yes,TIN**:

(2) No Yes,TIN**:

(3) No Yes,TIN**:

(4) No Yes,TIN**:

Please use separate sheet if required.* US Person includes US Citizen, US Resident, US Passport or Green Card holder.** TIN means Taxpayer Identification Number.

Details of Other Joint Unitholders (Maximum 4 Joint Unitholders)(1)Name (English) Name (Chinese)

Nationality

Date of Birth Country of Birth

ID/Passport No.(Issue Country: )

Gender Male Female

Residential Address*(Country: )

Mailing Address*(Country: )

(Country Code) Home Tel. No.

( ) (Country Code) Home Fax No.

( )

(Country Code) Mobile No.

( ) Email Address

Occupation/Business

Present Position

Office Address(Country: )

(Country Code) Office Tel. No.

( ) (Country Code) Office Fax No.

( )

Source of Income

Have US tax obligations? Yes No

* No P.O. Boxes will be accepted.

Applicant’s Declaration

(please put a “3”” in the appropriate box below)I/We am/are or have beeni) in charge of important political and/or public functions, e.g. heads of state or government, senior politicians, senior government,

judicial or military officials, senior executives of the government owned corporations, important political party officials; and/orii) family members and close associates of the persons engaged in the important political and/or public functions alike: Yes No

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(2)Name (English) Name (Chinese)

Nationality

Date of Birth Country of Birth

ID/Passport No.(Issue Country: )

Gender Male Female

Residential Address*(Country: )

Mailing Address*(Country: )

(Country Code) Home Tel. No.

( ) (Country Code) Home Fax No.

( )

(Country Code) Mobile No.

( ) Email Address

Occupation/Business

Present Position

Office Address(Country: )

(Country Code) Office Tel. No.

( ) (Country Code) Office Fax No.

( )

Source of Income

Have US tax obligations? Yes No

* No P.O. Boxes will be accepted.

Applicant’s Declaration(please put a “3”” in the appropriate box below)I/We am/are or have beeni) in charge of important political and/or public functions, e.g. heads of state or government, senior politicians, senior government,

judicial or military officials, senior executives of the government owned corporations, important political party officials; and/orii) family members and close associates of the persons engaged in the important political and/or public functions alike: Yes No(3)

Name (English) Name (Chinese)

Nationality

Date of Birth Country of Birth

ID/Passport No.(Issue Country: )

Gender Male Female

Residential Address*(Country: )

Mailing Address*(Country: )

(Country Code) Home Tel. No.

( ) (Country Code) Home Fax No.

( )

(Country Code) Mobile No.

( ) Email Address

Occupation/Business

Present Position

Office Address(Country: )

(Country Code) Office Tel. No.

( ) (Country Code) Office Fax No.

( )

Source of Income

Have US tax obligations? Yes No

* No P.O. Boxes will be accepted.Applicant’s Declaration(please put a “3”” in the appropriate box below)I/We am/are or have beeni) in charge of important political and/or public functions, e.g. heads of state or government, senior politicians, senior government,

judicial or military officials, senior executives of the government owned corporations, important political party officials; and/orii) family members and close associates of the persons engaged in the important political and/or public functions alike: Yes No

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5. Bank Account Details

If you would like future redemption proceeds and all cash distributions (if selected in Section 3 (1)) to be paid into your bank account by telegraphic transfer, please complete your bank account details below. Please note that both redemption proceeds and cash distributions will only be paid to the bank account of any Unitholder whose name is registered on the Register of the Sub-Fund.

Account

Bank Name

Bank Address

(Country where the bank is located: )

Swift Code (Overseas Accounts only)

Bank Account Name

Bank Account Number

Correspondent Bank

Swift Code

Account Currency

6. Joint Applicants’ Authorisation

If there are joint applicants, details of the other applicants should be provided under Section 4. A maximum of four persons may be joint Unitholders in the Sub-Fund. Only the first registered address and the first mailing address stated in Section 4 – Investor’s Details of this Application Form will be entered in the Register of the Sub-Fund.

7. Applicants’ Warranties and Covenants

* I/We acknowledge and declare that:7.1 * I/We have received and read the Memorandum of the Sub-Fund and * I/we confirm that this application is made on the terms of the Memorandum

of the Sub-Fund, as amended from time to time.7.2 * I/We undertake to observe and be bound by the provisions of the Trust Deed (as amended from time to time) constituting the Guotai Junan Great

Dragon RMB Funds.7.3 No person (including but not limited to the Sub-Fund, its directors, officers, employees, agents, advisers and any person acting on behalf of any of the

foregoing persons) has given or been authorised to give * me/us any information or representation in connection with the offering, subscription and sale of the Units, other than the information contained in the Memorandum of the Sub-Fund and that if any such information or representations have been given, * I/we have not relied upon them. * I/We agree that none of the Sub-Fund, the Manager or its officers, employees, agents, advisers and any person acting on behalf of any of the foregoing persons will have any liability for any information and representations other than the information contained in the Memorandum of the Sub-Fund or in such documents as they may agree. In deciding to subscribe for the Units * I/we confirm that * I/we have relied upon *my/our own examination of the terms of subscription and the risk factors set out in the Memorandum. I/We have consulted with my/our own advisers and am/are fully informed as to the legal and tax requirements regarding a purchase of the Units.

7.4 *I am/we are able to acquire Units without violating any applicable laws. *I/We further confirm that *I/we have the capacity, power and authority to enter into and perform *my/our obligations under this Application Form and the Memorandum of the Sub-Fund, and that the Sub-Fund, the Manager or its officer, employee, agent, adviser and any person acting on behalf of any of the foregoing persons is entitled to rely on *my/our signature(s) in this Application Form without further verification.

7.5 * I am/We are over the age of 18 years, and * I am/we are not subscribing for the Units in the Sub-Fund on behalf of any person who is under 18 years of age.

7.6 I/We confirm that I am/we are not persons who are prohibited from receiving the Memorandum of the Sub-Fund. I/We will not transfer my/our Units unless (i) the transfer is to a person who meets the eligibility criteria for investment in the Sub-Fund and (ii) the Manager (or its delegate) provide its prior written consent. I/We agree to indemnify and hold harmless each of the Manager, the Registrar, the Trustee, the Custodian, any Unitholder and their respective directors, officers, employees, agents or service providers against any loss, liability, cost or expense (including but not limited to legal fees, taxes and penalties) which may result directly or indirectly from me/us acquiring or holding Units in contravention of the restrictions outlined in the Memorandum of the Sub-Fund.

7.7 * I/We certify that *I am/we are not a US person (as defined in the Memorandum) and that the Units hereby applied for are not being acquired directly or indirectly by or on behalf of, or for the account of, a US person. I/We further confirm that I/we will notify the Registrar in the event that * I/we become a US person or hold the Units on behalf of, or for the account or benefit of, a US person.

7.8 We certify that we are not an entity 50% or more of the beneficial interest in which are owned, directly or indirectly, by US person.7.9 In the case of an entity which has less than 50% of its beneficial interests owned by US person, we were not formed for the purpose of investing in

the Fund (e.g. if I am/we are an investment fund, the investment in the Fund does not constitute more than 40% of my/our net assets) and we will promptly notify the Fund if this is not the case.

7.10 In the case of a trust, * I/we hereby certify that * I/we do not have any beneficiaries or trustees that are US person.7.11 The acceptance of * my/our application for subscription together with the subscription monies will not breach any applicable money laundering and

terrorist financing laws and regulations and * I/we undertake to provide verification of * my/our identity and my/our source of payment of subscription monies reasonably satisfactory to the Manager, the Trustee, the Custodian, the Registrar or any of their directors, officers, employees, agents or service providers promptly on request. The Sub-Fund, the Manager, the Trustee, the Custodian, the Registrar or any of their directors, officers, employees, agents or service providers shall be held harmless and indemnified by * me/us against any loss arising from the failure or delay to process this application if such information as has been required from * me/us but has not been provided by * me/us.

7.12 * I/We agree to be bound by the laws of the Hong Kong by which this Application Form shall be governed and interpreted and submit to the non-exclusive jurisdiction of the courts of the Hong Kong as regards any claim or matter arising from this Application Form.

7.13 * I/We agree that the information supplied on this Application Form and otherwise in connection with my/our subscription for Units may be held by the Trustee and the Custodian and will be used for the purposes of processing *my/our subscription for Units in the Sub-Fund and completing the Register of the Sub-Fund, and may also be used for the purpose of carrying out my/our instructions or responding to any enquiry purporting to be given by me/us or on my/our behalf, dealing in any other matters relating to *my/our holding of Units (including the mailing of reports or notices), forming part of the records of the recipient as to the business carried on by it, observing any legal, governmental or regulatory requirements of any relevant jurisdiction (including any disclosure or notification requirements to which any recipient of the data is subject). My/our information may also, subject to the requirements of applicable law relating to personal information, be used by the Manager or its Connected Persons for compiling a marketing database or for the despatch of information on other products or services of the Manager or its Connected Persons to me/us and that all such information may be retained after *my/our Units have been redeemed or transferred or after the termination of the Sub-Fund.

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7.14 *I/We agree that the Trustee and the Custodian may, subject to the requirements of applicable law relating to personal information, disclose and transfer the information supplied on this Application Form to the Auditors, the Registrar and the Manager including any of their directors, officers, employees, agents, holding or subsidiary companies or affiliates or to any third party employed to provide administrative, computer or other services or facilities to any person to whom data is provided or may be transferred as aforesaid and/or to any regulatory authority entitled thereto by law or regulation (whether statutory or not) in connection with my/our investment in the Sub-Fund, which persons may be persons outside Hong Kong and/or any government department or agency in Hong Kong or any other jurisdiction whatsoever, in accordance with any applicable laws or regulations or any inter-governmental agreement.

7.15 *I/We agree that none of the Sub-Fund, the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers will be liable for any loss which *I/we may suffer arising from (a) their acting on any faxed instructions which they believed in good faith to have originated from properly authorized persons; or (b) the Manager exercising its absolute discretion not to, and instructing the Registrar not to, act on such faxed instructions; or (c) any faxed instructions which are illegible; or (d) any faxed instructions which are not received by the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers due to failed transmission thereof and that *I/we will keep the Sub-Fund, the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers fully indemnified on demand against all current and pending actions, losses and expenses brought against, or incurred by, the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers resulting from any of them acting, or failing to act, on such instructions or from the non-receipt or illegibility of any faxed instructions.

7.16 This Application Form shall constitute an instruction and authority to the Sub-Fund (or some other persons or company nominated by it for the purpose) on * my/our behalf to execute any registration or application forms or other document and generally to do all such other things as the Sub-Fund or such other person or company nominated by it may consider necessary or desirable to effect the issue and allotment of Units * I/we subscribe for thereunder, * my/our subscription and registration of Units issued to * me/us in * my/our name or otherwise to give effect to * my/our subscription for Units.

7.17 I/We warrant and confirm to the Manager, the Trustee, the Registrar and the Custodian that I/we have the knowledge, expertise and experience in financial matters to evaluate the risks of investing in the Sub-Fund, am/are aware of the risks inherent in investing in the assets in which the Sub-Fund will invest and the method by which these assets will be held and/or traded, and can bear the loss of my/our entire investment in the Sub-Fund. I/we have adequate means of providing for all of my/our current and anticipated needs and possible contingencies, have no need for liquidity in my/our investment in the Sub-Fund, and have sufficient means to bear the economic risk of my/our investment in the Sub-Fund for an indefinite period of time.

7.18 I/We agree to indemnify and hold harmless each of the Sub-Fund, the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers against any loss, liability, cost or expense (including but not limited to legal fees, taxes and penalties) which may result directly or indirectly from any misrepresentation or breach of any warranty, condition, covenant or agreement in this Application Form or in any document delivered by me/us to any of them and shall notify the Manager, the Trustee, the Registrar, the Custodian and their respective directors, officers, employees, agents or service providers immediately if any of the representations made by me/us are no longer accurate and complete in all respects.

7.19 I/We understand that the Manager has retained Hong Kong counsel to advise the Manager regarding its responsibilities to the Sub-Fund. I/We further understand that, in connection with this offering of Units and subsequent advice, such Hong Kong counsel will not be representing the Sub-Fund nor Unitholders in the Sub-Fund, including me/us, and no independent counsel has been retained to represent Unitholders or investors in the Sub-Fund.

7.20 I/We shall repeat the above warranties for each and every subsequent subscription, redemption or conversion request * I/we make in respect of Units in the Sub-Fund.

7.21 All individual investors have the right of access to, and to update, all their records (whether held on computer files or manually) held by the Trustee. A copy of such record will be provided to an investor who requests it, upon the payment of a modest administration charge to cover the costs of complying with such requests. Requests should be made in writing to the Trustee at the address in the Memorandum.

7.22 I/We consent to the recording of telephone conversations between the Trustee and myself/ourselves; and I/we acknowledge that any such tape recordings may be submitted in evidence in any proceedings relating to the service agreements between the Trustee and the Fund or the Sub-Fund.

7.23 I/We agree to abide by the terms and conditions of any web site through which my/our investment holdings are made available, on acceptance of such terms and conditions by any individual acting on my/our behalf.

7.24 I/We understand and agree that in order for the Trustee, the Custodian or any of their affiliates to meet their legal and regulatory obligations, their group policies, any request of a public or regulatory authority or pursuant to normal market practice which relate to the prevention of fraud, money laundering, terrorism or other criminal activities or the provision of financial and other services to any persons or entities which may be subject to sanctions (collectively ‘Relevant Requirements’), the Trustee, the Custodian and their affiliates may take any necessary action including but not limited to the checking of each prospective investor or redeeming investor against lists of persons, entities or organisations included on any so-called ‘watch list’ or websites containing such information (such checking may be done by automated screening systems) and the interception and investigation of transactions in relation to the Sub-Fund (particularly those involving the international transfer of funds) including the source of or intended recipient of funds paid in or out in relation to the Sub-Fund. In certain circumstances, such action may delay or prevent the processing of this Application Form, the settlement of transactions in respect of the Sub-Fund or performance of the Trustee’s and the Custodian’s obligations generally, and the Trustee or the Custodian may in such circumstances refuse my/our application for Units. None of the Trustee, the Custodian or any of their affiliates will be liable for loss (whether direct or consequential and including, without limitation, loss of profit or interest) or damage suffered by any party arising out of or caused in whole or in part by any actions which are taken by the Trustee, the Custodian or any of their affiliates to comply with the Relevant Requirements (including but not limited to those actions referred to in this paragraph).

7.25 FATCA representations and warrantiesWithout prejudice to the generality of any other provision of this Application Form:i) I/We acknowledge that certain obligations are or may be imposed on the Sub-Fund, the Trustee and/or the Manager by Relevant Law. I/We

further acknowledge that Sub-Fund, the Trustee and the Manager have the authority to enter into and comply with any agreement that may be necessary or desirable to enter into in connection with Relevant Law or otherwise comply with any Relevant Law.

ii) I/We acknowledge that the Sub-Fund, the Trustee and the Manager (or their respective Agents from time to time) may be required to disclose details of my/our holding of Units and, if and to the extent required, the direct or indirect beneficial owners of my/our Units (if any) and any information and documentation provided by me/us, to any taxation authority, government agency or other person pursuant to Relevant Law.

iii) I/We agree to provide on request in a timely manner, and consent to the use and disclosure of, any information or documentation in relation to myself/ourselves and, if and to the extent required, the direct or indirect beneficial owner(s) of my/our Units (if any), as may be necessary or desirable for the Sub-Fund, the Trustee or the Manager (or their respective Agents from time to time) to comply with any reporting or other obligations and/or prevent the withholding of tax under Relevant Law. I/We shall have no claim against the Sub-Fund, the Trustee or the Manager (or their respective Agents from time to time) for any losses, liabilities, costs or expenses suffered by me/us (including in relation to the direct or indirect beneficial owners of my/our Units (if any)) as a result of the use or disclosure of such information or documentation. I/We also undertake to notify the Sub-Fund, the Trustee or the Manager (or their respective Agents from time to time) of any change to, update and/or replace forthwith, such information and documentation which may be relevant for the purposes of Relevant Law.

iv) The information and documentation that I/we agree to provide in relation to myself/ourselves and, if and to the extent required, the direct or indirect beneficial owner(s) of my/our Units (if any), includes, but is not limited to, information and/or passport(s), properly executed forms, certificates, or other documentation relating to or establishing such person’s identity, jurisdiction of residence (or formation) and income tax status.

v) To the extent permitted by law, I/we agree to waive any provision of any data protection, privacy, banking secrecy or other law or regulation of any jurisdiction and/or the terms of any confidentiality agreement, arrangement or understanding that would otherwise prevent compliance by the Sub-Fund, the Trustee or the Manager with any Relevant Law, including, but not limited to, my/our provision of any requested information and/or documentation.

vi) I/We acknowledge that the Sub-Fund, the Trustee or the Manager and/or their respective Agents shall be entitled to determine, in their sole discretion, whether and how to comply with Relevant Law. Any such determinations shall include, but not be limited to, an assessment of the information and documents that are required to be disclosed to any tax authority, government agency or other person to comply with Relevant Law. I/We acknowledge and agree that I/we shall have no claim against the Sub-Fund, the Trustee or the Manager or their respective Agents for any losses, liabilities, costs or expenses suffered by me/us (including in relation to the direct or indirect beneficial owners of my/our Units (if any)) that are attributable to any determinations related to compliance or actions taken to comply with Relevant Law.

vii) I/We acknowledge that if I/we provide information and documentation that is in any way misleading, or fail to provide the Sub-Fund, the Trustee or the Manager (and/or their respective Agents) with the requested information and documentation necessary in either case to satisfy the obligations of the Sub-Fund, the Trustee or the Manager under Relevant Law, the Sub-Fund, the Trustee and the Manager reserve the right (whether or not such action or inaction leads to compliance failures by the Sub-Fund, the Trustee and/or the Manager, or a risk of the Sub-Fund or its investors being subject to withholding tax or other penalties under Relevant Law): (i) to take any action and/or pursue all remedies at its disposal including, without limitation, compulsory redemption or withdrawal; and (ii) to the extent allowed under the Trust Deed, to hold back from any redemption proceeds, or to deduct from my/our applicable Net Asset Value, any liabilities, costs, expenses or taxes caused (directly or indirectly) by my/our action or inaction.

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viii) I/We acknowledge that any tax withheld pursuant to Relevant Law from any payment received by the Sub-Fund or any person in which the Sub-Fund holds, directly or indirectly, any interest shall be treated as attributable to me/us if my/our non-compliance or delay with any request by the Manager, Trustee, and/or the Custodian for such information or certification resulted in the imposition of such withholding (which, at the discretion of the Trustee and/or the Custodian, may be collected from proceeds otherwise payable to me/us from the redemption of Units or from distribution amounts otherwise payable to me/us) to the greatest extent possible prior to the attribution of any portion of such withholding to any other investors.

ix) I/We acknowledge and agree that I/we may be liable to the Sub-Fund, the Trustee and/or the Manager (and/or their respective Agents) for any losses, liabilities, costs (including, without limitation, compliance costs) or expenses provided for under or otherwise arising in connection with Relevant Law as a result of or in connection with any omission (including without limitation any failure to provide any or all requested information and documentation and/or the provision of inaccurate, incomplete or misleading information and documentation) or action taken by me/us, or any related person. This provision (which forms part of my/our subscription contract with the Sub-Fund) shall survive the termination of my/our subscription contract and shall continue to operate upon my/our ceasing to hold any Units in the Sub-Fund.

In this section, “Relevant Law” means any existing or future legislation enacted by any jurisdiction that provides for the exchange of information (including, without limitation, under Sections 1471 to 1474 of the US Internal Revenue Code of 1986, commonly known as “FATCA”, and any regulations made thereunder or associated therewith or any other jurisdiction’s legislation which is similar in effect to “FATCA”), any official interpretations or guidance thereof, or any law or regulations implementing an intergovernmental approach thereto, or any agreements made pursuant to the implementation of the foregoing, in each case as enacted, made, amended or replaced from time to time.

In this section, “Agent” means an agent or delegate acting from time to time on behalf of the Sub-Fund, the Trustee and/or the Manager, including, without limitation, any administrator, transfer agent, depositary and/or other service providers and their affiliates and the partners, officers, directors, members, managers, employees, agents and shareholders of the foregoing.

ADDITIONAL DECLARATIONS, REPRESENTATIONS, WARRANTIES AND COVENANTS AND ANTI-MONEY LAUNDERINGi) (Natural persons only) I confirm that I have reached the age of majority under the laws of my country of nationality or domicile, and have the capacity

to execute, deliver and perform my duties and obligations under this Application Form.ii) (Corporate applicants only) We confirm that we have the full right, power and authority to execute, deliver and perform our duties and obligations

under this application and invest in the Units and all necessary corporate action has been taken to authorise this application and such investment. The execution and delivery of this Application Form by us and the performance of our duties and obligations hereunder (A) do not and will not result in a breach of any of the terms, conditions or provisions of, or constitute a default under (i) any charter, by-laws, trust agreement, partnership agreement or other governing instrument applicable to us, (ii) (1) any indenture, mortgage, deed of trust, credit agreement, note or other evidence of indebtedness, or any lease or other agreement or understanding, or (2) any license, permit, franchise or certificate, in either case to which we or any of our affiliates is a party or by which we or any of our affiliates is bound or to which we or any of our properties are subject; (B) do not require any authorisation or approval under or pursuant to any of the foregoing; and (C) do not violate any statute, regulation, law, order, writ, injunction or decree to which we or any of our affiliates is subject.

iii) (Banks and Brokers) We are a bank or broker and are making this application on behalf of clients for investment purposes. We make each of the declarations in this Subscription Application on behalf of such clients and further covenant that we will notify the Fund if we become aware that any such client has become a US Person, that we will not at any time knowingly transfer or deliver Units or any interest therein to a US Person and that we will not make any transfer of Units in the United States.

iv) (Nominees and custodians) We are making this application as nominee or custodian for another person or entity. We covenant that we will not permit the beneficial owners of such Units to transfer any beneficial interest in the Units, directly or indirectly, to any person or entity unless the representations made by me/us in this Application Form will continue to be true.

v) No consent, approval or authorisation of, or filing, registration or qualification with, any court or governmental authority on my/our part is required for the execution and delivery of this Application Form by me/us or the performance of my/our obligations and duties hereunder or thereunder.

vi) I/We acknowledge that measures aimed at the prevention of money laundering and terrorism may require verification of my/our identity and/or source of funds. I/We acknowledge that Units will not be issued until such time as the Trustee and/or the Registrar has received and is satisfied with all the information and documentation requested to verify my/our identity and/or source of funds. I/We acknowledge and agree that neither the Manager, the Trustee, the Registrar, nor the Custodian shall be liable for any loss arising as a result of a failure to process my/our application for Units if such information and documentation as has been requested by the Trustee or the Registrar has not been provided by me/us.

vii) I/We understand and agree that the Fund prohibits the investment of funds by any persons or entities that are acting, directly or indirectly: (i) in contravention of any applicable laws and regulations, including anti-money laundering regulations or conventions; (ii) on behalf of terrorists or terrorist organisations, including those persons or entities that are included on the List of Specially Designated Nationals and Blocked Persons maintained by the United States Treasury Department’s Office of Foreign Assets Control (“OFAC”), as such list may be amended from time to time; (iii) for a senior foreign political figure, any member of a senior foreign political figure’s immediate family or any close associate of a senior foreign political figure, unless the Fund, after being specifically notified by me/us in writing that I am/we are such a person, conducts further due diligence, and determines that such investment shall be permitted; or (iv) for a foreign shell bank (such persons or entities in (i) – (iv) are collectively referred to as “Prohibited Persons”).

viii) I/We represent, warrant and covenant that: (i) I am/we are not, nor is any person or entity controlling, controlled by or under common control with me/us, a Prohibited Person; and (ii) to the extent I/we have any beneficial owners, (a) I/we have carried out thorough due diligence to establish the identities of such beneficial owners, (b) based on such due diligence, I/we reasonably believe that no such beneficial owners are Prohibited Persons, (c) I/we hold the evidence of such identities and status and will maintain all such evidence for at least five years from the date of my/our complete redemption from the Fund, and (d) I/we will make available such information and any additional information that the Manager, the Trustee, the Registrar, or the Custodian may require upon request.

ix) I/We represent and warrant that subscription monies are not directly or indirectly derived from activities that may contravene United States federal or state, or international, laws and regulations, including anti-money laundering laws and regulations.

x) Where this application is made as trustee, custodian, nominee or otherwise on behalf of another person or persons, I/we warrant that I/we have carried out reasonable verification checks on and obtained sufficient evidence as to the identity of such person or persons on whose behalf I/we shall be holding the Units so as to satisfy myself/ourselves of the provenance and legitimacy of the source of funds used to subscribe for the Units and have otherwise complied with the laws and regulations relating to anti-money laundering procedures that are applicable in the jurisdiction where such Units are offered or distributed and I/we acknowledge that in applying to be registered owner of the Units on such person’s or persons’ behalf I am/we are confirming that I am/we are satisfied as to the identity of the underlying beneficial holder(s) and the provenance and legitimacy of the funds being used to subscribe for these Units and will make such evidence available to the Manager, the Trustee, the Registrar, the Custodian or any relevant regulator where required.

xi) I/We acknowledge that if any of the representations, warranties or covenants given by me/us in this Subscription Application ceases to be true or if the Manager, the Trustee, the Registrar or the Custodian no longer reasonably believes that it has satisfactory evidence as to their truth, notwithstanding any other agreement to the contrary, they may be obligated to freeze my/our investment, either by prohibiting additional investments, declining or suspending any redemption requests and/or segregating the assets constituting the investment in accordance with applicable regulations, or my/our investment may immediately be redeemed, and the Manager, the Trustee, the Registrar or the Custodian may also be required to report such action and to disclose my/our identity to the appropriate authority. In the event that any person is required to take any of the foregoing actions, I/we understand and agree that I/we shall have no claim against the Manager, the Trustee, the Registrar or the Custodian for any form of damages as a result of any of the aforementioned actions.

xii) I/We understand and agree that any redemption proceeds paid to me/us will be paid to the same account from which my/our investment in the Fund was originally remitted, unless the Manager and/or the Trustee agree otherwise.

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8. Execution/Signature(s) of Applicant(s)

Please state “N/A” in the space where no applicant’s signature is required.

Signature: Name/Title:

Signature: Name/Title:

Signature: Name/Title:

Signature: Name/Title:

Date:

Endorsement and Approval by the Manager/Authorized Distributor

Company Chop & Signature: Name of Signatory:(Please print)

NOTES1. All individual applicants (including all joint applicants) must sign this Application Form. A corporate applicant should sign under the hand of a duly authorised

official who should state his representative capacity (e.g. director) together with a company chop or seal. If signed under a power of attorney, such power or a duly certified copy thereof must accompany this Application Form.

2. This Application Form must be accompanied by a remittance advice evidencing that subscription monies have been remitted to the subscription account of the Sub-Fund the details of which are stated in Payment Details of Section 1 of this Application Form.

3. The Manager may, at its discretion, reject any application in whole or in part in which case the subscription monies will be returned to the applicant, without interest, as soon as practicable after the rejection by cheque or telegraphic transfer, at the cost and risk of the applicant. All applications for subscription will not be dealt with until all required supporting documentation and payments for the subscription monies have been received in full in cleared fund.

4. Units will be issued in non-certificated form. The Trustee will normally issue contract notes to successful applicants as soon as practicable after the close of the Initial Offer Period, or the relevant Dealing Day upon acceptance of an application for subscription. Contract notes will be sent by ordinary post to successful applicants.

5. Payments should be made in Renminbi (RMB).6. Application procedures are detailed in the Memorandum, and may also be confirmed with the Trustee.7. Please return this Application Form to the Trustee, by fax to the above fax number (the original Application Form to follow immediately by post to the

address shown at the top of this Application Form) or by post to the address shown at the top of this Application Form. Neither the Trustee, the Registrar, the Custodian, the Sub-Fund, the Manager nor their duly appointed agents will be responsible to an applicant for any loss resulting from the non-receipt of any document.

8. The Manager, the Trustee, the Registrar or the Custodian may take any action they deem appropriate to process applications made by faxed Application Forms notwithstanding any error, misunderstanding or lack of clarity in the Application Forms. The Manager, the Trustee, the Registrar or the Custodian shall not be liable for any direct or indirect loss resulting from their acting or not acting on any applications made by faxed Application Forms or for the non-receipt or illegibility of any Application Forms sent by facsimile or for any loss caused in respect of any action taken as a consequence of such facsimile believed in good faith to have originated from properly authorised persons.

9. A certifier must be a suitable person, such as a lawyer, accountant, director or manager of a regulated credit or financial institution, a notary public or a member of the judiciary. The certifier should sign the copy document (printing his/her name clearly underneath) and clearly indicate his/her position or capacity, together with a contact address and phone number. The certifier must indicate that the document is a true copy of the original and that the photo is a true likeness of the individual.

10. Where documents are not in English, a notarised translation is required.11. In order to comply with any applicable anti-money laundering regulations, the Trustee, the Registrar, the Custodian and the Manager may require detailed

verification of an investor’s identity and the source of the payment of application monies. The Trustee, the Registrar, the Custodian and the Manager reserve the right to request such information as is necessary to verify the identity of an applicant and the source of the payment. In the event of delay or failure by the applicant to produce any information required for verification purposes, the Trustee, the Registrar, the Custodian or the Manager may refuse to accept the subscription and the subscription monies relating to such application and refuse to pay any redemption proceeds. Neither the Trustee, the Registrar, the Custodian, the Manager nor their delegates shall be liable to the applicant for any loss suffered by the applicant as a result of the rejection or delay of any subscription or payment of redemption proceeds. Please refer to the attached Appendix which enlisted the required documents that the Applicant should provide along with the completed Application Form for the verification of his/her identity and the source of the payment of the application monies.

(* delete as appropriate)

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Appendix for the Application Form – List of the required documents to be submitted to the Trustee, the Registrar, the Custodian, and the Manager in the application process

For the Applicants of companies

1. A certified copy of its certificate of incorporation.2. A certified copy of memorandum and articles of association (or equivalent), and all amendments thereto.3. Details of its registered office and place of business.4. Original or certified copy of a company search report/certificate of incumbency issued within 6 months.5. A certified copy of its resolutions authorising its subscription and the subscription amount; and the authorised signatures of person(s)

executing this Application Form and other documents.6. A certified copy of register/list of directors showing names and residential addresses.7. Evidence of investor’s authority to make the investment (e.g. the relevant board resolution).8. A certified ID copy and an address proof of the following person(s):

(i) each principal beneficial owners (generally regarded as persons directly or indirectly holding more than 10% of the applicant company’s shares or voting rights);

(ii) at least 2 directors (including the Managing Director) or 1 director and 1 company secretary;(iii) all authorised signatories.

For the Applicants of individuals

1. A certified true copy of the identity card or passport2. Proof of residential address, usually provided by way of the bank reference or an original/certified copy of a recent utility bill or bank

statement issued within last 3 months.

For the Applicants of Trustees, Agents, General Partners of Partnerships, or Other Person Acting in a Representative Capacity

1. A certified copy of the trust agreement, power of attorney or partnership agreement, as the case may be, evidencing the existence of authority to make an investment in the Units the authority to subscribe and to execute this Application Form and other documents; and

2. In the case of a trust, an opinion of counsel as to such power and authority. For partnerships and unincorporated businesses the beneficial owners who are entitled to or control 10% or more of the capital/profits/voting rights of the business and/or authorized signatories must provide the information set out above for individual applicant.

For the Applicants of Qualified Financial Institutions#

1. A certified authorised signatory list.2. A certified copy of the license issued by the regulatory body.3. A certified copy of its certificate of incorporation or business registration or equivalent.4. A certified copy of its resolutions authorising its subscription and the subscription amount; and the authorised signatures of person(s)

executing this Application Form and other documents.

# A Qualified Financial Institution is defined as a financial institution, which is:(i) Established in a EU member state and subject to the EC Money Laundering Directives, or(ii) Established in one of the countries which make up the Financial Action Task Force (FATF) and/or is subject to regulation which complies with the

FATF Recommendations.

Unitholder Account No 單位持有人賬戶號碼:

To: BOCI-Prudential Trustee Limited (Trustee and Registrar)

致:

中銀國際英國保誠信託有限公司

（受託人及過戶登記處）

Guotai Junan Assets (Asia) Limited (Manager)

國泰君安資產管理(亞洲)有限公司

（基金經理）

FATCA Self-Certification (Individual) 《海外帳戶稅收合規法案》自行認證（個人）

Please TICK appropriate box below. Please consult your tax advisor if you have any questions about how to complete this form. 請在以下合適的格內劃上剔號。如對填寫本表格有疑問，請諮詢閣下的稅務顧問。

Yes是 No 否

1. Are you a “U.S. Resident”? 閣下是否“美國居民”? □ □

If yes, please specify U.S.TIN 如是，請提供美國稅務身份號碼: ________________________

2. Are you a “U.S. Citizen”*? 閣下是否“美國公民”*? □ □

If yes, please specify U.S.TIN 如是，請提供美國稅務身份號碼: ________________________

3. Do you hold a “U.S. Permanent Resident Card (Green Card)”? 閣下是否持有“美國永久居民身份證(綠卡)”? □ □

If yes, please specify U.S.TIN 如是，請提供美國稅務身份號碼: ________________________

I hereby confirm the information provided above is true, accurate and complete. I undertake to notify the Manager, Trustee and Registrar within 30 calendar days if there is a change in any information which I have provided to the Manager, Trustee and Registrar. I hereby consent to them disclosing or sharing this information with the relevant tax information authorities in Hong Kong and overseas when they are obliged to do so. 本人確認以上所提供的資料是真實、

準確以及完整。本人承諾本人提供的任何資料如有變更，本人會於三十日內通知基金經理、受託人及過戶登記處。本人

特此同意他們可在需要時向在香港及海外的相關稅務資料當局披露或分享此等資料。

________________________________ ________________________________ ____________________ Unitholder’s Signature單位持有人簽署 Unitholder’s Name單位持有人姓名 Date日期

________________________________ ________________________________ Identity Card No身份證號碼 Country of Birth出生國家

*If you were born in the United States (or a U.S. Territory) but are not a U.S. Citizen, please provide evidence of your surrender of U.S. citizenship. 如你在美國（或美國屬地）出生但不是美國公民，請提供放棄美國公民身份的

證明。

In the case of joint account, each holder must complete this Self-Certification separately. 如為聯名賬戶，所有聯

名持有人須各自分別填寫本自行認證書。

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Unitholder Account No 單位持有人賬戶號碼:

To: BOCI-Prudential Trustee Limited (Trustee and Registrar)

致:

中銀國際英國保誠信託有限公司

（受託人及過戶登記處）

Guotai Junan Assets (Asia) Limited (Manager)

國泰君安資產管理(亞洲)有限公司

（基金經理）

FATCA Self-Certification (Corporate) 《海外帳戶稅收合規法案》自行認證（公司）

Please TICK appropriate box below. Please consult your tax advisor if you have any questions about how to complete this form. 請在以下合適的格內劃上剔號。如對填寫本表格有疑問，請諮詢閣下的稅務顧問。

Yes是 No 否

1. Is your corporate a “Specified U.S. Person”? 貴公司是否“指定美國人士”﹖ □ □

If yes, please specify U.S. TIN 如是，請提供美國稅務身份號碼: ________________________

2. Is your corporate a “Foreign Financial Institution (FFI)”? 貴公司是否“海外金融機構”﹖

□ □

3. If 2 is “Yes”, please tick in the box: 如 2 “是”，請在格內劃上剔號:

□ Participating FFI □ Registered Deemed Compliant FFI

參與法案的海外金融機構 已註冊被視作合規的海外金融機構

□ Reporting Model 1 FFI □ Reporting Model 2 FFI

以版本一申報的海外金融機構 以版本二申報的海外金融機構

□ Certified Deemed Compliant FFI □ Owner-Documented FFI

經認證被視作合規的海外金融機構 已提供所有人資訊的海外金融機構

□ Sponsored FFI that has not obtained a GIIN □ Non-Participating FFI

不具 GIIN之受贊助的海外金融機構 不參與法案的海外金融機構

□ Exempt Beneficial Owner □ Other:________________________________

豁免實益擁有人 其他:________________________________

4. If you are a “Participating FFI”, “Registered Deemed Compliant FFI”, “Reporting Model 1 FFI” or “Reporting Model 2 FFI”, please provide GIIN: ______________________________________ 如貴公司屬於“參與法案的海外金融機構”、“已註冊被視作合規的海外金融機構”、“以版本一申報

的海外金融機構” 或 “以版本二申報的海外金融機構”，請提供全球中介人身份號碼：________________

5. If 2 is “No”, please TICK: 如 2 “否”，請在格內劃上剔號:

□ Active Non-Financial Foreign Entity □ Passive Non-Financial Foreign Entity

實質營運的非金融海外實體 非實質營運的非金融海外實體

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6. If you are a “Passive Non-Financial Foreign Entity”, please provide the following details of all

Controlling Person(s)**: 若貴公司屬於“非實質營運的非金融海外實體”, 請在以下列表提供所有控制人**

的詳情:-

Name (in English) 姓名

Address (in English) 地址

Shareholding 控股權(%)

US Person 美國人士

□No否

□Yes是,USTIN*:

□No否

□Yes是,USTIN*:

□No否

□Yes是,USTIN*:

□No否

□Yes是,USTIN*:

□No否

□Yes是,USTIN*: *USTIN: U.S. Taxpayer Identification No 美國稅務身份號碼

(**Each Controlling Person who is natural person should also complete this Self-Certification separately. 自

然人的控制人須各自分別填寫本自行認證書。)

We hereby confirm the information provided above is true, accurate and complete. We undertake to notify the Manager, Trustee and Registrar within 30 calendar days if there is a change in any information which we have provided to the Manager, Trustee and Registrar. We hereby consent to them disclosing or sharing this information with the relevant tax information authorities in Hong Kong and overseas when they are obliged to do so. 吾等確認以上所提供的資料是真實、準確以及完整。

吾等承諾吾等提供的任何資料如有變更，吾等會於三十日內通知基金經理，受託人及過戶登記處。吾等特此同意他們可在需

要時向在香港及海外的相關稅務資料當局披露或分享此等資料。

___________________________________ ________________________________ Authorized Signature(s) with company chop Unitholder’s Name單位持有人名稱

公司印章及授權簽名

________________________________ Date日期

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