零售債券風險程度一覽表 (2018 年 4 月 2 日更新 ) Retail Bond Risk Rating (Updated on 2 Apr 2018)

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Erica Marsh
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1 零售債券風險程度一覽表 (2018 年 4 月 2 日更新 ) Retail Bond Risk Rating (Updated on 2 Apr 2018) 發債機構 Issuer / 證券編號 Sec ID 信貸評級 1 Credit Rating 1 年票面息率 Coupon (%per annum) 到期日 Maturity 產品風險程度 2 Product Risk Level 2 (as of 2 Apr 2018) (as of 1 Nov 2017) Hutchison Whampoa Int l Ltd (K439) A2 / A- / A % 24 Nov Hutchison Whampoa International 09 Limited (K449) A2 / A- / A % 09 Apr HSBC Holdings PLC (Subordinated Note 後償債券 ) (K450) A % 02 May Swire Pacific MTN Financing Limited (K454) A3 / A- / A % 19 Aug Kowloon-Canton Railway Corporation (K465) Aa2 / AA+ / WD 5.125% 20 May Hong Kong Special Administrative Region Government (K476) NR / AA+ / AA % 09 Dec HKCG (Finance) Limited (K482) A1 / A+ / NR 6.250% 07 Aug Commonwealth of Australia (K484) Aaa / NR / AAA 5.750% 15 Jul Bank of China (Hong Kong) Limited (Subordinated Note 後償債券 ) (K486) A3 / A / A % 11 Feb HSBC Holdings plc (K494) AA % 19 Jan Hutchison Whampoa International (09/19) Limited (K509) A2 / A- / A % 11 Sep Hutchison Whampoa International (11) Limited (K510) A2 / A- / A % 13 Jan Sun Hung Kai Properties (Capital Market) Limited (K511) A1 / A+ / A 4.500% 14 Feb (K512) A2 / NR / A 4.375% 18 Jun Hongkong Electric Finance Limited (K513) NR / A- / NR 4.250% 14 Dec Fita International Limited (K519) NR 7.000% 10 Feb CLP Power Hong Kong Financing Limited (K528) A1 / A+ / NR 2.875% 26 Apr Citic Pacific Limited (K535) NR 6.375% 10 Apr Joyous Glory Group Limited (K537) NR 5.700% 07 Mar Westpac Banking Corporation (K538) AA % 16 Apr National Australia Bank Limited (K553) NR 4.125% 06 Jun The Bank of East Asia, Ltd (Subordinated Note Baa3 / BBB / 後償債券 ) (K554) NR 6.125% 16 Jul Standard Chartered Bank (Hong Kong) Ltd (Subordinated Note 後償債券 ) (K555) A3 / A- / NR 5.875% 24 Jun IFC Development (Corporate Treasury) Limited (K556) A2 / A / NR 2.375% 21 May Australia and New Zealand Banking Group Limited (K558) AA % 06 Aug BNP Paribas (K559) Aa3 / A / A % 19 Sep Value Success International Limited (K562) NR 4.750% 04 Nov Limited. (K564) NR / A / NR 3.750% 19 Nov ABN Amro Bank N.V. (K566) A1 / A / A % 24 Sep

2 China Overseas Finance (Cayman) II Ltd. (K567) / NR 5.500% 10 Nov Wheelock Finance Limited (K581) NR 4.300% 21 Jan Wharf Finance Limited (K588) NR 2.650% 15 Nov Wharf Finance Limited (K590) NR 2.950% 24 Dec The Link Finance(Cayman) 2009 Limited (K602) A2 / A / NR 3.150% 22 Jul The Link Finance(Cayman) 2009 Limited (K603) A2 / A / NR 3.300% 04 Oct (K604) / NR 3.850% 30 Jan (K605) / NR 4.125% 10 Oct (K606) / NR 4.425% 29 Aug Yancoal International Resources Development Co., Limited (K613) Ba3 / BB- / B % 16 May NWD (MTD) Limited (K614) NR 5.250% 26 Feb Temasek Financial (I) Limited (K622) Aaa / AAA / NR 2.375% 23 Jan (K623) NR 8.700% 19 May Franshion Brilliant Limited (K626) / BBB % 17 Oct Franshion Brilliant Limited (K627) / BBB % 19 Mar Franshion Development Limited (K628) / BBB % 15 Apr Republic of Indonesia (K629) / BBB 5.875% 15 Jan Tencent Holdings Limited (K631) A1 / A+ / A % 02 May Longfor Properties Co. LTD. (K632) Baa3 / BB+ / BBB 6.750% 28 May Macquarie Bank Limited (K633) A2 / A / A 3.500% 18 Dec Greenland Global Investment Limited (K635) Ba2 / BB- / BB % 03 Jul Greenland Global Investment Limited (K636) Ba2 / BB- / BB % 03 Jul Huarong Finance Co Ltd. (K638) / A 4.000% 17 Jul China Overseas Finance (Cayman) VI Limited (K640) / A % 08 May China Overseas Finance (Cayman) VI Limited (K641) / A % 08 May Sinopec Capital (2013) Limited (K642) A1 / A+ / NR 3.125% 24 Apr Nestlé Finance International Limited (K643) Aa2 / AA- / AA % 30 Nov Citic Limited (K644) NR 6.625% 15 Apr Citic Limited (K645) NR 6.800% 17 Jan China Cinda Finance (2014) Limited (K647) Baa1 / A- / A 4.000% 14 May China Cinda Finance (2014) Limited (K648) Baa1 / A- / A 5.625% 14 May China Construction Bank (Asia) Corporation Limited (K651) A2 / NR / NR 3.250% 02 Jul New World China Land Limited (K652) NR 5.375% 06 Nov The Link Finance (Cayman) 2009 Limited (K653) A2 / A / NR 3.600% 03 Sep

3 Hutchison Whampoa International (14) Limited (K654) A2 / A- / A % 31 Oct King Power Capital Ltd. (K656) / NR 5.625% 03 Nov King Power Capital Ltd. (K657) / NR 3.875% 03 Nov BOC Aviation Limited (K659) NR / A- / A % 05 Nov China Shenhua Overseas Capital Company Limited (K660) A2 / A / A % 20 Jan China Shenhua Overseas Capital Company Limited (K661) A2 / A / A % 20 Jan HSBC Holdings plc (K665) A2 / A / AA % 20 May Macquarie Bank Limited (K666) A2 / A / NR 3.250% 03 Mar China Cinda Finance (2015) I Limited (K667) Baa1 / A- / A 3.125% 23 Apr China Cinda Finance (2015) I Limited (K668) Baa1 / A- / A 4.250% 23 Apr Haitong International Finance Holdings 2015 Limited. (K669) NR / BBB / NR 3.500% 21 Apr HKT Capital No. 2 Limited. (K670) Baa2 / BBB / NR 3.625% 02 Apr (K671) NR 8.700% 24 Nov ICBCIL Finance Co. Limited. (K673) A2 / NR / A 3.250% 17 Mar Huarong Finance II Co., Ltd. (K676) / A 5.500% 16 Jan Huarong Finance II Co., Ltd. (K677) / A 4.500% 16 Jan BNP Paribas (K678) Aa3 / A / A % 26 Feb HKSAR Government ibond (K680) NR / AA+ / AA % 07 Aug NWD (MTN) Limited (K681) NR 4.375% 30 Nov Hutchison Whampoa International (12) (II) Limited (K683) A2 / A- / A % 08 Nov (K684) / BBB 4.500% 20 Sep National Australia Bank Limited (K685) AA % 22 Jan Lenovo Group Limited (K687) NR 4.950% 10 Jun Perth Airport Pty Ltd (K689) Baa2 / BBB / NR 5.500% 25 Mar Daimler AG (K690) A2 / A / A % 04 Dec The Hongkong Land Finance (Cayman Islands) Company Limited (K691) A2 / A / NR 4.625% 16 Jan NWD (MTN) Limited (K693) NR 4.650% 16 Mar Hongkong Electric Finance Limited (K694) NR / A- / NR 2.875% 03 May Value Success International Limited (K702) NR 3.000% 28 Sep (K703) A2 / NR / A 3.625% 13 Jan (K704) NR 4.375% 05 Oct TVB Finance Limited (K705) NR 3.625% 11 Oct Bupa Finance plc (K706) Baa1 / NR / A % 17 Jun MTR Corporation (C.I.) Limited (K707) Aa2 / AA+ / NR 2.500% 02 Nov AZURE NOVA INTERNATIONAL FINANCE LIMITED (K708) A3 / NR / A 2.625% 01 Nov Qantas Airways Limited (K709) / NR 7.500% 11 Jun

4 Qantas Airways Limited (K710) / NR 4.400% 10 Oct CITIC Limited (K711) NR 2.800% 14 Dec CITIC Limited (K712) NR 3.700% 14 Jun (K714) A1 / NR / A 2.125% 30 Jun (K715) A1 / A / A 2.375% 14 Feb (K716) A1 / A / A 3.000% 14 Feb ICBCIL Finance Co. Limited. (K717) A2 / A / A 2.600% 13 Nov Asia Development Bank Aaa / AAA / (K718) NWD (MTN) Limited (K719) The Central People's Government of the People's Republic of China, Ministry of Finance (K721) AAA 2.250% 16 Sep NR 3.500% 27 Mar A % 26 Jun / A % 29 Oct China Overseas Finance (Cayman) III Limited (K722) CK HUTCHISON INTERNATIONAL (17) LIMITED (K723) A2 / A- / A % 05 Apr CK HUTCHISON INTERNATIONAL (17) LIMITED (K724) A2 / A- / A % 05 Apr FRANSHION BRILLIANT LIMITED (K725) / BBB % 03 Mar Swire Pacific MTN Financing Limited (K726) A3 / A- / A % 28 Feb Longfor Properties Co. Ltd. (K727) BBB 3.875% 13 Jul Republic of Indonesia (K728) Baa2 / NR / BBB 4.350% 08 Jan Castle Peak Power Finance Company Limited (K729) A1 / AA- / NR 3.250% 25 Jul (K730) A2 / NR / NR 2.550% 18 Aug Charming Light Investments Ltd. (K731) NR 1.800% 23 Jul HPHT Finance (17) Limited (K732) / NR 2.750% 11 Sep Inventive Global Investment Limited (K733) A 2.500% 19 Sep (K734) NR 5.700% 06 Feb Optus Finance Pty Limited (K735) A2 / A / NR 3.250% 23 Aug Sun Hung Kai Properties (Capital Market) Limited (K736) A1 / NR / NR 2.500% 05 Sep LIMITED (K737) A2 / A- / A % 29 Sep LIMITED (K738) A2 / A- / A % 29 Mar LIMITED (K739) A2 / A- / A % 29 Sep Country Garden Holdings Company Limited (K740) NR 3.875% 20 Nov Guotai Junan International Holdings Limited (K741) NR 2.800% 08 Nov NWD (MTN) Limited (K742) NR 4.700% 08 Mar Guotai Junan International Holdings Limited (K743) NR 2.000% 11 Jan Guotai Junan International Holdings Limited (K744) (RTCD0001) Agricultural Bank of China Limited acting by and through its Hong Kong Branch (RTCD0002) NR 2.000% 05 Feb NR 1.250% 15 May NR 0.830% 16 May

5 Agricultural Bank of China Limited acting by and through its Hong Kong Branch (RTCD0003) Limited, Sydney Branch (RTCD0004) (RTCD0005) (RTCD0006) Limited, Sydney Branch (RTCD0009) NR 1.450% 21 May NR 4.000% 20 Jul NR 1.350% 19 Jul NR 1.350% 22 Aug NR 1.550% 04 Jan 附註 Remark: 1. 債券 / 票據的信貸評級 Moody s / S&P / Fitch 穆廸 / 標準普爾 / 惠譽國際 Credit ratings of the Bond/Note: 2. 產品風險程度 Product Risk Level: 1 = 低風險 Low risk 此風險程度之產品可能適合一些希望盡量避免風險, 資本保值對他 / 她來說是最重要的投資者 Products with this risk level may be suitable for an investor who is very risk averse, and for whom preserving capital is the most important. 2 = 低至中度風險 Low to Medium risk 此風險程度之產品可能適合一些希望有真正資本增值機會, 並明白及願意承受少量程度的資本風險的投資者 Products with this risk level may be suitable for an investor who wants to gain the potential for some real capital growth while he/she understands that he/she needs to take a small amount of risk with the capital invested. 3 = 中度風險 Medium risk 此風險程度之產品可能適合一些願意為他 / 她的資本增值而承擔中等程度的風險的投資者 Products with this risk level may be suitable for an investor who is willing to tolerate a moderate amount of risk to see his/her money grow. 4 = 中度至高風險 Medium to High risk 此風險程度之產品可能適合一些希望他 / 她的投資有較大的真正資本增值機會, 並明白及願意承受較高程度的資本風險的投資者 Products with this risk level may be suitable for an investor who wants to gain the potential of greater real capital growth. He/she understands that to have this potential he/she needs to take a high amount of risk with the capital invested. 5 = 高風險 High risk 此風險程度之產品可能適合一些希望他 / 她的投資有大幅度的真正資本增值, 並明白及願意承擔高程度的資本風險的投資者 Products with this risk level may be suitable for an investor who wants to have very significant real capital growth. He/she understands that to have this he/she needs to take a very high amount of risk with the capital invested.

零售債券風險程度一覽表 (2015 年 9 月 14 日更新 ) Retail Bond Risk Rating (Updated on 14 Sep 2015)

零售債券風險程度一覽表 (2015 年 9 月 14 日更新 ) Retail Bond Risk Rating (Updated on 14 Sep 2015) 發債機構 Issuer / 證券編號 Sec ID 信貸評級 1 Credit Rating 1 annum) 到期日 Maturity (as of 14 Sep 2015) (as of 8 Jun 2015) Hutchison Whampoa