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Appendix 2E Sponsor's Annual Return

Cross-referenced from Rule 233

Part I Sponsor's Details

A sponsor must lodge an annual return no later than 90 calendar days after its financial year end.

1. The return must attach the following documents:
(a) Latest audited accounts
(b) Details of any material adverse change in financial position
(c) Details of registered professionals as below
(d) Details of changes in the sponsor's substantial shareholders, directors or key officers
(e) Details of censures, disciplinary actions or investigations or other relevant matters involving the sponsor or any member of the Group^, or its substantial shareholders, directors, officers, registered professionals and employees

^ Group means the applicant's parent entity, subsidiaries, and related entities.
(f) Details of issuers for whom the sponsor acts
(g) Details of fees earned from each issuer for non-sponsor work (including the type of work performed), where such fees are in excess of 100% of the fees earned from sponsor work
(h) Details of any material changes to the information previously supplied in the sponsor application form
2. The return must also include a confirmation that:
(a) The documents and information supplied in this return are accurate, complete and not misleading.
(b) The sponsor continues to meet the eligibility requirements in the Rules, and the conditions and restrictions imposed by the Exchange.
(c) The sponsor continues to have a sufficient number of registered professionals.
(d) There are no changes to the information previously supplied to the Exchange except as identified in the return.
(e) The following issuers are sponsored:

Name of issuer Sponsor activities undertaken Name of registered professionals involved Date when contract entered Date when contract expires
         
(f) The following listing applicants were rejected by the sponsors (to provide names of the listing applicants and reasons for the rejection).

Part II Registered Professionals' Details

3. This return must attach the following documents:
(a) Names of all registered professionals
(b) Details of any additional qualifications obtained for any of its registered professionals
4. This return must also include confirmation that:
(a) There has been no material change to any of its registered professionals' declarations in the registration forms submitted to the Exchange, except as identified in this return.
(b) The following registered professionals are/ were involved in the following transactions :

Transaction Details Name of registered professionals involved
     
(c) No disciplinary actions are being conducted, or threatened, against any registered professional except __________________________ (if none, write nil).