OTC Market

Structured Products

Structured notes are financial instruments designed to meet specific professional investor needs by incorporating special, non-standard features, such as capital protection or dependent on the returns of a single or basket of underlying equity, fixed income, currency or commodity product.

These products fall into two categories:
Principal Guaranteed Products: These offer a rate of return linked to either one or a basket of indicators and will state that your capital will be returned in full. This capital protection only functions if products are held to maturity as there may be exit penalties. In addition, investors should be aware that the credit rating of the institution who holds the liability to pay back the monies is of paramount importance.

Principal at Risk Products: These offer a highly geared return on either a single or basket of indicators. They have a level of protection that if breached will erode your capital by a designated ratio.

Investment in structured notes involves substantial risks including market risk, liquidity risk, and the risk that the Issuer will be unable to satisfy its obligations under structured notes. Please refer to the sections "Risk Factors" in various Product Booklets for structured notes for further information. Investors should ensure that they understand the nature of all of these risks before making a decision to invest in a structured note. You should consider carefully whether a structured note is suitable for you in light of your experience, objectives, financial position and other relevant circumstances.

Trading Policy
A structure product transaction can be initiated with at least 20% of transaction funds in the securities account at the trade date. The remaining 80% of funds must be deposited on or before the settlement day. The settlement date is usually the trading day after the trade date, i.e. T+3 days.

Prospective investors should recognize that their structured notes may mature worthless.

You must read the sections headed "Risk Factors" of the Information Memorandum and the Product Booklet for structured notes, which provide a full description of the risks relating to investments in a structured note.

You must also discuss your proposed investment with your Distributor. This advice may include whether an investment in a structured note is appropriate for your individual investment objectives. Under the Code of Conduct for Persons Licensed by or Registered with SFC, your Distributor is required to ensure the suitability of structured notes for you is reasonable in all the circumstances when making a recommendation of any structured note to you and to ensure that you understand the nature and risks of investing in structured notes.

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