FormA Tobevalid,thewholeofthisdocumentmustbereturned. 表格甲 本文件必须整份交回，方为有效。 ProvisionalAllotmentLetterNo. 暂定配额通知书编号 IMPORTANT 重要提示 THISPROVISIONALALLOTMENTLETTERISVALUABLEANDTRANSFERABLEANDREQUIRESYOURIMMEDIATEATTENTION.THEOFFERCONTAINEDINTHISPROVISIONALALLOTMENTLETTERANDTHEACCOMPANYINGFORMOF APPLICATIONFOREXCESSRIGHTSSHARESEXPIRESAT4:00P.M.ONWEDNESDAY,1FEBRUARY2017. 本暂定配额通知书具有价值及可转让，阁下并须即时处理。本暂定配额通知书及随附额外供股股份申请表格所载之要约於二零一七年二月一日（星期三）下午四时正截止。 IFYOUAREINANYDOUBTABOUTTHISPROVISIONALALLOTMENTLETTERORASTOTHEACTIONTOBETAKEN,YOUSHOULDCONSULTALICENSEDSECURITIESDEALER,BANKMANAGER,SOLICITOR,PROFESSIONALACCOUNTANTOROTHER PROFESSIONALADVISER. 阁下对本暂定配额通知书之内容或应采取之行动如有任何疑问，应谘询持牌证券交易商、银行经理、律师、专业会计师或其他专业顾问。 HongKongExchangesandClearingLimited,TheStockExchangeofHongKongLimitedandHongKongSecuritiesClearingCompanyLimitedtakenoresponsibilityforthecontentsoftheRightsIssueDocuments,makenorepresentationastotheiraccuracyorcompletenessandexpressly disclaimanyliabilitywhatsoeverforanylosshowsoeverarisingfromorinrelianceuponthewholeoranypartofthecontentsoftheRightsIssueDocuments. 香港交易及结算所有限公司、香港联合交易所有限公司及香港中央结算有限公司对供股文件之内容概不负责，对其准确性或完整性亦不发表任何声明，并明确表示概不会就因供股文件全部或任何部份内容而产生或因倚赖该等内容而引致之 任何损失承担任何责任。 Capitalisedtermsdefinedintheprospectusdated12January2017issuedbyHuarongInternationalFinancialHoldingsLimited(the“Prospectus”)havethesamemeaningsherein,unlessthecontextrequiresotherwise. 除文义另有所指外，华融国际金融控股有限公司所刊发日期为二零一七年一月十二日之章程（「章程」）所界定专有词与本通知书所用者具有相同涵义。 Subjecttothegrantingofthelistingof,andpermissiontodealin,theRightsSharesinbothnil-paidandfully-paidformsontheStockExchangeaswellascompliancewiththestockadmissionrequirementsofHKSCC,theRightsSharesinbothnil-paidandfully-paidformswillbeacceptedas eligiblesecuritiesbyHKSCCfordeposit,clearanceandsettlementinCCASSwitheffectfromtheirrespectivecommencementdatesofdealingsontheStockExchangeorsuchotherdateasdeterminedbyHKSCC.SettlementoftransactionsbetweenparticipantsoftheStockExchangeonany tradingdayisrequiredtotakeplaceinCCASSonthesecondsettlementdaythereafter.AllactivitiesunderCCASSaresubjecttotheGeneralRulesofCCASSandCCASSOperationalProceduresineffectfromtimetotime. 待未缴股款及缴足股款供股股份获准於联交所上市及买卖，以及遵守香港结算之股份收纳规定後，未缴股款及缴足股款供股股份将获香港结算接纳为合资格证券，可由未缴股款及缴足股款供股股份各自开始於联交所买卖之日期起或由香港 结算决定之其他日期起，於中央结算系统寄存、结算及交收。联交所参与者之间在任何交易日进行之交易，须於其後第二个结算日在中央结算系统交收。所有中央结算系统活动均须遵守不时有效之中央结算系统一般规则及中央结算系统运 作程序规则。 AcopyofeachoftheRightsIssueDocuments,togetherwiththedocumentsmentionedintheparagraphheaded“DocumentsdeliveredtotheRegistrarofCompanies”inAppendixIIItotheProspectus,hasbeenregisteredbytheRegistrarofCompaniesinHongKongasrequiredbySection342Cofthe Companies(WindingUpandMiscellaneousProvisions)Ordinance(Cap.32oftheLawsofHongKong).TheSecuritiesandFuturesCommissionofHongKongandtheRegistrarofCompaniesinHongKongtakenoresponsibilityforthecontentsoftheRightsIssueDocuments. 各供股文件及於章程附录三「送呈公司注册处处长之文件」一段指明之文件，已依据香港法例第32章公司（清盘及杂项条文）条例第342C条之规定，送呈香港公司注册处处长登记。香港证券及期货事务监察委员会及香港公司注册处处长对供股 文件之内容概不负责。 IfyouwishtoexerciseyourrighttosubscribeforalltheRightsSharesspecifiedinthisProvisionalAllotmentLetter,youshouldlodgethisProvisionalAllotmentLetterinaccordancewiththeinstructionsprintedherein,togetherwitharemittanceforthefullamountpayableonacceptance,with theRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKongbynolaterthan4:00p.m.onWednesday,1February2017.Allremittancesmustbemadebycheque(s)orcashier’sordersinHongKongdollars.Cheque(s)mustbedrawnonanaccount with,andcashier’sordersmustbeissuedby,alicensedbankinHongKongandmadepayableto“HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED―RIGHTSISSUEACCOUNT”andcrossed“ACCOUNTPAYEEONLY”. 倘阁下拟行使阁下之权利认购本暂定配额通知书指定之所有供股股份，阁下必须最迟於二零一七年二月一日（星期三）下午四时正前将暂定配额通知书按照印列之指示连同须於接纳时缴付之全部股款送交过户处卓佳登捷时有限公司，地 址为香港皇后大道东183号合和中心22楼。所有股款须以支票或银行本票以港元支付。支票（必须由香港持牌银行之账户开出）及银行本票（必须由香港持牌银行开出）须注明抬头人为「HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED ―RIGHTSISSUEACCOUNT」，并以「只准入抬头人账户」方式划线开出。 (IncorporatedinBermudawithlimitedliability) （於百慕达注册成立之有限公司） (StockCode:993) （股份代号：993） Branchshareregistrarandtransferoffice RIGHTSISSUEONTHEBASISOF1.5RIGHTSSHARES Headofficeandprincipalplace inHongKong: FOREVERY20SHARESHELDONTHERECORDDATE ofbusiness: 香港股份过户及转让登记分处： 总办事处及主要营业地点： TricorTengisLimited 按於记录日期每持有 Level29,OnePacificPlace Level22,HopewellCentre 20股股份获发1.5股供股股份之基准进行供股 88Queensway,HongKong 183Queen’sRoadEast 香港 HongKong 金钟道88号 卓佳登捷时有限公司 PROVISIONALALLOTMENTLETTER 太古广场一座29楼 香港 皇后大道东183号 暂定配额通知书 Registeredoffice: 合和中心22楼 注册办事处： ClarendonHouse 2ChurchStreet SAMPLE HamiltonHM11 Bermuda 12January2017 二零一七年一月十二日 Name(s)andaddressoftheQualifyingShareholder(s)合资格股东姓名及地址 TotalnumberofSharesregisteredinyourname(s)onWednesday,11January2017 於二零一七年一月十一日（星期三）以阁下名义登记之股份总数 BOXA 甲栏 NumberofRightsSharesprovisionallyallottedtoyousubjecttopaymentinfullonacceptancebynolaterthan 4:00p.m.onWednesday,1February2017 暂定配发予阁下之供股股份总数，惟须於二零一七年二月一日（星期三）下午四时正前接纳时 缴足股款方可作实 BOXB 乙栏 Totalsubscriptionmoneypayableinfulluponacceptance 须於接纳时全数支付的认购款项总额 BOXC 丙栏 HK$港元 ContactTelephoneNo.: 联络电话： ItshouldbenotedthattheRightsShareswillbedealtintheirnil-paidformfromMonday,16January2017toTuesday,24January2017,bothdatesinclusive.ShareholdersshouldnotethatdealingsinsuchRightsSharesintheirnil-paidformandtheShareswilltakeplacewhiletheconditionstowhichtheRightsIssueissubjectremainunfulfilled.AnyShareholderorotherpersondealingintheSharesuptothedateon whichallconditionstowhichtheRightsIssueissubjectarefulfilled,anddealingsintheRightsSharesintheirnil-paidform,willaccordinglybeartheriskthattheRightsIssuemaynotbecomeunconditionalormaynotproceed.AnyShareholderorotherpersoncontemplatingsellingorpurchasingSharesorRightsSharesintheirnil-paidform,whoisinanydoubtabouthis/her/itsposition,isrecommendedtoconsulthis/ her/itsownprofessionaladviser. Inparticular,theDirectorswouldliketodrawyourattentiontothefactthatif,priortotheLatestTimeforTermination: (1) anymaterialbreachofanywarrantiesortheundertakingscontainedintheUnderwritingAgreementcomestotheknowledgeoftheUnderwriter,ortherehasbeenamaterialbreachonthepartoftheCompanyofanyotherprovisionoftheUnderwritingAgreement;or (2) theintroductionofanynewregulationoranychangeinexistinglaworregulation(orthejudicialinterpretationthereof)whichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawholeorismateriallyadverseinthecontextoftheRightsIssueafterthesigningoftheUnderwritingAgreement;or (3) theoccurrenceofanylocal,nationalorinternationaleventorchange(whetherornotformingpartofaseriesofeventsorchangesoccurringafterthesigningoftheUnderwritingAgreementorcontinuingafterthesigningoftheUnderwritingAgreement),ofapolitical,military,financial,economicorothernature,orinthenatureofanylocal,nationalorinternationaloutbreakorescalationofhostilitiesorarmed conflictin,oraffectinglocalsecuritiesmarketsinHongKong,thePRCorBermuda(the“RelevantJurisdictions”)whichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawhole;or (4) anymaterialadversechangeafterthesigningoftheUnderwritingAgreementinthebusinessorinthefinancialortradingpositionoftheGroupasawholewhichismaterialinthecontextoftheRightsIssue;or (5) anyeventorcircumstancesinthenatureofforcemajeureincludingbutwithoutlimitationanyactofGod,war,riot,publicdisorder,civilcommotion,fire,flood,terrorismorstrikeoccurredafterthesigningoftheUnderwritingAgreementinoraffectingtheRelevantJurisdictionswhichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawhole; or (6) thereoccursorcomesintoeffecttheimpositionofanymoratorium,suspensionormaterialrestrictionontradingintheSharegenerallyontheStockExchangeduetoexceptionalfinancialcircumstancesorotherwise;or (7) thereisanymaterialadversechangeinmarketconditions(including,withoutlimitation,achangeinfiscalormonetarypolicyorforeignexchangeorcurrencymarkets,suspensionorrestrictionoftradinginsecurities,impositionofeconomicsanctions,ontheRelevantJurisdictionswhichmakesitinadvisableorinexpedienttoproceedwiththeRightsIssue;or (8) anystatementcontainedintheProspectushasbecomeandbeendiscoveredtobeuntrue,incorrect,incompleteormisleadinginanymaterialaspect,ormattershavearisenorhavebeendiscoveredwhichwould,iftheProspectuswastobeissuedatthetime,constituteamaterialomissionstherefrom, theUnderwritershallbeentitled,bynoticeinwritingtotheCompanyservedpriortotheLatestTimeforTermination,toterminatetheUnderwritingAgreement,uponwhichallobligationsofallpartiesundertheUnderwritingAgreementshallterminate. IftheUnderwriterexercisessuchright,theRightsIssuewillnotproceed. FulldetailsoftheterminationrightsoftheUnderwriteraresetoutintheProspectus. 敬请留意，供股股份将於二零一七年一月十六日（星期一）至二零一七年一月二十四日（星期二）（包括首尾两日）内以未缴股款方式买卖。股东应留意，尽管供股之条件尚未达成，该等未缴股款供股股份及股份仍会进行买卖。因此，於供股之所有条件达成当日前买卖股份及未缴股款供股股份之任何股东或其他人士，须承担供股可能不会成为无条 件或可能不会进行之风险。有意买卖股份或未缴股款供股股份之任何股东或其他人士，如对本身之状况有任何疑问，应谘询本身之专业顾问。 董事谨请阁下尤其注意，倘於最後终止时限前： (1)包销商得悉包销协议所载任何保证或承诺遭严重违反，或本公司严重违反包销协议之任何其他条文；或 (2)於签订包销协议之後颁布任何新规例或现行法例或规例（或有关司法诠释）出现任何变动，而将对本集团之整体业务或财务或经营状况或前景构成重大不利影响，或对供股构成重大不利影响；或 (3)任何地区、国家或国际间发生或出现政治、军事、金融、经济或其他性质之事件或变动（不论是否组成签订包销协议之後出现或持续之一连串事件或变动之一部分），或任何地区、国家或国际敌对状况或武装冲突爆发或升级，或事件足以影响香港、中国或百慕达（「相关司法权区」）证券市场，而将对本集团之整体业务或财务或经营状况 或前景构成重大不利影响；或 (4)本集团之整体业务或财务或经营状况於签订包销协议之後出现任何重大不利转变而对供股构成重大影响；或 (5)於签订包销协议之後在相关司法权区发生或足以影响当地之任何不可抗力事件或情况，包括（但不限於）任何天灾、战争、暴乱、治安不靖、内乱、火灾、水灾、恐怖主义活动或罢工，而将对本集团之整体业务或财务或经营状况或前景构成重大不利影响；或 (6)因特殊金融状况或其他原因而对股份在联交所买卖全面实施禁制、暂停或重大限制；或 (7)市况出现任何重大不利变动（包括但不限於财政或货币政策或外汇或货币市场之任何变动、暂停或限制证券买卖或对相关司法权区实施经济制裁），致令进行供股属不适宜或不明智；或 (8)章程所载任何内容成为或被发现在任何重大方面失实、不正确、不完整或误导，或出现或发现若干事项，倘章程於当时刊发则会构成重大遗漏， 包销商有权於最後终止时限前以书面通知本公司终止包销协议，届时包销协议所有订约方之一切责任将告终止。 倘包销商行使该项权利，供股将不会进行。 有关包销商终止权利之详尽资料载列於章程内。 NORECEIPTWILLBEGIVEN.本公司将不另发收据。 (IncorporatedinBermudawithlimitedliability) (StockCode:993) 12January2017 DearQualifyingShareholders, INTRODUCTION Referenceismadetotheprospectusdated12January2017(the“Prospectus”)despatchedtotheshareholdersofHuarongInternationalFinancialHoldingsLimited(the“Company”)inrelationtotheRightsIssue.CapitalisedtermsdefinedintheProspectushavethe samemeaningswhenusedhereinunlessthecontextotherwiserequires.InaccordancewiththetermsandsubjecttotheconditionssetoutintheProspectus,theDirectorshaveprovisionallyallottedtoyoutheRightsSharesonthebasisof1.5RightsSharesforevery 20Sharesheldandregisteredinyourname(s)asat11January2017.YourholdingofSharesasat11January2017issetoutinBoxAandthenumberofRightsSharesprovisionallyallottedtoyouissetoutinBoxB. NoactionhasbeentakentopermittheofferingoftheRightsSharesorthedistributionofthedocumentsinconnectionwiththeRightsIssueinanyjurisdictionotherthanHongKong.NopersonreceivingacopyoftheProspectusoraPALoranEAFinany jurisdictionoutsideHongKongmaytreatitasanofferorinvitationtoapplyfortheRightsSharesunlessintherelevantjurisdiction,suchanofferorinvitationcouldlawfullybemadewithoutcompliancewithanyregistrationorotherlegalorregulatory requirements.ItistheresponsibilityofanypersonoutsideHongKongwishingtomakeonhis/her/itsbehalfanapplicationfortheRightsSharestosatisfyhimself/herself/itselfastotheobservanceofthelawsandregulationsofallrelevantjurisdictions,including theobtainingofanygovernmentorotherconsents,andtopaytaxesanddutiesrequiredtobepaidinanysuchjurisdictioninconnectiontherewith.TheCompanyreservestherighttorefusetoacceptanyapplicationforRightsShareswhereitbelievesthatdoingso wouldviolatetheapplicablesecuritieslegislationorotherlawsorregulationsofanyjurisdiction. NoprovisionalallotmentofRightsShareshasbeenmadetotheExcludedShareholdersandnoPALnorEAFisbeingsenttothem.TheCompanywillsendcopiesoftheProspectustotheExcludedShareholdersfortheirinformationpurposesonly. ArrangementswillbemadefortheRightsShareswhichwouldotherwisehavebeenprovisionallyallottedtotheExcludedShareholders(ifany)tobesoldinthemarketintheirnil-paidformassoonaspracticableafterdealingsinthenil-paidRights Sharescommenceandbeforedealingsinthenil-paidRightsSharesend,ifapremium(netofexpenses)canbeobtained.Anynetproceedsofsalethereof,afterdeductionofexpenses,willbedistributedbytheCompanytotheExcludedShareholders, attheirownrisk,proratatotheirrespectiveentitlementprovidedthatifanyofsuchpersonswouldbeentitledtoasumnotexceedingHK$100,suchsumwillberetainedbytheCompanyforitsownbenefit.Anyunsoldnil-paidRightsSharesto whichtheExcludedShareholders(ifany)wouldotherwisehavebeenentitled,togetherwithanyRightsSharesprovisionallyallottedbutnotacceptedbytheQualifyingShareholdersorotherwisenotsubscribedforbytransfereesofthenil-paid RightsShares,willbeavailableforexcessapplicationunderEAFsbytheQualifyingShareholders. Whenissued,allottedandfullypaid,theRightsShareswillrankparipassuinallrespectsamongthemselvesandwiththeSharesinissue.Holdersoffully-paidRightsShareswillbeentitledtoreceiveallfuturedividendsanddistributionswhichmay bedeclared,madeorpaidonorafterthedateofallotmentofthefully-paidRightsShares. PROCEDURESFORACCEPTANCE Totakeupyourprovisionalallotmentinfull,youmustlodgethewholeofthisPALintactinaccordancewiththeinstructionsprintedhereinwiththeRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,Hong Kong,togetherwitharemittanceforthefullamountpayableonacceptance,assetoutinBoxC,soastobereceivedbynolaterthan4:00p.m.onWednesday,1February2017.Allremittancesmustbemadebycheque(s)orcashier’sorder(s)in HongKongdollars.Chequesmustbedrawnonanaccountwith,andcashier’sordersmustbeissuedby,alicensedbankinHongKongandmadepayableto“HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED―RIGHTS ISSUEACCOUNT”andcrossed“ACCOUNTPAYEEONLY”.SuchpaymentwillconstituteacceptanceoftheprovisionalallotmentoftheRightsSharesonthetermsofthisPALandtheRightsIssueDocumentsandsubjecttothememorandumof associationoftheCompanyandtheBye-Laws.Noreceiptwillbegivenforsuchremittances.AllenquiriesinconnectionwiththisPALshouldbeaddressedtotheRegistrarattheaboveaddress. ItshouldbenotedthatunlessthisPAL,togetherwiththeappropriateremittancefortheamountshowninBoxC,hasbeenreceivedasdescribedabovebynolaterthan4:00p.m.onWednesday,1February2017whetherbytheoriginalallotteeor anypersoninwhosefavourtherightshavebeenvalidlytransferred,thisprovisionalallotmentandallrightsandentitlementshereunderwillbedeemedtohavebeendeclinedandwillbecancelled.TheCompanyisnotobligedtotreatbutmayat itsabsolutediscretiontreataPALasvalidandbindingontheperson(s)bywhomandonwhosebehalfislodgedevenifsuchPALisnotcompletedinaccordancewiththerelevantinstructions.TheCompanymayrequiresuchincompletePALtobe completedbytherelevantapplicantsatalaterstage. APPLICATIONFOREXCESSRIGHTSSHARES IfyouareaQualifyingShareholderandwishtoapplyforExcessRightsSharesinadditiontothoseprovisionallyallottedtoyou,youshouldcompleteandsigntheaccompanyingEAFandlodgeit,togetherwithaseparateremittanceforthefull amountpayableonapplicationinrespectoftheExcessRightsSharesappliedfor,withtheRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKong,soastobereceivedbynolaterthan4:00p.m.on Wednesday,1February2017.Allremittancesmustbemadebycheque(s)orcashier’sorder(s)inHongKongdollars.Chequesmustbedrawnonanaccountwith,andcashier’sordersmustbeissuedby,alicensedbankinHongKongandmade payableto“HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED―EXCESSAPPLICATIONACCOUNT”andcrossed“ACCOUNTPAYEEONLY”. TRANSFER IfyouwishtotransferallofyourrightstosubscribefortheRightsSharesprovisionallyallottedtoyouhereunder,youmustcompleteandsigntheformoftransferandnomination(FormB)andhandthisPALtothetransferee(s)toorthrough whomyouaretransferringyourrights.Thetransferee(s)mustthencompleteandsigntheregistrationapplicationform(FormC)andlodgethisPALintactinaccordancewiththeinstructionsprintedhereintogetherwitharemittanceforthefull amountpayableonacceptanceassetoutinBoxCwiththeRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKong,soastobereceivedbynolaterthan4:00p.m.onWednesday,1February2017.Itshould benotedthatHongKongstampdutyispayableinconnectionwiththetransferofyourrightstosubscribefortherelevantRightsSharesandtheacceptancebythetransferee(s)ofsuchrights. SPLITTING IfyouwishtoacceptonlypartofyourprovisionalallotmentortransferpartofyourrightstosubscribefortheRightsSharesprovisionallyallottedhereunder,ortotransferallorpartofyourrightstomorethanoneperson,thisPALmustbe surrenderedandlodgedforcancellationbynolaterthan4:30p.m.onThursday,19January2017withtheRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKong,whowillcancelthisoriginalPALand issuenewPALsinthedenominationsrequired,whichwillbeavailableforcollectionattheRegistrarafter9:00a.m.onthesecondBusinessDayafterthesurrenderofthisoriginalPAL. SAMPLETERMINATIONOFTHEUNDERWRITINGAGREEMENT ItshouldbenotedthattheRightsShareswillbedealtintheirnil-paidformfromMonday,16January2017toTuesday,24January2017,bothdatesinclusive.ShareholdersshouldnotethatdealingsinsuchRightsSharesintheirnil-paidform willtakeplacewhiletheconditionstowhichtheRightsIssueissubjectremainunfulfilled.AnyShareholderorotherpersondealingintheRightsSharesintheirnil-paidform,willaccordinglybeartheriskthattheRightsIssuemaynotbecome unconditionalormaynotproceed.AnyShareholderorotherpersoncontemplatingsellingorpurchasingRightsSharesintheirnil-paidform,whoisinanydoubtabouthis/her/itsposition,isrecommendedtoconsulthis/her/itsownprofessional adviser. If,priortotheLatestTimeforTermination: (1) anymaterialbreachofanywarrantiesortheundertakingscontainedintheUnderwritingAgreementcomestotheknowledgeoftheUnderwriter,ortherehasbeenamaterialbreachonthepartoftheCompanyofanyotherprovisionoftheUnderwriting Agreement;or (2) theintroductionofanynewregulationoranychangeinexistinglaworregulation(orthejudicialinterpretationthereof)whichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawholeoris materiallyadverseinthecontextoftheRightsIssueafterthesigningoftheUnderwritingAgreement;or (3) theoccurrenceofanylocal,nationalorinternationaleventorchange(whetherornotformingpartofaseriesofeventsorchangesoccurringafterthesigningoftheUnderwritingAgreementorcontinuingafterthesigningoftheUnderwritingAgreement),of apolitical,military,financial,economicorothernature,orinthenatureofanylocal,nationalorinternationaloutbreakorescalationofhostilitiesorarmedconflictin,oraffectinglocalsecuritiesmarketsinHongKong,thePRCorBermuda(the“Relevant Jurisdictions”)whichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawhole;or (4) anymaterialadversechangeafterthesigningoftheUnderwritingAgreementinthebusinessorinthefinancialortradingpositionoftheGroupasawholewhichismaterialinthecontextoftheRightsIssue;or (5) anyeventorcircumstancesinthenatureofforcemajeureincludingbutwithoutlimitationanyactofGod,war,riot,publicdisorder,civilcommotion,fire,flood,terrorismorstrikeoccurredafterthesigningoftheUnderwritingAgreementinoraffectingthe RelevantJurisdictionswhichwouldmateriallyandadverselyaffectthebusinessorthefinancialortradingpositionorprospectsoftheGroupasawhole;or (6) thereoccursorcomesintoeffecttheimpositionofanymoratorium,suspensionormaterialrestrictionontradingintheSharegenerallyontheStockExchangeduetoexceptionalfinancialcircumstancesorotherwise;or (7) thereisanymaterialadversechangeinmarketconditions(including,withoutlimitation,achangeinfiscalormonetarypolicyorforeignexchangeorcurrencymarkets,suspensionorrestrictionoftradinginsecurities,impositionofeconomicsanctions,on theRelevantJurisdictionswhichmakesitinadvisableorinexpedienttoproceedwiththeRightsIssue;or (8) anystatementcontainedintheProspectushasbecomeandbeendiscoveredtobeuntrue,incorrect,incompleteormisleadinginanymaterialaspect,ormattershavearisenorhavebeendiscoveredwhichwould,iftheProspectuswastobeissuedatthetime, constituteamaterialomissionstherefrom, theUnderwritershallbeentitled,bynoticeinwritingtotheCompanyservedpriortotheLatestTimeforTermination,toterminatetheUnderwritingAgreement,uponwhichallobligationsofallpartiesundertheUnderwritingAgreementshallterminate. IftheUnderwriterexercisessuchright,theRightsIssuewillnotproceed. FulldetailsoftheterminationrightsoftheUnderwriteraresetoutintheProspectus. CHEQUESORCASHIER’SORDERS Allchequesandcashier’sorderswillbepresentedforpaymentimmediatelyfollowingreceiptandallinterestearnedonsuchmonies(ifany)willberetainedforthebenefitoftheCompany.Ifanychequeorcashier’sorderlodgedwiththisPALisnothonoured uponfirstpresentation,theprovisionalallotmentandallrightsandentitlementsgivenpursuanttoitwillbedeemedtohavebeendeclinedandwillbecancelled.CompletionandreturnofthisPALtogetherwithachequeoracashier’sorderinpaymentfortheRights Sharesprovisionallyallottedhereunderwillconstituteawarrantybythesubscriberthatthechequeorcashier’sorderwillbehonouredonfirstpresentation. SHARECERTIFICATES Itisexpectedthatcertificate(s)forthefully-paidRightsShares(ifany)willbedespatchedtoyoubytheRegistrarbyordinarypostatyourownriskonFriday,10February2017.Youwillreceiveonesharecertificateforallthefully-paidRightsSharesallottedand issuedtoyou. EFFECTOFBADWEATHER Ifthereisa“black”rainstormwarningoratropicalcyclonewarningsignalnumber8oraboveinforceinHongKong(“BadWeather”)atanytimebefore12:00noonandnolongerinforceafter12:00noononWednesday,1February2017,thelatesttimefor acceptanceofandpaymentfortheRightsSharesandforapplicationandpaymentforExcessRightsShareswillbeextendedto5:00p.m.onthesameBusinessDay.IfthereisBadWeatherinforceinHongKongatanytimebetween12:00noonand4:00p.m. onWednesday,1February2017,thelatesttimeforacceptanceofandpaymentfortheRightsSharesandforapplicationandpaymentforexcessRightsShareswillberescheduledto4:00p.m.onthefollowingBusinessDaywhichdoesnothaveeitherofthose warningsinforceatanytimebetween9:00a.m.and4:00p.m. GENERAL LodgmentofthisPALwith,whererelevant,theformoftransferandnomination(FormB)purportingtohavebeensignedbytheperson(s)inwhosefavourthisPALhasbeenissuedshallbeconclusiveevidenceofthetitleofthepartyorpartieslodgingittodeal withthesameandtoreceivesplitlettersofallotmentand/orcertificatesfortheRightsShares.ThisPALandanyacceptanceoftheoffercontainedhereinshallbegovernedby,andconstruedinaccordancewith,thelawsofHongKong. FurthercopiesoftheProspectusgivingdetailsoftheRightsIssueareavailablefromtheRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKong,duringnormalbusinesshours. PERSONALDATACOLLECTION―PAL Bycompleting,signingandsubmittingtheformsaccompanyingthisPAL,youagreetodisclosetotheCompany,theRegistrarand/ortheirrespectiveadvisersandagentspersonaldataandanyinformationwhichtheyrequireaboutyouortheperson(s)forwhose benefityouhavemadetheacceptanceoftheprovisionalallotmentoftheRightsShares.ThePersonalData(Privacy)OrdinanceprovidestheholdersofsecuritieswithrightstoascertainwhethertheCompanyortheRegistrarholdtheirpersonaldata,toobtaina copyofthatdata,andtocorrectanydatathatisinaccurate.InaccordancewiththePersonalData(Privacy)Ordinance,theCompanyandtheRegistrarhavetherighttochargeareasonablefeefortheprocessingofanydataaccessrequest.Allrequestsforaccessto dataorcorrectionofdataorforinformationregardingpoliciesandpracticesandthekindsofdataheldshouldbeaddressedtotheCompany,atitsprincipalplaceofbusinessatLevel29,OnePacificPlace,88Queensway,HongKongorasnotifiedfromtimetotime inaccordancewithapplicablelaw,fortheattentionoftheCompanySecretary,or(asthecasemaybe)totheRegistrar,TricorTengisLimitedatLevel22,HopewellCentre,183Queen’sRoadEast,HongKong,fortheattentionofPrivacyComplianceOfficer. Yoursfaithfully, ForandonbehalfoftheBoardof HuarongInternationalFinancialHoldingsLimited LiuXiaodong Chairman （於百慕达注册成立之有限公司） （股份代号：993） 敬启者： 绪言 兹提述日期为二零一七年一月十二日寄发予华融国际金融控股有限公司（「本公司」）股东有关供股之章程（「章程」）。除文义另有所指外，章程所界定专有词汇与本通知书所用者具相同涵义。根据章程所载之条款及受 其条件所限，董事已向阁下暂定配发若干供股股份，基准为在二零一七年一月十一日以阁下名义登记持有之每20股股份，可获配发1.5股供股股份。阁下於二零一七年一月十一日持有之股份载於甲栏，而阁下 获暂定配发之供股股份数目载於乙栏。 本公司并无采取任何行动，以寻求获准於香港境外之任何司法权区提呈发售供股股份或派发有关供股之文件。於香港境外之任何司法权区接获章程或暂定配额通知书或额外申请表格之人士，概不应视之为申请供股 股份之要约或邀请，除非有关要约或邀请可毋须进行任何登记或遵守其他法律或法例规定而在相关司法权区合法进行。有意以其名义申请供股股份之任何香港境外人士，均有责任确保其全面遵守所有相关司法权区 之法例及法规，包括取得任何政府或其他同意，以及支付任何该等司法权区规定应付之相关税项及徵费。本公司在相信接纳任何供股股份申请将触犯任何司法权区之适用证券法例或其他法例或法规之情况下，保留 拒绝接纳有关申请之权利。 除外股东并无获暂定配发供股股份，且不会获寄暂定配额通知书或额外申请表格。本公司将向除外股东寄发章程，仅供彼等参考。於未缴股款供股权开始买卖後至未缴股款供股权终止买卖前，倘在扣除支销後可取得溢价， 本公司将在切实可行情况下尽快安排原应暂定配发予除外股东（如有）之供股股份以未缴股款形式在市场上出售，而有关销售所得款项净额（经扣除支销）将由本公司按除外股东各自配额比例派付予彼等，邮误风险概 由彼等自行承担，惟本公司将保留金额不超过100港元之款项，拨归其所有。除外股东（如有）原应有权获得之任何未出售未缴股款供股权，连同已暂定配发但未获合资格股东接纳或因其他原因未获未缴股款供股权之 承让人认购之任何供股股份，将可供合资格股东以额外申请表格额外申请认购。 供股股份於发行、配发及缴足股款时，彼此间及与已发行股份将在各方面享有同等权益。缴足股款供股股份之持有人将有权收取於缴足股款供股股份配发日期或之後可能宣派、作出或支付之一切未来股息及分派。 接纳配额手续 阁下如全数接纳暂定配额，须於二零一七年二月一日（星期三）下午四时正前，将本暂定配额通知书整份按照其上列印之指示连同丙栏所载须於接纳时缴付之全部股款送交过户处卓佳登捷时有限公司，地址为香港 皇后大道东183号合和中心22楼。所有股款须以支票或银行本票以港元支付。支票（必须由香港持牌银行之账户开出）及银行本票（必须由香港持牌银行开出）须注明抬头人为「HUARONGINTERNATIONALFINANCIAL HOLDINGSLIMITED―RIGHTSISSUEACCOUNT」，并以「只准入抬头人账户」方式划线开出。有关付款将表示根据本暂定配额通知书及供股文件之条款，并在本公司之组织章程大纲及公司细则之规限下接纳供股股 份暂定配额。概不会就股款发出收据。所有有关本暂定配额通知书之查询应寄往过户处（地址如上）。 敬请注意，除非如上文所述於二零一七年二月一日（星期三）下午四时正前接获原承配人或以本身名义已有效承让有关权利之任何人士交回本暂定配额通知书连同丙栏所示之适当款项，否则此暂定配额及一切有关权 利及权益将视为已遭拒绝而将予取消。本公司毋须但可绝对酌情视一份暂定配额通知书为有效，并对所提呈或被代为提呈之人士具有约束力，尽管该暂定配额通知书并未根据有关指示填妥。本公司可要求有关申请 人将未填妥之暂定配额通知书於稍後填妥。 申请额外供股股份 如阁下为合资格股东，并欲申请认购所获暂定配发以外之额外供股股份，必须将随附之额外申请表格填妥及签署，连同须於申请时就所申请认购额外供股股份另行支付之全部有关款项，於二零一七年二月一日（星 期三）下午四时正前送交过户处卓佳登捷时有限公司，地址为香港皇后大道东183号合和中心22楼。所有股款须以支票或银行本票以港元支付。支票（必须由香港持牌银行之账户开出）及银行本票（必须由香港持牌银行 开出）须注明抬头人为「HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED―EXCESSAPPLICATIONACCOUNT」，并以「只准入抬头人账户」方式划线开出。 转让配额 阁下如欲转让本暂定配额通知书所述阁下获暂定配发可认购供股股份之全部权利，必须将转让及提名表格（表格乙）填妥及签署，并将本暂定配额通知书送交承让权利之承让人或经手转让权利之人士，而承让人须 将登记申请表格（表格丙）填妥及签署，於二零一七年二月一日（星期三）下午四时正前将本暂定配额通知书整份根据所印指示连同丙栏所载须於接纳时缴足之款项送交过户处卓佳登捷时有限公司，地址为香港皇后大 道东183号合和中心22楼。敬请注意，转让阁下认购有关供股股份之权利及承让人接纳该等权利须缴付香港印花税。 分拆配额 阁下如仅欲接纳部份暂定配额或转让本通知书所述获暂定配发可认购供股股份之部份权利，或将所有或部份权利转让予一位以上之人士，须於二零一七年一月十九日（星期四）下午四时三十分前将本暂定配额通知书 交回及呈交过户处卓佳登捷时有限公司以供注销，地址为香港皇后大道东183号合和中心22楼，过户处将取消本暂定配额通知书，并按所需数额发出新暂定配额通知书。阁下可於交回本原有暂定配额通知书後第二 个营业日上午九时正後在过户处领取新暂定配额通知书。 终止包销协议 SAMPLE务请注意，未缴股款供股股份将於二零一七年一月十六日（星期一）至二零一七年一月二十四日（星期二）（包括首尾两日）买卖。务请股东垂注，供股股份将在供股之条件尚未达成时以未缴股款形式进行买卖。因此，凡股东或任何其他人士买卖未缴股款供股股份，将须承担供股可能不会成为无条件或可能不会进行之风险。有意买卖未缴股款供股股份之股东或任何其他人士如对本身状况有任何疑问，建议谘询其本身之专业顾问。倘於最後终止时限前： (1)包销商得悉包销协议所载任何保证或承诺遭严重违反，或本公司严重违反包销协议之任何其他条文；或 (2)於签订包销协议之後颁布任何新规例或现行法例或规例（或有关司法诠释）出现任何变动，而将对本集团之整体业务或财务或经营状况或前景构成重大不利影响，或对供股构成重大不利影响；或 (3)任何地区、国家或国际间发生或出现政治、军事、金融、经济或其他性质之事件或变动（不论是否组成签订包销协议之後出现或持续之一连串事件或变动之一部分），或任何地区、国家或国际敌对状况或武装 冲突爆发或升级，或事件足以影响香港、中国或百慕达（「相关司法权区」）证券市场，而将对本集团之整体业务或财务或经营状况或前景构成重大不利影响；或 (4)本集团之整体业务或财务或经营状况於签订包销协议之後出现任何重大不利转变而对供股构成重大影响；或 (5)於签订包销协议之後在相关司法权区发生或足以影响当地之任何不可抗力事件或情况，包括（但不限於）任何天灾、战争、暴乱、治安不靖、内乱、火灾、水灾、恐怖主义活动或罢工，而将对本集团之整体业务 或财务或经营状况或前景构成重大不利影响；或 (6)因特殊金融状况或其他原因而对股份在联交所买卖全面实施禁制、暂停或重大限制；或 (7)市况出现任何重大不利变动（包括但不限於财政或货币政策或外汇或货币市场之任何变动、暂停或限制证券买卖或对相关司法权区实施经济制裁），致令进行供股属不适宜或不明智；或 (8)章程所载任何内容成为或被发现在任何重大方面失实、不正确、不完整或误导，或出现或发现若干事项，倘章程於当时刊发则会构成重大遗漏， 包销商有权於最後终止时限前以书面通知本公司终止包销协议，届时包销协议所有订约方之一切责任将告终止。 倘包销商行使该项权利，供股将不会进行。 有关包销商终止权利之详尽资料载列於章程内。 支票或银行本票 所有支票及银行本票将於收讫後随即过户，而该等股款所赚取之利息（如有）将全部拨归本公司所有。倘连同本暂定配额通知书一并送交之支票或银行本票於首次过户时未能兑现，则暂定配额及据此而赋予之所有权 利及权益将视作已遭放弃而将予取消。填妥及交回本暂定配额通知书，连同支付其项下暂定配发之供股股份所需股款之支票或银行本票，即表示认购人保证该支票或银行本票将於首次过户时兑现。 股票 预期过户处将於二零一七年二月十日（星期五）以平邮方式将缴足股款供股股份（如有）之股票寄予阁下，邮误风险概由阁下自行承担。阁下将会就所有配发及发行予阁下之缴足股款供股股份获发一张股票。 恶劣天气之影响 倘於二零一七年二月一日（星期三）中午十二时正前之任何时间在香港发出「黑色」暴雨警告信号或八号或以上之热带气旋警告信号（「恶劣天气」），并於当日中午十二时正後解除，接纳供股股份及缴付股款以及申请额 外供股股份及缴付股款之最後时限将顺延至同一营业日之下午五时正。倘於二零一七年二月一日（星期三）中午十二时正至下午四时正期间之任何时间在香港出现恶劣天气，接纳供股股份及缴付股款以及申请额外供 股股份及缴付股款之最後时限将更改为下一个营业日（於上午九时正至下午四时正期间之任何时间并无发出上述警告）之下午四时正。 一般事项 递交本暂定配额通知书及（在有关情况下）由获发人士签署之转让及提名表格（表格乙），将为最终拥有权证明，显示递交有关文件之人士有权处理有关文件及接收分拆配额函件及�u或供股股份之股票。本暂定配额通 知书及任何对其所载提呈之接纳须受香港法例管辖并按其诠释。 载有供股详情之章程可於一般办公时间向过户处卓佳登捷时有限公司（地址为香港皇后大道东183号合和中心22楼）索取。 收集个人资料―暂定配额通知书 填妥、签署及交回本暂定配额通知书随附之表格，即表示阁下同意向本公司、过户处及�u或彼等各自之顾问及代理披露个人资料及彼等所需有关阁下或阁下为其利益而接纳暂定配发供股股份之人士之任何资料。 《个人资料（私隐）条例》赋予证券持有人权利，可确定本公司或过户处是否持有其个人资料、索取有关资料之副本及更正任何不准确资料。根据《个人资料（私隐）条例》，本公司及过户处有权就处理任何查阅资料要求而 收取合理费用。有关查阅资料或更正资料或查阅有关政策及惯例以及持有资料种类之讯息的所有要求，应寄往本公司之主要营业地点（香港金钟道88号太古广场一座29楼）或根据适用法律不时通知之地址，并以公司 秘书为收件人；或（视情况而定）寄往过户处卓佳登捷时有限公司（香港皇后大道东183号合和中心22楼），并以私隐条例事务主任为收件人。 此致 列位合资格股东台照 代表董事会 华融国际金融控股有限公司 主席 刘晓东 谨启 二零一七年一月十二日 INTHEEVENTOFATRANSFEROFRIGHT(S)TOSUBSCRIBEFORTHERIGHTSSHARE(S),HONGKONGADVALOREMSTAMPDUTYISPAYABLEONEACHSALEANDEACHPURCHASE.AGIFTOR ATRANSFEROFBENEFICIALINTERESTOTHERTHANBYWAYOFSALEISALSOLIABLETOHONGKONGADVALOREMSTAMPDUTY.EVIDENCEOFPAYMENTOFHONGKONGADVALOREM STAMPDUTYWILLBEREQUIREDBEFOREREGISTRATIONOFANYTRANSFEROFTHEENTITLEMENT(S)TOTHERIGHTSSHARE(S)REPRESENTEDBYTHISPROVISIONALALLOTMENTLETTER. 在转让认购供股股份之权利时，每项买卖均须缴纳香港从价印花税。馈赠或转让（并非以出售方式）实益拥有之权益亦须缴纳香港从价印花税。在登记转让本暂定配额通知书所列任何供股股份之权 利之前，须出示已缴纳香港从价印花税之证明。 FORMOFTRANSFERANDNOMINATION 转让及提名表格 FormB 表格乙 (TobecompletedandsignedonlybyQualifyingShareholder(s)whowish(es)totransferallofhis/her/its/theirright(s)tosubscribefortheRightsSharescomprisedherein) （仅供拟将其�u彼等於本表格所列认购供股股份之权利全数转让之合资格股东填写及签署） To: TheDirectors HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED 致：华融国际金融控股有限公司 列位董事 DearSirsandMadams, I/Weherebytransferallofmy/ourrightstosubscribefortheRightsSharescomprisedinthisProvisionalAllotmentLettertotheperson(s)acceptingthesameandsigningtheregistrationapplicationform(FormC)below. 敬启者： 本人�u吾等兹将本暂定配额通知书所列本人�u吾等认购供股股份之权利全数转让予接受此权利并签署以下登记申请表格（表格丙）之人士。 1. 2. 3. 4. Signature(s)ofShareholders(alljointShareholdersmustsign)股东签署（所有联名股东均须签署） Date日期：二零一七年 2017 Note:HongKongstampdutyispayableinconnectionwiththetransferofyourrightstosubscribefortheRightsShares. 附注：转让阁下认购供股股份之权利须缴纳香港印花税。 REGISTRATIONAPPLICATIONFORM 登记申请表格 FormC 表格丙 (Tobecompletedandsignedonlybytheperson(s)towhomtherightstosubscribefortheRightsShareshavebeentransferred) （仅供承让认购供股股份权利之人士填写及签署） To: TheDirectors HUARONGINTERNATIONALFINANCIALHOLDINGSLIMITED SAMPLE致：华融国际金融控股有限公司 列位董事 DearSirsandMadams, I/WerequestyoutoregisterthenumberoftheRightsSharesmentionedinBoxBofFormAinmy/ourname(s)andI/weagreetoacceptthesameonthetermsembodiedinthisProvisionalAllotmentLetterandtheRights IssueDocumentsandsubjecttothememorandumofassociationoftheCompanyandtheBye-Laws. 敬启者： 本人�u吾等谨请阁下将表格甲内乙栏所列数目之供股股份以本人�u吾等名义登记，本人�u吾等同意按照本暂定配额通知书及供股文件所载之条款，并在贵公司之组织章程大纲 及公司细则限制下接纳该等股份。 ExistingShareholder(s) Pleasemark“X”inthisbox 现有股东请於栏内填上「X」符号 TobecompletedinblocklettersinENGLISH.Jointapplicantsshouldgiveoneaddressonly. 请用英文大楷填写。联名申请人只须填报一个地址。 NameinEnglish FamilynameorCompanyname姓氏或公司名称 Othernames名字 NameinChinese 英文姓名 中文姓名 Namecontinuationand/ ornamesofjoint applicants(ifrequired) 续姓名及�u或联名申请人 姓名（如有需要） AddressinEnglish (jointapplicantsshould giveoneaddressonly) 英文地址（联名申请人 只须填报一个地址） Occupation职业 Tel.no.电话号码 Dividendinstructions派息指示 Name&address Bankaccountno.银行账户号码 ofbank Accounttype账户类别 Forofficeuseonly公司专用 银行名称及地址 1. 2. 3. 4. Signature(s)ofapplicant(s)(alljointapplicantsmustsign) 申请人签署（所有联名申请人均须签署） Date日期：二零一七年 2017 Note: HongKongstampdutyispayableinconnectionwiththeacceptanceofthetransferoftherightstosubscribefortheRightsShares. 附注：接纳转让认购供股股份权利须缴纳香港印花税。 NamesofChineseapplicantsmustbegivenbothinEnglishandinChinesecharacters 华裔申请人须填写中英文姓名