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Mother's Board FAQ
Mother Board FAQ
Purchase/Disposal of Xinhua Finance's shares

  1. How do I purchase Xinhua Finance's shares?

    If you would like to purchase Xinhua Finance's shares in the secondary trading market in Japan, you should contact a broker which is able to facilitate a transaction on the Mothers Board of the Tokyo Stock Exchange. If you are outside of Japan, please contact one of the brokers set out on Schedule One immediately following these questions and answers, each of which is able to facilitate a transaction on the Mothers Board of the Tokyo Stock Exchange. Please note that no public market currently exists in the U.S. and the shares may only be purchased and sold on the Mothers Board of the Tokyo Stock Exchange in accordance with procedures that have been established with the foregoing brokers. The brokers have the details which you will need to accomplish such a transaction.

  2. What do I need to do if I want to sell my shares?

    If you want to sell your shares, you should first open an account with a broker which is able to facilitate a transaction on the Mothers Board of the Tokyo Stock Exchange (please refer to the former question for further details).

    You should then complete the Delivery Instruction Form, Whole Share Transfer Form and if you have fractional shares and want to dispose of these, please sign the Fractional Share Transfer Form as well.

    You may either deposit the original of the forms together with the original share certificates with your broker, or forward them to Tricor Investor Services Limited of Level 28, Three Pacific Place, 1 Queen's Road East, Hong Kong, and deliver copies of the documents to your broker.

    Upon receiving confirmation from your broker that your shares have been deposited into the clearing and settlement system in Japan, you may place an order to sell your shares through your broker.

    Download Related Forms: Delivery Instruction Form, Whole Share Transfer Form, Fractional Share Transfer Form

  3. What do I need to do if I have an enquiry relating to my shareholding regarding, for example, transfers of shares, change of name or address, or loss of share certificate?

    Please direct your enquiries relating to your shareholding to the transfer agent of the Company at:-

    Tricor Investor Services Limited
    Level 28, Three Pacific Place
    1 Queen's Road East
    Hong Kong
    Attention: Mr. Allan Tong / Ms. Angelina Shi
    Tel: (852) 2980 1333
    Fax: (852) 2861 1465
    Email: allan.tong@tricor.com.hk or angelina.shi@tricor.com.hk


SCHEDULE ONE

(A) UNITED STATES
Merrill Lynch

Xinhua Coverage Team
Merrill Lynch Mailing Address:
Merrill Lynch Private Banking Group - Xinhua Coverage Team
Two World Financial Center
South Tower, 35th Floor
New York, NY 10281
NamePositionPhone #Fax #
IPO Shares Coverage Team
Jaime PaineClient Associate212-236-1776212-236-1779
Natasha KoropClient Associate212-236-1775212-236-1779
Peyton CarrClient Associate212-236-1777212-236-1779
Joe Fucci rService Manage212-236-1777212-236-1779
Relationship Management
Mike WajdaSecialist - Restricted
Securities		212-236-5033212-236-2222
Jim DetterickCorporate Relationship
Manager		212-236-5140212-236-2222
Jeff BryanInvestment Strategy &
Execution Desk Manager		212-236-7207212-236-2222
Michael J. SullivanSenior Partner212-236-5099212-236-2222
Investment Banking
Alex WoodthorpeManaging Director81 3 6225
8514		81 3 6225
7615
Private Banking Management
Jennifer PovlitzDirector212-236-2998212-236-2222


(B) SINGAPORE AND MALAYSIA

Nomura Singapore Limited

ContactDirect Line / Fax / Mobile / Email
Nobuhiro Sano
Head of Asia
InvestmentAdvisory, Singapore		T: 65-6420-1110
F: 65-6420-1118
Email: sano.nobuhiro@sg.nomura.com

(C) HONG KONG, TAIWAN & THE PHILIPPINES

1. Nomura International (Hong Kong) Limited

ContactDirect Line / Fax / Mobile / Email
Tsukasa Miyachi
Head of Asia
InvestmentAdvisory,
Hong Kong		T: 852-2536-1118
F: 852-2536-1190
Email: miyachi.tsukasa@hk.nomura.com

2. HSBC Broking Services (Asia) Limited

ContactDirect Line / Fax / Mobile / Email
Wang Hong,
Senior Vice President		T: 852-2526-3045; 852-9386-9778
Email: hongwang@hsbc.com.h
Dennis TangT: 852-2526-3045
Website : www.broking.hsbc.com.hk

(D) JAPAN

1. Nomura Securities
Please contact your local Nomura broker

2. HSBC Securities (Japan) Limited

ContactDirect Line / Fax / Mobile / Email
Mr. Kazutsugu Yamada
Director
Head of Equity Sales		T: 813-5203-3645
Email: kazutsugu.yamada@hsbc.co.jp
Emi Yamagishi
Assistant Mr. Norio Hayashi
Associate Director,
Private Banking Mariko Nakajima
Assistant		T : 813-5203-3653
T : 813-5203-6620
Email : norio.hayashi@hsbc.co.jp
T : 813-5203-6626

3. Merrill Lynch Japan Securities Co., Ltd

Transaction & Custody Services
Equity Operations


ContactDirect Line / Fax / Mobile / Email
Mr. Nobuhiko IzawaT: 813-6225-6867
Email: nobuhiko_izawa@ml.com
Ms. Hiromi MatsunagaT: 813-6225-7101
Email: hiromi_amagai@ml.com

(E) ALL OTHER COUNTRIES IN ASIA AND OCEANA

HSBC Securities (Asia) Ltd.

ContactDirect Line / Fax / Mobile / Email
Fladia TangT: 852-2996-6583
F: 852-2537-5284
Email: fladiatang@hsbc.com.hk

(F) EUROPE

1. HSBC Investment Management

ContactDirect Line / Fax / Mobile / Email
David I Sylvester
Associate Director		T: 44 20 7024 0503
F: 44 20 7024 1904
M : 44 7733 017 267
Email: david.i.sylvester@hsbcib.com
Peter NominaiakT: 44 20 7024 0504
Email: peter.nominaiak@hsbcib.com
Matthew CockettT: 44 20 7024 0512
Email: matthew.v.cockett@hsbcib.com

2. HSBC Investment Bank (UK) Ltd

ContactDirect Line / Fax / Mobile / Email
Paul Mkr Harris
International Settlement Division		T: 44 20 7992 2986
F: 44 20 7992 4448
Email: paul.m.harris@hsbcib.com
Alternate: Ian LittleT: 44 20 7991 9225
Tony Sand
Associate Director
Equity Capital Markets		T: 44 20 7991 5271
F: 44 20 7991 4856
M: 44 7771 841 638
Email: tony.sand@hsbcib.com
Sec: Davina RultonT: 44 20 7991 5270
William Smiley
Manager,
Equity Capital Markets
T: 44 20 7992 2202
F: 44 20 7991 4428
M: 44 7798 558 920
Email: william.smiley@hsbcib.com
Sec: Julia NicollT: 44 20 7992 2183


(G) If you are unable to make contact with any of the offices above, please contact HSBC Securities (Japan) Limited at the following details for further instructions:

HSBC Securities (Japan) Limited

ContactDirect Line / Fax / Mobile / Email
Yoshitomo Izura
Managing Director
EquityCapital Markets		T: 81 3 5203 3910
F: 81 3 5203 3913
M: 81 90 9000 7834
Email: yoshitomo.izura@hsbc.co.jp
Sec: Masako MotohashiT: 81 3 5203 3629
Zhen Chen
AssociateEquity
Capital Markets
T: 81 3 5203 3952
F: 81 3 5203 3913
M: 81 90 9809 7489
Email: zhen.chen@hsbc.co.jp
Sec: Masako MotohashiT: 81 3 5203 3629
Eitaro Komatsubara
Associate Director
Equity Settlement		T: +81 3 5203 3721
F: +81 3 5203 3734
Email: eitaro.komatsubara@hsbc.co.jp
Takashi Nakamura
Manager
Equity Settlement		T: +81 3 5203 3733
F: +81 3 5203 3734
Email: takashi.nakamura@hsbc.co.jp