Shenzhen Stock Exchange issues business guidelines, including Mainland-Hong Kong Stock Connect investors in the scope of program trading reports.

In terms of the subject of the report, the report is based on the identification code of northbound investors. In terms of the reporting path, the report is made by northbound investors to Hong Kong brokers, and then provided to the Shenzhen Stock Exchange by the Hong Kong Stock Exchange. In terms of the content of the report and regulatory requirements, it is consistent with the overall mainland requirements. For entities that fail to fulfill reporting obligations, change reporting obligations, or provide incomplete information in violation of relevant regulations, the Shenzhen Stock Exchange may request the Hong Kong Stock Exchange to urge its participants to remind relevant investors and take appropriate self-regulatory measures or disciplinary actions as necessary. In terms of implementation time, the "Reporting Guidelines" will officially be implemented starting from January 12, 2026. Within three months after the official implementation, existing investors should complete the report.