{"id":"court_ctb_2032_1","court":"CTB","case_no":"22-50073","doc_number":2032,"sub_number":1,"doc_type":"EXHIBIT","filed_date":"2023-07-25","title":"Exhibit 1 - 79","summary_zh":null,"summary_en":null,"body_en":"## **Exhibit 1**\n\n- 79\n-\n-\n-\n-\n\n| AAGV Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.                      | Respondent 4 (\"R4\")   |  |\n|----------------------------------------------------------------------------------------------------------------|-----------------------|--|\n| BSA Strategic Fund I<br>A company incorporated in the Cayman Islands,<br>Registration No.                      | Respondent 5 (\"R5\")   |  |\n| Insight Phoenix Fund<br>A company incorporated in the Cayman Islands,<br>Registration No.                      | Respondent 6 (\"R6\")   |  |\n| Alfonso Global Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.            | Respondent 7 (\"R7\")   |  |\n| Allied Capital Global Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.      | Respondent 8 (\"R8\")   |  |\n| Creative Apex Investments Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.  | Respondent 9 (\"R9\")   |  |\n| Crystal Breeze Investments Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No. | Respondent 10 (\"R10\") |  |\n| Elite Well Global Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.          | Respondent 11 (\"R11\") |  |\n| Globalist International Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.    | Respondent 12 (\"R12\") |  |\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 4 of 79\n\n70\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 5 of\n\nChina Golden Spring Group (Hong Kong) Limited [A company incorporated in Hong Kong, Company Registration No.\n\nRespondent 22 (\"R22\")\n\nRespondent 23 (\"R23\")\n\nRosy Acme Ventures Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nLeading Shine Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nRespondent 25 (\"R25\")\n\nRespondent 24 (\"R24\")\n\nMale HAN Chunguang [Holder of Hong Kong Identity Card No. China Identity Card No. , China Passport No. Two-Way Permit No.\n\nMale ZHANG Wei [China Identity Card No. Two-Way Permit No.\n\nFemale GUO Lijie [China Identity Card No. Two-Way Permit No.\n\nRespondent 26 (\"R26\")\n\nRespondent 27 (\"R27\")\n\n# FIRST AFFIRMATION OF SENIOR INSPECTOR CHAN SZE WING\n\nI, Senior Inspector of Police, CHAN Sze-wing, of the Financial Investigations Division, Narcotics Bureau (\"FI NB\") of the Hong Kong Police do solemnly and sincerely affirm as follows: -\n\nproperty of R1 and/or R2 and are to be restrained.\n\n6. The three core investigations and the offences involved are broadly outlined as follows: -\n\n- (a) \"Share Placement Fraud\" \"Conspiracy to Defraud\" offence committed by R1, R3 and other persons to defraud the Hong Kong Stock Exchange (\"HKEX\") to grant Haitong Securities Company Limited (\"Haitong\") with the approval for the issuance of the new H shares via a share placement taken place between December 2014 and May 2015. R1 is suspected to have made use of his controlled entities in committing the conspiracy to defraud and as a result, had obtained a financial benefit over HKS 9.5 billion (derived from the discounted price in the said share placement). R3 was a party to the conspiracy as she assisted R1 in moving funds;\n- (b) \"Mortgage Loan Fraud\" A \"Fraud\" offence jointly committed by R1 and R2 for obtaining a mortgage loan of HK\\$ 298 million from a bank in Hong Kong for the purchase of the South Bay Property and two \"Money Laundering\" offences for dealing with respective sums of HK\\$ 224.8 million and HK\\$ 26.6 million known or believed to represent proceeds of an indictable offence for the partial settlement of the purchase price of the South Bay Property in March 2011;\n- (c) \"Aircraft Loan Fraud\" A \"Fraud\" offence jointly committed by R1 and R2 for obtaining from a bank in Hong Kong, in late 2012, an aircraft loan of US\\$ 21 million (approximately HK\\$162 million) in favour of a company solely owned by R2.\n\n7. On 2017-08-03, the Police operation turned overt and R3 was arrested for the offences of \"Money Laundering\" and \"Conspiracy to Defraud\" in relation to the \"Share Placement Fraud\" whilst R1 and R2 could not be located in Hong Kong. The Police also searched the office situate at 49/F, Bank of China Tower and other locations where voluminous business documents and agreements were seized. R3 remained silent under caution and declined to answer any questions during her cautioned interviews.\n\n#### BACKGROUND OF RESPONDENTS II.\n\nIndividual (A)\n\nR1 was born in the Mainland and he used the name of GUO Wengui (郭 8. 文章) whilst he was in the Mainland. From the records of the Registration of Persons Office in Hong Kong, he first applied for his Hong Kong Identity Card via one-way permit on 1997-09-18. He is presently the subject of the INTERPOL Red Notice issued by the Mainland on 2017-04-17 for bribing a Mainland official. The INTERPOL Red Notice is still in force.\n\nR2 was born in the Mainland. He is the son of R1. From the records 9\\_ of the Registration of Persons Office in Hong Kong, he first applied for his Hong Kong Identity Card via one-way permit on 2008-06-26.\n\n10. R3 was born in the Mainland. She is the financial manageress of R1. From the records of the Registration of Persons Office in Hong Kong, she first applied her Hong Kong Identity Card on 2015-10-06. In the form submitted by her to the Immigration Department of HKSAR, R3 claimed that she worked as a manageress at a business address at 49/F, Bank of China Tower, No. 1 Garden Road, Central. Copy of the records is exhibited at CSW-1.\n\n11. R25 was born in the Mainland. He is the bodyguard of R1. From the records of the Registration of Persons Office in Hong Kong, he first applied his Hong Kong Identity Card on 2016-08-12. In the form submitted by him to the Immigration Department of HKSAR, R25 claimed that he worked in the field of portfolio management at a business address at 49/F, Bank of China Tower, No. 1 Garden Road, Central. Copies of the records are exhibited at CSW-2.\n\n12. R26 was born in the Mainland. He is the husband of R1's niece. According to information provided by R26 to the China Construction Bank (Asia) Corporation Limited (\"CCBA\") during account opening on 2014-10-28, R26 claimed that he was the director of R7. Copies of the account opening mandate 79\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 10 of\n\n79\n\n21. R11 is a BVI company incorporated on 2015-02-23. According to documents provided by R11 to CMBC during account opening on 2015-03-12, Mainlander SUN Li (系莉) had been the sole director and shareholder. R11 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R11 are exhibited at CSW-12.\n\n22. R12 is a BVI company incorporated on 2015-02-12. According to documents provided by R12 to CMBC during account opening on 2015-03-09, Mainlander SUN Yanfeng (徐豔峰) had become the sole director and shareholder. R12 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R12 are exhibited at CSW-13.\n\n23. R13 is a BVI company incorporated on 2015-02-12. According to documents provided by R13 to CMBC during account opening on 2015-03-09, Mainlander NIU Runze (牛潤澤) had become the sole director and shareholder. R13 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R13 are exhibited at CSW-14.\n\n24. R14 is a BVI company incorporated on 2015-02-23. According to documents provided by R14 to CMBC during account opening on 2015-03-10, Mainlander REN Meizi (在美子) had become the sole director and shareholder. R14 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R14 are exhibited at CSW-15.\n\n25. R15 is a BVI company incorporated on 2015-02-23. According to documents provided by R15 to CMBC during account opening on 2015-03-10, LIU Wuii (劉嫡及) had become the sole director and shareholder. R15 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R15 are exhibited at CSW-16.\n\n26. R16 is a Hong Kong company incorporated on 2011-07-29. On 2017-06-27, GUO Mei (郭美, R1's daughter) replaced HAN Chunguang (韓春光, R25) and became the sole director and shareholder. The instrument of transfer dated 2017-06-27 showed that GUO Mei (郭美) had acquired all issued shares, totaling 1,000 shares, from R25 at HK\\$ 1,000. Copies of the instrument of transfer are exhibited at CSW-17. The details outlining the changes of directors, shareholders and registered address since incorporation are tabled and exhibited as CSW-18. The last known registered office of R16 is Room 805-806, 8/F, Tai Yau Building, 181 Johnston Road, Wan Chai which was known to be the office address of a secretarial company in Hong Kong.\n\nﺮ\n\n(\n\n27. R17 is a BVI company incorporated on 2014-10-15. According to documents provided by R17 to CMBC during account opening on 2014-12-16, R27 had become the sole director and shareholder. R17 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R17 are exhibited at CSW-19.\n\n28. R18 is a BVI company incorporated on 2014-06-18. According to documents provided by R18 to CMBC during account opening on 2014-12-17, Mainlander YU Yong (于冰) had become the sole director and shareholder. R18 used Room 1602 & 4/F, 5/F, Central Tower, No. 28 Queen's Road, Central, Hong Kong as its correspondence address. This address was known to be the office address of a solicitors firm and a secretarial company in Hong Kong when the account was opened. Copies of the account opening mandate records of R18 are\n\n#### exhibited at CSW-20.\n\n29. R19 is a company incorporated in Hong Kong on 2006-10-12. On 2006-10-03, R1 subscribed the first issued share. On 2006-10-24, R1 became the first director. On 2014-10-10, R3 replaced R1 as the sole director and shareholder. On 2017-06-27. GUO Mei (郭美, R1's daughter) replaced R3 as the sole director and shareholder. The instrument of transfer dated 2017-06-27 showed that R3 sold the only issued share to GUO Mei (郭美) at HK\\$1. Copies of the instrument of transfer are exhibited as CSW-21. The last known registered office of R19 is Room 805-806, 8/F, Tai Yau Building, 181 Johnston Road, Wan Chai which was known to be the office address of a secretarial company in Hong Kong.\n\n30. R20 is a company incorporated in Hong Kong on 2015-05-07. On 2017-06-27, GUO Mei (郭美, R1's daughter) replaced R25 and REN Meizi (任美 3, R14's director) and became the sole director. The instrument of transfer dated 2017-06-27 showed that GUO Mei (郭美) acquired the only one issued share from the sole shareholder R25 at HK\\$1. Copies of the said records are exhibited as CSW-22. The details outlining the changes of directors, shareholders and registered address since incorporation are tabled and exhibited as CSW-23. The last known registered office of R20 is Room 805-806, 8/F, Tai Yau Building, 181 Johnston Road, Wan Chai which was known to be the office address of a secretarial company in Hong Kong.\n\n31. R21 is a BVI company incorporated on 2013-04-02. On 2013-07-22, R2 became the sole director while R1 and R2 were the only two shareholders each holding one issued share according to documents received by UBS AG Hong Kong Branch (\"UBS-HK\") in February 2015. R21 used 49/F, Bank of China Tower, No. 2 Garden Road, Hong Kong as its correspondence address. Copies of the account opening mandate records of R21 are exhibited at CSW-24.\n\n32. R22 is a company incorporated in Hong Kong on 2014-03-06 and R2 has become the sole director and shareholder since then. Copies of the company records are exhibited as CSW-25. The last known registered office of R22 is Room 805-806, 8/F, Tai Yau Building, 181 Johnston Road, Wan Chai which was known to be the office address of a secretarial company in Hong Kong.\n\n79\n\n| IS/N | Person | Company held | Relationship with R1 |  |\n|------|--------|--------------|----------------------|--|\n|      |        |              |                      |  |\n\n| S/N | Person            | Company held                | Relationship with R1                                |\n|-----|-------------------|-----------------------------|-----------------------------------------------------|\n| 1.  | R2                | R21, R22, R24               | Son of R1                                           |\n| 2.  | R3                | R9                          | R1's manageress handling<br>financial affairs in HK |\n| 3.  | GUO Mei (郭美)      | R4, R16, R19, R20           | Daughter of R1                                      |\n| 4.  | R26               | R7                          | Husband of R1's niece                               |\n| 5.  | SU Yan (蘇安)       | R8                          | Employee of R1 in Henan                             |\n| 6.  | SUN Ailing (孫愛玲)  | R10                         | Employee of R1 in Henan                             |\n| 7.  | SUN Li (孫莉)       | R11                         | Employee of R1 in Henan                             |\n| 8.  | SUN Yanfeng (孫藍峰) | R12                         | Employee of R1 in Henan                             |\n| 9.  | NIU Runze (牛潤泽)   | R13                         | Employee of R1 in Beijing                           |\n| 10. | REN Meizi (任美子)   | R14                         | Employee of R1 in Henan                             |\n| 11. | LIU Wuji (劉焯及)    | R15                         | Employee of R1 in Henan                             |\n| 12. | R25               | R23                         | Bodyguard of R1                                     |\n| 13. | R27               | R17                         | Niece of R1                                         |\n| 14. | YU Yong (于泳)      | R18                         | Employee of R1                                      |\n| 15. | GUO Lihong (郭麗紅)  | Assets Sino Limited         | Niece of R1                                         |\n| 16. | GUO Lichun (郭麗春)  | Auspicious Coast<br>Limited | Wife of R 1's brother                               |\n\n38. R4 to R15, R17, R18, R21, R23 & 24 are foreign companies with no registration in Hong Kong.\n\n#### III. POLICE INVESTIGATION\n\n# Case One - Share Placement Fraud\n\n39. Haitong is a company incorporated in the Mainland. It issued listed shares in the Shanghai Stock Exchange (as A Shares) and the HKEX (as H Shares). The then Chairman (from June 2007 to July 2016) was a Mainlander, WANG Kaiguo (王開國) (\"WANG\"). Police investigation revealed R1 expressed his interests to WANG in subscribing shares of Haitong during its Initial Public Offering in Hong Kong. It was until May or June 2014 that R1 informed WANG he had about US\\$3 billion to inject into Haitong for becoming the largest shareholders, and that he intended to appoint his people as directors in future. R1 (\n\nwanted to use Haitong as a financial platform to obtain loans to support his businesses in future. R1 would obtain an outright financial profit by subscribing shares at a discounted price via the share placement.\n\n40. Since Haitong was a Mainland incorporated securities company, the legal requirement in the Mainland as stipulated under \"Regulation on the Supervision and Administration of Securities Companies\"《證券公司監督管理條例》 required an approval from China Securities Regulatory Commission (\"CSRC\") if any person acquired or actually controlled more than 5% shareholdings of the total issued capital, commonly known as \"the 5% rule\". Hence, R1's subscription of new issuance of shares with US\\$3 billion would trigger the requirement to obtain a CSRC's approval.\n\n(\n\nﮯ\n\n41. R1 told WANG that he could evade CSRC's approval by arranging a few placees to subscribe the share placement to be listed in Hong Kong. He specifically reminded WANG to include two investment banks, namely, UBS-HK and Macquarie Capital Securities Limited (\"Macquarie\") as joint placing agents for this share placement. R1 represented that William JE (余建明) of Macquarie would act on his behalf and would arrange placees to subscribe Haitong shares for him so as to dilute the shareholding concentration to bypass the 5% rule.\n\n42. In July or August 2014, William JE (余建明) advised WANG that he was acting on behalf of R1. In December 2014, Haitong eventually resolved and agreed to issue its H shares to seven placees. Three of the placees were sourced from other joint placing agents having no connection to this share placement fraud. Macquarie secured three placees and the UBS-HK secured one placee. In May 2015, the total quantity of shares allocated to the four placees secured by Macquarie and UBS-HK was 1,438,265,220, which was over 12.51% of the total issued shares after placement.\n\nFour Placees from Macquarie and UBS were under R1's effective control and were funded by R.I\n\n43. From the public announcements dated 2014-12-21 made by Haitong via the HKEX, Haitong had entered into subscription agreements with 7 placees of an aggregate of 1,916,978,820 new H shares. It was also the quantity of H shares\n\n| Name of Placee                                    | No. of<br>New H Shares | Percentage of the total<br>issued share capital (A<br>Share & H Share) after<br>Placement |\n|---------------------------------------------------|------------------------|-------------------------------------------------------------------------------------------|\n| Dawn State Limited                                | 569.427.620            | 4.95%                                                                                     |\n| Maunakai Capital Partners<br>(Hong Kong) Limited  | 496,478,800            | 432%                                                                                      |\n| Insight Capital Management<br>(Hong Kong) Limited | 223,415,200            | 1.94%                                                                                     |\n| Amtd Special Holdings Limited                     | 148,943,600            | 1.30%                                                                                     |\n| Total                                             | 1,438,265,220          | 12.51%                                                                                    |\n\n46. From the documents seized from UBS-HK, court documents of a civil action (index number 653316/2015) before the Supreme Court of State of New York initiated by the Ace Decade Holdings Limited (R18) against the UBS (New York Office) (\"UBS-NY\") in the United States for the misrepresentation and deception made to R18, inducing R18 to obtain a loan from the bank for Dawn State Limited to subscribe 569,427,620 new H shares (\"the NY Action\"), were found.\n\n79\n\nIn the NY Action, YU Yong (于泳, the sole director of R18) and R1 had 47. filed affidavits and other documentary exhibits with the Supreme Court of State of New York. Copies of affidavits of YU Yong (于冰) and R1 are exhibited as CSW-31 and CSW-32. In view of the contents of the said affidavits which are summarized as follows, R18 and Dawn State Limited are in fact subject to the effective control of R1 in the share placement: -\n\n- (a) YU Yong (于泳) was the director and sole shareholder of R18. She was an employee of R1. She worked for R1 to obtain the share placement of Haitong via her company R18;\n- (b) YU Yong (于泳) stated that R1 took advice from the UBS to use R18 as an intermediary to obtain the share placement to avoid disclosure requirement with an assurance that the bank would not liquidate the subscribed shares;\n- (c) R1 arranged the funds to settle the consideration of the share placement for Dawn State Limited;\n- (d) A co-investment agreement and a side letter signed between R18 and Haixia Fund was produced in the NY Action and is also now exhibited at CSW-33. It showed that R18 would contribute US\\$ 500 million and Dawn State Limited would arrange loan finance of US\\$ 750 million to subscribe new issued shares of Haitong. R18 would pay 0.65% of the co-investment amount to Haixia Fund as management fee. After 2015-07-13, Haixia Fund would be required to transfer the entire share capital of Dawn State Limited upon the request of R18 to R18 or such other entity as may be\n\n79\n\n## nominated by R18.\n\n# Source of Fund for Dawn State to subscribe share placement\n\n48. The Police investigation showed that Dawn State Limited settled the consideration of the share placement totaling HK\\$ 9,782,766,512 by obtaining a margin loan of HK\\$ 6,011,236,393.92 from UBS-London, and using its credit balances of HK\\$ 3,882,584,464 held in its bank accounts. Fund flow analysis showed that the fund held in the bank accounts of Dawn State Limited was sourced from the bank accounts of R18. Backward fund tracing of R18 revealed the money was originated from R7, R17 and R19, which are companies all subject to the effective control of R1. A chart detailing the fund flow above is exhibited as CSW-34.\n\n## R7, R17, R18, R19 are companies subject to the effective control of R1\n\n49. R26 and R27 respectively owned R7 and R17 and they were both relatives of R1. Police investigation revealed they were only stooges for opening bank accounts and signing documents for R7 and R17 at the request of R1 out of family relationship. Pursuant to R1's instructions, they nominated R3 as the account signatory. All related bank transactions slips were signed by R3. R26 and R27 had no idea of the operation of the bank accounts of R7 and R17. R7 and R17 at all material times are subject to the effective control of R1.\n\n50. From YU Yong (于冰)'s affidavits, R18 was only a vehicle to assist R1 to acquire the share placement allocated to Dawn State Limited. She took advice from R1. R3 was nominated as the account signatory of R18's account with CMBC. R3 moved the funds from R18 to Dawn State Limited, which was then paid to UBS-HK for settling the consideration of share placement.\n\n51. R19 was incorporated on 2006-10-12 and R1 subscribed the only share and became the first director. R1's position was replaced by R3 on 2014-10-10 and then further replaced by R1's daughter, GUO Mei (郭美) on 2017-06-27. In May 2015, R3 was the sole director and shareholder. R3 was also an account signatory and signed for the transfer from R19's bank accounts to R18 in settling the payment of HK\\$ 2,000,000,000 for share placement eventually conducted by Case 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 20 of 79\n\nDawn State Limited. In view of the changes in shareholdings since R19's incorporation, the relationship of the respective shareholder with R1 and all relevant circumstances, R1, at all material times, had an effective control of R19.\n\n# (B) Subscription made by Maunakai Capital Partners (Hong Kong) Limited\n\n52. Maunakai Capital Partners (Hong Kong) Limited (\"Maunakai\") was another placee which had subscribed 496,478,800 new H shares via the placing agent Macquarie. Maunakai is a Hong Kong incorporated company principally engaged in asset management and advisory business. The subscription was made for R5, a private investment fund.\n\n### Investigation against the 11 Investors of R5\n\n53. From the records relating to R5 seized from Maunakai, it was revealed that the composition of investors in R5 and the consideration paid for subscribing new H shares are outlined in below table: -\n\n| S/N                                   | Name of Investor                                            | Director / Shareholder | Subscription<br>Amount<br>(in US\\$) |  |\n|---------------------------------------|-------------------------------------------------------------|------------------------|-------------------------------------|--|\n| 1.                                    | Alfonso Global Limited (R7)                                 | R26                    | 183,769,932.90                      |  |\n| 2.                                    | Allied Capital Global Limited (R8)                          | SU Yan (蘇曼)            | 57,740,605.50                       |  |\n| 3.                                    | Creative Apex Investments Limited (R9)                      | R3                     | 57,740,605.50                       |  |\n| 4.                                    | Crystal Breeze Investments Limited (R10)                    | SUN Ailing (孫愛玲)       | 57,740,605.50                       |  |\n| રે.                                   | Elite Well Global Limited (R11)                             | SUN Li (孫利)            | 57,740,605.50                       |  |\n| 6.                                    | Globalist International Limited (R12)                       | SUN Yanfeng (孫監峰       | 57,740,605.50                       |  |\n| 7.                                    | Infinitum Developments Limited (R13)                        | NIU Runze (牛潤澤)        | 57,740.605.50                       |  |\n| 8.                                    | Infinite Increase Limited (R14)                             | REN Meizi (任美子)        | 57,740,605.50                       |  |\n| 9.<br>Noble Fame Global Limited (R15) |                                                             | LIU Wuji (劉姪及)         | 57,740,605.50                       |  |\n| 10.                                   | Assets Sino Limited                                         | GUO Lihong (郭麗紅)       | 98,082.83                           |  |\n| 11.<br>Auspicious Coast Limited       |                                                             | GUO Lichun (郭麗春)       | 98,082.83                           |  |\n|                                       | Total: US\\$ 645,890,942.56 (approximate HK\\$ 5,000 million) |                        |                                     |  |\n\n19\n\n54. Police investigation revealed that the director of the above 11 investor companies (\"the 11 Investors\"), all BVI incorporated companies, were either the relative or the employee of R1, details as below:\n\n| S/N | Name of Investor            | Director / Shareholder | Relationship with R1                                |\n|-----|-----------------------------|------------------------|-----------------------------------------------------|\n| ﻴﺴﻴ | R7                          | R26                    | Husband of GUO Lihong (郭麗紅)                         |\n| 2.  | R8                          | SU Yan (蘇曼)            | Employee of R1 in Henan                             |\n| 3.  | R9                          | R3                     | R1's manageress handling financial<br>affairs in HK |\n| 4.  | R10                         | SUN Ailing (孫愛玲)       | Employee of R1 in Henan                             |\n| 5.  | R11                         | SUN Li (系莉)            | Employee of R1 in Henan                             |\n| 6.  | R12                         | SUN Yanfeng (孫監峰)      | Employee of R1 in Henan                             |\n| 7.  | R13                         | NIU Runze (午潤澤)        | Employee of R1 in Beijing\"                          |\n| 8.  | R14                         | REN Meizi (任美子)        | Employee of R1 in Henan                             |\n| 9.  | R15                         | LIU Wuji (劉姪及)         | Employee of R1 in Henan                             |\n| 10. | Assets Sino Limited         | GUO Lihong (郭麗紅)       | Niece of R1                                         |\n| 11. | Auspicious Coast<br>Limited | GUO Lichun (郭麗春)       | Wife of R 1's brother                               |\n\n55. A summary of the information from opening mandates of bank accounts of the 11 investors and their travel movement records are outlined in the table at CSW-35. Police investigation revealed the followings: -\n\n- (a) The 11 Investors are Mainlanders and they were arranged to come to Hong Kong and opened the respective bank accounts under the instruction / at the request of R1. After they came to Hong Kong, they were all received by R3. R3 then escorted them to banks and accompanied them to open bank accounts;\n- (b) The 11 Investors (except R3), did not have any knowledge about their BVI companies nor the bank accounts. They just opened the accounts as arranged by R3 and instructed by R1;\n- (c) The directors / shareholders of R7-R15 (except R9) were not the\n\n<sup>1</sup> R1's company in Henan is called Henan Yuda Real Estate Co. Limited\n\n<sup>2</sup> R1's company in Beijing is called Beijing Pangu Investment Company Limited\n\nsignatories of their bank accounts. Instead, R3 had been the authorized signatory for all bank accounts of R7-R15 and was the one who transferred funds from the respective bank account for the settlement of the share placement in May 2015. On 2015-05-25, YU Yong (于冰) and R25, who were R1's employee and bodyguard, became the account signatories of R7-R15;\n\n(d) For Assets Sino Limited and Auspicious Coast Limited, their directors did not operate the accounts. They opened the bank accounts pursuant to R1's request/instructions and then passed the control of the accounts to R3 soon after they were opened. These two directors did not have any knowledge about any transaction of the accounts.\n\n### Source of fund for R5 to settle consideration of share placement\n\n(\n\n56. To complete the subscription of 496,478,800 new H shares, Maunakai had to settle HK\\$ 8,529,505,784. Maunakai arranged R5 to obtain a facility loan of HK\\$ 3,574.190,625 from the Morgan Stanley Bank N.A., R5 settled the balance purchase price by using its funds of HK\\$ 4,981,000,000 to Macquarie.\n\n57. The backward fund flow tracing into source of R5's own funds paid to Macquarie confirmed that the monies came from the local bank accounts of R5's investors outlined in table of paragraph 53. Upon further tracing backwards, the money originated from R7 and R19, companies subject to the effective control of R1.\n\nર્સ -A chart detailing the fund flow for settling consideration of share placement with Macquarie is exhibited as CSW-36. The mandate and supporting vouchers of the accounts of the 11 Investors are now exhibited as CSW-8 to 16, 28, 29, and 37. R3 was an account signatory of bank accounts of R7-15. R3 signed on the related instruction slips for moving the funds for R7-15 to settle the payment for the share placement. For Assets Sino Limited and Auspicious Coast Limited', R3, at all material times, had the sole control of the bank accounts and all\n\n<sup>3</sup> Assets Sino Limited and Auspicious Coast Limited are not named as respondents as they no longer hold any\n\nrelated transfers were believed to be made by R3 via e-banking.\n\n# (C) Subscription made by Insight Capital Management (Hong Kong) Limited\n\n59. Insight Capital Management (Hong Kong) Limited (\"Insight\") was another placee which had successfully subscribed 223,415,200 new H shares via Macquarie. Insight is a Hong Kong incorporated company principally engaged in asset management and advisory business. The subscription was made for a private investment fund Insight Phoenix Fund (R6).\n\n60. The Police seized records relating to R6 from Insight which revealed the investors of R6 and consideration paid for subscribing those new H shares as outlined in below table: -\n\n| S/N                       | Director /<br>Name of Investor<br>Shareholder |                   | Subscription<br>Amount<br>(in HKS) |\n|---------------------------|-----------------------------------------------|-------------------|------------------------------------|\n| 1.                        | Alfonso Global Limited (R7)                   | R26               | 444,544,255                        |\n| 2.                        | Allied Capital Global Limited (R8)            | SU Yan (蘇安)       | 428,779,970                        |\n| 3.                        | Creative Apex Investments Limited (R9)        | R3                | 428,779,970                        |\n| 4.                        | Crystal Breeze Investments Limited (R10)      | SUN Ailing (孫愛玲)  | 428,779,970                        |\n| 5.                        | Elite Well Global Limited (R11)               | SUN Li (孫莉)       | 428,779,970                        |\n| 6.                        | Globalist International Limited (R12)         | SUN Yanfeng (孫監峰) | 428,779,970                        |\n| 7.                        | Infinitum Developments Limited (R13)          | NIU Runze (牛潤澤)   | 428,779,970                        |\n| 8.                        | Infinite Increase Limited (R14)               | REN Meizi (任美子)   | 428,779,970                        |\n| 9.                        | Noble Fame Global Limited (R15)               | LIU Wuji (劉焯及)    | 428,779,970                        |\n| 10.                       | Assets Sino Limited                           | GUO Lihong (郭麗紅)  | 10,679,970                         |\n| 11.                       | Auspicious Coast Limited                      | GUO Lichun (郭麗春)  | 10,679,970                         |\n| Total: HK\\$ 3,896,143,955 |                                               |                   |                                    |\n\n61. The composition of investors in R6 was an exact mirror image as in R5, namely, the 11 Investors. The only difference was the quantity of new H shares subscribed and consideration involved. A chart detailing the fund flow for\n\nrealizable assets of RI.\n\nsettling consideration of share placement with Macquarie is exhibited as CSW-38.\n\n#### Source of fund for R6 to settle consideration of share placement\n\n62. Investigation revealed that the funds of R6's investors (the 11 Investors) were originated from R7 and R19, companies subject to the effective control of R1. The e-banking transactions made by Assets Sino Limited and Auspicious Coast Limited were believed to be made by R3. She also signed all instructions for the transfers of fund from accounts of R7-R15 to Insight for payment of the share placement. Copies of the vouchers are exhibited as CSW-39.\n\n### Director of R6-ZHENG Shasha\n\nﮯ\n\n63. The director of R6 is ZHENG Shasha (鄭莎莎). She had become the director since its incorporation in January 2015. The birth certificate retrieved from the Immigration Department showed that she and William JE (余建明) was the mother and father of a child JE Pui-hei. To recap, William JE (余建明) was identified as the person in Macquarie acting for R1 to secure placees for this share placement. Again ZHENG Shasha (鄭莎莎) being R6's director was more than a co-incidence. It could be inferred that R6 was incorporated with ZHENG Shasha (鄭莎莎) as the director to conceal R1's effective control of R6 and for the purpose of the share placement. R6 was a vehicle to hold assets for R1. The new H shares and the bank balances of R6 and its investors were all subject to R1's effective control.\n\n(D) Subscription made by Amtd Special Holdings Limited (\"AMTD\")\n\n64. AMTD was a BVI company (Company No 1711552) incorporated on 2012-05-09. Police investigation revealed that AMTD maintained a securities account with the Haitong International.\n\n65. On 2015-02-20, Blackpine Advisors Limited (BVI Company No. 1854374) (\"Blackpine\") became the director and shareholder of AMTD. In late May 2015, the share placement was completed. On 2015-06-05, AMTD changed its name to AA Global Ventures Limited.\n\n66. On 2016-04-26, Blackpine sold all issued capital of A.A Global Ventures Limited (previously as AMTD) to Anton Development Limited (R20). At that time, R3 was the sole director and shareholder of R20.\n\n67. On 2016-10-13, Haitong International received a notice signed by R3 on behalf of the directors' board of AA Global Ventures Limited, which resolved to delete the existing authorized signatories of all bank accounts and securities account maintained by AA Global Ventures Limited (or AMTD). The notice also appointed R3 as the only authorized signatory of the securities account held by AA Global Ventures Limited with Haitong International.\n\n68. As a result, R3 assumed full control of AA Global Ventures Limited (previously as AMTD) including the new H shares subscribed via the share placement. Copies of the company records are exhibited as CSW-40.\n\n# Source of fund for AMTD to settle consideration of share placement\n\n69. AMTD is another company successfully subscribed 148,943,600 new H shares via Macquarie. AMTD had to pay Macquarie HK\\$ 2,558,851,048. The backward fund flow tracing confirmed that the fund was originated from R17. R17 was a BVI company incorporated upon the instructions of R1. The shareholding was owned by R1's relative but in fact R17 was subject to the effective control of R1. A chart detailing the fund flow for payment of subscribed shares to Macquarie is exhibited as CSW-41. R3 was also account signatory of R17. She signed all vouchers to transfer HK\\$ 2,579,517,900 from R17 to AMTD on 2015-05-22. The sum was for settling share placement with Macquarie onwards.\n\n# Co-investment leading to transfer of all issued capital of AMTD to Anton (R20)\n\n70. On 2017-08-03 & 04, the Police conducted a search at 49/F Bank of China Tower. Among other items, Police found a co-investment agreement and a side letter dated 2015-05-04 made between Blackpine and R17. A copy of the co-investment agreement and the side letter is exhibited as CSW-42.\n\n71. The said co-investment agreement dated 2015-05-04 pinpointed that AMTD was wholly owned by Blackpine. Blackpine had also entered a binding share subscription agreement with a listed company in the Hong Kong Stock Exchange and extended a right to R17 (owned by R1's relative) to contribute HK\\$2,365M on the proposed investment. AMTD also agreed that, at any time from the sixth month after the completion of the share subscription, it should transfer the entire issued capital of AMTD to R17 or other entity as might be nominated upon receiving a notice. From a deed of settlement dated 2017-05-29 seized from R1's office at 49/F Bank of China Tower, it was confirmed that the entire issued capital of AMTD was transferred to R20 on 2016-04-26. A copy of the deed of settlement is exhibited as CSW-43.\n\nAt all times, R1 had an effective control of R17 and the fund for the share 72. placement was also originated from R17. R1 had exercised its control over R17 and instructed it to give a notice to AMTD to transfer all its issued capital to Anton (R20) pursuant to the terms of the said co-investment agreement.\n\n## Dissipation of subscribed shares from AMTD to AAGV\n\n( ............................................................................................................................................................................\n\n(\n\nThe share placement completed in late May 2015 resulted in the 73. allotment of 148,943,600 new H shares to AMTD. The majority of shares were held in securities account of AMTD with Haitong International. Since then, AMTD made use of the margin facilities of that securities account to buy H shares of Haitong in open market.\n\n74. On 2016-11-01, AMTD transferred 159,600,000 shares of Haitong to the securities account of AAGV Limited (R4) at Haitong International and received HK\\$734,656,191.19. The said sum was used to settle outstanding margin and interest payments owed by AMTD to Haitong International.\n\n# AAGV (R4) subject to R1's effective control\n\n75. As set out in paragraph 14, the director of R4 at the time was R3. AMTD was also the sole shareholder of R4 as shown from the company records. Copies of the company records are exhibited as CSW-5. In essence, R3 had assumed sole ownership of R4. On 2017-02-03, R3 gave an instruction to Haitong International to appoint R25 as the sole authorized signatory of R4's securities account. As R3 had previously moved funds to subscribe share placements on behalf of R1 while R25 was also R1's employee, the setting of R3\n\nas R4's director and R25 as account signatory showed that the assets of R4 was subject to an effective control of R1.\n\n76. On 2017-07-03, R4 sold 150,000,000 shares of Haitong and received about HK\\$ 1.94 billion. R25 was the only account signatory and he signed to authorize the sales of those shares. After receiving the proceeds from sales of shares, R25 gave an instruction to the Haitong International for transferring HK\\$ 1.2 billion from R4 to the DBS account of Anton (R20). A chart detailing the fund flow above is exhibited as CSW-44.\n\n77. As addressed in preceding paragraphs, R4 was subject to an effective control of R1. The directors of R20 were intermittently changed among different employees of R1 and finally to R1's daughter. A sum of HK\\$1.2 billion sourced from the sales of shares from R4 (subject to R1's effective control) was also paid into the DBS account of R20. It showed that R20 was another company subject to an effective control of R1. The assets of R20 are R1's realisable property.\n\n## The pre-requisites of HKEX's approval for listing of share placement\n\n78. The completion of the share placement in the HKEX is conditional upon the satisfaction of the conditions, which includes approval from (i) the shareholders; (ii) the China Securities Regulatory Commission (\"CSRC\"); and (iii) the HKEX.\n\n# The Shareholders approval in a special resolution\n\n79. The share placement required the approval of shareholders (or their proxies) holding an aggregate of two-third (2/3) of the total shares to vote for the special resolution at the Extraordinary General Meeting (\"EGM\") on 2015-02-09. A shares and H shares were counted in separate pools and the special resolution would not be adopted if Haitong failed to secure approval from either A or H shareholders. The A shareholders who had participated at the EGM on 2015-02-09 and held shares of more than one-third over the EGM participants of A Share confirmed that had they been made aware of the facts that the same person had the effective control over the four questioned placees, they would not have voted for the special resolution on issuing new H shares.\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 28 of\n\n# 79\n\n# The China Securities Regulatory Commission (CRSC)\n\nThe CSRC confirmed that the acquisition of share placements by the 80. 80. questioned four placees in this setting would be considered as someone having an actual effective control over the placees. As the total subscription was over 5% and this had not been submitted to the CSRC for an approval, it would contravene Article 14 of the \"Regulation on the Supervision and Administration of Securities Companies\" 《證券公司監督管理條例》 and Article 129 of the \"Securities Law of the People's Republic of China\" 《中華人民共和國證券法》in the Mainland. If the incident that the questioned four placees were subject to the effective control of the same person had been made known to the CSRC, CSRC would not have granted the approval Zheng Jian Xu Ke (證監許可) [2015] No. 811 dated 4th May 2015. A copy of the said approval is exhibited at CSW-45.\n\n## The Hong Kong Stock Exchange (HKEX)\n\n81. HKEX has a statutory duty under s.21 of the Securities and Futures Ordinance (SFO), to ensure, as far as reasonably practicable, an orderly, informed and fair market in securities that are traded on the HKEX. The Listing Division of the HKEX confirmed that had they known the approval from the CSRC is obtained by false or misleading representation, omission, fraudulent or deceptive means, which contravened the applicable laws, regulations and rules in the Mainland, the HKEX would not have granted the conditional listing approval for the issue of new H shares.\n\n### Case Two - Mortgage Loan Fraud\n\n### Background of the case\n\nﮯ\n\nﮯ\n\n82. R2 is the sole shareholder (and director) of Leading Shine Limited (R24) which purchased a house situates at Nos. 20 & 22 South Bay Road (hereunder as \"South Bay Property\") from the Higo Force Company Limited in early 2011 at a consideration of HKS 880 million.\n\n83. Police investigation revealed that the payment for the purchase settled by R24 came from:\n\n- (a) An amount of about HK\\$ 251 million of which came from the proceeds of a loan fraud occurred in the Mainland (\"the Mainland Fraud\"); and\n- (b) A mortgage of HKS 298 million obtained from the China Construction Bank (Asia) Corporation Limited (CCBA) in Hong Kong was secured by a Standby Letter of Credit issued by the China Construction Bank in Beijing (CCB-Beijing), the fund of which came from the proceeds of the Mainland Fraud.\n\n#### The Mainland Fraud (vs R1 and YANG Ying) (A)\n\nAt all material times, R1 had the effective control over the Mainland 84. company Beijing Pangu Investment Company Limited (北京都古氏投資有限公 司) (hereunder referred as 'Pangu'). LU Tao (呂濤) worked in Pangu as Deputy General Manager while YANG Ying (楊英) was Financial Controller.\n\n85. Police investigation revealed that in 2010, R1 instructed LU Tao (名濤) and YANG Ying (楊英) to arrange for borrowing a loan of RMB\\$ 3.2 billion from the Agricultural Bank of China Limited (Beijing) for the purportedly purpose of a renovation project of different properties owned by Pangu. In order to support the loan application, Pangu signed a construction contract with Beijing Chengjian Wu Construction Engineering Company Limited (北京城建五建設工程有限公司) (\"Chengjian Wu\"), but in fact no such renovation work existed.\n\n86. R1 instructed YANG Ying (楊英) to submit the false contract to the Agricultural Bank of China Limited (Beijing), and the loan was granted in around December 2010.\n\n87. Pursuant to R1's instructions, YANG Ying (楊英) channeled more than RMB\\$ 600 million of the loan obtained to Hong Kong via underground remittance exchanges agencies.\n\n88. The Agricultural Bank of China Limited (Beijing) confirmed that had\n\n(\n\nthey known the renovation contracts provided by Pangu were false, the bank would not have approved the RMB\\$ 3.2 billion loan.\n\nIn June 2017, LU Tao (呂濤), YANG Ying (楊英) and another employee 89. were convicted before the Dalian Xigang People's Court in Liaoning Province (途 寧省大連市西崗人民法院) in the Mainland for the Mainland Fraud. A copy of the court judgment is exhibited as CSW-46.\n\nThe flow of Mainland Fraud proceeds to Hong Kong for South Bay Property Purchase\n\nA chart detailing fund flow of the Mainland Fraud is exhibited as 90. CSW-47. YANG Ying (楊英), the Financial Controller working for R1, took instructions from R1 to channel proceeds of the Mainland Fraud to Hong Kong. To facilitate the channeling of such crime proceeds to Hong Kong, R1 introduced his friend HAN Zijing (韓子勁)(\"HAN\") to YANG Ying (楊英).\n\n(\n\n91. Police investigation revealed that YANG Ying (楊英) approached HAN's (韓子勁) accountant who had business connections with remittance exchanges in both Mainland and Hong Kong. For moving funds from the Mainland to Hong Kong, the accountant would give instructions to YANG Ying (楊英) to transfer money into designated accounts in the Mainland. The accountant would sort out with the remittance exchanges in the Mainland and Hong Kong, and arrange the funds to bank into the designated beneficiaries in Hong Kong.\n\n92. Furthermore, HAN (韓子勁) had once received RMB\\$ 20 million from R1 to remit the said amount to Hong Kong. The beneficiary account was Sail Victory Limited (\"Sail Victory\") in Hong Kong. After having received RMB\\$ 20 million from R1 in the Mainland, HAN (韓子勁) released some HK\\$ 26 million from his Hong Kong company account held by White Horse Holdings Limited (\"White Horse\") to Sail Victory. Copies of the mandate and records are exhibited as CSW-48 and CSW-49 showing three cheques from White Horse totaling HK\\$ 26,587,500 was made into the account of Sail Victory.\n\n93. The said RMB\\$ 20 million provided by R1 to HAN (韓子勁) was originated from the Mainland Fraud. The HK\\$ 26,587,500 was the amount of crime proceeds arranged by R1 to launder into Hong Kong, which would support a criminal charge against him.\n\n94. R1 via Sail Victory, received the funds of HK\\$ 26,587,500 known or believed to represent proceeds of indictable offence and which was later used for purchasing South Bay Property in Hong Kong. They also used HAN (韓子勁)'s accountant to facilitate money remittance to Hong Kong.\n\n# The investigation into Sail Victory accounts\n\n95. Given that the account of Sail Victory was involved in receiving fraud proceeds, investigation was made into the transactions. Sail Victory had an account with Bank of China (Hong Kong) Limited.\n\n96. Sail Victory is a BVI company solely owned by R2 and he was also the only signatory. Copies of opening mandate and transaction records are exhibited as CSW-50 and CSW-51. Between 2010-12-30 and 2011-03-30, the said account received a total deposit of about HK\\$ 851,369,598 from over 70 entities.\n\n97. The withdrawal transactions in HK currency and US currency accounts are outlined in below table: -\n\n| S/N | Date       | Amount (HKS)   | Beneficiary                                                       |  |\n|-----|------------|----------------|-------------------------------------------------------------------|--|\n| 1   | 2011-01-19 | 83,000,000.00  | New Dynamic Development Limited<br>(A company solely owned by R1) |  |\n| 2   | 2011-01-19 | 28,000,000.00  | Mortgage Account of the Vendor                                    |  |\n| 3   | 2011-01-19 | 37,400,000.00  | HKSAR Government<br>(Stamp Duty for the South Bay Property)       |  |\n| 4   | 2011-03-18 | 421,713,387.00 | Leading Shine Limited (R24)                                       |  |\n| 5   | 2011-03-30 | 118,500,000.00 | Mortgage Account of the Vendor                                    |  |\n|     | Total      | 688,613,387.00 |                                                                   |  |\n\n| S/N | Date       | Amount (USS)  | Beneficiary                         |  |\n|-----|------------|---------------|-------------------------------------|--|\n|     | 2011-01-26 | 7,589,470.29  | N/A                                 |  |\n|     | 2011-02-02 | 10.500.036.00 | Airbus (BNP Paribas U.S.A-New York) |  |\n\n| 2011-03-29 | 2.910.580.00  | Leading Shine Limited (R24)  |\n|------------|---------------|------------------------------|\n| Total      | 21,000,086.29 | (Approx. HK\\$ 162.750.668.7. |\n\n98. The fund flow analysis revealed the majority of withdrawals of about HK\\$ 628,170,382 (HK\\$ 605,613,387.00 + US\\$ 2,910,580.00) were used to settle the purchase of South Bay Property. The nature of outgoings reinforced that the Sail Victory account was used to settle a property purchase. Police investigation showed the money of Sail Victory was sourced from the RMB\\$ 3.2 billion fraud occurred in the Mainland.\n\ngg. The Police conducted enquiries into the depositors (over 70 entities) that paid funds into the Sail Victory account. While some depositors were out of reach or failed to recall details due to lapse of time, 8 depositors were entities controlled by a local major remittance exchange.\n\n100. The local major remittance exchange explained the procedure for remitting money between Mainland and Hong Kong. Whenever a customer asks for remitting money from the Mainland to Hong Kong, that customer will only need to deposit the amount into a designated Mainland account. Once the fund was received in the Mainland, they would transfer money from their accounts in Hong Kong to the beneficiary as provided. This is an offset mechanism commonly adopted to conduct exchange remittance business between Mainland and Hong Kong.\n\n(\n\n101. The said 8 depositors controlled by the local major exchange had made 64 deposits of HK\\$ 224,755,830 into the Sail Victory account after receiving RMB\\$ 188,700,000 in the Mainland at an average exchange rate of RMB\\$ 1 to HK\\$ 1.19. The local remittance exchange also provided the names of Mainland company accounts that handled the remittances, and it was identified that those were the Mainland company accounts having received crime proceeds of the RMB\\$ 3.2 billion fraud to make remittance. It revealed that R1 had conspired with YANG Ying (楊英) to launder this total sum of HK 224,755,830 known or believed to represent proceeds of indictable offence.\n\n#### (B) The Mortgage Loan Fraud in Hong Kong (\"hereunder as HK Mortgage\n\n### Fraud\") (vs R1 and R2)\n\n102. To settle the payment for the purchase of South Bay Property, R2 applied to CCBA for a HK\\$ 298 million mortgage loan. Considering R2 was a businessman in the Mainland and R24 was a shell company with no genuine business conducted in Hong Kong, CCBA imposed the following conditions when considering R24's application:\n\n- (a) R2 to provide an unlimited personal guarantee;\n- (b)R24 to provide an initial deposit to R24's Charge Over Account;\n- (c) The First Legal Charge of the South Bay Property;\n- (d) The HK\\$ 79 million (equals to RMB\\$ 70 million) Standby Letter of Credit issued by CCB-Beijing.\n\n103. To fulfill requirement (d), an application for a Standby Letter of Credit has to be made. R1 and R2 instructed YANG Ying (楊英) to arrange RMB\\$ 50 million from the crime proceeds of the Mainland Fraud and RMB\\$ 20 million from other sources to be deposited into CCB-Beijing, to support the issuance of a Standby Letter of Credit of HK\\$ 79 million (equals to RMB\\$ 70 million) to CCBA for guarantying R2's application of mortgage loan in Hong Kong.\n\n104. Upon fulfilling the above conditions, CCBA in Hong Kong approved the mortgage loan on 2011-03-30. R2, as sole director and shareholder, signed the facility letter on R24's behalf. On 2011-03-31, the loan of HK\\$ 298 million was drawn down and paid to the Vendor's account.\n\n105. CCBA in Hong Kong confirmed that had they known the deposits used for applying the Standby Letter of Credit originated from crime proceeds, CCBA in Hong Kong would not have approved the HK\\$ 298 million mortgage loan.\n\n### The settlement of consideration of the South Bay Property\n\n106. The Agreement for Sale and Purchase dated 2011-01-19 and the land search of the South Bay Property are exhibited as CSW-52 and CSW-53.\n\n107. Among other things, the consideration of HK\\$ 880 million were settled\n\nas follows: -\n\n1\n\n(\n\n- (a) An initial deposit in the sum of HK\\$ 60 million shall be paid to the Vendor's solicitors Baker & McKenzie upon signing of the Provisional Agreement, i.e. 2011-01-05;\n- (b) A further deposit in the sum of HK\\$ 28 million shall be paid to the Vendor within 14 days on or before 2011-01-19;\n- (c) The balance of the purchase price in the sum of HK\\$ 792 million shall be paid to the Vendor upon completion of sale and purchase of the Property.\n\n# Settlement of Initial Deposit of HK\\$ 60 million\n\n108. New Dynamic Development Limited is a solely owned company of R1 at the time being. Copies of company records are exhibited as CSW-54.\n\n109. The said company had an account at the Standard Chartered Bank with R1 as the sole signatory. On 2010-12-31 and 2011-01-05, R1 drew two cashier orders totaling HK\\$ 60 million for settling the initial payment of HK\\$ 60 million. Copies of bank mandate and records are exhibited as CSW-55 and CSW-56. It showed R1 had involved in the property transaction and had an interest over the South Bay Property. The monthly repayment of loan of about HK\\$ 62 million was also made from this account hetween March 2012 and October 2014.\n\n### Further deposit HK\\$ 28 million to the Vendor\n\n110. R2 was the sole shareholder of Sail Victory and the company had an account with Bank of China (Hong Kong) Limited. On 2011-01-19, the account issued a cashier order of HK\\$ 28 million and paid into Vendor's mortgage account. This is transaction No. 2 in paragraph 97.\n\n# HK\\$ 792 million balance of Purchase Price\n\nThe composition for settling balance of the purchase is outlined below: 111.\n\n| S/N | Transaction<br>date | Depositor                     | Fund Receiver                                          | Amount (HKS)  |\n|-----|---------------------|-------------------------------|--------------------------------------------------------|---------------|\n| 1   | 2011-03-31          | CCBA                          | Vendor's mortgage account                              | 298 million   |\n| 2   | 2011-03-30          | Stevenson,<br>Wong & Co.      | Vendor's mortgage account<br>and various reimbursement | 375.5 million |\n| 3   | 2011-03-30          | Sail Victory's<br>BOC account | Vendor's mortgage account                              | 118.5 million |\n|     | Total               |                               |                                                        | 792 million   |\n\n112. Police investigation confirmed that the HK\\$ 298 million mortgage loan was fraudulently obtained by R1 and R2. The said whole sum was therefore { crime proceeds. In relation to the HKS 224,755,830 arranged by YANG Ying (楊 英) on R1's instructions to Hong Kong (see paragraph 101) and HK\\$ 26,587,500 by HAN (韓子勁) at R1's directions (see paragraph 93) into the Sail Victory account, they were also crime proceeds from the Mainland Fraud. These two sums were ultimately used for settling the purchase price of the South Bay Property by direct payment to Vendor designated account or via the solicitors account. Copies of the transaction records are exhibited as CSW-57.\n\n113. In July 2015, CCBA terminated the client relationship with R24 in view of the adverse news against R1. On 2015-07-22, R24 settled the outstanding loan of HK\\$ 314,191,551.50. The source of repayment originated from a margin loan of HK\\$ 310 million drawn down from Haitong Securities International Company Limited (\"Haitong International\") on pledge of Haitong share held by AMTD. The money channeled via layers of accounts of AMTD, Ace Decade (R18) and eventually to R24. To recap, the share in AMTD was obtained as a result of conspiracy to defraud in the share placement committed by R1 and R3.\n\n114. The proceeds of R1 and R2 are HKS 549,343,330 (HK\\$ 298 million + HK\\$ 224,755,830 + HK\\$ 26,587,500), which were used to settle the consideration of the South Bay Property, amounts to about 62% of the purchase price of HK\\$ 880 million.\n\n115. R1 had paid an initial deposit of HK\\$ 60 million; made monthly loan\n\n79\n\nthe company records of World Century are exhibited as CSW-59. The false Chartered Flight Agreement is exhibited as CSW-60.\n\n120. CCBA requested further documentary proof showing remittance derived from the aircraft rental had been wired from the Mainland to Hong Kong.\n\n121. As Minzu Securities was not a company working in foreign investment, it was not eligible to purchase foreign exchange remittance. Thus, R1 & R2 used Beijing Mileson Investment Inc. (\"Mileson\") which was another company under the effective control of R2, to purchase foreign exchange remittance to proceed with the transaction.\n\n122. R1 instructed his employee to apply to the State Administration of Foreign Exchange (\"SAFE\") in name of Mileson to remit monies to HK by falsely representing that it related to genuine aircraft rental payments.\n\n123. However, the procedure of approval for remittance of such purpose (that was to settle aircraft rental payment) had unexpectedly taken a long vetting process and R1 could not wait. The employees, upon R1's instructions, then submitted four false contracts, purportedly claiming Mileson had purchased furniture from World Century, and applied to the Bank of Communications (Beijing) for such remittance. Four remittances totaling US\\$ 13.5 million were successfully remitted into a Hong Kong bank account of World Century between 2012-12-20 and 2013-10-22. Copies of false contracts entered between Mileson and World ( Century for furniture trading are exhibited as CSW-61.\n\n124. To provide documentary proof for CCBA showing that the remittances to HK was aircraft rental payments, R1 instructed his employee in Mainland to forge aircraft fee remittance receipts purportedly issued by the SAFE. The false receipts were then submitted to CCBA. A copy is exhibited as CSW-62.\n\n125. A chart detailing this aircraft loan fraud is exhibited as CSW-63. CCBA confirmed that it would not have approved the US\\$ 21 million loan to Well Origin if it knew that the aircraft rental business had never existed. In the nutshell, R1 and R2 obtained the Aircraft Loan of US\\$ 21 million from CCBA by fraud, namely by submitting false remittance receipts and false chartered flight agreement. The proceeds of the offence of R1 and R2 were US\\$21 million.\n\n#### SEARCH OF R1's OFFICE AT 49/F BANK OF CHINA TOWER IV.\n\n126. Police investigation showed that the documents of various companies under the effective control of R1 were stored at 49/F, Bank of China Tower. On 2017-08-03, the Police arrested R3 at the lift lobby of 1/F, Bank of China Tower. R3 then led the Police to her office at 49/F Bank of China Tower. Upon entry, the Police noted that the said office had a conference room into the middle and linked up two zones respectively on left hand and right hand side. Upon enquiries with the persons therein, the Police confirmed that William JIE and R3 separately occupied two zones for operating their own businesses.\n\n127. The Police then executed search warrants to search the whole floor. Among other items, some of the seizures relating to other respondents were found inside the zone occupied by R1 and R3, which are outlined in below table .-\n\n| Respondent | Description                                                    |  |  |\n|------------|----------------------------------------------------------------|--|--|\n| RI         | a<br>US individual income tax return of R1                     |  |  |\n|            | One set of letter from the Department of Treasury for R 1<br>A |  |  |\n|            | A Notarial Certificate of R1                                   |  |  |\n|            | Transaction history from personal Chase account of R1<br>A     |  |  |\n|            | One certificate of amendment of date of birth and name         |  |  |\n|            | Bank statements of American Express card of R1                 |  |  |\n| R2         | Bank statements of American Express credit card of R2          |  |  |\n| R4         | > One set of confirmation of account balances issued by        |  |  |\n|            | Haitong International to R4 dated 2017-01-04                   |  |  |\n|            | > Letter to Commerce Overseas Limited from R4 for change       |  |  |\n|            | of director                                                    |  |  |\n| R7         | 94 copies of remittance advices and bank documents of R7       |  |  |\n|            | (including 49 advices related to the Share Placement Fraud)    |  |  |\n| R8         | 17 copies of remittance advices and bank documents of R8       |  |  |\n|            | (including 7 advices related to the Share Placement Fraud)     |  |  |\n| Ro         | 10 copies of remittance advices and bank documents of R9       |  |  |\n|            | (including 7 advices related to the Share Placement Fraud)     |  |  |\n| R10        | [10 copies of remittance advices and bank documents of R100    |  |  |\n\n79\n\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n|-----|-------------------------------------------------------------|--|--|--|\n| R11 | 9 copies of remittance advices and bank documents of R11    |  |  |  |\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n| R12 | 10 copies of remittance advices and bank documents of R12   |  |  |  |\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n| R13 | 10 copies of remittance advices and bank documents of R13   |  |  |  |\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n| R14 | 10 copies of remittance advices and bank documents of R14   |  |  |  |\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n| R15 | 10 copies of remittance advices and bank documents of R15   |  |  |  |\n|     | (including 7 advices related to the Share Placement Fraud)  |  |  |  |\n| R16 | 46 copies of remittance advices and bank documents of R16   |  |  |  |\n| R17 | > 15 copies of remittance advice and bank documents of R17  |  |  |  |\n|     | (including 3 advices related to the Share Placement Fraud)  |  |  |  |\n|     | > A deed of settlement and indemnity among R17, R20,        |  |  |  |\n|     | Blackpine Advisors Limited and CHU Sheung-yu                |  |  |  |\n|     | Lawrence, a written resolution of R17 for appointing R3 as  |  |  |  |\n|     | agent and authoring signatory                               |  |  |  |\n| R18 | 28 copies of remittance advice and bank documents of R18    |  |  |  |\n|     | (including 8 advices related to the Share Placement Fraud)  |  |  |  |\n| R19 | 99 copies of remittance advice and bank documents of R19    |  |  |  |\n|     | (including 12 advices related to the Share Placement Fraud) |  |  |  |\n| R20 | > Aircraft sales and purchase agreement between Head Win    |  |  |  |\n|     | Group Limited and R20 signed by R1 and R3                   |  |  |  |\n|     | > 13 copies of bank documents / applications signed by R25  |  |  |  |\n|     | a<br>One application form signed by R26 for Well Origin     |  |  |  |\n| R21 | 3 copies of bank documents of USB-HK of R21                 |  |  |  |\n| R22 | List of Staff Welfare of R22<br>A                           |  |  |  |\n|     | One set of petty cash claim form of R22                     |  |  |  |\n| R23 | > One instrument of transfer signed by R25 and QUO Mei      |  |  |  |\n|     | Six sets of claims form issued by R23<br>A                  |  |  |  |\n|     | > Two sets of confirmation issued by an engineering         |  |  |  |\n|     | company to R23                                              |  |  |  |\n|     | > Bundles of unused cheque book of R23 signed by R25        |  |  |  |\n| R24 | > One set of order issued by the Building Authority against |  |  |  |\n\n|     | South Bay Property                                         |  |  |\n|-----|------------------------------------------------------------|--|--|\n|     | > One invoice issued by an engineering company to R24      |  |  |\n|     | > One contract and payment relating to South Bay Property  |  |  |\n|     | owned by R24                                               |  |  |\n| R25 | One staff contact list containing R25's name               |  |  |\n|     | > One copy of chat application signed by R25 for R20       |  |  |\n|     | > A copy of resolution for R3 to appoint R25 as agent and  |  |  |\n|     | authorized signatory of R20                                |  |  |\n| R26 | An aviation consultancy service contract signed by R26 for |  |  |\n|     | Well Origin                                                |  |  |\n| R27 | A resolution signed by R27 to appoint R3 as agent and      |  |  |\n|     | authorized for R17                                         |  |  |\n\n128. The recovery of personal financial documents of R1, R2 and bank and company documents of other respondents showed that the office at 49/F Bank of China Tower was used by R1 to operate businesses by other respondents. It also reinforced that other respondents were subject to the effective control of R1.\n\n#### V. PRESENT SITUATION OF THE RESPONDENTS\n\n(\n\n129. Since November 2014, there was adverse news against R1 showing that Mainland authority has initiated investigation against him. In January 2015, the Mainland government official who was bribed by R1 was arrested in the Mainland.\n\n130. R1 last entered Hong Kong on 2014-11-30 and he departed Hong Kong via airport for an unknown destination on 2015-01-01. R1 had not returned Hong Kong since then. A copy of R1's travel movement record is exhibited as CSW-64. Police investigation revealed that the last known address of R1 is at Unit 1801, the Sherry Netherland, 781, 5th Avenue, New York, US 10022.\n\n131. R2 last entered Hong Kong on 2015-01-09 and departed Hong Kong via airport for an unknown destination on 2015-01-10. R2 had not returned Hong Kong since then. A copy of R2's travel movement record is exhibited as CSW-65. Police investigation revealed that the last known address of R2 is at Unit 1801, the Sherry Netherland, 781, 5th Avenue, New York, US 10022.\n\n132. R3 was arrested by the Police for \"Money Laundering\" and \"Conspiracy to Defraud\" on 2017-08-03. On 2017-08-05, R3 was released on police bail. R3 failed to report to police bail, and had left Hong Kong for the Mainland on 2017-08-14. She has not returned since then. The enquiries with the Public Security Bureau are unable to establish the current exact whereabouts of R3. A copy of R3's travel movement record is exhibited as CSW-66.\n\n133. R25 departed Hong Kong on 2016-09-20 for an unknown destination at the Hong Kong Airport. He had not returned since then and his current exact whereabouts are unknown. A copy of R25's travel movement record is exhibited as CSW-67.\n\n134. R26 left Hong Kong for the Mainland on 2017-04-19 and had not returned since then. His current exact whereabouts in the Mainland are known, A copy of R26's travel movement record is exhibited as CSW-68.\n\n135. R27 left Hong Kong for the Mainland on 2014-12-18 and had not returned since then. Her current exact present whereabouts in the Mainland are known. A copy of R27's travel movement record is exhibited as CSW-69.\n\n#### VI. CRIMINAL PROCEEDINGS\n\n136. Jul Legal advice was sought against R1 to R3's criminality in the three cases. S (\n\n137. On 2018-09-05 and 2018-09-28, warrants of arrest were obtained against R1 to R3 for the following offences:\n\n- (1) Re Share Placement Fraud\n\t- (i) 1 count of \"Conspiracy to Defraud\" contrary to Common Law and punishable under section 159C(6) of the Crimes Ordinance, Cap 200 (against R1 and R3);\n\t- (ii) 4 counts of \"Dealing with Property known or believed to represent proceeds of an indictable offence\" contrary to section 25(1) and (3) of Organized and Serious Crimes Ordinance\n\n(OSCO), Cap 455 (against R3);\n\n- (2) Re Mortgage Fraud Case\n\t- (i) 1 count of \"Fraud\", contrary to section 16A of the Theft Ordinance, Cap 210 (against R1 & R2);\n\t- (ii) 1 count of \"Conspiracy to deal with property known or believed to represent proceeds of indictable offence\" contrary to section 25(1) and (3) of the Organized and Serious Crimes Ordinance and sections 159A and 159C of the Crimes Ordinance, Cap 200 (against R1);\n\t- (iii) 1 count of \"Dealing with property known or believed to represent proceeds of indictable offence\", contrary to section 25(1) and (3) of Organized and Serious Crimes Ordinance (OSCO), Cap 455 (against R1);\n- (3) Re Aircraft Loan Fraud\n\n1\n\n(\n\n(i) 1 count of \"Fraud\", contrary to section 16A of the Theft Ordinance, Cap 210 (against R1 & R2).\n\n#### VII. RESTRAINT ORDER PROCEEDINGS AGAINST R1-2\n\n138. The conditions for granting a restraint order under section 15(1) of OSCO are laid out in section 14 of OSCO, namely:\n\n- (i) proceedings have been instituted in Hong Kong against the defendants for a specified offence;\n- (ii) the proceedings have not been concluded; and\n- (iii) there is reasonable cause to believe that the defendant has benefited from the specified offence and the benefit exceeds HK\\$100,000.\n\n(A) Institution of the proceedings:\n\n139. Section 2(15) of OSCO defines \"proceedings for an offence are instituted\" as follows: -\n\n- (a) when a magistrate issues a warrant or summons under section 72 of the Magistrates Ordinance (Cap. 227) in respect of the offence;\n- (aa) when a person has been arrested for the offence and released on bail or has refused bail;\n- (b) when a person is charged with the offence after being taken into custody without a warrant; or\n- (c) when an indictment is preferred by the direction or with the consent of a judge under section 24A(1)(b) of the Criminal Procedure Ordinance (Cap. 221)\n\n140. Proceedings have been instituted against R1-R2 upon the issuance of warrants of arrest against them for the above mentioned offences, which are all specified offences as defined in the OSCO, and the proceedings have not been concluded. Copies of arrest warrants issued against RI-R3 are exhibited as CSW-70.\n\n- (B) Reasonable cause to believe that R1 to R2 have benefited from the specified offences:\n- 141. According to section 2(8) of the OSCO,\n\nFor the purposes of this Ordinance, a person who has at any time (whether before or after the commencement of this Ordinance) received any payment or other reward in connection with the commission of an offence or an organized crime has benefited from that offence or organized crime, as the case may be.\n\n142. Section 2(6) of the OSCO provides that a person's proceeds of a specified offence are:\n\n- (a) a person's proceeds of an offence are -\n\t- (i) any payments or other rewards received by him at any time (whether before or after 2nd December 1994) in connection with the commission of that offence;\n- (ii) any property derived or realised, directly or indirectly, by him from any of the payments or other rewards; and\n- (iii) any pecuniary advantage obtained in connection with the commission of that offence.\n- (b) the value of the person's proceeds of that offence is the aggregate of the values of\n\t- the payments or other rewards; (i)\n\t- that property; and (ii)\n\t- (iii) that pecuniary advantage.\n\n143. In these case, the evidence against R1-R2 is summarized as follows:\n\n#### Re: Share Placement Fraud - Haitong\n\n144. R1 and R3 together with other persons were clearly involved of \"Conspiracy to Defraud\" relating to Share Placement Fraud as they had deceived the HKEX for granting the approval for listing of, and permission to deal in the new H shares of Haitong. The evidence against R1 is as follows: -\n\n- (a) The four placees Dawn State, AMTD, BSA Fund and Insight Fund were all effectively controlled by R1. R3 actively moved funds from accounts of companies controlled by R1 pursuant to R1's instructions to fund the four placees, namely, R5, R6, Dawn State Limited and AMTD, for the subject share placement;\n- (b) The arrangement was made to conceal R1 being the actual controller of the subscribed shares, in order to evade CSRC's legal requirement on reporting and seeking approval for subscribing more than 5% of the total issued shares;\n- CSRC confirmed that the said arrangement and channels of funds (c) by R1 and other persons would have violated the 5% rule, and would not have issued the regulatory opinion, and approved the share placement;\n- (d) The substantial shareholders, who had voted for the share placement, confirmed that they would have overturned their decision should they learnt about that the 4 placees were all controlled and funded by one person;\n- (e) Without CSRC's approval (or if the CSRC approval was obtained by deceptive means) and the shareholders' consent, HKEX would not have approved the share placement.\n\n# Re: The Mortgage Fraud -- The South Bay Property\n\n145. R1 and R2 jointly committed the fraud on the CCBA in Hong Kong for the grant of a mortgage loan of HK\\$ 298 million to fund the purchase of the South Bay Road Property. The evidence against R1 and R2 is as follows:\n\n- (a) RMB\\$ 3.2 billion is proved in the Mainland judgment and by Mainland witnesses to be crime proceeds obtained by defrauding the Agricultural Bank of China Limited;\n- (b) The conspirator YANG Ying (楊英) of the Mainland fraud channeled RMB\\$ 50 million out of the RMB\\$ 3.2 billion to CCB(Beijing) for applying a Standby Letter of Credit under instructions from R1 and R2:\n- (c) The Standby Letter of Credit led to the grant of mortgage loan of HKS 298 million in Hong Kong in favour of R24 of which R2 was the sole shareholder;\n- (d) CCBA in Hong Kong would not have approved the said HKS 298 million mortgage loan to R24 had the bank known that the Standby Letter of Credit was supported by crime proceeds.\n\n146. R1 committed \"conspiracy to money laundering\" as he, conspired with Yang Ying to the use of the bank account of Sail Victory, to receive a total of HKS 224,755,830, known or believed to represent proceeds of an indictable offence, which were remitted from the Mainland to Hong Via remittance agencies upon the instructions of R1. R1 further committed another charge of \"Money Laundering\" by receiving, via the bank account of Sail Victory, a sum of RMB\\$ 20 million (equivalent to HK\\$ 26,587,500) known or believed to represent proceeds of an indictable offence, which were channeled from the Mainland to Hong Kong via HAN (韓子勁) and upon R1's instructions. The evidence against R1 is as follows: -\n\n- (a) R1 was the instigator of the Mainland Fraud of RMB\\$ 3.2 billion million;\n- (b) The banking transactions of account of Sail Victory unveiled the identity of depositors. Eight depositors were operated by a major remittance exchange, which confirmed 64 transactions totaling HK\\$ 244,755,830 were the receiving ends of Mainland remittance exchanges in which YANG Ying (楊英) had made deposits for dissipating fraud based proceeds into Hong Kong. All along, YANG Ying (楊英) took R1's instructions on those transactions;\n- For another transaction of RMB\\$ 20 million (equivalent to HK\\$ (c) 26,587,500), R1 instructed HAN (韓子勁) to arrange the transfer of RMB\\$ 20 million proceeds of Mainland Fraud into the bank account of Sail Victory.\n- (d) R1 and R2 are father and son. Sail Victory is a shell company with no genuine business. Though R2 is the sole shareholder of Sail Victory, it could be inferred that R1 is the ultimate beneficial owner of Sail Victory.\n\n# Re: The Aircraft Loan\n\n147. R1 and R2 had obtained a loan of US\\$21 million from CCBA by fraud. The evidence against R1 and R2 is as follows:\n\n> (a) R2 is the sole director and shareholder of Well Origin, which is the sole shareholder of World Century at the material period. Moreover, R2 is the director of World Century. Therefore, R2\n\nassumed the full control of these two companies;\n\n- (b) In 2012, Well Origin obtained a loan facility of US\\$ 21 million from CCBA as it presented a false and non-existing flight leasing contract to it, purportedly showing World Century had received recurring aircraft rental;\n- (c) The syndicate members (at R1's instructions) submitted a forged copy of the remittance receipt purportedly issued by SAFE to CCBA in Hong Kong. It led CCBA to believe that there were recurring rental payments and therefore granted the loan;\n- (d) CCBA confirmed that the bank would not have granted the US\\$ 21 million loan to Well Origin had it known that the Chartered Flight Agreement or the receipt from SAFE was false;\n- (e) The conspirators, LU Tao (名濤) and JIE Honglin (解洪淋), who made the Chartered Flight Agreement admitted their wrongdoings and stated that they worked under the instructions of R1.\n\n148. In view of the above, R1 to R2 have respectively benefited from the specified offences as listed in the warrants of arrests.\n\n149. The amount of R1's proceeds of the Share Placement Fraud was HKS ( 9,585,606,603.4, being the price difference between the prevailing market price when the shares were listed and the discounted price offered to the places (i.e. HKS 17.18). Details of the calculation are as below:\n\n| Name of Placee | No. of       | Placement  | Closing market  | Benefit (HKS)       |\n|----------------|--------------|------------|-----------------|---------------------|\n|                | New H Shares | completion | price per share | (calculated by the  |\n|                | subscripted  | date       | of the          | benefit per share x |\n|                |              |            | immediately     | share subscripted)  |\n|                |              |            | preceding       |                     |\n|                |              |            | business date   |                     |\n|                |              |            | (benefit per    |                     |\n|                |              |            | share)          |                     |\n\n| Dawn State       | 569,427,620   | 2015-05-15 | HKS 23.15   | 3,399,482,891.4 |\n|------------------|---------------|------------|-------------|-----------------|\n| Limited          |               |            | (HK\\$ 5.97) |                 |\n| Maunakai Capital | 496.478.800   | 2015-05-29 | HKS 24 30   | 3,534,929,056   |\n| Partners (Hong   |               |            | (HKS 7.12)  |                 |\n| Kong) Limited    |               |            |             |                 |\n| Insight Capital  | 223,415,200   | 2015-05-29 | HKS 24.30   | 1.590,716,224   |\n| Management       |               |            | (HK\\$ 7.12) |                 |\n| (Hong Kong)      |               |            |             |                 |\n| Limited          |               |            |             |                 |\n| Amtd Special     | 148,943,600   | 2015-05-29 | HK8 24.30   | 1,060,478,432   |\n| Holdings Limited |               |            | (HKS 7.12)  |                 |\n| Total            | 1,438,265,220 | 1          | 1           | 9,585,606,603.4 |\n\n150. For Mortgage Fraud case, the benefit jointly obtained by R1 and R2 was HK\\$ 298 million obtained from the HK Mortgage Fraud, and HK\\$ 224,755,830 plus HK\\$ 26,587,500 channeled into Hong Kong sourced from the Mainland Fraud. The subtotal of benefits obtained for R1 was HK\\$ 400.343,330 [HKS 298 million/2 + HK\\$ 224,755,830 + HK\\$ 26,587,500] whilst the benefits for R2 was HK\\$ 149,000,000 [HK\\$ 298 million/2].\n\n(\n\nﺭ\n\n151. Police investigation revealed HK\\$ 549,343,330 [HK\\$ 298 million + HK\\$ 224,755,830 + HK\\$ 26,587,500] out of the HK\\$ 880 million sourced from crime proceeds had been used for settling the purchase price of the South Bay Property, about 62% of the purchase price of HK\\$ 880 million. The value of the South Bay Property has appreciated to HK\\$2.224 billion (as at 2018-07-31).\n\n152. For the Aircraft Loan Fraud, the proceeds of R1 and R2 were US\\$ 21 million (~HK\\$ 162.75 million) received.\n\n153. The benefits obtained by R1 and R2 from the three cases are tabled at below. R1 benefited from HK\\$10,067,324,933.40 whilst R2 benefited from HK\\$230,375,000.\n\n| Offences                                            | RI                    | R2               |\n|-----------------------------------------------------|-----------------------|------------------|\n| Share Placement Fraud                               | HK\\$ 9,585,606,603.40 |                  |\n| South Bay Road Property<br>mortgage loan fraud Case | HK\\$ 400,343,330      | HK\\$ 149,000,000 |\n| The Aircraft loan                                   | HK\\$ 81,375,000       | HK\\$ 81,375,000  |\n| Total                                               | HK\\$10,067,324,933.40 | HK\\$230,375,000  |\n\n# VIII. REALISABLE PROPERTY OF RESPONDENT\n\n154. Property that may be restrained under a restraint order made under section 15(1) of OSCO is laid out in section 15(2) which states, inter alia, that a restraint order may apply to all realisable property held by a specified person.\n\n155. Realisable property is defined under section 12(1) of OSCO and includes, inter alia: -\n\n- (a) any property held by the defendant;\n- (b) any property held by a person to whom the defendant has directly or indirectly made a gift;\n- (c) any property that is subject to the effective control of the defendant.\n\n# (A) R1's realisable Properties\n\n(a) Chose in action represented by credit balances held in the following bank accounts held by R1\n\n| S/N    | Name of Institution | Account Number | Balance          |\n|--------|---------------------|----------------|------------------|\n| 1      | The Hongkong and    |                | HK\\$ 651,977.46  |\n|        |                     |                | HK\\$ 647,424.32  |\n|        | Shanghai Banking    |                | US\\$ 304,442.45  |\n|        | Corporation Limited |                | JPY 497          |\n| Total: |                     |                | HKS 3,658,865.56 |\n\n(b) Chose in action represented by credit balances held in the following bank\n\naccount held by R3 but subject to the effective control of R1\n\n| SIN | Name of Institution | Account Number | Balance          |\n|-----|---------------------|----------------|------------------|\n| 2   | DBS Bank            |                |                  |\n|     | (Hong Kong) Limited |                | HKS 4.338.167.19 |\n\n## Remarks:\n\nﮩ\n\nﯽ\n\n156. R3 reported to be a manageress of R22 earning approximate RMB\\$ 20,000 monthly income. The monies in R3's personal account are funded by a one-off HK\\$ 8 million deposit from R20, which was incommensurate with R3's financial background.\n\n(c) Cash in the following amounts seized from the below premises which was subject to the effective control of R1\n\n| S/N | Entity                                                                                           | Amount                                                        | Total Amount      |  |\n|-----|--------------------------------------------------------------------------------------------------|---------------------------------------------------------------|-------------------|--|\n| 3   | Cash<br>(Seized inside 49/F, Bank of China<br>Tower from the search operation in<br>August 2017) | HK\\$ 1,244,730<br>GBP 70,000<br>US\\$ 100,000<br>EUR 57,877.60 | HK\\$ 3,522,940.36 |  |\n|     |                                                                                                  | JPY 3,119,300<br>AED 11,000                                   |                   |  |\n|     |                                                                                                  | CHF 710.35                                                    |                   |  |\n\nRemarks:\n\n157. During the search of the office at 49/F Bank of China Tower in August 2017, R3 possessed the keys to open two safes containing cash of different currencies. Given R3's financial background and her position as being R1's financial manageress in Hong Kong, it is submitted that the approximate HK\\$ 3.5 million cash in the company's safes is R1's petty cash and under the effective control of R1.\n\n(d) Chose in action represented by credit balances held in the following account held by R4 but subject to the effective control of R14\n\n<sup>4</sup> Paras. 75 to 77 refer. At present, the director and shareholder of R4 was respectively R3 and AA Global Ventures Limited (previously as AMTD).\n\n|   | S/N   Name of Institution                   | Account Number | Balance            |\n|---|---------------------------------------------|----------------|--------------------|\n| 4 | Haitong International<br>Securities Company |                | HK\\$ 40,691,385.46 |\n|   | Limited                                     |                |                    |\n\n(e) Securities held in the following account held by R4 but subject to the effective control of R1\n\n| S/N                               | Name of Institution   Account Number |  | Shares Balance             |\n|-----------------------------------|--------------------------------------|--|----------------------------|\n|                                   | Haitong International                |  | 9,600,000 shares           |\n| 5                                 | Securities Company                   |  | Haitong Securities Company |\n|                                   | Limited                              |  | Limited (\"Haitong\")        |\n| Total: 9,600,000 shares (Haitong) |                                      |  | HK\\$ 70,272,000.00         |\n\n(As of closing price on 2018-09-24, Haitong (6837): HK\\$7.32 listed in Hong Kong, Founder Securities listed in Shanghai (601901): RMB\\$ 5.54/ HK\\$ 6.371)\n\n(f) Chose in action represented by credit balances held in the following accounts held by R5 but subject to the effective control of R15\n\n| S/N | Name of Institution                     | Account Number | Balance             |\n|-----|-----------------------------------------|----------------|---------------------|\n| 6   | DBS Bank Limited                        |                | US\\$ 53,418.00      |\n| 7   |                                         |                | RMB\\$ 2,438,148.00  |\n| 8   | Hong Kong Branch                        |                | HK\\$ 51,708,360.00  |\n| 9   | Haitong International                   |                | HK\\$ 4,885,665.63   |\n| 10  | Securities Company<br>Limited           |                | HK\\$ 8,053,387.33   |\n| 11  | Oceanwide Securities<br>Company Limited |                |                     |\n|     | (previously known as                    |                | RMB\\$ 18,649,277.26 |\n|     | Quam Securities<br>Company Limited)     |                |                     |\n| 12  | BOCOM International                     |                | HK\\$ 17,411,817.04  |\n|     | Securities Limited                      |                | RMB\\$ 51,937.81     |\n\n5 Paras. 53 to 55 refer. The 11 investors of R5 opened the accounts for R1.\n\n79\n\n| HK\\$ 307.617.19    |\n|--------------------|\n| HKS 107.091,104.22 |\n\n| S/N | Name of Institution                                                                                    | Account Number       | Shares Balance     |\n|-----|--------------------------------------------------------------------------------------------------------|----------------------|--------------------|\n| 14  | DBS Bank Limited                                                                                       |                      | 101,844,000 shares |\n|     | Hong Kong Branch                                                                                       |                      | (Haitong)          |\n|     | Haitong International<br>Securities Company<br>Limited                                                 |                      | 19,463,200 shares  |\n| 15  |                                                                                                        |                      | (Haitong)          |\n| 16  |                                                                                                        |                      | 31,835,600 shares  |\n|     |                                                                                                        |                      | (Haitong)          |\n|     | Oceanwide Securities<br>Company Limited<br>(previously known as<br>Quam Securities<br>Company Limited) |                      | 49,000,000 shares  |\n|     |                                                                                                        |                      | (Haitong)          |\n| 17  |                                                                                                        | (outstanding margin  |                    |\n|     |                                                                                                        | loan of HK S         | 6,204,909 shares   |\n|     |                                                                                                        | 59,062,279)          | Founder Securities |\n|     |                                                                                                        |                      | (Founder)          |\n|     | BOCOM International<br>Securities Limited                                                              |                      | 68,868,800 shares  |\n|     |                                                                                                        |                      | (Haitong)          |\n| 18  |                                                                                                        |                      |                    |\n|     |                                                                                                        |                      | 5,799,834 shares   |\n|     |                                                                                                        |                      | (Founder)          |\n|     | Total: 271,011,600 shares (Haitong)                                                                    |                      |                    |\n|     | 12,004,743 shares (Founder)                                                                            | HKS 2,001,224,850.65 |                    |\n\n|    | S/N   Name of Institution | Account Number | Balance         |\n|----|---------------------------|----------------|-----------------|\n|    | 19   Bank of China (Hong  |                | HK\\$ 25,405,113 |\n| 20 | Kong) Limited             |                | US\\$ 103        |\n| 21 |                           |                | HKS 2,885.05    |\n\n| 22 |                                                                         |                    | RMB\\$ 153,296 |\n|----|-------------------------------------------------------------------------|--------------------|---------------|\n| 23 | China Galaxy<br>International Securities<br>(Hong Kong) Co.,<br>Limited |                    | RMB\\$ 14.64   |\n|    | Total:                                                                  | HK\\$ 25,585,103.54 |               |\n\n(i) Securities held in the following accounts held by R6 but subject to the effective control of R1\n\n| S/N                                                                | Name of Institution                               | Account Number                               | Shares Balance                                                   |\n|--------------------------------------------------------------------|---------------------------------------------------|----------------------------------------------|------------------------------------------------------------------|\n| 24                                                                 | Bank of China (Hong<br>Kong) Limited              |                                              | 30,065,200 shares<br>(Haitong)<br>17,032,900 shares<br>(Founder) |\n| 25                                                                 | GF Securities (Hong<br>Kong) Brokerage<br>Limited | (Outstanding Margin:<br>HK\\$ 481,649,515.51) | 146,000,000 shares<br>(Haitong)                                  |\n| 26                                                                 | China Merchants<br>Securities (HK) Co.,<br>Ltd    | (Outstanding Margin:<br>HK\\$ 172,505,482)    | 54,000,000 shares<br>(Haitong)                                   |\n| Total: 230,065,200 shares (Haitong)<br>17,032,900 shares (Founder) |                                                   |                                              | HK\\$ 1,138,438,872.68                                            |\n\n(j) Chose in action represented by credit balances held in the following accounts held by R7 but subject to the effective control of R17\n\n| S/N | Name of Institution        | Account Number | Balance        |\n|-----|----------------------------|----------------|----------------|\n|     |                            |                | US\\$ 128.93    |\n| 27  |                            |                | RMB\\$ 796.81   |\n|     | China Construction Bank    |                | HK\\$ 50,018.37 |\n| 28  | (Asia) Corporation Limited |                | HK\\$ 1,000.00  |\n| 29  |                            |                | US\\$ 128.93    |\n| 30  |                            |                | RMB\\$ 796.88   |\n\n7 Para. 49 refers. The company director and shareholder was R26. The account signatory was R3.\n\n79\n\n| Total: |                                                         |  | HK\\$ 1,708,644.53                                                      |\n|--------|---------------------------------------------------------|--|------------------------------------------------------------------------|\n| 31     | China Minsheng Banking<br>Corp, Ltd Hong Kong<br>Branch |  | HK\\$ 684,175.12<br>HKS 534,854.62<br>US\\$ 51,924.30<br>RMB\\$ 28,132.12 |\n|        |                                                         |  |                                                                        |\n\n(k) Chose in action represented by credit balances held in the following account held by R8 but subject to the effective control of R18\n\n| SIN | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 32  | Corp, Ltd Hong Kong    |                | HK\\$ 33,449.01 |\n|     | Branch                 |                |                |\n\nC.\n\nﮯ\n\n(1) Chose in action represented by credit balances held in the following account held by R9 but subject to the effective control of R1\n\n| SIN | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 33  | Corp, Ltd Hong Kong    |                | HK\\$ 33,929.24 |\n|     | Branch                 |                |                |\n\n(m) Chose in action represented by credit balances held in the following account held by R10 but subject to the effective control of R1\n\n| SIN | Name of Institution    | Account Number | Balance       |\n|-----|------------------------|----------------|---------------|\n|     | China Minsheng Banking |                |               |\n| 34  | Corp, Ltd Hong Kong    |                | HKS 32.517.16 |\n|     | Branch                 |                |               |\n\n(n) Chose in action represented by credit balances held in the following account held by R11 but subject to the effective control of R1\n\n| S/N ! | Name of Institution | Account Number | Balance |\n|-------|---------------------|----------------|---------|\n|       |                     |                |         |\n\n<sup>8</sup> Para. 53-55, 60-61 refer. For R8-R15, the company directors and shareholders of R1's employees and R3 was the authorized signatory signing the instruction slips to move funds for the share placement.\n\n|    | China Minsheng Banking |                |\n|----|------------------------|----------------|\n| 35 | Corp, Ltd Hong Kong    | HK\\$ 32,517.16 |\n|    | Branch                 |                |\n\n(o) Chose in action represented by credit balances held in the following account held by R12 but subject to the effective control of R1\n\n| S/N | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 36  | Corp, Ltd Hong Kong    |                | HK\\$ 32,517.16 |\n|     | Branch Kong Branch     |                |                |\n\n(p) Chose in action represented by credit balances held in the following account held by R13 but subject to the effective control of R1\n\n| S/N | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 37  | Corp, Ltd Hong Kong    |                | HK\\$ 32,517.16 |\n|     | Branch                 |                |                |\n\n(q) Chose in action represented by credit balances held in the following account held by R14 but subject to the effective control of R1\n\n| S/N | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 38  | Corp, Ltd Hong Kong    |                | HK\\$ 32,517.16 |\n|     | Branch                 |                |                |\n\n(r) Chose in action represented by credit balances held in the following account held by R15 but subject to the effective control of R1\n\n| S/N | Name of Institution    | Account Number | Balance        |\n|-----|------------------------|----------------|----------------|\n|     | China Minsheng Banking |                |                |\n| 39  | Corp, Ltd Hong Kong    |                | HK\\$ 32,517.16 |\n|     | Branch                 |                |                |\n\n(s) Chose in action represented by credit balances held in the following accounts held by R16 but subject to the effective control of R19\n\n| S/N | Name of Institution                                     | Account Number  | Balance          |\n|-----|---------------------------------------------------------|-----------------|------------------|\n| 40  | China Minsheng Banking<br>Corp, Ltd Hong Kong<br>Branch |                 | HK\\$ 381.25      |\n|     |                                                         |                 | RMB\\$ 502,615.69 |\n|     |                                                         |                 | US\\$ 0.74        |\n|     |                                                         |                 | EUR 0.52         |\n|     | Total:                                                  | HK\\$ 578,399.78 |                  |\n\n# Remarks:\n\n(\n\n· 158. A copy of the mandate of R16 at CMBC is exhibited as CSW-71. A fund flow chart showing fund movement of R7, R16, R17, R18, R19, R21 is exhibited as CSW-72. From the transactions, it showed that R7, R16, R17, R18, R19, R21 are interrelated and the entire source of fund entering R16, R18 and R21 came from R7 and R17, which are subject to effective control of R1.\n\n(t) Chose in action represented by credit balances held in the following accounts held by R17 but subject to the effective control of R110\n\n| SIN    | Name of Institution        | Account Number | Balance        |\n|--------|----------------------------|----------------|----------------|\n|        |                            |                | US\\$ 128.93    |\n| 41     |                            |                | RMB\\$ 797.00   |\n|        | China Construction Bank    |                | HK\\$ 50,018.35 |\n| 42     | (Asia) Corporation Limited |                | HK\\$ 1,000.00  |\n| 43     |                            |                | US\\$ 128.93    |\n| 44     |                            |                | RMB\\$ 796.94   |\n|        | China Minsheng Banking     |                |                |\n| ਕਰ     | Corp, Ltd Hong Kong        |                | US\\$ 79.916.27 |\n|        | Branch                     |                |                |\n| Total: |                            |                | HKS 674,200.89 |\n\n(u) Chose in action represented by credit balances held in the following accounts\n\n<sup>9</sup> Para. 26 refers. The director and shareholder was previously R25. The account signatory was R3 and R25.\n\n<sup>10</sup> Para. 49 refers. The company director and shareholder was R27. The account signatory was R3.\n\n|  |  | held by R18 but subject to the effective control of R111 |  |\n|--|--|----------------------------------------------------------|--|\n|--|--|----------------------------------------------------------|--|\n\n| S/N | Name of Institution                                     | Account Number | Balance                         |\n|-----|---------------------------------------------------------|----------------|---------------------------------|\n| 46  | China Minsheng Banking<br>Corp, Ltd Hong Kong<br>Branch |                | HK\\$ 1,684.88<br>US\\$ 93,033.83 |\n|     | fotal:                                                  |                | HK\\$ 722,697.06                 |\n\n(v) Chose in action represented by credit balances held in the following accounts held by R19 but subject to the effective control of R112\n\n| S/N | Name of Institution    | Account Number | Balance           |\n|-----|------------------------|----------------|-------------------|\n|     | China Minsheng Banking |                | HKS 145.37        |\n| 47  | Corp, Ltd Hong Kong    |                | US\\$ 20,760.73    |\n|     | Branch                 |                | RMB\\$ 30,709.64   |\n| 48  | DBS Bank (Hong Kong)   |                | HK\\$ 5,045        |\n| 49  | Limited                |                | US\\$ 448,662.78   |\n|     | Total:                 |                | HK\\$ 3,678,538.66 |\n\n(w) Chose in action represented by credit balances held in the following accounts held by R20 but subject to the effective control of R1\n\n| S/NI | Name of Institution             | Account Number | Balance                                   |\n|------|---------------------------------|----------------|-------------------------------------------|\n| 50   |                                 |                | HK\\$ 15,500,000.00                        |\n| 51   | DBS Bank<br>(Hong Kong) Limited |                | HK\\$ 829,698,403.54<br>US\\$ 93,025,947.02 |\n| 52   |                                 |                | RMB\\$ 3,007,078.10                        |\n|      | Total:                          |                | HKS 1,569,607,632.76                      |\n\n# Remarks:\n\n159. Since incorporation, R20's director and shareholder was R1's employees, and the account signatory was R3 and R25 since account opening. On\n\n<sup>11</sup> Paras. 46 to 48, 50 refer. The company director and sharebolder was R1's employee, and the account signatory was R3 during the share placement.\n\nwas R3 during the share placement.\n12 Para. 51 refers. The company director and shareholder was changed to R1's daughter on 2017-06-27, and the account signatory is R3 and R1's body guard R25. The account's source of fund came from R7 and R17.\n\n2017-06-27, R25 sold the only one issued share to R1's daughter GUO Mei (郭美) at HK\\$1, which was a substantially undervalued price for no apparent reason. Details of the change of director and shareholder are tabled at below: -\n\n| Date       | Director               | Shareholder         |\n|------------|------------------------|---------------------|\n| 2015-05-15 | SU An (蘇曼)             | A secretary company |\n| 2015-10-07 | R3                     | R3                  |\n| 2016-05-05 | R3                     | R25                 |\n| 2016-11-25 | R3<br>REN Meizi (任美子)  | R25                 |\n| 2017-03-03 | R25<br>REN Meizi (任美子) | R25                 |\n| 2017-06-27 | GUO Mei (郭美)           | GUO Mei (郭美)        |\n\n160. On 2017-07-03, R4 sold 150 million shares of Haitong, which was obtained during share placement, at HK\\$1.945 billion. R25 then gave an instruction to transfer HK\\$1.2 billion from R4 to the DBS account of R20. As R25 was R1's employee while R4 was also subject to an effective control of R1, it is submitted that R25 acted on R1's instruction to transfer funds to R20 is therefore subject to an effective control of R1.\n\n(x) Chose in action represented by the 1/2 share of credit balances held in the following account held by R21 but subject to the effective control of R1\n\n| S/N | Name of Institution        | Account Number | Balance            |\n|-----|----------------------------|----------------|--------------------|\n| 53  | UBS AG<br>Hong Kong Branch |                | US\\$ 15,393,793.48 |\n|     | Total:                     |                | HKS 119,301,899.47 |\n\nRemarks:\n\n161. R1 and R2 each hold one issued share of R21 and they were both authorized signatory. It is submitted that they will each hold one-half of R21 including the above bank balance. The half share is HIK\\$ 59,650,949.74.\n\n(y) Chose in action represented by credit balances held in the following account\n\nheld by R23 but subject to the effective control of R113\n\n| SIN | Name of Institution                                                               | Account Number | Balance           |\n|-----|-----------------------------------------------------------------------------------|----------------|-------------------|\n| રેવ | China Construction Bank   (Maintained in general<br>(Asia) Corporation<br>Limited | ledger account | HK\\$ 8,672,215.81 |\n\n# Remarks:\n\n162. The account opening mandate of R23 is exhibited as CSW-73.\n\n(z) Real property held by R24 but subject to the effective control of R1:\n\n| LOT No             | : Rural Building Lot No. 1143              |  |\n|--------------------|--------------------------------------------|--|\n| Share of the LOT : |                                            |  |\n| Address            | : Nos. 20 and 22 South Bay Road, Hong Kong |  |\n| Registered owner : | R24                                        |  |\n| Purchase price     | HK\\$880,000,000 (as at 2011-03-31)         |  |\n| Estimated value    | : HK\\$2,224,000,000 (as at 2018-07-31)     |  |\n\n# Remarks:\n\n163. Though this property is owned by R24 (R2 as sole director and shareholder), R1 paid the initial payment of HKS 60 million and made monthly installments totaling HK\\$ 62 million, and settled the outstanding mortgage loan using new H shares obtained from the share placement.\n\n164. R1 also arranged to settle the consideration by using crime proceeds from the Mainland Fraud and Hong Kong Mortgage Fraud totaling HKS 549,343,330, which amounted to 62% of the purchase price. It is submitted that this property shall be wholly treated as R1's realisable property. Given the appreciation in market value, it is further submitted that 62% of the prevailing market value of the South Bay Property represented crime proceeds.\n\n<sup>13</sup> R25 had been the director and sole signatory of R23 since account opening. Bundles of unused but sigued cheque books of R23 were seized from the office at 49/F, Bank of China Tower. R23 was actually a stooge account under the effective control of R1.\n\n(aa) Chose in action represented by credit balances held in the following bank account held by R25 but subject to the effective control of R1\n\n|      | Name of Institution                       | Account Number | Balance         |\n|------|-------------------------------------------|----------------|-----------------|\n| રેરે | China Citic Bank International<br>Limited |                | HK\\$ 212,316.94 |\n\n## Remarks:\n\n-----\n\n165. According to information provided by R25 to China Citic Bank International Limited (\"Citic\") during account opening on 2015-12-10, R25 reported to be a manger working at Minzu Securities (a Mainland company previously controlled by R1). Copies of the records are exhibited at CSW-74.\n\n166. Between June 2016 and July 2017, R25's personal account at Citic received total deposits of HK\\$435,710. This account respectively received totaling HK.\\$382,000 from R23 (including a single deposit of HK\\$150,000 on 2016-08-15) and HK\\$42,000 from R3 on 2017-02-02. The residual value presently standing in the account was also sourced from transfer deposits from R23 and R3. A copy of the transaction records is exhibited as CSW-75. As R3 and R23 were subject to R1's effective control and R23 was also a shell company to facilitate fund movements, it is submitted that the residual balance in R25's personal account is the realisable asset of R1.\n\n167. R23 and R25 had no records with the Inland Revenue Department and R25 only stayed in Hong Kong for 31 days in 2016. A copy of R25's TIC movement records is exhibited at CSW-67.\n\n(ab) Chose in action represented by credit balances held in the following bank accounts held by R26 but subject to the effective control of R14\n\n| IS/N | Name of Institution | Account Number | Balance |\n|------|---------------------|----------------|---------|\n|      |                     |                |         |\n\n<sup>14</sup> Police investigation revealed R26 and R27 were only stooges for opening bank accounts at the request of R1 out of family relationship.\n\n| Total: |                                |  | HK\\$ 59,701.49 |\n|--------|--------------------------------|--|----------------|\n| ਦੇ ਰੇ  |                                |  | HK\\$ 850.00    |\n| રેજે   |                                |  | US\\$ 128.93    |\n| 57     | Corporation Limited            |  | RMBS 796.94    |\n|        | China Construction Bank (Asia) |  | US\\$ 128.93    |\n| 56     |                                |  | RMBS 796.94    |\n|        |                                |  | HK\\$ 55,020.11 |\n\n(ac) Chose in action represented by credit balances held in the following bank accounts held by R27 but subject to the effective control of R1\n\n| S/N | Name of Institution            | Account Number | Balance        |\n|-----|--------------------------------|----------------|----------------|\n| 60  |                                |                | US\\$ 128.93    |\n| 61  | China Construction Bank (Asia) |                | RMB\\$ 796.94   |\n| 62  | Corporation Limited            |                | HK\\$ 57,811.90 |\n| 63  |                                |                | HK\\$ 0.42      |\n|     | Total:                         | HKS 59,728.01  |                |\n\n(B) R2's Realisable Property\n\n(a) Chose in action represented by the 1/2 share of credit balance held in following account held by R21 but subject to the effective control of R2\n\n| S/N  | Name of Institution        | Account Number | Balance             |\n|------|----------------------------|----------------|---------------------|\n| ਦੇਤੇ | UBS AG<br>Hong Kong Branch |                | US\\$ 15,393,793.48  |\n|      | Total:                     |                | HK\\$ 119,301,899.47 |\n\n# Remarks:\n\n168. R1 and R2 each hold one issued share of R21 and they were both authorized signatory. It is submitted that they will each hold one-half of R21 including the above bank balance. The half share is HK\\$ 59,650,949.74.\n\n(b) Chose in action represented by credit balances held in the following accounts held by R22 but subject to the effective control of R2\n\nﺳﮯ\n\n| SINI | Name of Institution   | Account<br>Number | Balance           |\n|------|-----------------------|-------------------|-------------------|\n| 64   | China Citic Bank      |                   | HK\\$ 2,014,055.96 |\n| રેર  | International Limited |                   | US\\$ 4,157.6      |\n|      | Total:                |                   | HK\\$ 2,046,277.36 |\n\n169. The estimated total value of R1's realisable assets of R1 is HK\\$ 7,264,710,796.53 which is far less than his estimated total proceeds of HKS10,067,324,933.40 (see paragraph 153).\n\n170. The estimated total value of R2's realisable assets is HKS 61.697.227.10 which is far less than his estimated total proceeds of HKS230,375,000.\n\n#### IX. OTHER INFORMATION\n\nﯽ\n\n171. On 2017-07-10, a letter of no consent was issued against the bank accounts of \"Anton Development Limited\" (R20) as it holds realisable property of R1. On 2018-08-14, R20's legal representative filed an application for leave to apply for a judicial review against the decisions of the police (i) to impose \"No consent\" regime on DBS's dealing with R20's account, and (ii) not to apply for a restraint order against R20.\n\n172. On 2018-09-12, the Honourable Mr Justice CHOW made the following, inter alia, directions that: -\n\n- (a) There shall be a rolled-up hearing of (i) the application for leave to apply for judicial review, and (ii) the application for a judicial review;\n- (b) The Putative Respondent do file and serve its affidavit evidence in opposition to the Applicant's Leave Application (if any) and Application for JR (if any) on or before 23 November 2018;\n- (c) The Applicant do file and serve its affidavit evidence in reply (if so advised) by 14 December 2018.\n\n173. On 2018-10-02, the judicial review has been fixed for hearing before the Honourable Mr. Justice Chow on 2019-06-27 (with 2 days reserved).\n\n#### APPLICATION FOR LEAVE TO SERVE RESTRAINT ORDER X. OUT OF HONG KONG\n\n174. R5 and R6 are companies incorporated in the Cayman Islands. R4, R7, R8, R9, R10, R11, R12, R13, R14, R15, R17, R18, R21, R23, R24 are companies incorporated in the British Virgin Islands. All of the aforesaid companies have no registration in Hong Kong. None of these companies has a place of business in Hong Kong. The Companies Registry does not have any records of them.\n\n175. The last known address of R1 and R2 is in the United States of America, and those of R26 and R27 are in the Mainland.\n\n176. Leave is sought for the service of the restraint order and all court documents in these proceedings out of jurisdiction on R1, R2, R4 to R15, R17, R18, R21, R23, R24, R26 and R27 in accordance with the law of the jurisdiction in which such respondent in present.\n\n177. The exact whereabouts of R3 and R25 remain unknown. Leave is hereby sought for service on them by way of substituted service in accordance with the law of the jurisdiction in which she or he is present.\n\n#### XI. APPLICATION FOR RESTRAINT ORDER\n\n- 178. In view of the information contained in the preceding para\n- graphs, I verily believe that: -179.\n\t- (a) Proceedings have been instituted against R1-R2 for various specified offence(s) as outlined in paragraph 137, which include \"Conspiracy to Defraud\", \"Fraud\", \"Money Laundering\" or \"Conspiracy to Money Laundering\" and the proceedings against R1-R2 have not been concluded;\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 64 of 79\n\n- (b) There is reasonable cause to believe that the R1-R2 have benefited from the respective specified offence, and their benefits exceed HK\\$100,000;\n- (c) A confiscation order will be applied for in respect of R1-R2 upon the conviction of R1-R2 of the specified offences, or under the absconder proceedings;\n- (d) If a restraint order is not made in relation to the realisable property of R1 and R2, there is a risk that such property would be dissipated\n\n180. A restraint order is therefore applied for to prohibit the respondents or any other person from dealing with the realisable property of R1 and R2. A copy of draft order is now produced and exhibited as CSW-76.\n\n181. And I solemnly and sincerely affirm that the contents of this affirmation are true.\n\n(CHAN Szefwing)\n\nAffirmed at the Courts of Justice, of the Hong Kong Special Administrative Region this 5th day of October 2018\n\nBefore me, KAM Lai-yu\n\nCommissioner for Oaths Judiciary\n\n| Case 22-50073 | Doc 2032-1 | Filed 07/25/23 | Entered 07/25/23 13:27:53 | Page 65 of |\n|---------------|------------|----------------|---------------------------|------------|\n|               |            | 79             |                           |            |\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 Page 66 of\n\n[A company incorporated in the Cayman Islands,\n\nRegistration No.\n\nInsight Phoenix Fund\n\nRegistration No.\n\nﯽ\n\nﮯ\n\n79\n\nRespondent 6 (\"R6\")\n\nRespondent 9 (\"R9\")\n\nRespondent 10 (\"R10\")\n\nRespondent 11 (\"R11\")\n\nRespondent 12 (\"R12\")\n\nAlfonso Global Limited Respondent 7 (\"R7\") [A company incorporated in the British Virgin Islands, BVI Company No.\n\nRespondent 8 (\"R8\") Allied Capital Global Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nCreative Apex Investments Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nCrystal Breeze Investments Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nElite Well Global Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nGlobalist International Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nInfinitum Developments Limited Respondent 13 (\"R13\") [A company incorporated in the British Virgin Islands, BVI Company No.\n\nInfinite Increase Limited Respondent 14 (\"R14\") [A company incorporated in the British Virgin Islands,\n\n| BVI Company No.                                                                                                                              |                       |  |\n|----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|--|\n| Noble Fame Global Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.                                       | Respondent 15 (\"R15\") |  |\n| Eastern Profit Corporation Limited<br>A company incorporated in Hong Kong, Company<br>Registration No.                                       | Respondent 16 (\"R16\") |  |\n| Alfa Global Ventures Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.                                     | Respondent 17 (\"R17\") |  |\n| Ace Decade Holdings Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.                                      | Respondent 18 (\"R18\") |  |\n| Hong Kong International Funds Investments Limited Respondent 19 (\"R19\")<br>[A company incorporated in Hong Kong, Company<br>Registration No. |                       |  |\n| Anton Development Limited<br>A company incorporated in Hong Kong, Company<br>Registration No.                                                | Respondent 20 (\"R20\") |  |\n| Bravo Luck Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.                                              | Respondent 21 (\"R21\") |  |\n| China Golden Spring Group (Hong Kong) Limited<br>[A company incorporated in Hong Kong, Company<br>Registration No.                           | Respondent 22 (\"R22\") |  |\n| Rosy Acme Ventures Limited<br>A company incorporated in the British Virgin Islands,                                                          | Respondent 23 (\"R23\") |  |\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 68 of 79 BVI Company No. Respondent 24 (\"R24\") Leading Shine Limited A company incorporated in the British Virgin Islands, BVI Company No. Respondent 25 (\"R25\") Male HAN Chunguang [Holder of Hong Kong Identity Card No. China Identity Card No. Two-Way Permit No. China Passport No. ( Respondent 26 (\"R26\") Male ZHANG Wei [China Identity Card No. Two-Way Permit No. Female GUO Lijie Respondent 27 (\"R27\") [China Identity Card No. Two-Way Permit No.\n\n# FIRST AFFIRMATION OF SENIOR INSPECTOR CHAN SZE WING\n\nﮯ\n\nAffirmed this the 5th day of October 2018 Filed this the day of October 2018\n\nSecretary for Justice Department of Justice 4/F., Queensway Government Offices 66 Queensway Hong Kong Tel. : 2867 1025 : 2536 8311 Fax\n\n|  | Case 22-50073    Doc 2032-1    Filed 07/25/23    Entered 07/25/23 13:27:53      Page 69 of |  |\n|--|--------------------------------------------------------------------------------------------|--|\n|  |                                                                                            |  |\n\nHCCP /2018\n\n# IN THE HIGH COURT OF THE HANG KONG SPECIAL ADMINISTRATIVE REGION COURT OF FIRST INSTANCE MISCELLANEOUS PROCEEDINGS (CRIMINAL) NO. OF 2018\n\n# IN THE MATTER OF THE ORGANIZED AND SERIOUS CRIMES ORDINANCE CAP. 455 AND IN THE MATTER OF\n\n| The Secretary for Justice                                                                                                                 | Applicant           |  |\n|-------------------------------------------------------------------------------------------------------------------------------------------|---------------------|--|\n| and                                                                                                                                       |                     |  |\n| Male KWOK Ho-wan, alias GUO Wengui<br>Holder of Hong Kong Identity Card No.<br>Hong Kong Passport No                                      | Respondent 1 (\"R1\") |  |\n| Male GUO Qiang<br>Holder of Hong Kong Identity Card No.<br>Hong Kong Passport No.                                                         | Respondent 2 (\"R2\") |  |\n| Female QU Guojiao<br>Holder of Hong Kong Identity Card No.<br>China Identity Card No.<br>Two-Way Permit No. W93528483, China Passport No. | Respondent 3 (\"R3\") |  |\n| AAGV Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.                                                 | Respondent 4 (\"R4\") |  |\n| BSA Strategic Fund I<br>[A company incorporated in the Cayman Islands,                                                                    | Respondent 5 (\"R5\") |  |\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 70 of\n\n79\n\n| BVI Company No.                                                                                                                              |                       |  |\n|----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|--|\n| Noble Fame Global Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.                                        | Respondent 15 (\"R15\") |  |\n| Eastern Profit Corporation Limited<br>A company incorporated in Hong Kong, Company<br>Registration No.                                       | Respondent 16 (\"R16\") |  |\n| Alfa Global Ventures Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.                                     | Respondent 17 (\"R17\") |  |\n| Ace Decade Holdings Limited<br>A company incorporated in the British Virgin Islands,<br>BVI Company No.                                      | Respondent 18 (\"R18\") |  |\n| Hong Kong International Funds Investments Limited Respondent 19 (\"R19\")<br>[A company incorporated in Hong Kong, Company<br>Registration No. |                       |  |\n| Anton Development Limited<br>A company incorporated in Hong Kong, Company<br>Registration No.                                                | Respondent 20 (\"R20\") |  |\n| Bravo Luck Limited<br>[A company incorporated in the British Virgin Islands,<br>BVI Company No.                                              | Respondent 21 (\"R21\") |  |\n| China Golden Spring Group (Hong Kong) Limited<br>A company incorporated in Hong Kong, Company<br>Registration No.                            | Respondent 22 (\"R22\") |  |\n| Rosy Acme Ventures Limited<br>A commany incornorated in the Rritich Virgin Telands                                                           | Respondent 23 (\"R23\") |  |\n\nCase 22-50073 Doc 2032-1 Filed 07/25/23 Entered 07/25/23 13:27:53 Page 72 of 79\n\nBVI Company No.\n\n[China Identity Card No. Two-Way Permit No.\n\n(\n\n(\n\nRespondent 24 (\"R24\") Leading Shine Limited [A company incorporated in the British Virgin Islands, BVI Company No.\n\nRespondent 25 (\"R25\") Male HAN Chunguang [Holder of Hong Kong Identity Card No. China Identity Card No. Two-Way Permit No. China Passport No.\n\nMale ZHANG Wei Respondent 26 (\"R26\") [China Identity Card No. Two-Way Permit No. Respondent 27 (\"R27\") Female GUO Lijie\n\n# FIRST AFFIRMATION OF SENIOR INSPECTOR CHAN SZE WING\n\nThese are the exhibits as stated in the first affirmation of Senior Inspector CHAN Sze-wing, affirmed herein on the 5th day of October 2018.\n\n| Description                                                                       | Exhibit<br>No. | No. of<br>page(s) | Page Nos.  |\n|-----------------------------------------------------------------------------------|----------------|-------------------|------------|\n| Application for an identity card of R3 (QU<br>Guojiao) on 2015-10-06 & 2016-02-17 | CSW-1          | 2                 | CSW1 -1(1) |\n| Application for an identity card of R25 (HAN<br>Chunguang) on 2016-08-12          | CSW-2          | 1                 | CSW-2      |\n\n| Description                                                                                                   | Exhibit<br>No. | No. of<br>page(s) | Page Nos.       |\n|---------------------------------------------------------------------------------------------------------------|----------------|-------------------|-----------------|\n| Opening mandate of R26 (ZHANG Wei) at<br>CCBA dated 2014-10-28                                                | CSW-3          | 41                | CSW-3-3(40)     |\n| Opening mandate of R27 (GUO Lijie) at<br>CCBA dated 2014-10-28                                                | CSW-4          | 39                | CSW-4-4(38)     |\n| Opening mandate of R4 (AAGV Limited) at<br>Haitong International dated 2016-04-29                             | CSW-5          | 33                | CSW-5 -- 5(32)  |\n| Opening mandate of R5 (BSA Strategic Fund I)<br>at Haitong International dated 2015-05-28                     | CSW-6          | 38                | CSW-6-6(37)     |\n| Opening mandate of R6 (Insight Phoenix Fund)<br>at China Merchants Securities (HK) Co Ltd<br>dated 2016-06-30 | CSW-7          | 28                | CSW-7-7(27)     |\n| Opening mandate of R7 (Alfonso Global<br>Limited) at CMBC dated 2014-12-16                                    | CSW-8          | રેરે              | CSW-8-8(54)     |\n| Opening mandate of R8 (Allied Capital Global<br>Limited) at CMBC dated 2015-03-12                             | CSW-9          | 63                | CSW-9-9(62)     |\n| Opening mandate of R9 (Creative Apex<br>Investments Limited) at CMBC dated<br>2015-03-12                      | CSW-10         | રેજે              | CSW-10 - 10(57) |\n| Opening mandate of R10 (Crystal Breeze<br>Investments Limited) at CMBC dated<br>2015-03-12                    | CSW-11         | 60                | CSW-11 - 11(59) |\n| Opening mandate of R11 (Elite Well Global<br>Limited) at CMBC dated 2015-03-12                                | CSW-12         | 60                | CSW-12-12(59)   |\n| Opening mandate of R12 (Globalist<br>International Limited) at CMBC dated<br>2015-03-09                       | CSW-13         | 57                | CSW-13-13(56)   |\n| Opening mandate of R13 (Infinitum<br>Developments Limited) at CMBC dated<br>2015-03-09                        | CSW-14         | 57                | CSW-14-14(56)   |\n| Opening mandate of R14 (Infinite Increase<br>Limited) at CMBC dated 2015-03-10                                | CSW-15         | 28                | CSW-15-15(57)   |\n| Opening mandate of R15 (Noble Fame Global<br>Limited) at CMBC dated 2015-03-10                                | CSW-16         | 57                | CSW-16-16(56)   |\n\n| Description                                                                                                 | Exhibit<br>No. | No. of<br>page(s) | Page Nos.        |\n|-------------------------------------------------------------------------------------------------------------|----------------|-------------------|------------------|\n| Instrument of transfer of R16 (Eastern Profit<br>Corporation Limited) dated 2017-06-27                      | CSW-17         | 2                 | CSW-17-17(1)     |\n| Changes of directors, shareholders and<br>registered address of R16 (Eastern Profit<br>Corporation Limited) | CSW-18         | 1                 | CSW-18           |\n| Opening mandate of R17 (Alfa Global Ventures<br>Limited) at CMBC dated 2014-12-16                           | CSW-19         | 46                | CSW-19-19(45)    |\n| Opening mandate of R18 (Ace Decade<br>Holdings Limited) at CMBC dated 2014-12-17                            | CSW-20         | 48                | CSW-20 - 20(47)  |\n| Instrument of transfer of R19 (Hong Kong<br>International Funds Investments Limited) dated<br>2017-06-27    | CSW-21         | 2                 | CSW-21-21(1)     |\n| Instrument of transfer of R20 (Anton<br>Development Limited) dated 2017-06-27                               | CSW-22         | 2                 | CSW-22-22(1)     |\n| Changes of directors, shareholders and<br>registered address of R20 (Anton Development<br>Limited)          | CSW-23         | 1                 | CSW-23           |\n| Opening mandate of R21 (Bravo Luck<br>Limited) at UBS-HK dated 2014-01-20                                   | CSW-24         | 90                | CSW-24 - 24(89)  |\n| Companies registry record of R22 (China<br>Golden Spring Group (Hong Kong) Limited)                         | CSW-25         | 42                | CSW-25-25(41)    |\n| Opening mandate of R23 (Rosy Acme Ventures<br>Limited) at CCBA dated 2014-10-27                             | CSW-26         | 15                | CSW-26-26(14)    |\n| Opening mandate of R24 (Leading Shine<br>Limited) at CCBA dated 2011-03-18                                  | CSW-27         | 88                | CSW-27-27(87)    |\n| Opening mandate of Assets Sino Limited at<br>CCBA dated 2014-10-28                                          | CSW-28         | 13                | CSW-28-28(12)    |\n| Opening mandate of Auspicious Coast Limited<br>at CCBA dated 2014-10-28                                     | CSW-29         | 13                | CSW-29 -- 29(12) |\n| An announcement of Haitong dated<br>2014-12-21                                                              | CSW-30         | 10                | CSW-30 - 30(9)   |\n| An affidavit of YU Yong dated 2016-02-05,<br>filed in the NY Action                                         | CSW-31         | 12                | CSW-31 - 31(11)  |\n\n| Description                                                                                                                | Exhibit<br>No. | No. of<br>page(s) | Page Nos.     |\n|----------------------------------------------------------------------------------------------------------------------------|----------------|-------------------|---------------|\n| An affidavit of R1 date 2016-02-05, filed in the<br>NY action                                                              | CSW-32         | 33                | CSW-32-32(32) |\n| A co-investment agreement and side letter                                                                                  |                |                   |               |\n| between R18 (Ace Decade) and Haixia Fund<br>dated 2014-12-18                                                               | CSW-33         | 16                | CSW-33-33(15) |\n| A chart showing the source of fund for Dawn<br>State Limited to subscribe share placement                                  | CSW-34         | ﻠﺤﺼﻴﻠ             | CSW-34        |\n| Information in bank opening mandate & travel<br>movement of the 11 Investors                                               | CSW-35         | 4                 | CSW-35-35(3)  |\n| A chart showing the source of fund for<br>Maunakai Capital Partners (HK) Limited to<br>subscribe share placement           | CSW-36         | 1                 | CSW-36        |\n| Vouchers and transaction summary report<br>supporting the fund payment to R5 (BSA<br>Strategic Fund I) for share placement | CSW-37         | 39                | CSW-37-37(38) |\n| A chart showing the source of fund for Insight<br>Capital Management (HK) Limited to<br>subscribe share placement          | CSW-38         | 1                 | CSW-38        |\n| Vouchers and transaction summary report<br>supporting the fund payment to R6 (Insight<br>Phoenix Fund) for share placement | CSW-39         | 41                | CSW-39-39(40) |\n| Opening mandate of AA Global Ventures<br>Limited (previously as AMTD) at Haitong<br>International dated 2013-06-27         | CSW-40         | વેરિ              | CSW-40-40(95) |\n| A chart showing the source of fund for AMTD<br>to subscribe share placement                                                | CSW-41         | 1                 | CSW-41        |\n| A co-investment agreement and side letter<br>between AMTD and R17 (Alfa Global) dated<br>2015-05-04                        | CSW-42         | 12                | CSW-42-42(11) |\n| A deed of settlement and indemnity among<br>R17, R20, Blackpine and Chu Sheng Yu<br>Lawrence dated 2017-05-29              | CSW-43         | 8                 | CSW-43-43(7)  |\n\n| 79 |\n|----|\n|----|\n\n| Description                                                                                             | Exhibit<br>No. | No. of<br>page(s) | Page Nos.       |\n|---------------------------------------------------------------------------------------------------------|----------------|-------------------|-----------------|\n| Company record of Well Origin Limited at<br>CCBA dated 2012-12-06                                       | CSW-58         | 31                | CSW-58 - 58(30) |\n| Companies registry record of World Century<br>Limited                                                   | CSW-59         | 40                | CSW-59-59(39)   |\n| The false Chartered Flight Agreement entered<br>in 2012                                                 | CSW-60         | 7                 | CSW-60-60(6)    |\n| Four false contracts entered between Mileson<br>and World Century Limited for furniture<br>trading      | CSW-61         | 8                 | CSW-61-61(7)    |\n| Forged receipt purportedly issued by SAFE to<br>Mileson                                                 | CSW-62         | 1                 | CSW-62          |\n| A chart detailing the Aircraft Loan Fraud                                                               | CSW-63         | 1                 | CSW-63          |\n| Travel movement record of R1                                                                            | CSW-64         | 5                 | CSW-64-64(4)    |\n| Travel movement record of R2                                                                            | CSW-65         | 5                 | CSW-65-65(4)    |\n| Travel movement record of R3                                                                            | CSW-66         | 4                 | CSW-66-66(3)    |\n| Travel movement record of R25                                                                           | CSW-67         | 6                 | CSW-67-67(5)    |\n| Travel movement record of R26                                                                           | CSW-68         | 1                 | CSW-68          |\n| Travel movement record of R27                                                                           | CSW-69         | 1                 | CSW-69          |\n| Arrest warrant of R1, R2 and R3                                                                         | CSW-70         | 3                 | CSW-70-70(2)    |\n| Opening mandate of R16 (Eastern Profit<br>Corporation Limited) at CMBC dated<br>2014-12-12              | CSW-71         | ਦੇ ਤੇ             | CSW-71-71(52)   |\n| A fund flow chart showing fund movement of<br>R7, R16, R17, R18, R19 and R21                            | CSW-72         | 1                 | CSW-72          |\n| Opening mandate of R23 (Rosy Acme Ventures<br>Limited) at CCBA dated 2014-11-03                         | CSW-73         | 19                | CSW-73-73(18)   |\n| Opening mandate of HAN Chunguang (R25) at<br>China Citic Bank International Limited dated<br>2015-12-10 | CSW-74         | 10                | CSW-74-74(9)    |\n\nﺪﻧﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨﻨ\n\n(\n\nﮯ\n\n| Description                                                       | Exhibit<br>No. | No. of<br>page(s) | Page Nos.          |\n|-------------------------------------------------------------------|----------------|-------------------|--------------------|\n| Transaction record of HAN Chunguang (R25)<br>at the Citic account | CSW-75         | 44                | CSW-75 - 75(43)    |\n| Draft Restraint Order                                             | CSW-76         |                   | 32   CSW-76-76(31) |\n\nAM Lai-y\n\n(Commissioner for Oaths) Judiciary\n\n79","body_zh":"附件1\n\n- 79\n\nAAGV Limited（AAGV有限公司）\n［一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人4（“R4”）\n\nBSA Strategic Fund I（BSA策略基金I）\n一家在开曼群岛注册成立的公司，\n注册编号。被答辩人5（“R5”）\nInsight Phoenix Fund（Insight Phoenix基金）\n一家在开曼群岛注册成立的公司，\n注册编号。被答辩人6（“R6”）\nAlfonso Global Limited（Alfonso Global有限公司）\n［一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人7（“R7”）\nAllied Capital Global Limited（Allied Capital Global有限公司）\n一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人8（“R8”）\nCreative Apex Investments Limited（Creative Apex Investments有限公司）\n一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人9（“R9”）\nCrystal Breeze Investments Limited（Crystal Breeze Investments有限公司）\n一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人10（“R10”）\nElite Well Global Limited（Elite Well Global有限公司）\n一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人11（“R11”）\nGlobalist International Limited（Globalist International有限公司）\n一家在英属维尔京群岛注册成立的公司，\nBVI公司编号。被答辩人12（“R12”）\n\n案件22-50073，文件2032-1，于07/25/23提交，于07/25/23 13:27:53登记，第4页，共79页\n案件22-50073，文件2032-1，于07/25/23提交，于07/25/23 13:27:53登记，第5页，共\n\nChina Golden Spring Group (Hong Kong) Limited（中国金泉集团（香港）有限公司）［一家在香港注册成立的公司，公司注册编号。\n\n被答辩人22（“R22”）\n\n被答辩人23（“R23”）\n\nRosy Acme Ventures Limited（Rosy Acme Ventures有限公司）［一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nLeading Shine Limited（Leading Shine有限公司）［一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\n被答辩人25（“R25”）\n\n被答辩人24（“R24”）\n\n男性 HAN Chunguang（韩春光）［香港身份证号码。中国身份证号码。中国护照号码。双程证号码。\n\n男性 ZHANG Wei（张伟）［中国身份证号码。双程证号码。\n\n女性 GUO Lijie（郭丽杰）［中国身份证号码。双程证号码。\n\n被答辩人26（“R26”）\n\n被答辩人27（“R27”）\n高级督察 CHAN Sze-wing（陈思颖）的首次誓章\n\n本人，香港警务处毒品调查科财务调查组（“FI NB”）高级督察 CHAN Sze-wing（陈思颖），谨庄严并真诚地声明如下：-\n\nR1和／或R2的财产，并应予以限制处分。\n\n6. 三项核心调查及所涉罪行概述如下：-\n\n（a）“配股诈骗”——R1、R3及其他人士实施的“串谋诈骗”罪行，旨在欺骗香港联合交易所（Hong Kong Stock Exchange，“HKEX”），使其批准海通证券股份有限公司（Haitong Securities Company Limited，“Haitong”）通过于2014年12月至2015年5月期间进行的配股发行新H股。R1被怀疑利用其控制的实体实施该串谋诈骗，因而取得超过HKS 9.5 billion的财务利益（源于该次配股中的折让价格）。R3作为该串谋的一方，协助R1转移资金；\n\n（b）“按揭贷款诈骗”——R1与R2共同实施的一项“诈骗”罪行，即为购买South Bay Property（南湾物业）而从香港一家银行取得HK$ 298 million的按揭贷款；以及两项“洗钱”罪行，即处理分别为HK$ 224.8 million及HK$ 26.6 million的款项，明知或有合理理由相信该等款项代表可公诉罪行的得益，用于在2011年3月部分支付南湾物业的购买价；\n\n（c）“飞机贷款诈骗”——R1与R2共同实施的一项“诈骗”罪行，即于2012年末从香港一家银行为一家由R2全资拥有的公司取得US$ 21 million（约HK$162 million）的飞机贷款。\n\n7. 于2017-08-03，警方行动转为公开，R3因涉及“配股诈骗”的“洗钱”及“串谋诈骗”罪行被捕，而R1和R2无法在香港被找到。警方还搜查了位于中国银行大厦49楼及其他地点的办公室，并扣押了大量商业文件和协议。R3在警诫下保持缄默，并在其警诫会面期间拒绝回答任何问题。\nII. 被答辩人背景\n\n个人（A）\n\n8. R1出生于中国内地，在中国内地期间使用GUO Wengui（郭文贵）之名。根据香港人事登记处的记录，他于1997-09-18首次通过单程证申请香港身份证。他目前是中国内地于2017-04-17就贿赂中国内地官员而发出的国际刑警组织红色通报的对象。该国际刑警组织红色通报仍然有效。\n\n9. R2出生于中国内地。他是R1之子。根据香港人事登记处的记录，他于2008-06-26首次通过单程证申请香港身份证。\n\n10. R3出生于中国内地。她是R1的财务经理。根据香港人事登记处的记录，她于2015-10-06首次申请香港身份证。在其向香港特别行政区入境事务处提交的表格中，R3声称其任职经理的营业地址为中环花园道1号中国银行大厦49楼。该等记录副本作为CSW-1附件附上。\n\n11. R25出生于中国内地。他是R1的保镖。根据香港人事登记处的记录，他于2016-08-12首次申请香港身份证。在其向香港特别行政区入境事务处提交的表格中，R25声称其从事投资组合管理，营业地址为中环花园道1号中国银行大厦49楼。该等记录副本作为CSW-2附件附上。\n\n12. R26出生于中国内地。他是R1侄女的丈夫。根据R26于2014-10-28开户期间向China Construction Bank (Asia) Corporation Limited（中国建设银行（亚洲）股份有限公司，“CCBA”）提供的资料，R26声称其为R7的董事。开户授权书副本 79\n\n案件22-50073，文件2032-1，于07/25/23提交，于07/25/23 13:27:53登记，第10页，共\n21. R11是一家于2015-02-23在英属维尔京群岛注册成立的公司。根据R11于2015-03-12开户期间向China Minsheng Banking Corp., Ltd.（中国民生银行股份有限公司，“CMBC”）提供的文件，中国内地人士SUN Li（系莉）一直是唯一董事及股东。R11使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R11开户授权记录副本作为CSW-12附件附上。\n\n22. R12是一家于2015-02-12在英属维尔京群岛注册成立的公司。根据R12于2015-03-09开户期间向CMBC提供的文件，中国内地人士SUN Yanfeng（徐豔峰）已成为唯一董事及股东。R12使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R12开户授权记录副本作为CSW-13附件附上。\n\n23. R13是一家于2015-02-12在英属维尔京群岛注册成立的公司。根据R13于2015-03-09开户期间向CMBC提供的文件，中国内地人士NIU Runze（牛润泽）已成为唯一董事及股东。R13使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R13开户授权记录副本作为CSW-14附件附上。\n\n24. R14是一家于2015-02-23在英属维尔京群岛注册成立的公司。根据R14于2015-03-10开户期间向CMBC提供的文件，中国内地人士REN Meizi（在美子）已成为唯一董事及股东。R14使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R14开户授权记录副本作为CSW-15附件附上。\n\n25. R15是一家于2015-02-23在英属维尔京群岛注册成立的公司。根据R15于2015-03-10开户期间向CMBC提供的文件，LIU Wuii（刘嫡及）已成为唯一董事及股东。R15使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R15开户授权记录副本作为CSW-16附件附上。\n\n26. R16是一家于2011-07-29在香港注册成立的公司。于2017-06-27，GUO Mei（郭美，R1之女）取代HAN Chunguang（韩春光，R25），成为唯一董事及股东。日期为2017-06-27的转让文书显示，GUO Mei（郭美）以HK$ 1,000从R25取得所有已发行股份，共计1,000股。转让文书副本作为CSW-17附件附上。自注册成立以来董事、股东及注册地址变更的详情载于表格，并作为CSW-18附件附上。R16最后已知的注册地址为湾仔庄士敦道181号大有大厦8楼805-806室，该地址已知为香港一家秘书公司的办公地址。\n\nﺮ\n\n(\n\n27. R17是一家于2014-10-15在英属维尔京群岛注册成立的公司。根据R17于2014-12-16开户期间向CMBC提供的文件，R27已成为唯一董事及股东。R17使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R17开户授权记录副本作为CSW-19附件附上。\n\n28. R18是一家于2014-06-18在英属维尔京群岛注册成立的公司。根据R18于2014-12-17开户期间向CMBC提供的文件，中国内地人士YU Yong（于冰）已成为唯一董事及股东。R18使用香港中环皇后大道中28号中汇大厦1602室及4楼、5楼作为其通讯地址。开户时，该地址已知为香港一家律师事务所及一家秘书公司的办公地址。R18开户授权记录副本作为CSW-20附件附上。\n\n29. R19是一家于2006-10-12在香港注册成立的公司。于2006-10-03，R1认购首股已发行股份。于2006-10-24，R1成为首任董事。于2014-10-10，R3取代R1，成为唯一董事及股东。于2017-06-27，GUO Mei（郭美，R1之女）取代R3，成为唯一董事及股东。日期为2017-06-27的转让文书显示，R3以HK$1将唯一已发行股份出售给GUO Mei（郭美）。转让文书副本作为CSW-21附件附上。R19最后已知的注册地址为湾仔庄士敦道181号大有大厦8楼805-806室，该地址已知为香港一家秘书公司的办公地址。\n\n30. R20是一家于2015-05-07在香港注册成立的公司。于2017-06-27，GUO Mei（郭美，R1之女）取代R25及REN Meizi（任美3，R14的董事），成为唯一董事。日期为2017-06-27的转让文书显示，GUO Mei（郭美）以HK$1从唯一股东R25取得唯一的一股已发行股份。上述记录副本作为CSW-22附件附上。自注册成立以来董事、股东及注册地址变更的详情载于表格，并作为CSW-23附件附上。R20最后已知的注册地址为湾仔庄士敦道181号大有大厦8楼805-806室，该地址已知为香港一家秘书公司的办公地址。\n\n31. R21是一家于2013-04-02注册成立的英属维尔京群岛公司。根据UBS AG Hong Kong Branch（瑞银集团香港分行）（“UBS-HK”）于2015年2月收到的文件，R2于2013-07-22成为唯一董事，而R1和R2为仅有的两名股东，各自持有一股已发行股份。R21使用香港花园道2号中国银行大厦49楼作为其通讯地址。R21的开户授权记录副本载于CSW-24。\n\n32. R22是一家于2014-03-06在香港注册成立的公司，R2自此成为唯一董事及股东。公司记录副本载为CSW-25。R22最后已知的注册地址为湾仔庄士敦道181号大有大厦8楼805-806室，该地址已知为一家香港秘书服务公司的办公地址。\n\n序号　人员　持有公司　与R1的关系\n\n序号　人员　持有公司　与R1的关系\n\n1.　R2　R21、R22、R24　R1之子\n2.　R3　R9　R1在香港处理财务事务的女经理\n3.　GUO Mei（郭美）　R4、R16、R19、R20　R1之女\n4.　R26　R7　R1侄女之夫\n5.　SU Yan（苏安）　R8　R1在河南的雇员\n6.　SUN Ailing（孙爱玲）　R10　R1在河南的雇员\n7.　SUN Li（孙莉）　R11　R1在河南的雇员\n8.　SUN Yanfeng（孙艳峰）　R12　R1在河南的雇员\n9.　NIU Runze（牛润泽）　R13　R1在北京的雇员\n10.　REN Meizi（任美子）　R14　R1在河南的雇员\n11.　LIU Wuji（刘焯及）　R15　R1在河南的雇员\n12.　R25　R23　R1的保镖\n13.　R27　R17　R1的侄女\n14.　YU Yong（于泳）　R18　R1的雇员\n15.　GUO Lihong（郭丽红）　Assets Sino Limited（华夏资产有限公司）　R1的侄女\n16.　GUO Lichun（郭丽春）　Auspicious Coast Limited（吉祥海岸有限公司）　R1兄弟之妻\n\n38. R4至R15、R17、R18、R21、R23及R24均为未在香港注册的境外公司。\n\nIII. 警方调查\n\n案件一——配售股份欺诈\n\n39. Haitong（海通）是一家在中国内地注册成立的公司。其在上海证券交易所发行上市股份（作为A股），并在HKEX（香港交易所）发行上市股份（作为H股）。当时的董事长（自2007年6月至2016年7月）为中国内地人士WANG Kaiguo（王开国）（“WANG”）。警方调查显示，R1曾向WANG表达其有意于Haitong在香港首次公开发行期间认购股份。直至2014年5月或6月，R1才告知WANG，其约有US\\$3 billion可注入Haitong，以成为最大股东，并且其意图日后委任自己的人担任董事。R1意图将Haitong作为金融平台，以取得贷款来支持其日后的业务。R1将通过股份配售以折让价格认购股份，从而获得直接的财务利润。\n\n40. 由于Haitong是一家在中国内地注册成立的证券公司，中国内地《證券公司監督管理條例》规定，如任何人士取得或实际控制超过已发行股本总额5%的股权，须取得China Securities Regulatory Commission（中国证券监督管理委员会）（“CSRC”）的批准，通常称为“5%规则”。因此，R1以US\\$3 billion认购新发行股份将触发须取得CSRC批准的要求。\n\n41. R1告知WANG，其可通过安排数名承配人认购将在香港上市的配售股份，以规避CSRC的批准要求。他特别提醒WANG，将两家投资银行，即UBS-HK及Macquarie Capital Securities Limited（麦格理资本证券有限公司）（“Macquarie”）列为此次股份配售的联席配售代理人。R1表示，Macquarie的William JE（余建明）将代表其行事，并会安排承配人为其认购Haitong股份，以分散股权集中度，从而规避5%规则。\n\n42. 于2014年7月或8月，William JE（余建明）告知WANG，其正代表R1行事。于2014年12月，Haitong最终决议并同意向七名承配人发行其H股。其中三名承配人由与该股份配售欺诈无关的其他联席配售代理人引介。Macquarie取得三名承配人，UBS-HK取得一名承配人。于2015年5月，由Macquarie及UBS-HK取得的四名承配人获配的股份总数为1,438,265,220股，占配售后已发行股份总数的12.51%以上。\n\n来自Macquarie及UBS的四名承配人受R1实际控制，并由R1提供资金。\n\n43. 根据Haitong于2014-12-21通过HKEX作出的公开公告，Haitong已与七名承配人订立认购协议，合计认购1,916,978,820股新H股。其亦为H股数目。\n\n承配人名称　新H股数目　配售后已发行股本总额（A股及H股）百分比\n\nDawn State Limited（曙光州有限公司）　569,427,620　4.95%\nMaunakai Capital Partners (Hong Kong) Limited（Maunakai资本合伙人（香港）有限公司）　496,478,800　4.32%\nInsight Capital Management (Hong Kong) Limited（洞见资本管理（香港）有限公司）　223,415,200　1.94%\nAmtd Special Holdings Limited（尚乘特别控股有限公司）　148,943,600　1.30%\n合计　1,438,265,220　12.51%\n\n46. 根据从UBS-HK扣押的文件，发现Ace Decade Holdings Limited（R18）在美国针对UBS (New York Office)（瑞银（纽约办事处））（“UBS-NY”）向Supreme Court of State of New York（纽约州最高法院）提起的一宗民事诉讼（案号653316/2015）的法院文件；该诉讼涉及对R18作出的虚假陈述及欺骗，诱使R18从该银行取得贷款，供Dawn State Limited认购569,427,620股新H股（“纽约诉讼”）。\n\n在纽约诉讼中，YU Yong（于泳，R18的唯一董事）及R1已向纽约州最高法院提交宣誓书及其他书面证物。YU Yong（于冰）及R1的宣誓书副本分别载为CSW-31及CSW-32。鉴于所述宣誓书的内容概述如下，R18及Dawn State Limited事实上在该股份配售中受R1实际控制：-\n\n- (a) YU Yong（于泳）为R18的董事及唯一股东。其为R1的雇员。其为R1工作，通过其公司R18取得Haitong的股份配售；\n- (b) YU Yong（于泳）表示，R1听取UBS的建议，使用R18作为中介人取得股份配售，以避免披露要求，并获保证该银行不会清算所认购的股份；\n- (c) R1安排资金支付Dawn State Limited股份配售的对价；\n- (d) R18与Haixia Fund（海峡基金）签署的一份共同投资协议及一份附函已在纽约诉讼中提交，现亦载为CSW-33。该等文件显示，R18将出资US\\$ 500 million，而Dawn State Limited将安排US\\$ 750 million的贷款融资，以认购Haitong新发行的股份。R18将向Haixia Fund支付共同投资金额的0.65%作为管理费。2015-07-13之后，Haixia Fund须应R18的要求，将Dawn State Limited的全部股本转让予R18或R18可能指定的其他实体。\n\nDawn State认购配售股份的资金来源\n\n48. 警方调查显示，Dawn State Limited通过取得UBS-London（瑞银伦敦）提供的HK\\$ 6,011,236,393.92保证金贷款，并使用其银行账户中持有的HK\\$ 3,882,584,464贷方余额，支付总额为HK\\$ 9,782,766,512的股份配售对价。资金流向分析显示，Dawn State Limited银行账户中持有的资金来自R18的银行账户。对R18进行资金逆向追踪显示，该等款项源自R7、R17及R19，该等公司均受R1实际控制。详列上述资金流向的图表载为CSW-34。\n\nR7、R17、R18及R19均为受R1实际控制的公司。\n\n49. R26及R27分别拥有R7及R17，二人均为R1的亲属。警方调查显示，二人仅是应R1基于亲属关系提出的要求，为R7及R17开立银行账户及签署文件的傀儡。根据R1的指示，二人指定R3为账户签署人。所有相关银行交易单据均由R3签署。R26及R27对R7及R17银行账户的运作毫不知情。R7及R17在所有重要时间均受R1实际控制。\n\n50. 根据YU Yong（于冰）的宣誓书，R18仅为协助R1取得分配予Dawn State Limited的股份配售而设立的工具。其听从R1的建议。R3被指定为R18在CMBC（中国民生银行）的账户签署人。R3将资金从R18转至Dawn State Limited，后者继而向UBS-HK支付股份配售对价。\n\n51. R19于2006-10-12注册成立，R1认购唯一一股并成为首任董事。R1的职位于2014-10-10由R3接替，其后于2017-06-27再由R1之女GUO Mei（郭美）接替。于2015年5月，R3为唯一董事及股东。R3亦为账户签署人，并签署将款项从R19的银行账户转至R18的文件，以支付最终由Dawn State Limited进行的股份配售HK\\$ 2,000,000,000款项。鉴于R19自成立以来的股权变动、各股东与R1的关系及所有相关情况，R1在所有重要时间均实际控制R19。\n\n(B) Maunakai Capital Partners (Hong Kong) Limited（Maunakai资本合伙人（香港）有限公司）作出的认购\n\n52. Maunakai Capital Partners (Hong Kong) Limited（“Maunakai”）是另一名通过配售代理人Macquarie认购496,478,800股新H股的承配人。Maunakai是一家在香港注册成立的公司，主要从事资产管理及咨询业务。该认购是为R5（一只私募投资基金）作出的。\n\n对R5的11名投资者的调查\n\n53. 根据从Maunakai扣押的有关R5的记录，R5的投资者构成及就认购新H股支付的对价列于下表：-\n\n序号　投资者名称　董事／股东　认购金额\n（以US\\$计）\n\n1.　Alfonso Global Limited（R7）　R26　183,769,932.90\n2.　Allied Capital Global Limited（R8）　SU Yan（苏曼）　57,740,605.50\n3.　Creative Apex Investments Limited（R9）　R3　57,740,605.50\n4.　Crystal Breeze Investments Limited（R10）　SUN Ailing（孙爱玲）　57,740,605.50\n5.　Elite Well Global Limited（R11）　SUN Li（孙利）　57,740,605.50\n6.　Globalist International Limited（R12）　SUN Yanfeng（孙艳峰）　57,740,605.50\n7.　Infinitum Developments Limited（R13）　NIU Runze（牛润泽）　57,740,605.50\n8.　Infinite Increase Limited（R14）　REN Meizi（任美子）　57,740,605.50\n9.　Noble Fame Global Limited（R15）　LIU Wuji（刘焯及）　57,740,605.50\n10.　Assets Sino Limited　GUO Lihong（郭丽红）　98,082.83\n11.　Auspicious Coast Limited　GUO Lichun（郭丽春）　98,082.83\n合计：US\\$ 645,890,942.56（约HK\\$ 5,000 million）\n\n54. 警方调查显示，上述11家投资者公司（“11名投资者”）的董事均为在英属维尔京群岛注册成立的公司，且均为R1的亲属或雇员，详情如下：-\n\n序号　投资者名称　董事／股东　与R1的关系\n\n1.　R7　R26　GUO Lihong（郭丽红）之夫\n2.　R8　SU Yan（苏曼）　R1在河南的雇员\n3.　R9　R3　R1在香港处理财务事务的女经理\n4.　R10　SUN Ailing（孙爱玲）　R1在河南的雇员\n5.　R11　SUN Li（孙莉）　R1在河南的雇员\n6.　R12　SUN Yanfeng（孙艳峰）　R1在河南的雇员\n7.　R13　NIU Runze（牛润泽）　R1在北京的雇员\n8.　R14　REN Meizi（任美子）　R1在河南的雇员\n9.　R15　LIU Wuji（刘焯及）　R1在河南的雇员\n10.　Assets Sino Limited　GUO Lihong（郭丽红）　R1的侄女\n11.　Auspicious Coast Limited　GUO Lichun（郭丽春）　R1兄弟之妻\n\n55. 11名投资者银行账户的开户授权资料及其出入境记录摘要载于CSW-35所列的表格。警方调查显示如下：-\n\n- （a）该11名投资者均为中国大陆居民；他们是在R1的指示／要求下，被安排前往香港开立各自的银行账户。他们抵达香港后，均由R3接待。随后，R3陪同他们前往银行，并陪同他们开立银行账户；\n\n- （b）该11名投资者（R3除外）对其英属维尔京群岛公司及银行账户并无任何了解。他们仅按照R3的安排并依照R1的指示开立账户；\n\n- （c）R7-R15（R9除外）的董事／股东并非其银行账户的授权签字人。\n\n1 R1在河南的公司名为Henan Yuda Real Estate Co. Limited（河南裕达房地产有限公司）\n\n2 R1在北京的公司名为Beijing Pangu Investment Company Limited（北京盘古投资有限公司）\n\n相反，R3一直是R7-R15所有银行账户的授权签字人，并且由其从各相关银行账户转移资金，以结清2015年5月的股份配售款项。于2015-05-25，YU Yong（于冰）及R25（R1的雇员及保镖）成为R7-R15的账户授权签字人；\n\n（d）就Assets Sino Limited和Auspicious Coast Limited而言，其董事并未操作有关账户。他们依照R1的要求／指示开立银行账户，并在账户开立后不久即将账户控制权交予R3。该两名董事对账户的任何交易均不知情。\n\nR5用于支付股份配售对价的资金来源\n\n56. 为完成认购496,478,800股新H股，Maunakai须支付HK\\$ 8,529,505,784。Maunakai安排R5从Morgan Stanley Bank N.A.（摩根士丹利银行，N.A.）取得HK\\$ 3,574.190,625的信贷贷款额度；R5以其向Macquarie（麦格理）支付的HK\\$ 4,981,000,000资金，结清余额购买价款。\n\n57. 对R5向Macquarie支付的自有资金进行逆向资金流追查，确认该等款项来自第53段表格所列R5投资者的本地银行账户。进一步逆向追查显示，该等资金源自R7及R19，该两家公司均受R1的实际控制。\n\n一份详列向Macquarie支付股份配售对价的资金流向图表，现列为证物CSW-36。该11名投资者账户的授权书及支持凭证，现列为证物CSW-8至16、28、29及37。R3为R7-15银行账户的账户授权签字人。R3在有关指示单上签字，以调动R7-15的资金支付股份配售款项。就Assets Sino Limited和Auspicious Coast Limited而言，R3在所有关键时间均独自控制该等银行账户，且相信所有相关转账均由R3通过电子银行办理。\n\n3 Assets Sino Limited和Auspicious Coast Limited未被列为答辩人，因为其不再持有R1的任何可变现资产。\n\n（C）Insight Capital Management (Hong Kong) Limited（洞察资本管理（香港）有限公司）作出的认购\n\n59. Insight Capital Management (Hong Kong) Limited（“Insight”）是另一名通过Macquarie成功认购223,415,200股新H股的配售认购人。Insight是一家于香港注册成立、主要从事资产管理及咨询业务的公司。该认购是为一家名为Insight Phoenix Fund（R6）的私人投资基金作出的。\n\n60. 警方从Insight扣押了与R6有关的记录，记录显示R6的投资者及为认购该等新H股所支付的对价，如下表所列：—\n\n序号　投资者名称　董事／股东　认购金额（以HKS计）\n\n1.　Alfonso Global Limited（R7）　R26　444,544,255\n\n2.　Allied Capital Global Limited（R8）　SU Yan（蘇安）　428,779,970\n\n3.　Creative Apex Investments Limited（R9）　R3　428,779,970\n\n4.　Crystal Breeze Investments Limited（R10）　SUN Ailing（孫愛玲）　428,779,970\n\n5.　Elite Well Global Limited（R11）　SUN Li（孫莉）　428,779,970\n\n6.　Globalist International Limited（R12）　SUN Yanfeng（孫監峰）　428,779,970\n\n7.　Infinitum Developments Limited（R13）　NIU Runze（牛潤澤）　428,779,970\n\n8.　Infinite Increase Limited（R14）　REN Meizi（任美子）　428,779,970\n\n9.　Noble Fame Global Limited（R15）　LIU Wuji（劉焯及）　428,779,970\n\n10.　Assets Sino Limited　GUO Lihong（郭麗紅）　10,679,970\n\n11.　Auspicious Coast Limited　GUO Lichun（郭麗春）　10,679,970\n\n总计：HK\\$ 3,896,143,955\n\n61. R6的投资者构成与R5完全相同，即该11名投资者。唯一差别在于认购的新H股数量及所涉对价。一份详列向Macquarie支付股份配售对价的资金流向图表，现列为证物CSW-38。\n\nR6用于支付股份配售对价的资金来源\n\n62. 调查显示，R6投资者（该11名投资者）的资金源自R7及R19，该两家公司均受R1的实际控制。Assets Sino Limited和Auspicious Coast Limited进行的电子银行交易，相信均由R3作出。她亦在从R7-R15账户向Insight转移资金以支付股份配售款项的所有指示上签字。凭证副本现列为证物CSW-39。\n\nR6的董事——ZHENG Shasha\n\n63. R6的董事为ZHENG Shasha（鄭莎莎）。自其于2015年1月注册成立以来，她一直担任董事。从入境事务处检取的出生证明显示，她与William JE（余建明）分别为JE Pui-hei一名子女的母亲和父亲。重申，William JE（余建明）被确认是Macquarie中代表R1为该次股份配售寻找配售认购人的人士。ZHENG Shasha（鄭莎莎）作为R6董事一事，再次并非巧合。可推断，R6成立时由ZHENG Shasha（鄭莎莎）担任董事，是为隐瞒R1对R6的实际控制，并服务于该股份配售的目的。R6是为R1持有资产的工具。R6及其投资者的新H股和银行账户余额，均受R1的实际控制。\n\n（D）Amtd Special Holdings Limited（“AMTD”）作出的认购\n\n64. AMTD是一家于2012-05-09注册成立的英属维尔京群岛公司（公司编号1711552）。警方调查显示，AMTD在Haitong International（海通国际）持有一个证券账户。\n\n65. 于2015-02-20，Blackpine Advisors Limited（英属维尔京群岛公司编号1854374）（“Blackpine”）成为AMTD的董事及股东。于2015年5月下旬，股份配售完成。于2015-06-05，AMTD将其名称更改为AA Global Ventures Limited。\n\n66. 于2016-04-26，Blackpine将A.A Global Ventures Limited（前称AMTD）的全部已发行股本出售予Anton Development Limited（R20）。当时，R3是R20的唯一董事及股东。\n\n67. 于2016-10-13，Haitong International收到一份由R3代表AA Global Ventures Limited董事会签署的通知，该董事会决议删除AA Global Ventures Limited（或AMTD）所持全部银行账户及证券账户的现有授权签字人。该通知亦委任R3为AA Global Ventures Limited在Haitong International持有的证券账户的唯一授权签字人。\n\n68. 因此，R3取得对AA Global Ventures Limited（前称AMTD）的全面控制，包括通过该股份配售认购的新H股。公司记录副本现列为证物CSW-40。\n\nAMTD用于支付股份配售对价的资金来源\n\n69. AMTD是另一家通过Macquarie成功认购148,943,600股新H股的公司。AMTD须向Macquarie支付HK\\$ 2,558,851,048。逆向资金流追查确认，该资金源自R17。R17是一家依照R1指示注册成立的英属维尔京群岛公司。该公司的股权由R1的亲属持有，但事实上R17受R1的实际控制。一份详列向Macquarie支付认购股份款项的资金流向图表，现列为证物CSW-41。R3亦为R17的账户授权签字人。她签署所有凭证，于2015-05-22从R17向AMTD转移HK\\$ 2,579,517,900。该笔款项用于其后与Macquarie结清股份配售款项。\n\n共同投资导致AMTD全部已发行股本转让予Anton（R20）\n\n70. 于2017-08-03及04，警方对位于中国银行大厦49楼的处所进行了搜查。在其他物品中，警方发现一份由Blackpine与R17订立、日期为2015-05-04的共同投资协议及附函。该共同投资协议及附函的副本现列为证物CSW-42。\n\n71. 上述日期为2015-05-04的共同投资协议明确指出，AMTD由Blackpine全资拥有。Blackpine亦已与一家香港证券交易所上市公司订立具约束力的股份认购协议，并向R17（由R1的亲属拥有）授予就拟议投资出资HK\\$2,365M的权利。AMTD亦同意，在股份认购完成后第六个月起的任何时间，在收到通知后，应将AMTD的全部已发行股本转让予R17或可能获指定的其他实体。从于中国银行大厦49楼R1办公室扣押的一份日期为2017-05-29的和解契据可确认，AMTD的全部已发行股本已于2016-04-26转让予R20。该和解契据的副本现列为证物CSW-43。\n\n72. 在所有时间，R1均对R17具有实际控制，而用于股份配售的资金亦源自R17。R1已对R17行使其控制权，并指示其根据上述共同投资协议的条款，向AMTD发出通知，将其全部已发行股本转让予Anton（R20）。\n\n从AMTD向AAGV转移已认购股份\n\n73. 于2015年5月下旬完成的股份配售，导致向AMTD配发148,943,600股新H股。大部分股份存放于AMTD在Haitong International持有的证券账户。其后，AMTD利用该证券账户的保证金融资额度，在公开市场购买Haitong的H股。\n\n74. 于2016-11-01，AMTD将159,600,000股Haitong股份转让至AAGV Limited（R4）在Haitong International持有的证券账户，并收取HK\\$734,656,191.19。该笔款项用于结清AMTD欠付Haitong International的未偿还保证金及利息。\n\nAAGV（R4）受R1的实际控制\n\n75. 如第14段所述，R4当时的董事为R3。公司记录显示，AMTD亦为R4的唯一股东。公司记录副本现列为证物CSW-5。实质上，R3已取得R4的唯一所有权。于2017-02-03，R3指示Haitong International委任R25为R4证券账户的唯一授权签字人。鉴于R3先前曾代表R1调动资金认购股份配售，而R25亦为R1的雇员，委任R3为R4董事及R25为账户签字人的安排显示，R4的资产受R1的实际控制。\n\n76. 于2017-07-03，R4出售150,000,000股Haitong股份，并收取约HK\\$ 1.94 billion。R25是唯一的账户授权签字人，并由其签字授权出售该等股份。在收取出售股份所得款项后，R25指示Haitong International从R4向Anton（R20）的DBS账户转移HK\\$ 1.2 billion。一份详列上述资金流向的图表，现列为证物CSW-44。\n\n77. 如前述各段所述，R4受R1的实际控制。R20的董事曾在R1的不同雇员之间不时变更，最终变更为R1的女儿。源自出售R4股份（受R1实际控制）所得的HK\\$1.2 billion，亦已存入R20的DBS账户。这表明R20是另一家受R1实际控制的公司。R20的资产是R1的可变现财产。\n\n香港交易所批准股份配售上市的先决条件\n\n78. HKEX（香港交易所）的配售股份完成，以满足相关条件为前提，该等条件包括取得以下各方的批准：(i) 股东；(ii) China Securities Regulatory Commission（中国证券监督管理委员会，“CSRC”）；及 (iii) HKEX。\n\n作为特别决议案的股东批准\n\n79. 配售股份须于2015-02-09举行的特别股东大会（“EGM”）上，获得合计持有总股份三分之二（2/3）的有表决权股东（或其代理人）投票赞成该特别决议案。A股和H股分别计算，若Haitong未能获得A股股东或H股股东任一方的批准，该特别决议案即不会获通过。参加2015-02-09特别股东大会且所持股份超过出席该特别股东大会的A股参与者三分之一的A股股东确认，如其知悉同一人对四名被质疑的配售对象拥有实际有效控制权这一事实，其不会投票赞成发行新H股的特别决议案。\n\n案号 22-50073 文件 2032-1 于07/25/23提交 于07/25/23录入 13:27:53 第28页，共\n\nChina Securities Regulatory Commission（中国证券监督管理委员会，CSRC）\n\n80. CSRC确认，在此情形下，四名被质疑的配售对象取得配售股份，将被视为有人对该等配售对象拥有实际有效控制权。由于认购总额超过5%，且未向CSRC提交以取得批准，此举将违反内地《证券公司监督管理条例》第14条及《中华人民共和国证券法》第129条。如四名被质疑的配售对象受同一人实际有效控制一事已告知CSRC，CSRC不会授予日期为2015年5月4日的证监许可 [2015] No. 811批准。上述批准副本作为CSW-45附件提交。\n\nHong Kong Stock Exchange（香港交易所，HKEX）\n\n81. HKEX根据《证券及期货条例》（SFO）第21条负有法定职责，在合理可行范围内确保在HKEX交易的证券市场有序、信息充分及公平。HKEX上市部确认，如其知悉CSRC的批准是通过虚假或误导性陈述、遗漏、欺诈或欺骗手段取得，并因此违反内地适用法律、法规及规则，HKEX不会授予发行新H股的有条件上市批准。\n\n案件二——按揭贷款欺诈\n\n案件背景\n\n82. R2是Leading Shine Limited（领耀有限公司，R24）的唯一股东（及董事）。该公司于2011年初以HKS 880 million的对价，从Higo Force Company Limited（海高力有限公司）购入位于South Bay Road 20及22号的房屋（下称“South Bay Property（南湾物业）”）。\n\n83. 警方调查显示，R24支付的购房款来源于：\n\n(a) 约HK\\$ 251 million，该款项来源于内地发生的一宗贷款欺诈（“the Mainland Fraud（内地欺诈）”）的所得收益；及\n\n(b) China Construction Bank (Asia) Corporation Limited（中国建设银行（亚洲）股份有限公司，CCBA）在香港提供的HKS 298 million按揭贷款，该贷款由China Construction Bank in Beijing（中国建设银行北京分行，CCB-Beijing）出具的备用信用证担保，其资金来源于内地欺诈的所得收益。\n\n内地欺诈（R1及YANG Ying（杨英））（A）\n\n84. 在所有相关期间，R1对内地公司Beijing Pangu Investment Company Limited（北京盘古氏投资有限公司，下称“Pangu”）拥有实际有效控制权。LU Tao（吕涛）在Pangu担任副总经理，YANG Ying（杨英）担任财务总监。\n\n85. 警方调查显示，2010年，R1指示LU Tao（吕涛）及YANG Ying（杨英）安排向Agricultural Bank of China Limited (Beijing)（中国农业银行北京分行）借取RMB\\$ 3.2 billion贷款，表面用途为翻新Pangu拥有的不同物业。为支持该贷款申请，Pangu与Beijing Chengjian Wu Construction Engineering Company Limited（北京城建五建设工程有限公司，“Chengjian Wu”）签订了一份建筑合同，但事实上并不存在该等翻新工程。\n\n86. R1指示YANG Ying（杨英）向Agricultural Bank of China Limited (Beijing)提交该虚假合同，该贷款于约2010年12月获批。\n\n87. 根据R1的指示，YANG Ying（杨英）通过地下汇兑机构，将所获贷款中超过RMB\\$ 600 million汇至香港。\n\n88. Agricultural Bank of China Limited (Beijing)确认，如其知悉Pangu提供的翻新合同属虚假，银行不会批准该笔RMB\\$ 3.2 billion贷款。\n\n89. 2017年6月，LU Tao（吕涛）、YANG Ying（杨英）及另一名雇员，就内地欺诈罪在内地Liaoning Province Dalian Xigang People's Court（辽宁省大连市西岗区人民法院）被判有罪。法院判决书副本作为CSW-46附件提交。\n\n内地欺诈所得收益为购买South Bay Property流入香港的资金流向\n\n90. 详述内地欺诈资金流向的图表作为CSW-47附件提交。为R1工作的财务总监YANG Ying（杨英）遵照R1指示，将内地欺诈所得收益汇至香港。为促成该等犯罪所得汇入香港，R1将其朋友HAN Zijing（韩子劲，“HAN”）介绍给YANG Ying（杨英）。\n\n91. 警方调查显示，YANG Ying（杨英）接触了HAN（韩子劲）的会计师，该会计师与内地和香港的汇兑机构均有业务联系。为将资金从内地转移至香港，该会计师会指示YANG Ying（杨英）将款项存入内地指定账户。该会计师会与内地及香港的汇兑机构协调，并安排将资金存入香港指定受益人的账户。\n\n92. 此外，HAN（韩子劲）曾从R1收取RMB\\$ 20 million，以将该金额汇至香港。受益账户为香港的Sail Victory Limited（胜帆有限公司，“Sail Victory”）。HAN（韩子劲）在内地从R1收取RMB\\$ 20 million后，从其由White Horse Holdings Limited（白马控股有限公司，“White Horse”）持有的香港公司账户中，向Sail Victory划付约HK\\$ 26 million。授权书及记录副本作为CSW-48和CSW-49附件提交，显示White Horse签发的三张支票合计HK\\$ 26,587,500，已存入Sail Victory账户。\n\n93. R1向HAN（韩子劲）提供的上述RMB\\$ 20 million来源于内地欺诈。该HK\\$ 26,587,500是R1安排洗入香港的犯罪所得金额，该行为将支持对其提出刑事指控。\n\n94. R1通过Sail Victory收取HK\\$ 26,587,500资金，其明知或相信该资金代表可公诉罪行的所得收益，后被用于在香港购买South Bay Property。其等亦使用HAN（韩子劲）的会计师协助将款项汇至香港。\n\n对Sail Victory账户的调查\n\n95. 鉴于Sail Victory账户涉及收取欺诈所得收益，警方对其交易进行了调查。Sail Victory在Bank of China (Hong Kong) Limited（中国银行（香港）有限公司）设有账户。\n\n96. Sail Victory是一家英属维尔京群岛公司，由R2全资拥有，R2亦为唯一签字人。开户授权书及交易记录副本作为CSW-50和CSW-51附件提交。2010-12-30至2011-03-30期间，该账户从超过70个实体收取合计约HK\\$ 851,369,598的存款。\n\n97. 港币和美元账户的提款交易概述如下表：-\n\n序号　日期　金额（HKS）　受益人\n\n1　2011-01-19　83,000,000.00　New Dynamic Development Limited（新动力发展有限公司）\n（由R1全资拥有的公司）\n2　2011-01-19　28,000,000.00　卖方按揭账户\n3　2011-01-19　37,400,000.00　香港特别行政区政府\n（South Bay Property的印花税）\n4　2011-03-18　421,713,387.00　Leading Shine Limited（R24）\n5　2011-03-30　118,500,000.00　卖方按揭账户\n合计　688,613,387.00\n\n序号　日期　金额（USS）　受益人\n\n2011-01-26　7,589,470.29　不适用\n2011-02-02　10.500.036.00　Airbus（空中客车公司）（BNP Paribas U.S.A-New York）\n\n2011-03-29　2.910.580.00　Leading Shine Limited（R24）\n\n合计　21,000,086.29　（约HK\\$ 162.750.668.7）\n\n98. 资金流向分析显示，大部分约HK\\$ 628,170,382的提款（HK\\$ 605,613,387.00 + US\\$ 2,910,580.00）被用于支付购买South Bay Property的款项。支出的性质进一步表明，Sail Victory账户被用于支付物业购置款。警方调查显示，Sail Victory的资金来源于内地发生的RMB\\$ 3.2 billion欺诈案。\n\n99. 警方就向Sail Victory账户存入资金的存款人（超过70个实体）进行了调查。尽管部分存款人无法联系，或因时间久远未能回忆详情，但其中8名存款人为一家本地大型汇兑机构控制的实体。\n\n100. 该本地大型汇兑机构说明了内地与香港之间汇款的程序。每当客户要求将款项从内地汇至香港时，该客户仅需将该金额存入指定的内地账户。一旦在内地收到资金，该机构便会从其香港账户向所提供的受益人转账。这是一种在内地与香港之间开展兑换汇款业务时普遍采用的对冲机制。\n\n101. 该本地大型汇兑机构控制的上述8名存款人，在内地以平均RMB\\$ 1兑HK\\$ 1.19的汇率收取RMB\\$ 188,700,000后，向Sail Victory账户作出64笔存款，合计HK\\$ 224,755,830。该本地汇兑机构亦提供了处理该等汇款的内地公司账户名称，经识别，该等账户为收取RMB\\$ 3.2 billion欺诈案犯罪所得收益并用于汇款的内地公司账户。这表明R1与YANG Ying（杨英）共谋，对该合计HK 224,755,830、其明知或相信代表可公诉罪行所得收益的款项进行洗钱。\n\n(B) 香港按揭贷款欺诈（下称“HK Mortgage Fraud（香港按揭欺诈）”）（R1及R2）\n\n102. 为支付购买South Bay Property的款项，R2向CCBA申请一笔HK\\$ 298 million按揭贷款。鉴于R2为内地商人，且R24是一家未在香港开展真实业务的空壳公司，CCBA在考虑R24的申请时施加了以下条件：\n\n(a) R2提供无限额个人担保；\n\n(b) R24向R24的Charge Over Account（抵押账户）提供初始存款；\n\n(c) South Bay Property的第一法定押记；及\n\n(d) CCB-Beijing出具的HK\\$ 79 million（等于RMB\\$ 70 million）备用信用证。\n\n103. 为满足条件(d)，必须申请备用信用证。R1及R2指示YANG Ying（杨英）安排将内地欺诈犯罪所得中的RMB\\$ 50 million及其他来源的RMB\\$ 20 million存入CCB-Beijing，以支持向CCBA出具金额为HK\\$ 79 million（等于RMB\\$ 70 million）的备用信用证，为R2在香港申请按揭贷款提供担保。\n\n104. 在满足上述条件后，香港CCBA于2011-03-30批准该按揭贷款。R2作为唯一董事及股东，代表R24签署融资函。2011-03-31，该笔HK\\$ 298 million贷款被提取并支付至卖方账户。\n\n105. 香港的CCBA确认，如其知悉用于申请备用信用证的存款源自犯罪所得，香港的CCBA不会批准HK$ 298 million按揭贷款。\n\n南湾物业的对价结算\n\n106. 日期为2011-01-19的买卖协议以及南湾物业的土地查册记录，分别作为CSW-52和CSW-53附件提交。\n\n107. 除其他事项外，HK$ 880 million的对价按如下方式结算：\n\n(a) 于签署临时协议时，即2011-01-05，向卖方的律师Baker & McKenzie（贝克·麦坚时）支付HK$ 60 million的首期定金；\n\n(b) 于2011-01-19或之前的14日内，向卖方支付HK$ 28 million的进一步定金；\n\n(c) 于完成该物业的买卖时，向卖方支付HK$ 792 million的购房款余额。\n\nHK$ 60 million首期定金的结算\n\n108. New Dynamic Development Limited（新动力发展有限公司）为R1当时全资拥有的公司。公司记录副本作为CSW-54附件提交。\n\n109. 上述公司在Standard Chartered Bank（渣打银行）开设账户，R1为唯一签字人。于2010-12-31及2011-01-05，R1开立两张总额为HK$ 60 million的本票，以结算HK$ 60 million的首期付款。银行授权书及记录副本分别作为CSW-55和CSW-56附件提交。该等文件显示R1参与该物业交易，并对南湾物业享有权益。自2012年3月至2014年10月，约HK$ 62 million的每月贷款还款亦从该账户支付。\n\n向卖方支付HK$ 28 million的进一步定金\n\n110. R2为Sail Victory（赛尔胜利）的唯一股东，该公司在Bank of China (Hong Kong) Limited（中国银行（香港）有限公司）开设账户。于2011-01-19，该账户开立一张HK$ 28 million的本票，并存入卖方的按揭账户。这是第97段所述的第2笔交易。\n\nHK$ 792 million购房款余额\n\n111. 结算购房余额的构成如下：\n\n序号　交易日期　存款人　资金收款人　金额（HK$）\n\n1　2011-03-31　CCBA　卖方按揭账户　298 million\n\n2　2011-03-30　Stevenson, Wong & Co.（史蒂文森、黄律师事务所）　卖方按揭账户及各项偿还款　375.5 million\n\n3　2011-03-30　Sail Victory的BOC账户　卖方按揭账户　118.5 million\n\n合计　792 million\n\n112. 警方调查确认，HK$ 298 million按揭贷款由R1及R2以欺诈手段取得。因此，该全部款项均为犯罪所得。就YANG Ying（杨英）按R1指示安排汇往香港的HK$ 224,755,830（见第101段），以及HAN（韩子劲）按R1指示汇入Sail Victory账户的HK$ 26,587,500（见第93段）而言，该等款项亦属源自内地欺诈的犯罪所得。该两笔款项最终通过直接支付至卖方指定账户或经律师账户，用于结算南湾物业的购房款。交易记录副本作为CSW-57附件提交。\n\n113. 鉴于针对R1的不利新闻，CCBA于2015年7月终止与R24的客户关系。于2015-07-22，R24结清未偿贷款HK$ 314,191,551.50。还款资金源自AMTD以其持有的Haitong股份作质押，从Haitong Securities International Company Limited（海通证券国际有限公司，“Haitong International”）提取的HK$ 310 million保证金贷款。该笔资金经AMTD、Ace Decade（R18）的多层账户流转，最终流至R24。概言之，AMTD的股份是R1及R3在配股中实施串谋欺诈的结果。\n\n114. R1及R2的犯罪所得为HK$ 549,343,330（HK$ 298 million + HK$ 224,755,830 + HK$ 26,587,500），该等款项用于结算南湾物业的对价，约占HK$ 880 million购房款的62%。\n\n115. R1已支付HK$ 60 million的首期定金；作出每月贷款还款；World Century（环球世纪）的公司记录作为CSW-59附件提交。虚假的包机协议作为CSW-60附件提交。\n\n120. CCBA要求提供进一步书面证明，以显示源自飞机租赁的汇款已从内地汇至香港。\n\n121. 由于Minzu Securities（民族证券）并非从事外商投资的公司，其无资格购买外汇汇款。因此，R1及R2使用由R2实际控制的另一家公司Beijing Mileson Investment Inc.（北京迈尔森投资有限公司，“Mileson”）购买外汇汇款，以进行该交易。\n\n122. R1指示其雇员以Mileson名义向State Administration of Foreign Exchange（国家外汇管理局，“SAFE”）申请向香港汇款，并虚假声称该款项与真实的飞机租赁付款有关。\n\n123. 然而，为该目的汇款的审批程序，即结算飞机租赁付款，出乎意料地经历了漫长的审核过程，R1无法等待。该等雇员随后按R1指示提交四份虚假合同，虚假声称Mileson已从World Century购买家具，并向Bank of Communications (Beijing)（交通银行（北京））申请该等汇款。于2012-12-20至2013-10-22期间，四笔总额为US$ 13.5 million的汇款成功汇入World Century的一个香港银行账户。Mileson与World Century就家具贸易订立的虚假合同副本作为CSW-61附件提交。\n\n124. 为向CCBA提供书面证明，显示汇往香港的款项为飞机租赁付款，R1指示其在内地的雇员伪造据称由SAFE签发的飞机费用汇款收据。该等虚假收据随后提交给CCBA。一份副本作为CSW-62附件提交。\n\n125. 详述该飞机贷款欺诈的图表作为CSW-63附件提交。CCBA确认，如其知悉飞机租赁业务从未存在，其不会批准向Well Origin（威尔起源）提供的US$ 21 million贷款。概言之，R1及R2通过欺诈，即提交虚假的汇款收据及虚假的包机协议，从CCBA取得US$ 21 million的飞机贷款。R1及R2的犯罪所得为US$21 million。\n\n对R1位于BANK OF CHINA TOWER IV（中国银行大厦IV座）49/F办公室的搜查\n\n126. 警方调查显示，R1实际控制的各公司的文件存放于Bank of China Tower（中国银行大厦）49/F。于2017-08-03，警方在Bank of China Tower 1/F的电梯大堂拘捕R3。R3随后带领警方前往其位于Bank of China Tower 49/F的办公室。进入后，警方注意到该办公室中央设有会议室，并分别连接左侧及右侧两个区域。经向在场人士查询，警方确认William JIE（谢威廉）及R3分别占用两个区域经营各自业务。\n\n127. 警方随后执行搜查令，对整个楼层进行搜查。除其他物品外，在R1及R3占用的区域内发现了一些与其他答辩人有关的扣押物品，概述如下表：\n\n答辩人　说明\n\nR1　一份R1的美国个人所得税申报表\n一套美国财政部致R1的信函\n一份R1的公证书\nR1个人Chase账户的交易记录\n一份出生日期及姓名更正证明书\nR1的American Express卡银行结单\n\nR2　R2的American Express信用卡银行结单\n\nR4　Haitong International于2017-01-04向R4发出的一套账户余额确认书\nR4致Commerce Overseas Limited（商务海外有限公司）要求变更董事的信函\n\nR7　R7的94份汇款通知书及银行文件\n（包括49份与配股欺诈有关的通知书）\n\nR8　R8的17份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR9　R9的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR10　R10的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR11　R11的9份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR12　R12的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR13　R13的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR14　R14的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR15　R15的10份汇款通知书及银行文件\n（包括7份与配股欺诈有关的通知书）\n\nR16　R16的46份汇款通知书及银行文件\n\nR17　R17的15份汇款通知书及银行文件\n（包括3份与配股欺诈有关的通知书）\nR17、R20、Blackpine Advisors Limited（黑松顾问有限公司）及CHU Sheung-yu Lawrence（朱尚裕劳伦斯）之间的一份和解及赔偿契据；R17委任R3为代理人及获授权签字人的书面决议\n\nR18　R18的28份汇款通知书及银行文件\n（包括8份与配股欺诈有关的通知书）\n\nR19　R19的99份汇款通知书及银行文件\n（包括12份与配股欺诈有关的通知书）\n\nR20　Head Win Group Limited（海德胜集团有限公司）与R20之间、由R1及R3签署的飞机买卖协议\n由R25签署的13份银行文件／申请书\n一份由R26为Well Origin签署的申请表\n\nR21　R21的3份USB-HK银行文件\n\nR22　R22的员工福利清单\n一套R22的零用现金报销表\n\nR23　一份由R25及QUO Mei（郭美）签署的转让文书\n由R23发出的六套索赔表\n一间工程公司向R23发出的两套确认书\n多本由R25签署的R23未使用支票簿\n\nR24　建筑事务监督就南湾物业向R24发出的一套命令\n一间工程公司向R24发出的一张发票\n一份与R24拥有的南湾物业有关的合同及付款文件\n\nR25　一份载有R25姓名的员工联络名单\n一份由R25为R20签署的聊天应用程序文件\n一份关于R3委任R25为R20代理人及获授权签字人的决议副本\n\nR26　一份由R26为Well Origin签署的航空咨询服务合同\n\nR27　一份由R27签署、委任R3为R17代理人及获授权人的决议\n\n128. 检获R1、R2的个人财务文件，以及其他答辩人的银行及公司文件，显示Bank of China Tower 49/F的办公室由R1用于经营其他答辩人的业务。这亦进一步证明其他答辩人受R1实际控制。\n\nV. 答辩人的现况\n\n129. 自2014年11月起，出现针对R1的不利新闻，显示内地当局已对其展开调查。于2015年1月，曾受R1贿赂的内地政府官员在内地被捕。\n\n130. R1最后一次进入香港是在2014-11-30，并于2015-01-01经机场离开香港前往不明目的地。R1此后未再返回香港。R1的出入境记录副本作为CSW-64附件提交。警方调查显示，R1最后已知地址为Unit 1801, the Sherry Netherland, 781, 5th Avenue, New York, US 10022。\n\n131. R2最后一次进入香港是在2015-01-09，并于2015-01-10经机场离开香港前往不明目的地。R2此后未再返回香港。R2的出入境记录副本作为CSW-65附件提交。警方调查显示，R2最后已知地址为Unit 1801, the Sherry Netherland, 781, 5th Avenue, New York, US 10022。\n\n132. R3于2017-08-03因“洗钱”及“串谋诈骗”被警方逮捕。2017-08-05，R3获警方保释。R3未按警方保释要求报到，并于2017-08-14离开香港前往内地。此后她一直未返回。向公安局查询未能确定R3目前的确切下落。R3出入境记录副本作为CSW-66号证物附呈。\n\n133. R25于2016-09-20在香港机场离开香港前往不明目的地。此后他一直未返回，其目前的确切下落不明。R25出入境记录副本作为CSW-67号证物附呈。\n\n134. R26于2017-04-19离开香港前往内地，此后一直未返回。其目前在内地的确切下落已知。R26出入境记录副本作为CSW-68号证物附呈。\n\n135. R27于2014-12-18离开香港前往内地，此后一直未返回。其目前在内地的确切实际下落已知。R27出入境记录副本作为CSW-69号证物附呈。\n\n六、刑事诉讼程序\n\n136. 就三宗案件中R1至R3的刑事责任征求了法律意见。\n\n137. 于2018-09-05及2018-09-28，就下列罪行取得针对R1至R3的逮捕令：\n\n（一）关于股份配售诈骗\n\n（i）一项“串谋诈骗”罪，违反普通法，并可根据《刑事罪行条例》（第200章）第159C(6)条处罚（针对R1及R3）；\n\n（ii）四项“处理明知或相信为可公诉罪行得益的财产”罪，违反《有组织及严重罪行条例》（第455章）第25(1)及(3)条（针对R3）；\n\n（二）关于按揭诈骗案\n\n（i）一项“诈骗”罪，违反《盗窃罪条例》（第210章）第16A条（针对R1及R2）；\n\n（ii）一项“串谋处理明知或相信为可公诉罪行得益的财产”罪，违反《有组织及严重罪行条例》第25(1)及(3)条，以及《刑事罪行条例》（第200章）第159A及159C条（针对R1）；\n\n（iii）一项“处理明知或相信为可公诉罪行得益的财产”罪，违反《有组织及严重罪行条例》（第455章）第25(1)及(3)条（针对R1）；\n\n（三）关于飞机贷款诈骗\n\n（i）一项“诈骗”罪，违反《盗窃罪条例》（第210章）第16A条（针对R1及R2）。\n\n七、针对R1至R2的限制令程序\n\n138. 根据《有组织及严重罪行条例》第15(1)条授予限制令的条件载于该条例第14条，即：\n\n（i）已在香港就指明罪行对被告提起诉讼程序；\n\n（ii）该诉讼程序尚未终结；以及\n\n（iii）有合理理由相信被告已从该指明罪行中获益，且该收益超过HK$100,000。\n\n（一）提起诉讼程序：\n\n139. 《有组织及严重罪行条例》第2(15)条将“就罪行提起诉讼程序”界定如下：\n\n（a）裁判官就该罪行根据《裁判官条例》（第227章）第72条发出手令或传票时；\n\n（aa）某人因该罪行被捕并获保释，或被拒绝保释时；\n\n（b）某人在未持手令被羁押后被控该罪行时；或\n\n（c）法官根据《刑事诉讼程序条例》（第221章）第24A(1)(b)条指示或同意提出起诉书时。\n\n140. 在就上述罪行向R1至R2发出逮捕令时，已对其提起诉讼程序；该等罪行均为《有组织及严重罪行条例》所界定的指明罪行，且该诉讼程序尚未终结。向R1至R3发出的逮捕令副本作为CSW-70号证物附呈。\n\n（二）有合理理由相信R1至R2已从指明罪行中获益：\n\n141. 根据《有组织及严重罪行条例》第2(8)条：\n\n就本条例而言，任何人在任何时候（不论是在本条例生效前或生效后）因实施罪行或有组织罪行而收取任何付款或其他报酬，即已从该罪行或有组织罪行中获益，视情况而定。\n\n142. 《有组织及严重罪行条例》第2(6)条规定，某人从指明罪行所得的得益为：\n\n（a）某人从罪行所得的得益为：\n\n（i）其在任何时候（不论是在1994年12月2日前或后）因实施该罪行而收取的任何付款或其他报酬；\n\n（ii）其直接或间接从任何该等付款或其他报酬中取得或变现的任何财产；以及\n\n（iii）因实施该罪行而取得的任何金钱利益。\n\n（b）该人从该罪行所得得益的价值，为下列各项价值的总和：\n\n（i）该等付款或其他报酬；\n\n（ii）该财产；以及\n\n（iii）该金钱利益。\n\n143. 在本案中，针对R1至R2的证据概述如下：\n\n关于股份配售诈骗——Haitong（海通）\n\n144. R1及R3连同其他人士显然参与了与股份配售诈骗有关的“串谋诈骗”，因为他们欺骗HKEX（香港交易及结算所有限公司），使其批准Haitong新H股上市及买卖。针对R1的证据如下：\n\n（a）四名承配人Dawn State（道恩州）、AMTD、BSA Fund及Insight Fund（洞察基金）均实际上由R1控制。R3按照R1的指示，积极从R1控制的公司账户调拨资金，为四名承配人，即R5、R6、Dawn State Limited（道恩州有限公司）及AMTD，就涉案股份配售提供资金；\n\n（b）该安排旨在隐瞒R1为所认购股份的实际控制人，以规避CSRC（中国证券监督管理委员会）关于认购超过已发行股份总数5%须申报并寻求批准的法律要求；\n\n（c）CSRC确认，R1及其他人士所作出的上述安排和资金渠道本会违反5%规则，CSRC本不会发出监管意见并批准该股份配售；\n\n（d）曾就该股份配售投票的主要股东确认，如其得悉4名承配人均由同一人控制和提供资金，便会推翻其决定；\n\n（e）如无CSRC批准（或CSRC批准是以欺骗手段取得）及股东同意，HKEX本不会批准该股份配售。\n\n关于按揭诈骗——South Bay Property（南湾物业）\n\n145. R1及R2共同对香港CCBA实施诈骗，以取得HK$ 298 million的按揭贷款，为购买South Bay Road Property（南湾道物业）提供资金。针对R1及R2的证据如下：\n\n（a）内地判决书及内地证人证明，RMB$ 3.2 billion为通过诈骗Agricultural Bank of China Limited（中国农业银行股份有限公司）取得的犯罪得益；\n\n（b）内地诈骗案共谋者YANG Ying（杨英）按照R1及R2的指示，将该RMB$ 3.2 billion中的RMB$ 50 million转入CCB(Beijing)（中国建设银行〈北京〉），以申请备用信用证；\n\n（c）该备用信用证促成在香港向R24授予HK$ 298 million的按揭贷款，而R2为R24的唯一股东；\n\n（d）若香港CCBA知悉该备用信用证由犯罪得益支持，便不会向R24批准该HK$ 298 million按揭贷款。\n\n146. R1犯有“串谋洗钱”罪，因为其与YANG Ying串谋，使用Sail Victory（赛尔维克托里）的银行账户收取合共HK$ 224,755,830；该款项明知或相信为可公诉罪行得益，并按R1指示经汇款代理机构从内地汇入香港。R1又通过Sail Victory的银行账户收取RMB$ 20 million（相当于HK$ 26,587,500），从而犯有另一项“洗钱”罪；该款项明知或相信为可公诉罪行得益，并按R1的指示经HAN（韩子劲）从内地转入香港。针对R1的证据如下：\n\n（a）R1是RMB$ 3.2 billion内地诈骗案的主使人；\n\n（b）Sail Victory账户的银行交易揭示了存款人的身份。八名存款人由一家大型汇兑机构经营，该机构确认，合共64宗、总额为HK$ 244,755,830的交易，是内地汇兑机构的收款端；YANG Ying（杨英）曾在该等内地汇兑机构存款，以将诈骗所得消散并转入香港。YANG Ying（杨英）一直就该等交易遵从R1的指示；\n\n（c）就另一宗RMB$ 20 million（相当于HK$ 26,587,500）的交易，R1指示HAN（韩子劲）安排将RMB$ 20 million的内地诈骗所得转入Sail Victory的银行账户；\n\n（d）R1及R2为父子关系。Sail Victory是一家没有真实业务的空壳公司。尽管R2是Sail Victory的唯一股东，但可推断R1是Sail Victory的最终实益拥有人。\n\n关于飞机贷款\n\n147. R1及R2通过诈骗从CCBA取得US$21 million贷款。针对R1及R2的证据如下：\n\n（a）R2是Well Origin（威尔奥里金）的唯一董事及股东，而Well Origin在关键期间是World Century（环球世纪）的唯一股东。此外，R2是World Century的董事。因此，R2完全控制该两家公司；\n\n（b）于2012年，Well Origin向CCBA提交一份虚假且不存在的飞行租赁合同，声称World Century已收取经常性飞机租金，因而从CCBA取得US$ 21 million的贷款额度；\n\n（c）该集团成员按照R1的指示，向香港CCBA提交一份据称由SAFE（国家外汇管理局）发出的伪造汇款收据副本。该收据使CCBA相信存在经常性租金付款，因而授予贷款；\n\n（d）CCBA确认，如该银行知悉Chartered Flight Agreement（包机协议）或SAFE收据属虚假，便不会向Well Origin授予US$ 21 million贷款；\n\n（e）制作Chartered Flight Agreement的共谋者LU Tao（吕涛）及JIE Honglin（解洪淋）承认其不当行为，并表示其按照R1的指示行事。\n\n148. 鉴于上述情况，R1至R2分别已从逮捕令所列的指明罪行中获益。\n\n149. R1从股份配售诈骗所得的得益金额为HK$ 9,585,606,603.4，即股份上市时的现行市价与向承配人提供的折让价格之间的差额（即HK$ 17.18）。计算详情如下：\n\n承配人名称　新认购H股数目　配售完成日期　紧接认购股份前一个营业日的每股收市市价（每股得益）　得益（HK$）（按每股得益乘以认购股份数目计算）\n\nDawn State　569,427,620　2015-05-15　HK$ 23.15（HK$ 5.97）　3,399,482,891.4\n\nLimited　496,478,800　2015-05-29　HK$ 24.30（HK$ 7.12）　3,534,929,056\n\nMaunakai Capital Partners (Hong Kong) Limited（毛纳凯资本合伙人〈香港〉有限公司）\n\nInsight Capital Management (Hong Kong) Limited（洞察资本管理〈香港〉有限公司）　223,415,200　2015-05-29　HK$ 24.30（HK$ 7.12）　1,590,716,224\n\nAmtd Special Holdings Limited（尚乘特别控股有限公司）　148,943,600　2015-05-29　HK$ 24.30（HK$ 7.12）　1,060,478,432\n\n总计　1,438,265,220　1　1　9,585,606,603.4\n\n150. 就按揭诈骗案而言，R1及R2共同取得的得益为从香港按揭诈骗取得的HK$ 298 million，以及从内地诈骗所得、转入香港的HK$ 224,755,830加HK$ 26,587,500。R1取得的得益小计为HK$ 400,343,330 [HK$ 298 million/2 + HK$ 224,755,830 + HK$ 26,587,500]，而R2取得的得益为HK$ 149,000,000 [HK$ 298 million/2]。\n\n151. 警方调查显示，在来自犯罪所得的 HK$ 880 million 中，有 HK$ 549,343,330 [HK$ 298 million + HK$ 224,755,830 + HK$ 26,587,500] 已用于支付 South Bay Property（南湾物业）的购买价款，约占 HK$ 880 million 购买价款的 62%。South Bay Property 的价值已升至 HK$2.224 billion（截至 2018-07-31）。\n\n152. 就 Aircraft Loan Fraud（飞机贷款诈骗）而言，R1 和 R2 收取的犯罪所得为 US$ 21 million（约 HK$ 162.75 million）。\n\n153. R1 和 R2 从三宗案件中获得的利益如下表所列。R1 获益 HK$10,067,324,933.40，而 R2 获益 HK$230,375,000。\n\n罪行　R1　R2\n\n配售股份诈骗　HK$ 9,585,606,603.40\nSouth Bay Road Property（南湾道物业）\n按揭贷款诈骗案　HK$ 400,343,330　HK$ 149,000,000\n飞机贷款　HK$ 81,375,000　HK$ 81,375,000\n合计　HK$10,067,324,933.40　HK$230,375,000\n\nVIII. 被申请人的可变现财产\n\n154. 根据 OSCO 第 15(1) 条作出的限制令可限制的财产载于第 15(2) 条；该条尤其规定，限制令可适用于由特定人士持有的所有可变现财产。\n\n155. 可变现财产在 OSCO 第 12(1) 条中界定，并尤其包括：-\n\n- (a) 由被告持有的任何财产；\n- (b) 由被告直接或间接馈赠财产予以的人士所持有的任何财产；\n- (c) 由被告实际控制的任何财产。\n\n(A) R1 的可变现财产\n\n(a) R1 持有的下列银行账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n1　The Hongkong and Shanghai Banking Corporation Limited（香港上海汇丰银行有限公司）　HK$ 651,977.46\nHK$ 647,424.32\nUS$ 304,442.45\nJPY 497\n合计：　HK$ 3,658,865.56\n\n(b) R3 持有但受 R1 实际控制的下列银行账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n2　DBS Bank (Hong Kong) Limited（星展银行（香港）有限公司）　HK$ 4,338,167.19\n\n备注：\n\n156. 据报，R3 是 R22 的女经理，每月收入约为 RMB$ 20,000。R3 个人账户中的款项来自 R20 一笔 HK$ 8 million 的一次性存款，与 R3 的财务背景不相称。\n\n(c) 从下列场所扣押、受 R1 实际控制的如下金额现金\n\n序号　实体　金额　总金额\n\n3　现金\n（在 2017 年 8 月搜查行动中\n于 Bank of China Tower（中国银行大厦）49/F 内扣押）　HK$ 1,244,730\nGBP 70,000\nUS$ 100,000\nEUR 57,877.60　HK$ 3,522,940.36\nJPY 3,119,300\nAED 11,000\nCHF 710.35\n\n备注：\n\n157. 在 2017 年 8 月搜查 Bank of China Tower 49/F 的办公室期间，R3 持有可开启两个装有不同货币现金保险箱的钥匙。鉴于 R3 的财务背景，以及其作为 R1 在香港的财务经理的职位，现提交称，公司保险箱内约 HK$ 3.5 million 的现金是 R1 的备用现金，并受 R1 实际控制。\n\n(d) R4 持有但受 R14 实际控制的下列账户中贷方余额所代表的诉权\n\n4 见第 75 至 77 段。目前，R4 的董事及股东分别为 R3 和 AA Global Ventures Limited（此前为 AMTD）。\n\n序号　机构名称　账户号码　余额\n\n4　Haitong International Securities Company Limited（海通国际证券有限公司）　HK$ 40,691,385.46\n\n(e) R4 持有但受 R1 实际控制的下列账户中持有的证券\n\n序号　机构名称　账户号码　股份余额\n\n5　Haitong International Securities Company Limited（海通国际证券有限公司）　Haitong Securities Company Limited（海通证券股份有限公司）　9,600,000 股\n（Haitong）\n合计：9,600,000 股（Haitong）　HK$ 70,272,000.00\n\n（按 2018-09-24 收市价计算，在香港上市的 Haitong（6837）：HK$7.32；在上海上市的 Founder Securities（方正证券）（601901）：RMB$ 5.54/ HK$ 6.371）\n\n(f) R5 持有但受 R15 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n6　DBS Bank Limited（星展银行有限公司）　US$ 53,418.00\n7　RMB$ 2,438,148.00\n8　Hong Kong Branch（香港分行）　HK$ 51,708,360.00\n9　Haitong International Securities Company Limited（海通国际证券有限公司）　HK$ 4,885,665.63\n10　HK$ 8,053,387.33\n11　Oceanwide Securities Company Limited（泛海证券有限公司）\n（此前称为 Quam Securities Company Limited）　RMB$ 18,649,277.26\n12　BOCOM International Securities Limited（交银国际证券有限公司）　HK$ 17,411,817.04\nRMB$ 51,937.81\n\n5 见第 53 至 55 段。R5 的 11 名投资者为 R1 开立了该等账户。\nHK$ 307,617.19\n\nHK$ 107,091,104.22\n\n序号　机构名称　账户号码　股份余额\n\n14　DBS Bank Limited（星展银行有限公司）\nHong Kong Branch（香港分行）　101,844,000 股\n（Haitong）\n15　Haitong International Securities Company Limited（海通国际证券有限公司）　19,463,200 股\n（Haitong）\n16　31,835,600 股\n（Haitong）\nOceanwide Securities Company Limited（泛海证券有限公司）\n（此前称为 Quam Securities Company Limited）　49,000,000 股\n（Haitong）\n17　（未偿还保证金贷款\nHK$ 59,062,279）　6,204,909 股\nFounder Securities（方正证券）\n（Founder）\nBOCOM International Securities Limited（交银国际证券有限公司）　68,868,800 股\n（Haitong）\n\n5,799,834 股\n（Founder）\n合计：271,011,600 股（Haitong）\n12,004,743 股（Founder）　HK$ 2,001,224,850.65\n\n序号　机构名称　账户号码　余额\n20　Bank of China (Hong Kong) Limited（中国银行（香港）有限公司）　HK$ 25,405,113\nUS$ 103\n21　HK$ 2,885.05\n\n22　RMB$ 153,296\n\n23　China Galaxy International Securities (Hong Kong) Co., Limited（中国银河国际证券（香港）有限公司）　RMB$ 14.64\n合计：　HK$ 25,585,103.54\n\n(i) R6 持有但受 R1 实际控制的下列账户中持有的证券\n\n序号　机构名称　账户号码　股份余额\n\n24　Bank of China (Hong Kong) Limited（中国银行（香港）有限公司）　30,065,200 股\n（Haitong）\n17,032,900 股\n（Founder）\n25　GF Securities (Hong Kong) Brokerage Limited（广发证券（香港）经纪有限公司）　（未偿还保证金：\nHK$ 481,649,515.51）　146,000,000 股\n（Haitong）\n26　China Merchants Securities (HK) Co., Ltd（招商证券（香港）有限公司）　（未偿还保证金：\nHK$ 172,505,482）　54,000,000 股\n（Haitong）\n合计：230,065,200 股（Haitong）\n17,032,900 股（Founder）　HK$ 1,138,438,872.68\n\n(j) R7 持有但受 R17 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nUS$ 128.93\n27　RMB$ 796.81\nChina Construction Bank (Asia) Corporation Limited（中国建设银行（亚洲）股份有限公司）　HK$ 50,018.37\n28　HK$ 1,000.00\n29　US$ 128.93\n30　RMB$ 796.88\n\n7 见第 49 段。公司董事及股东为 R26。账户签署人为 R3。\n合计：　HK$ 1,708,644.53\n\n31　China Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）　HK$ 684,175.12\nHK$ 534,854.62\nUS$ 51,924.30\nRMB$ 28,132.12\n\n(k) R8 持有但受 R18 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n32　HK$ 33,449.01\n\nC.\n\n(l) R9 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n33　HK$ 33,929.24\n\n(m) R10 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n34　HK$ 32,517.16\n\n(n) R11 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n8 见第 53 至 55 段及第 60 至 61 段。就 R8-R15 而言，公司董事及股东为 R1 的雇员，R3 是获授权签署人为配售股份调动资金的指示单的签署人。\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n35　HK$ 32,517.16\n\n(o) R12 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n36　HK$ 32,517.16\nHong Kong Branch（香港分行）\n\n(p) R13 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n37　HK$ 32,517.16\n\n(q) R14 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n38　HK$ 32,517.16\n\n(r) R15 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）\n39　HK$ 32,517.16\n\n(s) R16 持有但受 R19 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n40　China Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）　HK$ 381.25\nRMB$ 502,615.69\nUS$ 0.74\nEUR 0.52\n合计：　HK$ 578,399.78\n\n备注：\n\n158. R16 在 CMBC 的授权书副本作为 CSW-71 附件提交。显示 R7、R16、R17、R18、R19、R21 资金流动的资金流向图作为 CSW-72 附件提交。交易显示，R7、R16、R17、R18、R19、R21 相互关联，而进入 R16、R18 和 R21 的全部资金来源均来自 R7 和 R17，后两者受 R1 实际控制。\n\n(t) R17 持有但受 R110 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nUS$ 128.93\n41　RMB$ 797.00\nChina Construction Bank (Asia) Corporation Limited（中国建设银行（亚洲）股份有限公司）　HK$ 50,018.35\n42　HK$ 1,000.00\n43　US$ 128.93\n44　RMB$ 796.94\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）　US$ 79,916.27\n合计：　HK$ 674,200.89\n\n(u) R18 持有但受 R111 实际控制的下列账户中贷方余额所代表的诉权\n\n9 见第 26 段。董事及股东此前为 R25。账户签署人为 R3 和 R25。\n\n10 见第 49 段。公司董事及股东为 R27。账户签署人为 R3。\n\n序号　机构名称　账户号码　余额\n\n46　China Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）　HK$ 1,684.88\nUS$ 93,033.83\n合计：　HK$ 722,697.06\n\n(v) R19 持有但受 R112 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\nChina Minsheng Banking Corp, Ltd Hong Kong Branch（中国民生银行股份有限公司香港分行）　HK$ 145.37\n47　US$ 20,760.73\nRMB$ 30,709.64\n48　DBS Bank (Hong Kong) Limited（星展银行（香港）有限公司）　HK$ 5,045\n49　US$ 448,662.78\n合计：　HK$ 3,678,538.66\n\n(w) R20 持有但受 R1 实际控制的下列账户中贷方余额所代表的诉权\n\n序号　机构名称　账户号码　余额\n\n50　HK$ 15,500,000.00\n51　DBS Bank (Hong Kong) Limited（星展银行（香港）有限公司）　HK$ 829,698,403.54\nUS$ 93,025,947.02\n52　RMB$ 3,007,078.10\n合计：　HK$ 1,569,607,632.76\n\n备注：\n\n159. 自成立以来，R20 的董事及股东均为 R1 的雇员，自开户以来账户签署人为 R3 和 R25。于\n\n11 见第 46 至 48 段及第 50 段。公司董事及股东为 R1 的雇员，配售股份期间账户签署人为 R3。\n\n配售股份期间，账户签署人为 R3。\n12 见第 51 段。公司董事及股东于 2017-06-27 更改为 R1 的女儿，账户签署人为 R3 及 R1 的保镖 R25。账户资金来源于 R7 和 R17。\n\n2017-06-27，R25 以 HK$1 将唯一一股已发行股份出售给 R1 的女儿 GUO Mei（郭美），该价格在无明显理由的情况下严重低估。董事及股东变更详情如下表所列：-\n\n日期　董事　股东\n\n2015-05-15　SU An（苏曼）　一家秘书公司\n2015-10-07　R3　R3\n2016-05-05　R3　R25\n2016-11-25　R3\nREN Meizi（任美子）　R25\n2017-03-03　R25\nREN Meizi（任美子）　R25\n2017-06-27　GUO Mei（郭美）　GUO Mei（郭美）\n\n160. 于2017-07-03，R4以HK\\$1.945 billion出售了其于配售股份期间取得的150 million股Haitong（海通）股份。R25随后指示将HK\\$1.2 billion从R4转入R20的DBS账户。鉴于R25是R1的雇员，而R4亦受R1有效控制，现陈述R25根据R1的指示向R20转移资金，因此亦受R1有效控制。\n\n(x) R21持有但受R1有效控制的下列账户中贷方余额的1/2份额所代表的诉讼权利\n\n序号　机构名称　账户号码　余额\n\n53　UBS AG（瑞银集团）\nHong Kong Branch（香港分行）　US\\$ 15,393,793.48\n总计：　HKS 119,301,899.47\n\n备注：\n\n161. R1及R2各持有R21的一股已发行股份，且二人均为获授权签署人。现陈述二人将各自持有R21的一半权益，包括上述银行余额。该一半份额为HIK\\$ 59,650,949.74。\n\n(y) R23持有但受R113有效控制的下列账户中贷方余额所代表的诉讼权利\n\n序号　机构名称　账户号码　余额\n\nChina Construction Bank（中国建设银行）\n(Asia) Corporation\nLimited（亚洲股份有限公司）　（在总账账户中维护）　HK\\$ 8,672,215.81\n备注：\n\n162. R23的开户授权书作为CSW-73附件提交。\n\n(z) R24持有但受R1有效控制的不动产：\n\n地段编号　：乡村屋宇地段第1143号\n\n地段份额：\n地址　：香港南湾道20号及22号\n登记业主：　R24\n购买价格　HK\\$880,000,000（截至2011-03-31）\n估计价值　：HK\\$2,224,000,000（截至2018-07-31）\n备注：\n\n163. 虽然该物业由R24拥有（R2为唯一董事及股东），但R1支付了HKS 60 million的首期付款，并支付了合计HK\\$ 62 million的每月分期付款，且使用其通过配售股份取得的新H股清偿未偿还按揭贷款。\n\n164. R1亦安排使用源自内地欺诈及香港按揭欺诈的犯罪得益来清偿总额为HKS 549,343,330的对价，该金额占购买价格的62%。现陈述，该物业应全部视为R1的可变现财产。鉴于市场价值升值，现进一步陈述，南湾物业当前市场价值的62%代表犯罪得益。\n\n13 自开户以来，R25一直为R23的董事及唯一签署人。大量未使用但已签署的R23支票簿从中国银行大厦49楼办公室被扣押。R23实际上是受R1有效控制的傀儡账户。\n\n(aa) R25持有但受R1有效控制的下列银行账户中贷方余额所代表的诉讼权利\n\n机构名称　账户号码　余额\n\nChina Citic Bank International\nLimited（中信银行（国际）有限公司）　HK\\$ 212,316.94\n备注：\n\n165. 根据R25于2015-12-10开户期间向China Citic Bank International Limited（“Citic”）提供的资料，R25申报其为在Minzu Securities（民族证券，一家此前由R1控制的内地公司）工作的经理。有关记录副本作为CSW-74附件提交。\n\n166. 于2016年6月至2017年7月期间，R25在Citic的个人账户收到总额为HK\\$435,710的存款。该账户分别从R23收到合计HK.\\$382,000（包括于2016-08-15的一笔HK\\$150,000存款），并于2017-02-02从R3收到HK\\$42,000。现存于该账户的剩余价值亦源自R23及R3的转账存款。交易记录副本作为CSW-75附件提交。由于R3及R23受R1有效控制，而R23亦是一家为便利资金流动而设立的空壳公司，现陈述R25个人账户中的剩余余额为R1的可变现资产。\n\n167. R23及R25均没有税务局的记录，而R25于2016年仅在香港逗留31日。R25的TIC出入境记录副本作为CSW-67附件提交。\n\n(ab) R26持有但受R14有效控制的下列银行账户中贷方余额所代表的诉讼权利\n\n序号　机构名称　账户号码　余额\n\n14 警方调查显示，R26及R27仅因与R1的家庭关系，应R1要求充当开设银行账户的傀儡。\n\n总计：　HK\\$ 59,701.49\n\nHK\\$ 850.00\nUS\\$ 128.93\n57　Corporation Limited（股份有限公司）　RMBS 796.94\nChina Construction Bank (Asia)（中国建设银行（亚洲））　US\\$ 128.93\n56　RMBS 796.94\nHK\\$ 55,020.11\n\n(ac) R27持有但受R1有效控制的下列银行账户中贷方余额所代表的诉讼权利\n\n序号　机构名称　账户号码　余额\n\n60　US\\$ 128.93\n61　China Construction Bank (Asia)（中国建设银行（亚洲））　RMB\\$ 796.94\n62　Corporation Limited（股份有限公司）　HK\\$ 57,811.90\n63　HK\\$ 0.42\n总计：　HKS 59,728.01\n\n(B) R2的可变现财产\n\n(a) R21持有但受R2有效控制的下列账户中贷方余额的1/2份额所代表的诉讼权利\n\n序号　机构名称　账户号码　余额\n\nUBS AG（瑞银集团）\nHong Kong Branch（香港分行）　US\\$ 15,393,793.48\n总计：　HK\\$ 119,301,899.47\n备注：\n\n168. R1及R2各持有R21的一股已发行股份，且二人均为获授权签署人。现陈述二人将各自持有R21的一半权益，包括上述银行余额。该一半份额为HK\\$ 59,650,949.74。\n\n(b) R22持有但受R2有效控制的下列账户中贷方余额所代表的诉讼权利\n\n序号　机构名称　账户\n号码　余额\n\n64　China Citic Bank（中信银行）　HK\\$ 2,014,055.96\nInternational Limited（国际有限公司）　US\\$ 4,157.6\n总计：　HK\\$ 2,046,277.36\n\n169. R1的可变现资产估计总值为HK\\$ 7,264,710,796.53，远低于其估计犯罪得益总额HKS10,067,324,933.40（见第153段）。\n\n170. R2的可变现资产估计总值为HKS 61.697.227.10，远低于其估计犯罪得益总额HKS230,375,000。\n\nIX. 其他资料\n\n171. 于2017-07-10，针对“Anton Development Limited（安东发展有限公司）”（R20）的银行账户发出了不同意书，因其持有R1的可变现财产。于2018-08-14，R20的法律代表就警方作出的下列决定提交了申请司法复核许可的申请：(i) 对DBS处理R20账户施加“不同意”制度；及(ii) 不申请针对R20的限制令。\n\n172. 于2018-09-12，CHOW法官阁下作出包括下列内容在内的指示：\n\n(a) 就(i)申请司法复核许可的申请，以及(ii)司法复核申请，进行合并审理；\n\n(b) 拟议答辩人须于2018年11月23日或之前提交及送达其反对申请人许可申请（如有）及司法复核申请（如有）的誓章证据；\n\n(c) 申请人须于2018年12月14日或之前提交及送达其答复誓章证据（如其认为适宜）。\n\n173. 于2018-10-02，司法复核已排期于2019-06-27在CHOW法官阁下席前聆讯（预留2日）。\n\nX. 申请许可在香港以外送达限制令\n\n174. R5及R6是在开曼群岛注册成立的公司。R4、R7、R8、R9、R10、R11、R12、R13、R14、R15、R17、R18、R21、R23及R24是在英属维尔京群岛注册成立的公司。上述所有公司均未在香港登记。该等公司均未在香港设有营业地点。公司注册处没有其任何记录。\n\n175. R1及R2最后已知地址位于美利坚合众国，而R26及R27的最后已知地址位于内地。\n\n176. 现申请许可，按照有关答辩人目前所在司法管辖区的法律，向位于管辖区外的R1、R2、R4至R15、R17、R18、R21、R23、R24、R26及R27送达本程序中的限制令及所有法庭文件。\n\n177. R3及R25的确切下落仍然不明。现申请许可，按照其所在司法管辖区的法律，以替代送达方式向其送达。\n\nXI. 申请限制令\n\n178. 鉴于前述段落所载资料，本人确实相信：\n\n179.\n\n(a) 已就第137段所概述的各项指明罪行对R1-R2提起程序，包括“串谋诈骗”、“欺诈”、“洗钱”或“串谋洗钱”，而针对R1-R2的程序尚未完结；\n\n案号22-50073　文件2032-1　提交日期07/25/23　录入日期07/25/23 13:27:53　第64页，共79页\n\n(b) 有合理理由相信R1-R2已分别从指明罪行中受益，且其受益超过HK\\$100,000；\n\n(c) 在R1-R2因指明罪行被定罪后，或在潜逃者程序下，将就R1-R2申请没收令；\n\n(d) 如不就R1及R2的可变现财产作出限制令，则该等财产存在被耗散的风险。\n\n180. 因此申请限制令，以禁止答辩人或任何其他人处置R1及R2的可变现财产。限制令草案副本现作为CSW-76附件提交。\n\n181. 本人谨郑重并真诚地声明，本声明所载内容均属真实。\n\n（CHAN Szefwing）\n\n于2018年10月5日在香港特别行政区法院大楼作出声明\n\n在本人KAM Lai-yu面前\n\n司法机构监誓员\n\n案号22-50073　文件2032-1　提交日期07/25/23　录入日期07/25/23 13:27:53　第65页，共\n案号22-50073　文件2032-1　提交日期07/25/23　录入日期07/25/23　第66页，共\n\n[一家在开曼群岛注册成立的公司，\n\n注册编号。\n\nInsight Phoenix Fund\n\n注册编号。\n\n答辩人6（“R6”）\n\n答辩人9（“R9”）\n\n答辩人10（“R10”）\n\n答辩人11（“R11”）\n\n答辩人12（“R12”）\n\nAlfonso Global Limited（阿方索环球有限公司）　答辩人7（“R7”）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\n答辩人8（“R8”）　Allied Capital Global Limited（联合资本环球有限公司）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nCreative Apex Investments Limited（创意顶峰投资有限公司）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nCrystal Breeze Investments Limited（水晶清风投资有限公司）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nElite Well Global Limited（精英环球有限公司）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nGlobalist International Limited（环球国际有限公司）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nInfinitum Developments Limited（无限发展有限公司）　答辩人13（“R13”）　[一家在英属维尔京群岛注册成立的公司，BVI公司编号。\n\nInfinite Increase Limited（无限增长有限公司）　答辩人14（“R14”）　[一家在英属维尔京群岛注册成立的公司，\n\nBVI公司编号。\n\nNoble Fame Global Limited（诺博尔名望环球有限公司）\n[一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人15（“R15”）\nEastern Profit Corporation Limited（东方盈利有限公司）\n一家在香港注册成立的公司，公司\n注册编号。　被申请人16（“R16”）\nAlfa Global Ventures Limited（阿尔法环球创投有限公司）\n一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人17（“R17”）\nAce Decade Holdings Limited（艾斯十年控股有限公司）\n一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人18（“R18”）\nHong Kong International Funds Investments Limited（香港国际基金投资有限公司）　被申请人19（“R19”）\n[一家在香港注册成立的公司，公司\n注册编号。\nAnton Development Limited（安东发展有限公司）\n一家在香港注册成立的公司，公司\n注册编号。　被申请人20（“R20”）\nBravo Luck Limited（幸运布拉沃有限公司）\n[一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人21（“R21”）\nChina Golden Spring Group (Hong Kong) Limited（中国金泉集团〈香港〉有限公司）\n[一家在香港注册成立的公司，公司\n注册编号。　被申请人22（“R22”）\nRosy Acme Ventures Limited（罗西艾克米创投有限公司）\n一家在英属维尔京群岛注册成立的公司，　被申请人23（“R23”）\n\n案件 22-50073　文书 2032-1　提交日期 07/25/23　录入日期 07/25/23 13:27:53　第68页，共79页　英属维尔京群岛公司编号。　被申请人24（“R24”）Leading Shine Limited（领先光辉有限公司）一家在英属维尔京群岛注册成立的公司，英属维尔京群岛公司编号。　被申请人25（“R25”）男性 HAN Chunguang（韩春光）[香港身份证号码持有人。中国身份证号码。双程证号码。中国护照号码。（　被申请人26（“R26”）男性 ZHANG Wei（张伟）[中国身份证号码。双程证号码。女性 GUO Lijie（郭丽洁）　被申请人27（“R27”）[中国身份证号码。双程证号码。\n高级督察 CHAN Sze-wing（陈思颖）的第一份誓章\n\nﮯ\n\n于2018年10月5日宣誓　于2018年10月　日提交\n\n律政司司长\n律政司\n香港金钟道66号\n金钟道政府合署4楼\n电话：2867 1025　传真：2536 8311\n\n案件 22-50073　文书 2032-1　提交日期 07/25/23　录入日期 07/25/23 13:27:53　第69页，共\n\nHCCP /2018\n香港特别行政区高等法院\n原讼法庭\n2018年第　号杂项刑事程序\n关于《有组织及严重罪行条例》（第455章）\n及关于\n\n律政司司长　申请人\n\n及\n男性 KWOK Ho-wan（郭文贵），又名 GUO Wengui（郭文贵）\n香港身份证号码持有人。\n香港护照号码　被申请人1（“R1”）\n男性 GUO Qiang（郭强）\n香港身份证号码持有人。\n香港护照号码。　被申请人2（“R2”）\n女性 QU Guojiao（屈国娇）\n香港身份证号码持有人。\n中国身份证号码。\n双程证号码 W93528483，中国护照号码。　被申请人3（“R3”）\nAAGV Limited（AAGV有限公司）\n[一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人4（“R4”）\nBSA Strategic Fund I（BSA战略基金I）\n[一家在开曼群岛注册成立的公司，　被申请人5（“R5”）\n\n案件 22-50073　文书 2032-1　提交日期 07/25/23　录入日期 07/25/23 13:27:53　第70页，共\n英属维尔京群岛公司编号。\n\nNoble Fame Global Limited\n一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人15（“R15”）\nEastern Profit Corporation Limited\n一家在香港注册成立的公司，公司\n注册编号。　被申请人16（“R16”）\nAlfa Global Ventures Limited\n一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人17（“R17”）\nAce Decade Holdings Limited\n一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人18（“R18”）\nHong Kong International Funds Investments Limited　被申请人19（“R19”）\n[一家在香港注册成立的公司，公司\n注册编号。\nAnton Development Limited\n一家在香港注册成立的公司，公司\n注册编号。　被申请人20（“R20”）\nBravo Luck Limited\n[一家在英属维尔京群岛注册成立的公司，\n英属维尔京群岛公司编号。　被申请人21（“R21”）\nChina Golden Spring Group (Hong Kong) Limited\n一家在香港注册成立的公司，公司\n注册编号。　被申请人22（“R22”）\nRosy Acme Ventures Limited\n一家在英属维尔京群岛注册成立的公司　被申请人23（“R23”）\n\n案件 22-50073　文书 2032-1　提交日期 07/25/23　录入日期 07/25/23 13:27:53　第72页，共79页\n\n英属维尔京群岛公司编号。\n\n[中国身份证号码。双程证号码。\n\n（\n\n（\n\n被申请人24（“R24”）Leading Shine Limited [一家在英属维尔京群岛注册成立的公司，英属维尔京群岛公司编号。\n\n被申请人25（“R25”）男性 HAN Chunguang [香港身份证号码持有人。中国身份证号码。双程证号码。中国护照号码。\n\n男性 ZHANG Wei　被申请人26（“R26”）[中国身份证号码。双程证号码。被申请人27（“R27”）女性 GUO Lijie\n高级督察 CHAN Sze-wing 的第一份誓章\n\n如高级督察 CHAN Sze-wing 于2018年10月5日在此宣誓的第一份誓章所述，以下为其附件。\n\n说明　附件\n编号　页数　页码\n\nR3（QU Guojiao）于2015-10-06及2016-02-17\n申请身份证　CSW-1　2　CSW1 -1(1)\nR25（HAN Chunguang）于2016-08-12\n申请身份证　CSW-2　1　CSW-2\n\n说明　附件\n编号　页数　页码\n\nR26（ZHANG Wei）于\n2014-10-28在CCBA开立账户的授权书　CSW-3　41　CSW-3-3(40)\nR27（GUO Lijie）于\n2014-10-28在CCBA开立账户的授权书　CSW-4　39　CSW-4-4(38)\nR4（AAGV Limited）于\n2016-04-29在Haitong International开立账户的授权书　CSW-5　33　CSW-5-5(32)\nR5（BSA Strategic Fund I）于\n2015-05-28在Haitong International开立账户的授权书　CSW-6　38　CSW-6-6(37)\nR6（Insight Phoenix Fund）于\n2016-06-30在China Merchants Securities (HK) Co Ltd\n开立账户的授权书　CSW-7　28　CSW-7-7(27)\nR7（Alfonso Global Limited）于\n2014-12-16在CMBC开立账户的授权书　CSW-8　55　CSW-8-8(54)\nR8（Allied Capital Global Limited）于\n2015-03-12在CMBC开立账户的授权书　CSW-9　63　CSW-9-9(62)\nR9（Creative Apex Investments Limited）于\n2015-03-12在CMBC开立账户的授权书　CSW-10　58　CSW-10-10(57)\nR10（Crystal Breeze Investments Limited）于\n2015-03-12在CMBC开立账户的授权书　CSW-11　60　CSW-11-11(59)\nR11（Elite Well Global Limited）于\n2015-03-12在CMBC开立账户的授权书　CSW-12　60　CSW-12-12(59)\nR12（Globalist International Limited）于\n2015-03-09在CMBC开立账户的授权书　CSW-13　57　CSW-13-13(56)\nR13（Infinitum Developments Limited）于\n2015-03-09在CMBC开立账户的授权书　CSW-14　57　CSW-14-14(56)\nR14（Infinite Increase Limited）于\n2015-03-10在CMBC开立账户的授权书　CSW-15　58　CSW-15-15(57)\nR15（Noble Fame Global Limited）于\n2015-03-10在CMBC开立账户的授权书　CSW-16　57　CSW-16-16(56)\n\n说明　附件\n编号　页数　页码\n\nR16（Eastern Profit Corporation Limited）于2017-06-27\n签立的转让文书　CSW-17　2　CSW-17-17(1)\nR16（Eastern Profit\nCorporation Limited）的董事、股东及\n注册地址变更　CSW-18　1　CSW-18\nR17（Alfa Global Ventures\nLimited）于2014-12-16在CMBC开立账户的授权书　CSW-19　46　CSW-19-19(45)\nR18（Ace Decade\nHoldings Limited）于2014-12-17在CMBC开立账户的授权书　CSW-20　48　CSW-20-20(47)\nR19（Hong Kong\nInternational Funds Investments Limited）于\n2017-06-27签立的转让文书　CSW-21　2　CSW-21-21(1)\nR20（Anton\nDevelopment Limited）于2017-06-27签立的转让文书　CSW-22　2　CSW-22-22(1)\nR20（Anton Development\nLimited）的董事、股东及\n注册地址变更　CSW-23　1　CSW-23\nR21（Bravo Luck\nLimited）于2014-01-20在UBS-HK开立账户的授权书　CSW-24　90　CSW-24-24(89)\nR22（China\nGolden Spring Group (Hong Kong) Limited）的公司注册处记录　CSW-25　42　CSW-25-25(41)\nR23（Rosy Acme Ventures\nLimited）于2014-10-27在CCBA开立账户的授权书　CSW-26　15　CSW-26-26(14)\nR24（Leading Shine\nLimited）于2011-03-18在CCBA开立账户的授权书　CSW-27　88　CSW-27-27(87)\nAssets Sino Limited于\n2014-10-28在CCBA开立账户的授权书　CSW-28　13　CSW-28-28(12)\nAuspicious Coast Limited\n于2014-10-28在CCBA开立账户的授权书　CSW-29　13　CSW-29-29(12)\nHaitong于\n2014-12-21发布的公告　CSW-30　10　CSW-30-30(9)\nYU Yong于2016-02-05作出的誓章，\n提交于纽约诉讼　CSW-31　12　CSW-31-31(11)\n\n说明　附件\n编号　页数　页码\n\nR1于2016-02-05作出的誓章，提交于\n纽约诉讼　CSW-32　33　CSW-32-32(32)\nR18（Ace Decade）与Haixia Fund\n于2014-12-18订立的共同投资协议及附函　CSW-33　16　CSW-33-33(15)\n显示Dawn State Limited认购\n配售股份资金来源的图表　CSW-34　1　CSW-34\n有关11名投资者开户授权书及出入境\n记录的资料　CSW-35　4　CSW-35-35(3)\n显示Maunakai Capital Partners (HK) Limited\n认购配售股份资金来源的图表　CSW-36　1　CSW-36\n证明为R5（BSA\nStrategic Fund I）支付配售股份资金的凭证及交易摘要报告　CSW-37　39　CSW-37-37(38)\n显示Insight\nCapital Management (HK) Limited认购配售股份资金来源的图表　CSW-38　1　CSW-38\n证明为R6（Insight\nPhoenix Fund）支付配售股份资金的凭证及交易摘要报告　CSW-39　41　CSW-39-39(40)\nAA Global Ventures\nLimited（前称AMTD）于2013-06-27在Haitong\nInternational开立账户的授权书　CSW-40　96　CSW-40-40(95)\n显示AMTD认购\n配售股份资金来源的图表　CSW-41　1　CSW-41\nAMTD与R17（Alfa Global）于\n2015-05-04订立的共同投资协议及附函　CSW-42　12　CSW-42-42(11)\nR17、R20、Blackpine及Chu Sheng Yu\nLawrence于2017-05-29订立的和解及赔偿契据　CSW-43　8　CSW-43-43(7)\n\n说明　附件\n编号　页数　页码\n\nWell Origin Limited于\n2012-12-06在CCBA的公司记录　CSW-58　31　CSW-58-58(30)\nWorld Century\nLimited的公司注册处记录　CSW-59　40　CSW-59-59(39)\n于2012年订立的虚假包机协议　CSW-60　7　CSW-60-60(6)\nMileson与World Century Limited之间就家具\n贸易订立的四份虚假合同　CSW-61　8　CSW-61-61(7)\n声称由SAFE向\nMileson签发的伪造收据　CSW-62　1　CSW-62\n详列飞机贷款欺诈的图表　CSW-63　1　CSW-63\nR1的出入境记录　CSW-64　5　CSW-64-64(4)\nR2的出入境记录　CSW-65　5　CSW-65-65(4)\nR3的出入境记录　CSW-66　4　CSW-66-66(3)\nR25的出入境记录　CSW-67　6　CSW-67-67(5)\nR26的出入境记录　CSW-68　1　CSW-68\nR27的出入境记录　CSW-69　1　CSW-69\nR1、R2及R3的逮捕令　CSW-70　3　CSW-70-70(2)\nR16（Eastern Profit\nCorporation Limited）于2014-12-12在CMBC\n开立账户的授权书　CSW-71　53　CSW-71-71(52)\n显示R7、R16、R17、R18、R19及R21\n资金流动的资金流向图　CSW-72　1　CSW-72\nR23（Rosy Acme Ventures\nLimited）于2014-11-03在CCBA开立账户的授权书　CSW-73　19　CSW-73-73(18)\nHAN Chunguang（R25）于\n2015-12-10在China Citic Bank International Limited开立账户的授权书　CSW-74　10　CSW-74-74(9)\n\n（\n\nﮯ\n\n说明　附件\n编号　页数　页码\n\nHAN Chunguang（R25）在Citic账户的\n交易记录　CSW-75　44　CSW-75-75(43)\n限制令草案　CSW-76　32　CSW-76-76(31)\n\nAM Lai-y\n\n（司法机构监誓员）","key_entities":["Je","Guo","William Je","CIPA","Kwok","CCP"],"ecf_references":[],"word_count":19522,"status":"published","published_at":"2023-07-25 00:00:00","created_at":"2023-07-25","updated_at":"2026-08-23 22:05:10"}