The Bank has established a whistleblowing policy applicable to:

i. employees of the Bank;

ii. former employees of the Bank;

iii. prospective employees of the Bank who have engaged in the recruitment process or other pre-contractual negotiations;

iv. shareholders and members of the administrative, management or supervisory body of the Bank, including non-executive members, as well as volunteers and paid or unpaid interns;

v. current and former freelance workers, facilitators and individuals working under the supervision and direction of contractors, sub-contractors and suppliers of the Bank;

vi. any third parties who have a connection with (i) – (v), and may be at risk of retaliation in a professional context.

Any individual of the categories above, who becomes aware or has strong suspicions of any violation, by means of action or omission, which is either unlawful or goes against the purpose of a provision of national or European Union Law applicable to the Bank and directly or indirectly affects the Bank, its customers, employees, shareholders, or the public interest, may whistleblow –in good faith- on a confidential basis via the below indicated communication channels without fear of reprisal or retaliation of any kind.

Means to whistleblow

Whistleblowers with no access to the internal systems are encouraged to use the following channels established by the Bank to submit reports:

a. By letter to the Bank’s Chief Compliance Officer (“CCO”) or Chief Internal Auditor (“CIA”) to the following address:

Bank of China (Europe) S.A. / Bank of China Limited, Luxembourg Branch:

55 Boulevard Royal, L-2449, Luxembourg.

Or by telephone at : +352 26 86 88 (request to be directed to the CCO or CIA)

b. Through the dedicated reporting mailbox: whistleblowing.lu@bankofchina.com

The mailbox is managed by specific staff of the Compliance function of the Bank – all information received in this mailbox will be treated with the utmost confidentiality and in compliance with the General Data Protection Regulation.

In addition to the above, employees of the Bank could also refer to the internal “Whistleblowing Policy” of the Bank for additional reporting channels.

Furthermore, whistleblowers can choose to make external reports to the relevant authorities in Luxembourg. The Bank is regulated by the Commission de Surveillance du Secteur Financier (CSSF), which offers a whistleblowing channel, as follows:

- Website: https://cssf.lu/en/Document/whistleblowing/

- Email: whistleblowing@cssf.lu