Huatai securities 60 1688. Scope: Securities brokerage business; Securities self-management; Securities underwriting business (limited to underwriting government bonds, debt financing instruments of non-financial enterprises and financial bonds (including policy financial bonds)); Securities investment consulting; Providing intermediary services for futures companies; Margin trading business; Consignment of financial products business; Securities investment funds sell on a commission basis; Securities investment fund custody; Spot contract agency business of precious metals such as gold; Gold spot contract self-operated business; Stock option market-making business; Other businesses approved by China Securities Regulatory Commission.

I. Company Profile

Huatai Securities Co., Ltd. (hereinafter referred to as "Huatai Securities" or "Company") is a leading technology-driven comprehensive securities group in China. Since the establishment of 199 1, Huatai Securities has actively grasped the historical opportunity of China's capital market reform and opening-up, took the lead in the industry to help transform with financial technology, and provided professional and diversified securities financial services to individual and institutional customers with a full-service chain service system. Comprehensive strength and brand influence rank first in the domestic securities industry and enter a new stage of international development. 20 10 on February 26th, the company's A shares (60 1688:CH) were listed on the Shanghai Stock Exchange. On June, 2065438 1 day, the company's H shares (6886:HK) were listed and traded on the Hong Kong Stock Exchange. On June 7, 20 19, the company's global depositary receipts (Li) were successfully listed on the London Stock Exchange, becoming the first China company to land on the Shanghai Stock Exchange according to the business mechanism of Huluntong. Since then, the company has also become a China financial institution listed in Shanghai, Hongkong and London. Relying on highly collaborative business model, advanced digital platform and extensive and close customer resources, the company's wealth management business, institutional service business, investment management business and international business have developed in an all-round way, making every effort to create future-oriented differentiated core advantages, and its competitive strength ranks in the forefront of the industry. Since 20 14, the trading volume of the company's equity funds has remained the first in the industry (according to the data of Shanghai and Shenzhen stock exchanges); The number of monthly active users of the company's mobile wealth management APP "Lesheng Fortune" has also ranked first in the industry APP for a long time. In July 2020, it exceeded 10 million (according to Analysys data), and by the end of 2020, the cumulative download volume exceeded 58 million; Equity underwriting, bond underwriting and mergers and acquisitions are in the forefront of the industry. The company has wholly-owned subsidiaries Huatai Securities (Shanghai) Asset Management Co., Ltd., Huatai International Financial Holdings Co., Ltd., Huatai Zijin Investment Co., Ltd. and Huatai Innovation Investment Co., Ltd.; Holding subsidiaries Huatai United Securities Co., Ltd., Huatai Futures Co., Ltd. and Jiangsu Equity Exchange Center Co., Ltd.; Participated in southern fund Management Co., Ltd., Huatai Bairui Fund Management Co., Ltd. and Jiangsu Bank Co., Ltd.. In 20 16, the company acquired AssetMark, the third largest company in TAMP (turnkey asset management platform) industry in the United States, and completed its first overseas strategic acquisitions. 2065438+In July 2009, AssetMark was listed on new york Stock Exchange. Adhering to the core values of "efficiency, integrity, stability and innovation", Huatai Securities will fully implement the "two-wheel drive" development strategy of wealth management and institutional services under digital empowerment, and strive to become a first-class investment bank with both local advantages and global influence.