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CAI Corp Interim / Quarterly Report 2016

Aug 30, 2016

48926_rns_2016-08-30_bef8a2d0-9930-488a-a51c-8621cd738cdb.pdf

Interim / Quarterly Report

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Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.

CHINA NEW ECONOMY FUND LIMITED 中國新經濟投資有限公司

(an exempted company incorporated in the Cayman Islands with limited liability)

(Stock Code: 80)

ANNOUNCEMENT OF INTERIM RESULTS FOR THE SIX MONTHS ENDED 30 JUNE 2016

UNAUDITED INTERIM RESULTS

The board of directors (the “Board” or the “Directors”) of China New Economy Fund Limited (the “Company”) is pleased to announce the unaudited interim results of the Company for the six months ended 30 June 2016 (the “Period”), together with the unaudited figures for the six months ended 30 June 2015.

INTERIM CONDENSED STATEMENT OF PROFIT OR LOSS AND OTHER COMPREHENSIVE INCOME

For the six months ended 30 June 2016

Notes
REVENUE
4
Net change in fair value of financial assets at
fair value through profit or loss
5
Other operating expenses
OPERATING PROFIT
Finance costs
6(a)
PROFIT BEFORE TAX
6(b)
Income tax expense
9
PROFIT AND TOTAL COMPREHENSIVE
INCOME FOR THE PERIOD
ATTRIBUTABLE TO ORDINARY EQUITY
HOLDERS OF THE COMPANY
For the six
months ended
30 June 2016
(Unaudited)
HK$
1,966,258
78,550,810
(9,683,720)
70,833,348
(5,048,546)
65,784,802
(10,396,467)
55,388,335
For the six
months ended
30 June 2015
(Unaudited)
HK$
548,740
83,448,196
(9,141,178)
74,855,758

74,855,758
(12,509,947)
62,345,811

– 1 –

Notes
EARNINGS PER SHARE ATTRIBUTABLE
TO ORDINARY EQUITY HOLDERS OF
THE COMPANY
10
— Basic
— Diluted
For the six
months ended
30 June 2016
(Unaudited)
HK$
0.06
0.06
For the six
months ended
30 June 2015
(Unaudited)
HK$
0.12
0.12

– 2 –

INTERIM CONDENSED STATEMENT OF FINANCIAL POSITION

As at 30 June 2016

Notes
NON-CURRENT ASSETS
Deferred tax assets
9
Deposits
Total non-current assets
CURRENT ASSETS
Prepayments and other receivables
Amount due from brokers
Financial assets at fair value through profit or loss
11
Cash and cash equivalents
Total current assets
CURRENT LIABILITIES
Other payables and accruals
Amount due to brokers
Amount due to a related company
Total current liabilities
NET CURRENT ASSETS
TOTAL ASSETS LESS CURRENT
LIABILITIES
NON-CURRENT LIABILITIES
Borrowings
NET ASSETS
EQUITY
Issued capital
13
Reserves
Total equity
NET ASSET VALUE PER SHARE
30 June
2016
(Unaudited)
HK$
133,685
506,545
640,230
3,134,071
4,016,985
656,206,319
31,397,818
694,755,193
1,407,718
149,947,594
80,000
151,435,312
543,319,881
543,960,111
68,571,611
475,388,500
111,261,600
364,126,900
475,388,500
0.43
31 December
2015
(Audited)
HK$
10,528,600
506,545
11,035,145
400,928
14,556,735
300,993,458
13,083,050
329,034,171
660,628
14,645,627
80,000
15,386,255
313,647,916
324,683,061
324,683,061
61,812,000
262,871,061
324,683,061
0.53

– 3 –

NOTES TO INTERIM CONDENSED FINANCIAL STATEMENTS

1. CORPORATION INFORMATION

China New Economy Fund Limited (the “Company”) was incorporated in the Cayman Islands on 1 February 2010 under the Companies Law of the Cayman Islands as an exempted company with limited liability. The Company was established for the purpose of acting as a closed-ended investment company.

The Company’s registered office is at P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman KY1-1104, Cayman Islands. The principal place of business of the Company is at Room 707, 7/F, New World Tower 1, 16–18 Queen’s Road Central, Central, Hong Kong.

The principal investment objective of the Company is to achieve long-term capital appreciation through globally investing in both private and public enterprises that have demonstrated the ability to manufacture a product or deliver a service that is supported by the economies of Mainland China, Hong Kong, Macau, and Taiwan.

During the Period, the Company’s investment activities are managed by China Everbright Securities (HK) Limited (the “Investment Manager”).

2.1 BASIS OF PREPARATION

The unaudited interim condensed financial statements have been prepared in accordance with International Accounting Standards (“IAS”) 34 Interim Financial Reporting and the applicable disclosure requirements of Appendix 16 of the Main Board Listing Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (“the Stock Exchange”). They have been prepared under the historical cost convention, except for the financial assets at fair value through profit or loss which have been measured at fair values. The interim condensed financial statements are presented in Hong Kong dollars (“HK$”) except when otherwise indicated.

The preparation of interim financial statements in conformity with IAS 34 requires management to make judgments, estimates and assumptions that affect the application of policies and reported amounts of assets and liabilities, income and expenses on a year to date basis. Actual results may differ from these estimates.

The interim condensed financial statements do not include all the information and disclosures required in the annual financial statements, and should be read in conjunction with the Company’s annual financial statements for the year ended 31 December 2015.

2.2 CHANGES IN ACCOUNTING POLICY AND DISCLOSURES

The accounting policies adopted in the preparation of the interim condensed financial statements are consistent with those followed in the preparation of the Company’s annual financial statements for the year ended 31 December 2015, except for the adoption of the new amendments to International Financial Reporting Standards (“IFRS”) that are first effective for the current period as described below:

– 4 –

The nature and the impact of each amendment are described below:

Amendments to IAS 1 Disclosure Initiative Amendments to IAS 16 and IAS 38 Clarification of Acceptable Methods of Depreciation and Amortization Amendments to IAS 16 and IAS 41 Agriculture: Bearer Plants Amendments to IAS 27 Equity Method in Separate Financial Statements Amendments to IFRS 10, IFRS 12 and Investment Entities: Applying the Consolidation Exception IAS 28 Amendments to IFRS 11 Accounting for Acquisitions of Interests in Joint Operations Amendments to IFRSs Annual Improvements to IFRSs 2012–2014 Cycle IFRS 14 Regulatory Deferral Accounts

The application of the new and amendments to IFRSs in the current interim period has had no material effect on the amounts reported in these condensed consolidated financial statements and/or disclosures set out in these condensed consolidated financial statements.

2.3 ISSUED BUT NOT YET EFFECTIVE INTERNATIONAL FINANCIAL REPORTING STANDARDS

The Company has not early applied the following new or revised IFRSs that have been issued but are not yet effective.

Amendments to IAS 7 Disclosure Initiative1
Amendments to IAS 12 Recognition of Deferred Tax Assets for Unrealised Losses1
IFRS 9 (2014) Financial Instruments2
IFRS 15 Revenue from Contracts with Customers2
IFRS 16 Leases3
Amendments to IFRS 10 and IAS 28 Sale or Contribution of Assets between an Investor and its
Associate or Joint Venture4
Amendments to IFRS 2 Classification and Measurement of Share-based Payment
Transactions2

1 Effective for annual periods beginning on or after 1 January 2017

2 Effective for annual periods beginning on or after 1 January 2018

3 Effective for annual periods beginning on or after 1 January 2019

4 Effective date is deferred

The Company is in the process of making an assessment of the impact of adopting the above new, revised or amended standards to the Company but is not yet in a position to state whether those amendments to standards would have a significant impact on the Company’s accounting policies and presentation of the financial statements.

3. OPERATING SEGMENT INFORMATION

Management has determined the operating segments based on the information reviewed by the chief operating decision-maker, being the board of directors, that are used to making strategic decisions. For management purposes, the Company is organised into business units based on the categories of investments. During the Period, the Company has two reportable operating segments as follows:

Listed securities – Investments in equity securities listed on relevant stock exchange Unlisted securities – Investments in private equity funds and private equities

Further details of the Company’s investments are included in note 11.

– 5 –

The following is an analysis of the Company’s results by operating segment:

For the six months ended 30 June 2016 (unaudited)
Segment results
Bank interest income
Unallocated expenses
Profit before tax
For the six months ended 30 June 2015 (unaudited)
Segment results
Bank interest income
Unallocated expenses
Profit before tax
Listed
securities
HK$
70,169,846
Listed
securities
HK$
76,480,289
Unlisted
securities
HK$
10,346,975
Unlisted
securities
HK$
7,513,452
Total
HK$
80,516,821
247
(14,732,266)
65,784,802
Total
HK$
83,993,741
3,195
(9,141,178)
74,855,758

For the six months ended 30 June 2016 and 2015, segment results represented the net gain on fair values of listed equities, unlisted private equity funds and private equities classified as financial assets at fair value through profit or loss and the corresponding interest income as well as dividend income earned by each segment without the allocation of administrative expenses, finance costs, interest income from bank deposits and investment manager’s fees. This is the measure reported to the chief operating decision maker for the purpose of resource allocation and assessment of segment performance.

As management considers the Company’s nature of business to be investment trading and there are no major customers, no information regarding major customers or segment revenue is presented.

– 6 –

The following is an analysis of the Company’s assets and liabilities by operating segment:

At 30 June 2016 (unaudited)
Assets:
Financial assets at fair value through profit or loss
Unallocated assets
Total assets
Liabilities:
Unallocated liabilities
Total liabilities
At 31 December 2015 (audited)
Assets
Financial assets at fair value through profit or loss
Unallocated assets
Total assets
Liabilities:
Unallocated liabilities
Total liabilities
Listed
securities
HK$
534,557,616
Listed
securities
HK$
220,430,771
Unlisted
securities
HK$
121,648,703
Unlisted
securities
HK$
80,562,687
Total
HK$
656,206,319
39,189,104
695,395,423
220,006,923
220,006,923
Total
HK$
300,993,458
39,075,858
340,069,316
15,386,255
15,386,255

For the purpose of monitoring segment performance and allocating resources between segments, all assets are allocated to reportable segments other than deposits, prepayments and other receivables, amount due from brokers, deferred tax assets and cash and cash equivalents.

– 7 –

4. REVENUE

An analysis of revenue is as follows:

For the six For the six
months ended months ended
30 June 2016 30 June 2015
(Unaudited) (Unaudited)
HK$ HK$
Dividend income from listed equity securities 1,086,012 545,545
Dividend income from unlisted equity securities 879,999
Bank interest income 247 3,195
1,966,258 548,740
5. NET CHANGE IN FAIR VALUE OF FINANCIAL ASSETS AT FAIR VALUE THROUGH PROFIT
OR LOSS
Listed Unlisted
securities securities Total
HK$ HK$ HK$
For the six months ended 30 June 2016 (unaudited)
Net realized gain on financial assets at fair value
through profit or loss 16,918,967 16,918,967
Net unrealized gain on financial assets at fair value
through profit or loss 52,164,867 9,466,976 61,631,843
Total realized and unrealized gain included
in profit or loss 69,083,834 9,466,976 78,550,810
Listed Unlisted
securities securities Total
HK$ HK$ HK$
For the six months ended 30 June 2015 (unaudited)
Net realized gain on financial assets at fair value
through profit or loss 78,357,822 78,357,822
Net unrealized (loss)/gain on financial assets at fair value
through profit or loss (2,423,078) 7,513,452 5,090,374
Total realized and unrealized gain included
in profit or loss 75,934,744 7,513,452 83,448,196

– 8 –

6. PROFIT BEFORE TAX

The Company’s profit before tax is arrived at after charging/(crediting):

For the six
months ended
30 June 2016
(Unaudited)
HK$
(a)
Finance costs
Interest on other borrowings
3,742,137
Interest on unlisted and unsecured notes
1,306,409
5,048,546
(b) Other items
Directors’ remuneration:
Fees
635,467
Bonus

635,467
Staff costs (excluding directors’ remuneration)
1,302,153
Investment management fee (note 8)
480,000
Auditors’ remuneration
177,500
Foreign exchange loss/(gain), net
170
Minimum operating lease payments in respect of properties
643,052
Consultancy fees
2,941,456
Legal and professional fees
725,427
For the six
months ended
30 June 2015
(Unaudited)
HK$



812,540
1,000,000
1,812,540
990,973
480,000
149,250
(5,569)
435,549
838,000
799,181

7. INTERIM DIVIDEND

The Board has resolved not to pay any interim dividend in respect of the current reporting period (30 June 2015: Nil).

8. FEES

Administration fee

The Company had terminated the administration agreement with HSBC Trustee (Cayman) Limited (the “HSBC Administration Agreement”) effective on 2 August 2015 and entered into a new administration agreement with Amicorp Hong Kong Limited.

Amicorp Hong Kong Limited (the “Administrator”) is entitled to receive an administration fee which is calculated based on the net asset value of the Company at valuation day equal to the rate of 0.11% per annum.

Prior to the termination of the HSBC Administration Agreement, HSBC Trustee (Cayman) Limited was entitled to receive an administration fee which was calculated at each valuation day at the following rates:

First HK$800 million of net asset value 0.140% per annum

Next HK$1,200 million of net asset value 0.125% per annum

– 9 –

On the remainder of net asset value 0.110% per annum

The administration fee is subject to a monthly minimum fee of USD7,500 plus 7% disbursement charge (30 June 2015: HK$73,000) and is payable monthly in arrears.

The administration fee for the current period is HK$374,126 (30 June 2015: HK$509,790). As at 30 June 2016, an administration fee of HK$62,354 (31 December 2015: HK$62,209) was payable to the Administrator.

Custodian fee

The Company had terminated the custodian agreement with HSBC Institutional Trust Services (Asia) Limited (the “HSBC Custodian Agreement”) effective on 2 August 2015 and entered into a new custodian agreement with Deutsche Bank AG, Hong Kong Branch.

Deutsche Bank AG, Hong Kong Branch (the “Custodian”) is entitled to a custodian fee which is calculated based on the net asset value of the Company at valuation day equal to the rate of 0.02% per annum.

Prior to the termination of the HSBC Custodian Agreement, HSBC Institutional Trust Services (Asia) Limited was entitled to receive a custodian fee which was calculated at each valuation day at the following rates:

First HK$800 million of net asset value 0.040% per annum

Next HK$1,200 million of net asset value 0.035% per annum

On the remainder of net asset value 0.030% per annum

The custodian fee is subject to a monthly minimum fee of US$2,500 (30 June 2015: HK$15,000) and is payable monthly in arrears.

The custodian fee for the current period is HK$143,594 (30 June 2015: HK$114,651). As at 30 June 2016, a custodian fee of HK$20,563 (31 December 2015: HK$23,625) was payable to the Custodian.

Management fee

The Investment Manager was entitled to a monthly management fee of HK$80,000 (30 June 2015: HK$80,000) and payable monthly in arrears.

The management fee for the current period is HK$480,000 (30 June 2015: HK$480,000). As at 30 June 2016, a management fee of HK$80,000 (31 December 2015: HK$80,000) was payable to the Investment Manager.

9. TAXATION

The Company calculates the income tax expenses of the Period using the tax rate that would be applicable to the expected total annual earnings.

Cayman Islands

Under the current Cayman Islands law, there are no income tax, corporation tax, capital gains tax or any other kinds of tax on profits or gains or tax in the nature of estate duty or inheritance tax currently in effect. The Company received an undertaking from the Governor-in-Council of the Cayman Islands to the effect that, for a period of twenty years from the date of the undertaking, no law that is hereafter enacted in the Cayman Islands imposing any tax on income will be levied on the Company.

– 10 –

Hong Kong

Income tax expense of HK$10,394,915 (30 June 2015: HK$12,509,947) representing nil current Hong Kong profits tax (30 June 2015: HK$7,195,830) and net deferred tax of HK$10,394,915 (30 June 2015: HK$5,314,117) that have been provided at the rate of 16.5% on the estimated assessable profits arising in Hong Kong during the Period (30 June 2015: 16.5%).

Deferred tax is provided, using the liability method, on all temporary differences at the end of the reporting period between the tax bases of assets and liabilities and their carrying amounts for financial reporting purposes.

For presentation purposes, deferred tax assets and liabilities as at 30 June 2016 have been offset in the interim condensed statement of financial position. The deferred tax liabilities arising from unrealized investment valuation gains amounted to HK5,466,806 and deferred tax assets arising from losses available to offsetting against future taxable profits amounted to HK$5,600,491 (31 December 2015: deferred tax assets arising from unrealized investment valuation loss amounted to HK$4,567,567 and losses available to offsetting against future taxable profits amounted to HK$5,961,033).

PRC

PRC withholding tax of HK$1,552 (30 June 2015: Nil) was incurred on dividend income received by the Company during the period ended 30 June 2015.

10. EARNINGS PER SHARE ATTRIBUTABLE TO ORDINARY EQUITY HOLDERS OF THE COMPANY

The calculation of basic and diluted earnings per share is based on the Company’s profit for the current period attributable to the ordinary equity holders of HK$55,388,335 (30 June 2015: HK$62,345,811) and the weighted average number of ordinary shares in issue during the current period of 914,412,513 (30 June 2015: 528,600,605 (restated) ordinary shares), as adjusted to reflect the rights issue of shares completed during 2016. No adjustment has been made to the basic earnings per share amount presented for the Period in respect of a dilution as the impact of the share options outstanding had an anti-dilutive effect on the basic earnings per share amounted presented. The Company had no dilutive ordinary shares in issue during the period ended 30 June 2015.

11. FINANCIAL ASSETS AT FAIR VALUE THROUGH PROFIT OR LOSS

Listed equity securities — Hong Kong
Investments in private equity funds — Cayman Islands
Investments in private equity — British Virgin Islands
Investments in private equities — Hong Kong
30 June
2016
(Unaudited)
HK$
534,557,615
56,648,704
32,000,000
33,000,000
656,206,319
31 December
2015
(Audited)
HK$
220,430,771
47,562,687

33,000,000
300,993,458

The listed equity securities were classified as held for trading and their fair values are determined based on the quoted market bid prices available on the relevant stock exchanges at the end of the reporting period.

The above investments in private equities and equity funds were classified as held for trading and their values are determined based on valuation techniques for which inputs that have a significant effect on the recorded fair value are not based on observable market data (unobservable inputs).

Movement in net unrealized gain on financial assets held for trading of HK$61,631,843 has been recognized in profit or loss in the interim condensed statement of profit or loss and other comprehensive income (30 June 2015: HK$5,090,374).

– 11 –

12. COMMITMENTS

The Company had the total future lease payments under the tenancy agreement falling due at the end of the reporting period as follows:

Within one year
In the second year
In more than two years
30 June
2016
(Unaudited)
HK$
1,142,352
517,194

1,659,546
31 December
2015
(Audited)
HK$
1,142,352
948,312
140,058
2,230,722

Operating leases relate to office premises with initial lease terms of 3 years.

13. ISSUED CAPITAL

Issued and fully paid
618,120,000 (2015: 515,100,000) ordinary shares as at 1 January
Right issue of shares_(Note (a))
Placing of shares
(Note (b))_
1,112,616,000 (31 December 2015: 618,120,000) ordinary shares
as at 30 June 2016
30 June
2016
(Unaudited)
HK$
61,812,000
30,906,000
18,543,600
111,261,600
31 December
2015
(Audited)
HK$
51,510,000

10,302,000
61,812,000

Notes:

  • (a) On 14 January 2016, a total of 309,060,000 ordinary shares of HK$0.1 each were issued at a price of HK$0.235 per share for a total cash consideration, before the related issue expenses, of HK$72,629,100. The issued and fully paid capital of the Company was increased to HK$92,718,000 and resulted in a share premium of HK$41,723,100, before deducting the rights issues expenses of HK$2,494,204.

  • (b) On 23 June 2016, a total of 185,436,000 ordinary shares of HK$0.1 each were placed at a price of HK$0.14 per share for a total cash consideration, before the related issue expense, of HK$25,961,040. The issued and fully paid capital of the Company was increased to HK$111,261,600 and resulted in a share premium of HK$7,417,440, before deducting the share placement expense of HK$778,832.

On 16 July 2015, a total of 103,020,000 ordinary shares of HK$0.1 each were placed at a price of HK$0.385 per share (the “2015 Placing”) for a total cash consideration, before the related issue expense, of HK$39,662,700. The issued and fully paid capital of the Company was increased to HK$61,812,000 and resulted in a share premium of HK$29,360,700, before deducting the share placement expense of HK$1,192,935. The net proceeds of the 2015 Placing, after deduction of the costs of the Company, were subsequently applied by the Investment Manager in making investments according to the investment objectives, policies and restrictions of the Company and the requirements of the Articles of Association of the Company.

– 12 –

MANAGEMENT DISCUSSION AND ANALYSIS

The Board of China New Economy Fund Limited are pleased to present the Company’s interim results for the Period.

The Company is a closed-ended investment company established on 1 February 2010. By investing in both private and public enterprises supported by the new economies of Greater China, the Company is devoted to achieving long-term capital appreciation for professional investors.

FINANCIAL HIGHLIGHTS

During the Period, the Company maintained a long-term investment strategy in both public and private equity markets. The Company held thirty-three investments in Hong Kong-listed companies, three private equity funds and three private equities investments as of 30 June 2016. One of our major investments is in the construction sector focusing on the Hong Kong market. The Company reported net profit attributable to shareholders of HK$55,388,335 during the Period, which consisted of the net gain in fair value of HK$78,550,810 taken on the investment positions in the portfolio.

The net asset value of the Company increased during the Period despite the slowdown in the Chinese economy and the rising volatility of the global stock market. As at 30 June 2016, the Company reported an unaudited net asset value of approximately HK$0.43 per share. The upswing in net asset value of the Company was due to net unrealized mark to market gain of HK$61,631,843 and the net realized gain of HK$16,918,967 taken on the investment positions in the portfolio. The Company will continue to monitor investments cautiously due to recent uncertain market conditions.

BUSINESS REVIEW AND PROSPECT

During the Period, China has been faced with complicated external and domestic economic conditions. The national economy is showing moderate but stable and sound momentum of development. According to the data of the National Bureau of Statistics of China, the gross domestic product (“GDP”) of China in the first half of 2016 increased by 34,063.7 billion RMB over the corresponding period, which represents an increase of 6.7% compared with the first half of 2015. The GDP of the second quarter of 2016 went up by 1.8% on a quarter-toquarter basis.

During the Period, the benchmark of Shanghai Composite Index dropped 17.22%, while Hang Seng Index declined 5.11%. The Company has adopted a different investment approach and implementing a better strategy. By expanding our horizon, our investment team worked closely with variety of professional analysts for more timely reliable resources. This method allows the Company to detect investment opportunities from the emerging sectors efficiently and benefiting from substantial net asset appreciation. The Company will continue to develop its investment strategies with an aim to achieve stable return on investments for our shareholders.

– 13 –

In addition, the Chinese economic growth is expected to enter an L-shaped trajectory for the next few years, and China will maintain its accommodative monetary policy. During the Period, the People’s Bank of China (“PBOC”) has lowered once, the reserve requirement ratio (“RRR”) from 17.5% to 17% for all banks. The reduction of RRR is to add more liquidity to its market to help spur bank lending and combat slowing growth.

During the Period, the Company has invested an additional private equity, making a total of six private equities and equity fund investments in our diversified portfolio. The new private equity is specialized in conducting investments in pre-initial public offerings (“IPO”) equities. The Company believes it will bring a potential return in the long-run. Our Company will explore more investment opportunities toward private equities.

We are continuously optimistic towards the information technology (“IT”), healthcare, education, environmental and creative culture industries as they will continue to benefit from the transformation of Chinese economy.

The Company will continue to deploy an investment strategy focusing on Greater China and closely monitor the changes in the global market. With our professional and experienced investment and risk management team, we are confident to capture valuable investment opportunities to maximize profit to our shareholders.

Pursuant to the requirements stipulated in Rule 21.12 of the Rules Governing the Listing of Securities on the Stock Exchange (the “Listing Rules”), the Company discloses its ten largest investments and all individual investments with value exceeding 5% of the Company’s gross assets with brief description of the investee companies as follows:

At 30 June 2016

Listed Equity Securities — Hong Kong

Dividend
Particular Proportion Net assets received/ % of gross
of issued of investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during the of the
Name of investee incorporation held owned Cost value recognized Company Period Company
(Note 1) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
(a) LEAP Holdings The Cayman 70,000,000 2.85% 26,250 50,400 24,150 HK$4.74 7.25
Group Islands ordinary million
Limited shares of
HK$0.01
each
(b) Luen Wong The Cayman 8,120,000 0.65% 2,111 44,660 42,549 HK$0.52 6.42
Group Islands ordinary million
Holdings shares of
Limited HK$0.01
each

– 14 –

Dividend
Particular Proportion Net assets received/ % of gross
of issued of investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during the of the
Name of investee incorporation held owned Cost value recognized Company Period Company
(Note 1) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
(c) First Credit Bermuda 180,000,000 4.96% 32,574 43,020 10,446 HK$44.96 6.19
Finance ordinary million
Group Limited shares of
HK$0.02
each
(d) Town Health Bermuda 31,704,000 0.41% 46,708 39,947 (6,761) HK$18.39 311 5.74
International ordinary million
Medical Group shares of
Limited HK$0.01
each
(e) RCG Holdings Bermuda 69,600,000 4.57% 22,294 37,584 15,290 HK$30.36 5.40
Limited ordinary million
shares of
HK$0.04
each
(f) Interactive Bermuda 289,800,000 5.88% 40,297 33,327 (6,970) HK$73.05 4.79
Entertainment ordinary million
China Cultural shares of
Technology HK$0.01
Investments each
Limited
(g) Convoy The Cayman 93,564,000 0.63% 47,221 32,747 (14,474) HK$31.09 4.71
Global Islands ordinary million
Holdings shares of
Limited HK$0.1
(Formerly each
known as
Convoy
Financial
Holdings
Limited)
(h) China Parenting The Cayman 14,002,000 1.36% 19,463 32,205 12,742 RMB4.46 4.63
Network Islands Ordinary million
Holdings shares of
Limited HK$0.01
each

– 15 –

Private Equity Fund — Cayman Islands

Dividend % of
Particular Proportion Net assets received/ gross
of issued of investee’s Unrealized attributable receivable assets
Name of Place of shares capital Market gain/(loss) to the during the of the
investee incorporation held owned Cost value recognized Company Period Company
(Note 1) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
(i) Hydra Capital The Cayman 3,750 16.74% 37,500 41,368 3,868 HK$41.37 5.95
SPC Islands shares of million
HK$10,000
each

Private Equity — British Virgin Islands

Proportion Dividend % of
Particular of Net assets received/ gross
of issued investee’s Unrealized attributable receivable assets
Name of Place of shares capital Market gain/(loss) to the during the of the
investee incorporation held owned Cost value recognized Company Period Company
(Note 1) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
(j) Gransing British Virgin 20 16.67% 31,619 32,000 381 HK$12.45 4.60
Financial Islands shares of million
Holdings US$1 each
Limited

At 31 December 2015

Listed Equity Securities — Hong Kong

Proportion Dividend % of
Particular of Net assets received/ gross
of issued investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during of the
Name of investee incorporation held owned Cost value recognized Company the year Company
(Note 3) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
Town Health Bermuda 31,704,000 0.42% 46,621 50,409 3,789 HK$19.23 83 14.82
International Medical ordinary million
Group Limited shares of
HK$0.01
each
China Parenting The Cayman 14,002,000 1.36% 19,463 33,325 13,862 RMB4.12 9.80
Network Holdings Islands ordinary million
Limited shares of
HK$0.01
each

– 16 –

Proportion Dividend % of
Particular of Net assets received/ gross
of issued investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during of the
Name of investee incorporation held owned Cost value recognized Company the year Company
(Note 3) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
Convoy Financial The Cayman 63,564,000 0.43% 36,438 27,333 (9,105) HK$21.17 8.04
Holdings Limited Islands ordinary million
shares of
HK$0.1 each
RCG Holdings Limited Bermuda 69,600,000 4.63% 22,294 18,444 (3,850) HK$30.76 5.42
ordinary million
shares of
HK$0.04
each
AMCO United Holding Bermuda 31,430,000 2.53% 17,042 15,558 (1,484) HK$6.17 4.57
Limited ordinary million
shares of
HK$0.01
each
Suncorp Technologies Bermuda 102,000,000 0.67% 24,990 12,546 (12,444) HK$4.18 3.69
Limited ordinary million
shares of
HK$0.0003
each
China Wah Yan Hong Kong 100,424,554 3.84% 16,148 12,252 (3,896) HK$14.54 3.60
Healthcare Limited ordinary million
shares
Private Equity Funds — Cayman Islands
Proportion Dividend % of
Particular of Net assets received/ gross
of issued investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during of the
Name of investee incorporation held owned Cost value recognized Company the year Company
(Note 3) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
Hydra Capital SPC The Cayman 3,750 16.74% 37,500 32,221 (5,279) HK$32.22 10,365 9.47
Islands million
SBI China M&A The Cayman 1,612 13.49% 12,897 12,070 (827) HK$12.07 3.55
Opportunities Fund Islands million
SPC

– 17 –

Private Equity — Hong Kong

Proportion Dividend % of
Particular of Net assets received/ gross
of issued investee’s Unrealized attributable receivable assets
Place of shares capital Market gain/(loss) to the during of the
Name of investee incorporation held owned Cost value recognized Company the year Company
(Note 3) (Note 2)
HK$’000 HK$’000 HK$’000 HK$’000
Sense Key Design Hong Kong 199 19.9% 25,000 25,000 HK$1.28 7.35
Holdings Limited million

Notes:

  • (1) The unrealized gain/(loss) represented the changes in fair value of the respective investments during the Period.

  • (2) The calculation of net assets attributable to the Company is based on the latest published interim/annual report of the respective investments as at the latest practicable date at the end of each reporting period.

  • (3) The unrealized gain/(loss) represented the changes in fair value of the respective investments during the year ended 31 December 2015.

A brief description of the business and financial information of the investments is as follows:

  • (a) LEAP Holdings Group Limited (“LEAP Holdings GP”) is principally engaged in provision of foundation works and ancillary services and construction wastes handling. The audited profit attributable to shareholders of LEAP Holdings GP for the year ended 31 March 2016 was approximately HK$29,225,000 and the audited net assets attributable to shareholders of LEAP Holdings GP as at 31 March 2016 was approximately HK$166,461,000. The fair value of the investment in LEAP Holdings GP is based on quoted market bid prices.

  • (b) Luen Wong Group Holdings Limited (“Luen Wong GP”) is principally engaged in provision of civil engineering works and investment holding. The unaudited profit attributable to shareholders of Luen Wong GP for the three months ended 30 June 2016 was approximately HK$3,703,000 and the unaudited net assets attributable to shareholders of Luen Wong GP as at 30 June 2016 was approximately HK$79,950,000. The fair value of the investment in Luen Wong GP is based on quoted market bid prices.

  • (c) First Credit Finance Group Limited (“First Credit”) is principally engaged in money lending business which provides customers with a wide range of loan products and services to meet their financial needs. The unaudited profit attributable to shareholders of First Credit for the six months ended 30 June 2016 was approximately HK$14,643,390 and the unaudited net assets attributable to shareholders of First Credit as at 30 June 2016 was approximately HK$906,408,322. The fair value of the investment in First Credit is based on quoted market bid prices.

– 18 –

  • (d) Town Health International Medical Group Limited (“Town Health”) is principally engaged in healthcare business investment; provision and management of medical, dental and other healthcare care related services; investments and trading in properties and securities. The unaudited profit attributable to shareholders of Town Health for the six months ended 30 June 2016 was approximately HK$54,239,000 and the unaudited net assets attributable to shareholders of Town Health as at 30 June 2016 was approximately HK$4,501,188,000. The fair value of the investment in Town Health is based on quoted market bid prices.

  • (e) RCG Holdings Limited (“RCG Holdings”) is principally engaged in the provision of briometric and Radio Frequency Identification (“RFID”) products and solution services. The audited profit attributable to shareholders of RCG Holdings for the year ended 31 December 2015 was approximately HK$156,498,000 and the audited net assets attributable to shareholders of RCG Holdings as at 31 December 2015 was approximately HK$664,602,000. The fair value of the investment in RCG Holdings is based on quoted market bid prices.

  • (f) Interactive Entertainment China Cultural Technology Investments Limited (“IE China”) is principally engaged in i) mobile internet cultural business and provision of IT services; ii) provision of hospitality and related services in Australia; iii) provision of medical diagnostic and health check services; iv) provision of integral marketing services; v) money lending business; and vi) assets investments business. The unaudited loss attributable to shareholders of IE China for the six months ended 30 June 2016 was approximately HK$98,791,000 and the unaudited net assets attributable to shareholders of IE China as at 30 June 2016 was approximately HK$1,241,673,000. The fair value of the investment in IE China is based on quoted market bid prices.

  • (g) Convoy Global Holdings Limited (“Convoy”) is principally engaged in the independent financial advisory (“IFA”) business, money lending business, proprietary investment business, asset management business, corporate finance advisory services and securities dealing business and investment holdings. The unaudited profit attributable to shareholders of Convoy for the six months ended 30 June 2016 was approximately HK$7,916,000 and the unaudited net assets attributable to shareholders of Convoy as at 30 June 2016 was approximately HK$4,963,533,000. The fair value of the investment in Convoy is based on quoted market bid prices.

  • (h) China Parenting Network Holdings Limited (“China Parenting”) is principally engaged in online platform focusing on the Children-Babies-Maternity (“CBM”) market in China to provide marketing and promotional service and e-commerce business. The unaudited profit attributable to shareholders of China Parenting for the six months ended 30 June 2016 was approximately RMB20,597,000 and the unaudited net assets attributable to shareholders of China Parenting as at 30 June 2016 was approximately RMB326,720,000. The fair value of the investment in China Parenting is based on quoted market bid prices.

  • (i) Hydra Capital SPC (“Hydra Capital”) is an exempted company incorporated with limited liability and registered as a segregated portfolio company under the laws of the Cayman Islands established for the purpose of making investments on behalf of its portfolio holders. Hydra Capital has engaged a manager to make day-to-day decisions regarding the

– 19 –

management of its investments. The manager has appointed an investment manager to manage and invest the assets of the investment portfolio on a discretionary basis. The investment manager is a company incorporated in Hong Kong with limited liability principally engaged in the provision of investment advisory, funds dealing, introducing brokers and asset management service. The investment portfolio of Hydra Capital is currently focused on making investments in internet-related and mobile-applicationsrelated industries. The fair value of the investment in Hydra Capital is stated as net asset value.

  • (j) Gransing Financial Holdings Limited (“Gransing Holdings”) is principally engage in provision of quality brokerage, corporate finance, asset management and financial adviser services to institutional and individual investors through its subsidiaries. The fair value of the investment in Gransing Holdings is stated as recent arm’s length market transactions.

The top three investments with realized gain and loss for the Period are summarised as below:

Top three realized gain for the Period

Name of investment Realized gain
HK$’000
Amco United Holding Ltd. 9,328
Luen Wong Group Holdings Ltd. 9,305
Gameone Holdings Ltd. 1,904
Top three realized loss for the Period
Name of investment Realized loss
HK$’000
Smartac Group China Holdings Ltd. 2,657
ICO Group Ltd. 1,860
Sky Light Holdings Ltd. 364

LIQUIDITY, FINANCIAL RESOURCES AND GEARING

The Company has maintained a sufficient cash position which will allow it to capture opportunities with promising returns in both listed and private equities.

As at 30 June 2016, the gearing ratio, defined as total borrowings divided by shareholders’ equities, was 46% (31 December 2015: Nil). As at 30 June 2016, the Company has a margin payable to a securities broker of HK$149,947,594 with interest rates ranged from 8% to 9% per annum and an outstanding 7.5% coupon unlisted and unsecured notes at amortized cost of HK$68,571,611. Details of the issuance of notes can be referred to the announcement dated 11 March 2016 (31 December 2015: Nil).

INTERIM DIVIDEND

The Directors do not recommend the payment of any interim dividend during the Period (30 June 2015: Nil).

– 20 –

CHARGES ON COMPANY’S ASSET AND CONTINGENT LIABILITIES

As at 30 June 2016, the Company had pledged Hong Kong listed securities of approximately HK$388.5 million to secure the margin payables to the securities broker (31 December 2015: Nil).

There were no significant contingent liabilities as at 30 June 2016 (31 December 2015: Nil).

CAPITAL STRUCTURE

On 6 January 2011 (the “Listing Date”), the Company completed a share placement and a total of 303,000,000 ordinary shares of HK$0.1 each were placed at a price of HK$1.03 per share for a total cash consideration, excluding the related issue expenses, for approximately HK$312.1 million. Subsequent to the listing, the Company had acquired additional capital by completion of rights issue and placing of new shares under general mandate. As at 30 June 2016, the capital of the Company comprises of 1,112,616,000 ordinary shares.

SHARE OPTION SCHEME

The Company has adopted a share option scheme (the “Share Option Scheme”) on 1 June 2015, pursuant to an ordinary resolution passed at the extraordinary general meeting held on 28 May 2015. The Company has adopted the Share Option Scheme to provide incentive or reward to eligible participants for their contribution or potential contribution to the Company. Details of the Share Option Scheme will be set out under the heading “Share Option Scheme” in the 2016 interim report.

RIGHTS ISSUE

During the Period, the Company had raised an approximately HK$70 million, net of expense, by way of the rights issue of 309,060,000 rights shares to the qualifying shareholders at a subscription price of HK$0.235 (net price HK$0.226) per rights share on the basis of one rights share for every two shares (closing price of the shares of the Company was HK$0.258 as at the date of announcement). The Company had applied such net proceeds from the rights issue for investment in the publicly listed enterprises in information technology, creative culture and healthcare sectors. Details of the rights issue were set out in the announcements of the Company dated 23 November 2015 and 14 January 2016 and prospectus dated 16 December 2015.

PLACING OF NEW SHARES UNDER GENERAL MANDATE

During the Period, the Company had raised approximately HK$25.1 million, net of expenses, by way of entering the placing agreement with the placing agent, to place 185,436,000 placing shares to six placees which are professional investors and independent third party with the Company. The placing shares are issued at a gross price of HK$0.14 and net price of HK$0.135 per placing share (closing price of the Company was HK$0.161 as at the date of announcement) under the general mandate granted to the Directors at the annual general meeting of the Company held on 27 May 2016. The Company intended to use the net proceeds from the placing of new shares for investment in information technology, healthcare, environmental, education and creative culture in line with its ordinary course of business. Details of the placing of new shares under general mandate can be referred to the announcement dated 13 June 2016.

– 21 –

CAPITAL EXPENDITURE AND COMMITMENT

Save as disclosed in note 12 of interim results announcement, as at 30 June 2016, the Company made no capital expenditure or any other commitment (31 December 2015: Nil).

MATERIAL ACQUISITION AND DISPOSAL

During the Period, the Company did not acquire or dispose of any subsidiaries or associated companies (31 December 2015: Nil).

USE OF PROCEEDS

The Company has thirty-nine investments as of 30 June 2016, comprising of equity securities listed in Hong Kong, private equity funds and private equities. The largest one held by the Company is in the construction sector focusing on the Hong Kong market.

The rest of the net proceeds gained will be applied by the Board and the Investment Manager in making investments according to the investment objective, policies and restrictions of the Company and the requirements of the Articles of Association of the Company, the Listing Rules and the investment management agreement. Any proceeds not deployed are placed in bank deposits or invested in money market instruments or money market funds.

EMPLOYEES AND REMUNERATION POLICY

As at 30 June 2016, the Company had five full-time employees (31 December 2015: five fulltime employees). All of the Company’s employees were based in Hong Kong.

The Company establishes its remuneration policy by making reference to the prevailing market conditions and a performance-based reward system and the policy is periodically reviewed. Apart from mandatory provident fund, salaries increment, share option and discretionary bonuses may be awarded to employees according to the assessment of individual performance.

The total remuneration cost incurred by the Company for the Period was approximately HK$1,302,153 (30 June 2015: HK$990,973).

FOREIGN CURRENCY FLUCTUATION

The Board believes that foreign exchange risks are minimal as the Company mainly uses the Hong Kong dollars to carry out its business transactions.

– 22 –

EVENTS AFTER REPORTING PERIOD

(1) Change of auditor

Ernst & Young had resigned as the auditor of the Company with effect from 4 August 2016. HLB Hodgson Impey Cheng Limited had been appointed as the auditor of the Company to fill the casual vacancy following the resignation of Ernst & Young and to hold office until the conclusion of the next annual general meeting of the Company.

Details of the change of auditor can be referred to the announcement dated 4 August 2016.

(2) Proposed share consolidation and change in board lot size

The Company has proposed that every five existing shares of HK$0.10 each in the issued and unissued share capital be consolidated into one consolidated share of HK$0.50 each in the issued and unissued share capital of the Company (the “Share Consolidation”). The Company has also proposed to change the board lot size for trading from 100,000 existing shares to 20,000 consolidated shares upon the Share Consolidation becoming effective. The implementation of the Share Consolidation is upon approval by the shareholders at the extraordinary general meeting of the Company to be held on 22 September 2016.

Details of the proposed Share Consolidation and change in board lot size can be referred to the announcement dated 12 August 2016 and circular dated 29 August 2016.

PURCHASE, SALE OR REDEMPTION OF THE LISTED SHARES OF THE COMPANY

The Company has not purchased, sold or redeemed any of the Company’s shares during the Period.

CORPORATE GOVERNANCE PRACTICES

The Company has applied most of the principles set out in the Corporate Governance Code (the “CG Code”) contained in Appendix 14 to the Listing Rules. The Board is of the view that throughout the Period, the Company was in compliance with the code provisions as set out in the CG Code, save and except for code provision A.2.1 which stipulates the roles of Chairman and Chief Executive should be separate.

Code provision A.2.1 stipulates that the roles of Chairman and Chief Executive should be separate and should not be performed by the same individual. Throughout the Period, Mr. Gu Xu has been both the Chairman and Chief Executive Officer of the Company. He provides leadership to the Board and is responsible for the Company’s business development and daily management generally. The Board believes that vesting the roles of both Chairman and Chief Executive Officer in the same individual can provide the Company with strong and consistent leadership and allow for effective and efficient planning and implementation of business decisions and strategies. The Board believes that the balance of power and authority is adequately ensured by the operations of the Board which comprises experienced and highcalibre individuals, with three of them being independent non-executive Directors.

– 23 –

MODEL CODE FOR SECURITIES TRANSACTIONS

The Company has adopted the Model Code as its own code of conduct for dealing in securities of the Company by the Directors. Having made specific enquiry to all the Directors of the Company, all the Directors confirmed that they had complied with the required standard of dealings as set out in the Model Code throughout the Period.

AUDIT COMMITTEE

The Audit Committee currently comprises three independent non-executive Directors, namely Mr. Lam Chun Ho (being the chairman with professional qualifications in accountancy), Mr. Faris Ibrahim Taha Ayoub and Mr. Pun Tit Shan.

The primary audit related duties of the committee are to provide the Board with an independent review of the effectiveness of the financial reporting process, internal control and risk management system of the Company, to oversee the audit process and to perform other duties and responsibilities as assigned by the Board. The Audit Committee shall hold not less than two meetings a year and meet with the external auditors twice without the presence of the Executive Directors.

The unaudited interim financial information and the interim report of the Company for the Period have been reviewed by the Audit Committee of the Company.

PUBLICATION OF INTERIM REPORT

The interim report of the Company for the Period containing all the applicable information required by the Listing Rules will be dispatched to the shareholders of the Company and made available for review on the websites of the Stock Exchange (www.hkexnews.hk) and the Company (www.chinaneweconomyfund.com) in due course.

By order of the Board China New Economy Fund Limited Gu Xu Chairman, Chief Executive Officer and Executive Director

Hong Kong, 30 August 2016

As at the date of this announcement, the Board comprises Mr. GU Xu and Mr. CHAN Cheong Yee as executive Directors; Mr. LAM Chun Ho, Mr. Faris Ibrahim Taha AYOUB and Mr. PUN Tit Shan as independent non-executive Directors.

– 24 –