China Galaxy Securities Co., Ltd. — Board/Management Information 2021

Oct 29, 2021

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(A joint stock company incorporated in the People’s Republic of China with limited liability) (Stock Code: 06881)

ANNOUNCEMENT

CHANGE OF CERTAIN SENIOR MANAGEMENT MEMBERS

The board of directors (the “ Board ”) of China Galaxy Securities Co., Ltd. (the “ Company ”) wishes to announce that with effect from 29 October 2021, (i) Mr. WU Chengming ceased to serve as a member of the Executive Committee, the Board secretary and the joint company secretary of the Company, (ii) Mr. XUE Jun was appointed as the vice president, a member of the Executive Committee and the finance manager of the Company, and (iii) Mr. LIANG Shipeng was appointed as the chief risk officer of the Company.

Resignation from the Positions of Member of Executive Committee, Board Secretary and Joint Company Secretary

Due to the adjustment of work arrangements, Mr. WU Chengming ceased to serve as a member of the Executive Committee, the Board secretary and the joint company secretary of the Company with effect from 29 October 2021. Mr. CHEN Gongyan, the legal representative of the Company and the chairman of the Board, will perform duties as the acting Board secretary in accordance with relevant regulatory requirements. Mr. LEE Kwok Fai Kenneth will continue to serve as the company secretary of the Company.

Mr. WU Chengming has confirmed that he has no disagreement with the Board, and there are no other matters relating to his resignation that need to be brought to the attention of the shareholders of the Company. The Company would like to express its sincere gratitude to Mr. WU Chengming for his contribution to the Company during his tenure of service.

Appointment of Vice President, Member of Executive Committee and Finance Manager

With effect from 29 October 2021, Mr. XUE Jun was appointed as the vice president, a member of the Executive Committee and the finance manager of the Company. The biographical details of Mr. XUE Jun are set out below:

XUE Jun , male, born in February 1970, obtained a bachelor’s degree in economics from Central Institute of Finance and Banking and a master’s degree in business administration from Guanghua School of Management of Peking University. Mr. XUE worked as an office staff member at Jingdu

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Certified Public Accountant Co., Ltd. from August 1992 to October 1997. He served as a principal staff member, the deputy division chief and a researcher of the Department of Public Offering Supervision of the China Securities Regulatory Commission (the “ CSRC ”) from November 1997 to January 2008, an assistant to the president of Guosen Securities Co., Ltd. from February 2008 to April 2009, the deputy general manager of Qilu Securities Co., Ltd. from May 2009 to December 2011, and an assistant to the general manager of Shenyin & Wanguo Securities Co., Ltd. from January 2012 to December 2014. He was an assistant to the general manager of Shenwan Hongyuan Securities Co., Ltd. from January 2015 to April 2020 and concurrently served as its chief compliance officer from April 2020 to September 2021. He has been a member of the Party Committee of the Company since September 2021.

Appointment of Chief Risk Officer

With effect from 29 October 2021, Mr. LIANG Shipeng was appointed as the chief risk officer of the Company. The biographical details of Mr. LIANG Shipeng are set out below:

LIANG Shipeng , male, born in November 1969, obtained a bachelor’s degree in economics and a master degree of business administration from Northwest University and is an economist. Mr. LIANG served as an office staff member of the Investment Banking Department of Hainan Securities Company Limited and a staff member of Qinghai Securities Management Office from September 1994 to December 1998. From December 1998 to May 2002, he served as a senior staff member, principal staff member and the deputy division chief of the Listed Company Regulatory Division of Xining Special Commissioner’s Office of the CSRC. From May 2002 to March 2004, he was the deputy division chief and division chief of the Institution Regulatory Division of Xining Special Commissioner’s Office of the CRSC. From March 2004 to December 2007, he served as the division chief of the Institution Regulatory Division of the Qinghai Regulatory Bureau of the CSRC. From December 2007 to February 2011, he served as a member of the Party Committee and the deputy chief of the Tibet Regulatory Bureau of the CSRC. From February 2011 to December 2014, he served as a member of the Party Committee, the secretary of the Discipline Inspection Commission and the deputy chief of the Qinghai Regulatory Bureau of the CSRC. From December 2014 to June 2019, he was the secretary of the Party Committee and the chief of the Qinghai Regulatory Bureau of the CSRC. Mr. LIANG has been a member of the Executive Committee and the chief compliance officer of the Company since June 2019.

By order of the Board China Galaxy Securities Co., Ltd. CHEN Gongyan Chairman and Executive Director

Beijing, the PRC 29 October 2021

As at the date of this announcement, the executive directors of the Company are Mr. CHEN Gongyan (Chairman) and Mr. CHEN Liang (Vice Chairman and President); the non-executive directors are Mr. LIU Dingping, Mr. YANG Tijun, Ms. LIU Chang, Mr. Liu Zhihong and Mr. JIANG Yuesheng; and the independent non-executive directors are Mr. LIU Ruizhong, Mr. WANG Zhenjun, Ms. LIU Chun and Mr. LAW Cheuk Kin Stephen.

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