CITIC Securities Company Limited — Proxy Solicitation & Information Statement 2013

Sep 11, 2013

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(A joint stock limited company incorporated in the People’s Republic of China with limited liability) (Stock Code: 6030)

PROXY FORM

For 2013 Second Extraordinary General Meeting of CITIC Securities Company Limited to be held on Tuesday, 29 October 2013 and at any adjourned meeting(s) thereof

I/We (Note 1) of (Note 2) being the registered holder(s) of H shares (Note 3) RMB1.00 each in the share capital of CITIC Securities Company Limited (the “ Company ”), hereby appoint the Chairman of the meeting or

H shares (Note 3) with nominal value of (Note 4 and Note 5)

of

as my/our proxy to attend, act and vote for me/us and on my/our behalf at the 2013 Second Extraordinary General Meeting of the Company to be held at 10 a.m. on Tuesday, 29 October 2013 at Kaifeng Room, 3/F, Kempinski Hotel Beijing Lufthansa Center, 50 Liangmaqiao Road, Chaoyang District, Beijing, the People’s Republic of China and at any adjournment thereof as hereunder indicated in respect of the resolutions set out in the Notice of the EGM of the Company dated 11 September 2013, and if no such indication is given, as my/our proxy thinks fi t.

Please indicate how you wish your vote(s) to be cast by ticking the appropriate box next to the resolution.

		SPECIAL RESOLUTION	For	(Note 6)	Against	(Note 6)	Abstain	(Note 6)
1.	“THAT:
	(a)	the Company be authorized to apply for the expansion of the business scope of
		the Company to engage in the agency services business for precious metal spot
		contracts and proprietary business for spot gold contracts, and subject to the
		approval(s) of the relevant authority(ies) in the PRC, including but not limited
		to, the CSRC, the business scope of the Company be expanded to include the
		agency services business for precious metal spot contracts and proprietary
		business for spot gold contracts; and
	(b)	any one of the Directors or the management of the Company be and is hereby
		authorized to implement and take all steps and to do all acts and things as
		may be necessary or desirable to give effect to and implement such expansion
		of the business scope of the Company and to carry out all necessary matters,
		including but not limited to, obtaining necessary regulatory approval(s),
		making corresponding amendment(s) to the Articles of Association as required
		by the relevant regulatory authority(ies) in the PRC, undertaking relevant
		registration and f ling procedures with the State Administration of Industry and
		Commerce and renewing the business licence of the Company as such Director
		or management of the Company may in his/her absolute discretion deem f t.”
		ORDINARY RESOLUTION	For	(Note 6)	Against	(Note 6)	Abstain	(Note 6)
2.	“THAT:
	(a)	the appointment of Mr. Liu Lefei as the executive Director of the 5th Session
		of the Board for a term commencing from the date on which his appointment
		becomes effective up to the end of the 5th Session of the Board be approved
		and conf rmed; and
	(b)	any one of the Directors or the management of the Company be and is hereby
		authorized to implement and take all steps and to do all acts and things as may
		be necessary or desirable to give effect to and implement such appointment of
		Mr. Liu Lefei as the executive Director of the 5th Session of the Board as such
		Director or management of the Company may in his/her absolute discretion
		deem f t.”

• Further details of the above resolutions are set out in the circular of the Company dated 11 September 2013.

Date:

2013 Signature(s) (Note 7) :

Notes:

1. Please insert the full name(s) as shown in the register of members of the Company in BLOCK LETTERS .

2. Please insert the registered address(es) as shown in the register of members of the Company in BLOCK LETTERS .

3. Please insert the number of shares registered in your name(s); if no number is inserted, this proxy form will be deemed to relate to all shares in the capital of the Company registered in your name(s).

4. If you are a shareholder who is entitled to attend and vote at the meeting, you are entitled to appoint one or more proxies to attend instead of you and to vote on your behalf. A proxy need not be a shareholder of the Company, but must attend the meeting in person in order to represent you.

5. If a proxy other than the Chairman of the meeting is preferred, cross out the words “the Chairman of the meeting” and insert the full name(s) and address(es) of the proxy (or proxies) desired in the space provided. If no name is inserted, the Chairman of the meeting will act as your proxy. Any changes should be initialed by the person who signs this form.

6. IMPORTANT: IF YOU WISH TO VOTE FOR THE RESOLUTIONS, TICK THE APPROPRIATE BOX MARKED “FOR”. IF YOU WISH TO VOTE AGAINST THE RESOLUTIONS, TICK THE APPROPRIATE BOX MARKED “AGAINST”. IF YOU WISH TO ABSTAIN FROM VOTING ON ANY RESOLUTION, TICK IN THE BOX MARKED “ABSTAIN”, AND YOUR VOTES WILL BE COUNTED FOR THE PURPOSE OF CALCULATING THE RESULTS OF THE RESOLUTIONS. If you return this proxy form without indicating as to how your proxy is to vote on any particular matter, the person appointed as your proxy will exercise his/her discretion as to whether he/she votes and, if so, how and, unless instructed otherwise, he/she may also vote or abstain from voting as he/she thinks fi t on any other business (including amendments to resolutions) which may properly come before the meeting.

7. This proxy form must be signed and dated by the shareholder or his/her attorney duly authorized in writing. If the shareholder is a company, it should execute this proxy form under its common seal or by the signature(s) of (a) person(s) authorised to sign on its behalf. In case of joint shareholdings, any one shareholder may sign this proxy form. The vote of the senior joint shareholder who tenders a vote, whether in person or by proxy, will be accepted to the exclusion of the votes of the other joint shareholder(s) and for this purpose, seniority will be determined by the order in which the names stand in the register of members of the Company in respect of the joint shareholding.

8. To be valid, this proxy form, together with the power of attorney or other authority, if any, under which it is signed, or a notarially certifi ed copy of such power of attorney or authority, must be completed and deposited at the H Share registrar of the Company, Computershare Hong Kong Investor Services Limited, at least 24 hours before the meeting or adjourned meeting(s) . Computershare Hong Kong Investor Services Limited is located at 17M Floor, Hopewell Centre, 183 Queen’s Road East, Wan Chai, Hong Kong. The effective period of appointment of your proxy appointed under this proxy form shall cease upon conclusion of the EGM or any adjourned meeting(s).

9. Completion and delivery of this proxy form will not preclude you from attending and voting at the meeting if you so wish.