DFZQ — Board/Management Information 2016

Nov 28, 2016

Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited and Hong Kong Securities Clearing Company 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.

(A joint stock company incorporated in the People’s Republic of China with limited liability under the Chinese corporate name “ 東方證券股份有限公司 ” and carrying on business in Hong Kong as “ 東方證券 ” (in Chinese) and “DFZQ” (in English))

(Stock Code: 03958)

ANNOUNCEMENT ON RESIGNATION OF SECRETARY TO THE BOARD AND APPOINTMENT OF NEW SECRETARY TO THE BOARD

The board of directors (the “ Board ”) of 東方證券股份有限公司 (the “ Company ”) recently received the resignation report from Mr. Yang Yucheng, the vice president, the secretary to the Board and the joint company secretary of the Company. Mr. Yang Yucheng applied to resign from his position of the secretary to the Board due to personal reasons. Pursuant to the relevant rules under the Company Law of the People’s Republic of China (the “ Company Law ”) and the Company’s articles of association (the “ Articles of Association ”), the above resignation takes effect immediately upon the receipt of it by the Board. After the above resignation, Mr. Yang Yucheng will continue to act as the vice president and the joint company secretary of the Company.

The Board hereby expresses its sincere gratitude towards Mr. Yang Yucheng for his contribution to improving the corporate governance and realizing the issue and listing of A shares and H shares of the Company during his tenure of office as the secretary to the Board.

Pursuant to the relevant rules under the Company Law, the Rules Governing the Listing of Stocks on the Shanghai Stock Exchange and the Articles of Association, as nominated by the chairman of the Board and considered and approved by the Remuneration and Nomination Committee of the Board, the Company convened the 24th meeting of the third session of the Board on November 28, 2016 by way of voting via correspondence to consider and approve the Resolution Regarding the Appointment of Secretary to the Board of the Company, and agreed to appoint Mr. Wang Rufu as the secretary to the Board, whose term commences from the date on which such appointment was considered and approved by the Board to the expiry date of this session of the Board. Mr. Wang Rufu has obtained the Qualification Certificate of the Secretary to the Board from Shanghai Stock Exchange and the qualification for senior management of securities company management approved by the China Securities Regulatory Commission, and his qualification to serve this position has been approved by Shanghai Stock Exchange with no objection.

The independent non-executive directors of the Company expressed their independent opinions in respect of this appointment as follows: after reviewing the profile, education background and working experience of the person to be appointed, there is no condition under which he is restrained from acting as the secretary to the Board, and he has the desired expertise in finance, management and law as well as working experience required to perform the duties as the secretary to the Board, so he is qualified to execute the duties of corresponding position of the Company. The procedure of nomination and appointment of the secretary to the Board by the Board is in compliance with the laws, regulations and relevant requirements under the Articles of Association. Hence the appointment of Mr. Wang Rufu as the secretary to the Board is approved.

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Contact of the secretary to the Board is as follows:

Address: 23/F, Orient International Finance Plaza, No. 318 Zhongshan South Road, Shanghai Tel: 021-63325888

Fax: 021-63326010 E-mail: wangrf@orientsec.com.cn

The biography of Mr. Wang Rufu is as follows:

Mr. Wang Rufu, male, Han nationality, born in November 1973, postgraduate diploma, master degree, Chinese nationality. He currently serves as the chief of the Board office of the Company and representative of securities matters of the Company. He successively served as the comprehensive planner of Planning Head Office and the strategic manager of Development and Coordination Office of Shenyin Wanguo Securities, the assistant to general manager of Planning and Development Department and the deputy chief (in charge of affairs) of secretariat of Kinghing Securities, the senior strategic researcher of securities market of Orient Securities Institute, and the senior head, assistant to the chief and deputy chief of the Board office of the Company. Mr. Wang Rufu obtained the Qualification Certificate of the Secretary to the Board issued by Shanghai Stock Exchange in May 2012, and the qualification for senior management of securities company management in November 2016.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC November 28, 2016

As at the date of this announcement, the Board of Directors comprises Mr. PAN Xinjun and Mr. JIN Wenzhong as executive Directors; Mr. WU Jianxiong, Mr. ZHANG Qian, Mr. WU Junhao, Mr. CHEN Bin, Mr. LI Xiang, Mr. XU Jianguo, Ms. HUANG Laifang and Mr. ZHOU Yao as non-executive Directors; and Mr. LI Zhiqiang, Mr. XU Guoxiang, Mr. TAO Xiuming, Mr. WEI Anning, Mr. PAN Fei and Mr. XU Zhiming as independent non-executive Directors.

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