DFZQ — Board/Management Information 2017

Dec 11, 2017

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 ELECTIONS OF EMPLOYEE REPRESENTATIVE DIRECTOR AND EMPLOYEE REPRESENTATIVE SUPERVISORS

In accordance with the requirements of the Company Law of the People’s Republic of China and the articles of association (the “ Articles of Association ”) of 東方證券股份有限公司 (the “ Company ”), the Company held the second general meeting of the third session of the employee representatives on 11 December 2017, in which Mr. Du Weihua (“ Mr. Du ”) was elected as the employee representative director of the fourth session of the board of directors of the Company (the “ Board ”), and will compose the fourth session of the Board together with the twelve directors who will be elected separately at the coming extraordinary general meeting of the Company (the “ EGM ”). Mr. Li Bin (“ Mr. Li ”), Mr. Zhou Wenwu (“ Mr. Zhou ”) and Mr. Yao Yuan (“ Mr. Yao ”) were elected as the employee representative supervisors of the fourth session of the supervisory committee of the Company (the “ Supervisory Committee ”), and will compose the fourth session of the Supervisory Committee together with the six supervisors who will be elected separately at the EGM.

The biographical details of Mr. Du, Mr. Li, Mr. Zhou and Mr. Yao are set out below:

Mr. Du Weihua , born in 1964, is a Community Party of China (“ CPC ”) party member and holds a master’s degree and is an associate professor. Currently, he is a vice president, the chairman of the trade union and a member of the discipline inspection commission of the Company, a director of Shanghai Orient Securities Capital Investment Co., Ltd., a director of Shanghai Orient Securities Innovation Investment Co., Ltd., and a director of Shanghai Orient Securities Asset Management Co., Ltd.. Mr. Du served as a teacher in the School of Finance at Shanghai University of Finance and Economics from July 1984 to June 1998, and the manager of sales department, assistant to the general manager and deputy general manager of the brokerage business department, general manager of the operation and management department, and the general manager of human resources management department of the Company from June 1998 to May 2017, an assistant to the president and employee representative supervisor of the Company from January 2012 to August 2015. Mr. Du has been the vice president of the Company since August 2015.

As at the date of this announcement and as far as the Board is aware, save as disclosed in this announcement, Mr. Du has not held any directorship in any other public companies the securities of which are listed on any securities market in Hong Kong or overseas in the past three years. As at the date of this announcement, save as disclosed in this announcement, Mr. Du does not have other relationship with any directors, supervisors, senior management or substantial shareholders of the Company. Mr. Du does not have any interest in the shares of the Company or its associated companies within the meaning of Part XV of the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong).

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Save as disclosed in this announcement, there is no other information in relation to the appointment of Mr. Du which is required to be disclosed pursuant to the requirements set out in Rules 13.51(2) (h) to (v) of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the “ Hong Kong Listing Rules ”) nor are there any matters which need to be brought to the attention of the shareholders of the Company. Mr. Du, has not been penalized by the CSRC or other relevant departments or stock exchanges.

As at the date of this announcement, the Company has not entered into any service contract with Mr. Du in terms of the appointment of the fourth session of the Board. The remuneration of Mr. Du will be determined in accordance with the remuneration and assessment system of the Company.

Mr. Li Bin , born in 1959, is a member of the CPC party and holds a bachelor’s degree and is an intermediate economist and an intermediate administrative engineer. Currently, he is the deputy party committee secretary, secretary of discipline inspection committee, the vice chairman of the Supervisory Committee and directorgeneral of Xindeyizhang Foundation (心得益彰基金會). Mr. Li served as a mechanic in Beijing Air Force Unit 39583 from February 1978 to January 1981, the league officer, deputy secretary, secretary, human resources manager, party branch secretary of assembly shop of Shanghai Construction Machinery Plant from July 1981 to September 1988, the director of general manager office and director of party committee office of Shanghai Petrochemical Equipment Company from September 1988 to August 1996, the senior staff of the human resources department of Shanghai Pricing Bureau from August 1996 to July 2000, the office senior staff, deputy director, deputy party committee secretary, secretary of discipline inspection commission and director of CPC Shanghai financial working committee from July 2000 to April 2011, and the director of human resources offices (human resources department, veteran services office) of CPC Shanghai financial working committee from April 2011 to March 2014. Mr. Li has been serving as the deputy party committee secretary and the secretary of discipline inspection commission of the Company since March 2014, the vice chairman of the Supervisory Committee since November 2014, as well as the director-general of Xindeyizhang Foundation (心得益彰基金會) since April 2015.

Mr. Zhou Wenwu , born in 1961, is a member of the CPC party and holds a bachelor’s degree. Currently, he is an employee representative supervisor, the director of the trade union administrative body, the vice chairman of the trade union, the deputy director of retirement management committee of the Company and the vice chairman of Huangpu District Federation of Trade Unions (黃浦區總工會). Mr. Zhou served as the deputy manager and manager of the financial department of Shanghai Merchants International Travel Company from June 1988 to September 1992. He served as the assistant manager of the financial department of Shanghai Jinqiao Export Processing Zone Joint Development Co., Ltd. from October 1992 to January 1997, the chief accountant of CLP Shanghai Industrial Co., Ltd. from February 1997 to October 1998, the manager of the financial department of Shanghai Pharmaceutical Biotechnology Industrial Park Medicine Sales Co., Ltd. from November 1998 to October 2000, as well as the commissioner for Liaoning administrative department, assistant to the general manager and deputy general manager for the fund management department of the Company from November 2000 to December 2014. Mr. Zhou has been serving as the vice chairman of the trade union of the Company since November 2014, as the deputy director of retirement management committee since February 2015 and the vice chairman of Huangpu District Federation of Trade Unions since April 2016.

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Mr. Yao Yuan , born in 1973, is a member of the CPC party and holds a bachelor’s degree and is a Certified Public Accountant. Currently, he is an employee representative supervisor, the general manager of the compliance and legal management department, the risk management department of the Company, a supervisor of Shanghai Orient Securities Futures Co., Ltd. and a supervisor of Shanghai Orient Securities Capital Investment Co., Ltd. Mr. Yao served as an accountant of Yangpu Securities Branch of Shanghai Pudong Development Bank from September 1993 to March 1998, as well as the auditing clerk, supervisor, senior supervisor, senior executive, assistant to the general manager and deputy general manager of audit department of the Company from March 1998 to December 2014. Mr. Yao has been serving as the deputy general manager of the Legal and Compliance Management Department (in charge of affairs) of the Company since December 2014 to March 2017, and the general manager of the compliance and legal management department and the risk management department of the Company since March 2017.

As at the date of this announcement and as far as the Supervisory Committee is aware, save as disclosed in this announcement, Mr. Li, Mr. Zhou and Mr. Yao have not held any directorship in any other public companies the securities of which are listed on any securities market in Hong Kong or overseas in the past three years. As at the date of this announcement, save as disclosed in this announcement, Mr. Li, Mr. Zhou and Mr. Yao do not have other relationship with any directors, supervisors, senior management or substantial shareholders of the Company. Mr. Li, Mr. Zhou and Mr. Yao do not have any interest in the shares of the Company or its associated companies within the meaning of Part XV of the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong).

Save as disclosed in this announcement, there is no other information in relation to the appointments of Mr. Li, Mr. Zhou and Mr. Yao which is required to be disclosed pursuant to the requirements set out in Rules 13.51(2) (h) to (v) of the Hong Kong Listing Rules nor are there any matters which need to be brought to the attention of the shareholders of the Company. Mr. Li, Mr. Zhou and Mr. Yao have not been penalized by the CSRC or other relevant departments or stock exchanges.

As at the date of this announcement, the Company has not entered into any service contract with Mr. Li, Mr. Zhou and Mr. Yao in terms of the appointment of the fourth session of the Supervisory Committee. The remuneration of above employee representative supervisors will be determined in accordance with the remuneration and assessment system of the Company.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC December 11, 2017

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 and Ms. HUANG Laifang as non-executive Directors; and Mr. XU Guoxiang, Mr. TAO Xiuming, Mr. WEI Anning, Mr. XU Zhiming and Mr. JIN Qinglu as independent non-executive Directors.

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