DFZQ — Board/Management Information 2017

Jun 30, 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)

CHANGE OF DIRECTOR’S INFORMATION

This announcement is published by東方證券股份有限公司(the “ Company ”) pursuant to Rule 13.51B(2) of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited.

The Company has been informed today that Mr. Pan Fei (“ Mr. Pan ”), an independent non-executive director of the Company, has received an Advance Notice of Administrative Penalties and Prohibition to Access the Market (Chu Fa Zi [2017] No. 54), issued by China Securities Regulatory Commission (the “ CSRC ”). The CSRC intends to issue a warning and impose a fine of RMB50,000 on Mr. Pan in relation to the suspected illegal acts of information disclosure of Jiangsu Yabaite Technology Co., Ltd. (“ Yabaite ”) (listed on the Shenzhen Stock Exchange, stock code: 002323) during Mr. Pan’s tenure as an independent director of Yabaite. According to Mr. Pan, he has submitted a statement and plea to the CSRC. The CSRC shall review the facts, reasons and evidence put forward by the appellant and issue a formal decision of administrative penalty according to the aforementioned facts, reasons and evidence if the case stands. If there is any major change in the CSRC’s formal decision, the Company will publish an updated announcement when appropriate.

Yabaite is not connected to the Company. The administrative penalties that may be imposed on Mr. Pan are not related to the Company.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC June 30, 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, 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.