DFZQ — Board/Management Information 2018

Dec 5, 2018

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)

AMENDMENTS TO THE ARTICLES OF ASSOCIATION

東方證券股份有限公司 (the “ Company ”) held the 2015 annual general meeting (the “ AGM ”) on May 25, 2016, at which the proposal regarding application for the conduct of securities investment fund custody business was reviewed and approved. The AGM reviewed and approved that the Company shall apply to regulatory authorizations for the qualification of conducting securities investment fund custody business and authorised the management of the Company to modify the articles of association of the Company (the “ Articles of Association ”) in accordance with the requirements of the regulatory authorizations and process related matters such as amendments of the Articles of Association and business registration, etc.

Reference is made to the announcement of the Company published on October 26, 2018 in relation to the approval for the qualification of securities investment fund custody, pursuant to which, the qualification of securities investment fund custody of the Company was approved by the China Securities Regulatory Commission (the “ CSRC ”). Accordingly, the Company amends the relevant provisions regarding business scope in the Articles of Association in accordance with the authorization by the AGM as follows:

Original article Amended article Article 14 The business scope of the Company Article 14 The business scope of the Company is: securities brokerage, margin financing and is: securities brokerage, margin financing and securities lending; securities investment advisory; securities lending; securities investment advisory; financial advisory related to securities trading and financial advisory related to securities trading and securities investing activities; proprietary trading securities investing activities; proprietary trading of securities; proxy sale of securities investment of securities; proxy sale of securities investment funds; intermediary introduction business for funds; intermediary introduction business for futures companies; proxy sale of financial futures companies; proxy sale of financial products; securities underwriting (only including products; securities underwriting (only including treasury bonds, financial bonds of policy banks, treasury bonds, financial bonds of policy banks, short-term financing bills and medium-term short-term financing bills and medium-term notes); stock option market-making. The business notes); stock option market-making business ; scope of the Company must conform to the items securities investment fund custody . The business approved by the company registration authority. scope of the Company must conform to the items approved by the company registration authority. The Company shall conduct all business within the business scope approved by the securities The Company shall conduct all business within regulatory authority as well as other businesses the business scope approved by the securities approved by the securities regulatory authority. regulatory authority as well as other businesses approved by the securities regulatory authority.

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The amended full set of the Articles of Association has been published on the website of Shanghai Stock Exchange (http://www.sse.com.cn), the website of the Stock Exchange of Hong Kong Limited (http://www.hkexnews.hk) and the website of the Company (http://www.dfzq.com.cn).

By order of the Board PAN Xinjun Chairman

Shanghai, PRC December 5, 2018

As at the date of this announcement, the Board of Directors comprises Mr. PAN Xinjun and Mr. JIN Wenzhong as executive Directors; Mr. LIU Wei, Mr. WU Junhao, Mr. CHEN Bin, Mr. LI Xiang, Ms. XIA Jinghan, Mr. XU Jianguo and Mr. DU Weihua 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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