DFZQ — Board/Management Information 2018

Mar 16, 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)

ANNOUNCEMENT ON TAKING EFFECT OF APPOINTMENT OF NON-EXECUTIVE DIRECTORS

References are made to the announcement dated December 5, 2017 in relation to (among other things) the election of the Board, the circular dated January 29, 2018 (the “ Circular ”) and the announcement of the poll results of extraordinary general meeting dated March 6, 2018 of 東方證券股份有限公司 (the “ Company ”). Unless otherwise defined herein, capitalized terms used in this announcement shall have the same meanings as those defined in the Circular.

As previously disclosed, the proposed appointments of Mr. Liu Wei (“ Mr. Liu ”) and Ms. Xia Jinghan (“ Ms. Xia ”) as non-executive Directors of the fourth session of the Board have been considered and approved at the extraordinary general meeting of the Company convened on March 6, 2018. The appointments of Mr. Liu and Ms. Xia will be effective after the qualifications as approved by the CSRC and shall hold their terms of office to the expiry of the terms of the fourth session of the Board.

Recently, the Company has received the Reply of Approval on Qualification of Liu Wei as a Director of a Securities Company (Hu Zheng Jian Xu Ke [2018] No. 27) and the Reply of Approval on Qualification of Xia Jinghan as a Director of a Securities Company (Hu Zheng Jian Xu Ke [2018] No. 25) from Shanghai Securities Regulatory Bureau of the CSRC in relation to the approval on the qualifications of Mr. Liu and Ms. Xia as directors of a securities company, pursuant to which, the appointments of Mr. Liu as a non-executive Director and a member of the Remuneration and Nomination Committee and Ms. Xia as a non-executive Director and a member of the Compliance and Risk Management Committee have taken effect from the date of this announcement, and they shall hold their terms of office to the expiry of the terms of the fourth session of the Board.

Please refer to the Circular for the biographical details of Mr. Liu and Ms. Xia. Save as disclosed in this announcement and the Circular, there were no matters about Mr. Liu and Ms. Xia need to be brought to the attention of the Shareholders.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC March 16, 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.