DFZQ — Capital/Financing Update 2017

Sep 19, 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)

APPROVAL BY THE ISSUANCE APPROVAL COMMITTEE OF THE CSRC ON APPLICATION FOR NON-PUBLIC ISSUANCE OF A SHARES

References are made to (i) the announcement of 東方證券股份有限公司 (the “ Company ”) dated February 28, 2017 in relation to, among other things, (1) the Proposed Non-public Issuance of A Shares, (2) connected transaction – proposed subscription of A Shares by substantial shareholder, and (3) the proposed subscription of A Shares by existing shareholders; (ii) the circular of the Extraordinary General Meeting and the H Shares Class Meeting (the “ Circular ”) dated March 30, 2017 of the Company; (iii) the announcement of the Company dated April 14, 2017 in relation to the poll results of the Extraordinary General Meeting, the A Shares Class Meeting and the H Shares Class Meeting held on April 14, 2017; (iv) the announcements dated May 15, 2017 and August 7, 2017 in relation to the Proposed Non-public Issuance of A Shares and proposed subscription of A Shares by existing shareholders; and (v) the announcement in relation to the receipt of acceptance notice of the application for administrative permission from the CSRC dated June 8, 2017. Unless otherwise defined herein, capitalized terms used in this announcement shall have the same meanings as those defined in the Circular.

On September 19, 2017, the Issuance Approval Committee of the China Securities Regulatory Commission (the “ CSRC ”) conducted a review of the Company’s application for Non-public Issuance of A Shares. Pursuant to the results of the review, the Company’s application for Non-public Issuance of A Shares has been approved.

As at the date hereof, the Company has not received the approval documents in writing from the CSRC. The Company will make further announcement upon receiving the official approval documents from the CSRC. Investors are hereby reminded of the investment risks.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC September 19, 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 and Mr. XU Zhiming as independent nonexecutive Directors.