DFZQ — Capital/Financing Update 2017

Jun 8, 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 IN RELATION TO THE RECEIPT OF ACCEPTANCE NOTICE OF THE APPLICATION FOR ADMINISTRATIVE PERMISSION FROM CSRC

References are made to the announcement of 東方證券股份有限公司(the “ Company ”) dated February 28, 2017 and the circular of the Company dated March 30, 2017 (the “ Circular ”) in relation to, among other things, the Proposed Non-public Issuance of A Shares. Unless otherwise indicated, the capitalized terms used in this announcement shall have the same meaning as those defined in the Circular.

The board of directors of the Company (the “ Board ”) is pleased to announce that the Company has recently received the “Acceptance Notice of the Application for Administrative Permission from the CSRC” (No. 171003) (《中國證監會行政許可申請受理通知書》(171003號)) issued by the China Securities Regulatory Commission (the “ CSRC ”). The CSRC has reviewed the application materials for the “Application for Approval of Listed Company Non-public Issuance of New Shares of 東方證券股份有限公司” (《東方證券 股份有限公司上市公司非公開發行新股核准》) for the administrative permission submitted by the Company and considered that the application materials were complete and had complied with the statutory form, thus it decided to accept the application for administrative permission for further processing.

As at the date of this announcement, the Proposed Non-public Issuance of A Shares is still subject to the approval from the CSRC. The Company will fulfill its obligations of information disclosure in a timely manner according to the process of examination and approval by the CSRC. It is still uncertain whether the Proposed Non-public Issuance of A Shares will be approved by the CSRC. Investors are advised to pay attention to the possible risks in connection with investment in the shares of the Company.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC June 8, 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.