DFZQ — Capital/Financing Update 2019

Sep 18, 2019

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong 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.

This announcement is for information purposes only and does not constitute an invitation or offer to acquire, purchase or subscribe for securities.

This announcement does not constitute or form a part of any offer or solicitation to purchase or subscribe for securities in the United States. The securities have not been and will not be registered under the U.S. Securities Act of 1933, as amended (the “ Securities Act ”), or the securities law of any state of the United States or other jurisdiction. The securities are being offered and sold outside the United States to non-U.S. persons in reliance on Regulation S under the Securities Act (the “ Regulation S ”) and may not be sold within the United States or to, or for the account or benefit of, U.S. persons (as defined in Regulation S) absent registration or an exemption from registration under the Securities Act. No public offering of the securities will be made in the United States or in any other jurisdiction where such an offering is restricted or prohibited.

NOTICE OF LISTING ON THE STOCK EXCHANGE OF HONG KONG LIMITED

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• (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)

U.S.$2,500,000,000 MEDIUM TERM NOTE PROGRAMME

Arrangers and Dealers

Orient Securities (Hong Kong) Citigroup ICBC International ICBC (Asia) Nomura Shanghai Pudong Development Bank Hong Kong Branch

Application has been made to The Stock Exchange of Hong Kong Limited for the listing of U.S.$2,500,000,000 Medium Term Note Programme (the “ Programme ”) of DFZQ (東方證券股份 有限公司) whereby notes may be issued by way of debt issues to professional investors (as defined in Chapter 37 of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited and in the Securities and Futures Ordinance (Cap. 571) of Hong Kong) only, within 12 months after 18 September 2019, as described in the offering circular dated 18 September 2019. The listing of the Programme is expected to become effective on 19 September 2019.

Shanghai, PRC

18 September 2019

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.