DFZQ — Board/Management Information 2016

Nov 11, 2016

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 MR. XU JIANGUO AS DIRECTOR

References are made to the announcement dated August 28, 2016 in relation to the proposed appointment of non-executive Director, the circular dated September 22, 2016 (the “ Circular ”) and the poll results of extraordinary general meeting dated November 8, 2016 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 appointment of Mr. Xu Jianguo (“ Mr. Xu ”) as a non-executive Director of third session of the Board has been approved at the extraordinary general meeting of the Company convened on November 8, 2016, subject only to CSRC’s approval on Mr. Xu’s qualification as Director.

On November 11, 2016, the Company has received the Reply of Approval on Qualification of Xu Jianguo as Director of Securities Company (Hu Zheng Jian Xu Ke [2016] No. 129) from the Shanghai Securities Regulatory Bureau of CSRC, pursuant to which, the appointment of Mr. Xu as a non-executive Director and a member of the audit committee of the third session of the Board has taken effect, and his term of office shall end on the expiry date of the term of office of this session of the Board.

By order of the Board of Directors PAN Xinjun Chairman

Shanghai, PRC November 11, 2016

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.