Huatai Securities Co., Ltd. — Capital/Financing Update 2016

Nov 1, 2016

Hong Kong Exchanges and Clearing Limited and 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.

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(A joint stock company incorporated in the People’s Republic of China with limited liability under the Chinese corporate name 華泰證券股份有限公司 and carrying on business in Hong Kong as HTSC)

(Stock Code: 6886)

VOLUNTARY ANNOUNCEMENT COMPLETION OF THE ACQUISITION OF THE ENTIRE ISSUED SHARE CAPITAL OF ASSETMARK FINANCIAL HOLDINGS, INC.

Reference is made to the announcements of Huatai Securities Co., Ltd. (the “ Company ”) dated 11 April 2016 and 6 July 2016 (the “ Announcements ”) relating to the AssetMark Acquisition. This is a voluntary announcement of the Company to provide updated information of the progress of the AssetMark Acquisition. Unless otherwise stated, capitalised terms used herein shall have the same meanings as those defined in the Announcements.

The Board is pleased to announce that (i) all necessary approvals required for the AssetMark Acquisition have been obtained from the relevant PRC and U.S. regulatory authorities; and (ii) the Company has increased the paid-in capital of Huatai Financial Holdings (Hong Kong) Limited by HK$7.8 billion in accordance with the applicable requirements of CSRC, the State Administration of Foreign Exchange and other relevant PRC and overseas regulatory authorities. All conditions precedent under the Stock Purchase Agreement have been satisfied and the AssetMark Acquisition was completed on 31 October 2016.

The final total consideration for the AssetMark Acquisition payable by the Company is approximately US$768 million. Upon completion, AssetMark became an indirect subsidiary of the Company.

By order of the Board of Directors of the Company Jiang Jian Company Secretary

Jiangsu, PRC, 1 November 2016

As of the date of this announcement, the Board comprises Mr. ZHOU Yi as an executive Director; Ms. PU Baoying, Mr. SUN Hongning, Mr. ZHOU Yong, Mr. CAI Biao, Mr. GAO Xu, Mr. CHEN Ning and Mr. XU Qing as non-executive Directors; and Mr. BAI Wei, Mr. LIU Hongzhong, Mr. LEE Chi Ming, Mr. CHEN Chuanming and Mr. YANG Xiongsheng as independent non-executive Directors.