<table><tr><td>Hicend Futures</td><td>Hicend Futures Co., Ltd. (海證期貨有限公司)</td></tr><tr><td>HuaAn Funds</td><td>HuaAn Funds Management Co., Ltd. (華安基金管理有限公司)</td></tr><tr><td>Guoxiang Properties</td><td>Shanhgai GuoxianPLdg ro有公perties Co., t. (上海國翔置業限司)</td></tr><tr><td>SPD Bank</td><td>Shanhdgai PuonDlCg eveo浦發銀股有
pment Bank o., Ltd. (上海東展行份限公司)</td></tr><tr><td>Shanhgai Rural Commercial Bank</td><td>Shanhgai Rural Commercial Bank Co., Ltd. (上海農村商業銀行股份有限公
司)</td></tr><tr><td>Convertible Bonds/
 A Share Convertible Bonds</td><td>’the convertible corporate bonds (which can be converted into the Companys 
A Shares) amounting to RMB7 billion issued by the Company on 7 July 2017 
and listed on Shanhai Stock Exchange on 24 July 2017g</td></tr><tr><td>Company Law</td><td>the Company Law of the PRC</td></tr><tr><td>Securities Law</td><td>the Securities Law of the PRC</td></tr><tr><td>SSE Listing Rules</td><td>the Rules Governing the Listing of Stocks on the Shanhai Stock Egxchange</td></tr><tr><td>Hong Kong Listing Rules</td><td>the Rules Governing the Listing of Securities on The Stock Exchange of Hong 
Kong Limited, as amended, sulppemented or otherwise modified from time 
to time</td></tr><tr><td>Model Code</td><td>the Model Code for Securities Transactions by Directors of Listed Issuers as 
set out in Appendix 10 to the Hong Kong Listing Rules</td></tr><tr><td>Corporate Governance Code</td><td>the Corporate Governance Code and Corporate Governance Report as set 
out in Appendix 14 to the Hong Kong Listing Rules</td></tr><tr><td>SFO</td><td>the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong 
Kong), as amended, sulpemented and modifpied otherwise from time to time</td></tr><tr><td>Reporting Period</td><td>the first half of 2020</td></tr><tr><td>Yuan</td><td>RMB Yuan</td></tr><tr><td>A Shares</td><td>domestic shares of the Company, with a nominal value of RMB1.00 each, 
which are listed on the Shanhai Stock Exchange and are traded in RMBg</td></tr><tr><td>H Shares</td><td>overseas listed foreign shares of the Company, with a nominal value of 
RMB1.00 each, which are listed on the Hong Kong Stock Exchange and traded 
in Hong Kong dollars</td></tr><tr><td>FICC</td><td>Fixed Income, Currencies and Commodities</td></tr><tr><td>Daohe APP</td><td>APP serving corporate and institutional customers</td></tr><tr><td>Matrix System</td><td>the corporate and institutional customers management system</td></tr><tr><td>Jun Hong APP</td><td>APP serving retail customers</td></tr><tr><td>Jun Hong Bai Shi Tong</td><td>the retail customers management system</td></tr></table>

# I. PROFILE

<table><tr><td>Name in Chinese</td><td>國泰君安証券股份有限公司</td></tr><tr><td>Abbreviation in Chinese</td><td>國泰君安</td></tr><tr><td>Name in Enlhgis</td><td>Guotai Junan Securities Co., Ltd.</td></tr><tr><td>Abbreviation in Enlgish</td><td>GTJA, Guotai Junan Securities</td></tr><tr><td>Legal Representative</td><td>HE Qing</td></tr><tr><td>General Manager</td><td>WANG Song</td></tr></table>

# Registered Capital and Net Capital of the Company

# Unit: thousand yuan Currency: RMB

<table><tr><td></td><td>At the 
end of the 
Reporting 
Period</td><td>At the 
end of 
last year</td></tr><tr><td>Registered Capital</td><td>8,907,948</td><td>8,907,948</td></tr><tr><td>Net Capital</td><td>89,338,264</td><td>85,971,493</td></tr><tr><td>ShNtare Capiteal o</td><td>8,907,949</td><td>8,907,948</td></tr></table>

Note: From July 2019 when the Company completed the change of registered capital to the end of the Reporting Period, the cumulative number of Shares converted from the \( \mathrm { A } \) Share Convertible Bonds of the Company was 614 Shares, and the share capital of the Company increased to 8,907,948,568 Shares. The Company will apply for registering the change of the registered capital in a timely manner in accordance with the relevant requirements.

# Business Qualifications for Each Individual Business of the Company

# √ Applicable □ Not applicable

# 1. Individual Business Qualifications of the Company

<table><tr><td>No.</td><td>Approval Department</td><td>Qualification Name/Membership</td></tr><tr><td>1</td><td>Th’e PeolfChpes Bank o ina</td><td>Interbank Borrowing Qualification (Yin Huo Zheng [2000] No. 
122, Yin Zong Bu Han [2016] No. 22)
Interbank Bonds Market Maker (Yin Fa [2004] No. 157)
Participation of Gold Trading on Shanhgai Gold Exchange as 
an Institutional Dealer (Yin Shi Huang Jin Bei [2014] No. 143)
Free Trade Accounting Business (August 2015)</td></tr><tr><td>2</td><td>CSRC and its local branches</td><td>Operation license of securities businesses: securities brokerage; 
securities investment advisory; securities transaction and 
securities investment related financial advisory; securities 
underwriting and sponsorship; securities proprietary trading; 
margin financing and securities lending; agency sale of 
securities investment fund; agency sale of financial products; 
stock option market making. (Number: 10270000)
Online Agency Securities Trading (Zheng Jian Xin Xi Zi [2001] 
No. 3)</td></tr></table>