Huatai Financial Holdings (Hong Kong) Limited

Established in 2006, Huatai Financial Holdings (Hong Kong) Limited (HTHK) is a wholly-owned subsidiary of Huatai Securities Co. Limited (Huatai Securities), a publicly listed company on Shanghai Stock Exchange (601688 CH) since 2010. HTHK has Type 1, Type 2, Type 4 and Type 9 licenses, with a registered capital of HKD one billion. HTHK’s current business includes securities, futures brokerage and asset management, including HTHK’s RQFII quota, which was granted in 2010. In 2014, HTHK is embarking on a build out of an overseas investment banking platform with specialized services such as underwriting, private investments, and structured finance. Our services will further expand to corporate finance including financial advisory and merger and acquisition. Our new international platform will allow HTHK to provide a seamless platform for our parent company’s extensive client resources to explore international opportunities as well as to offer world class service to our institutional investors to gain insight and access to our mainland domestic market capabilities. Huatai Securities is one of the first groups of securities firms established in China and earned approval from China Securities Regulatory Commission and the People’s Bank of China. Since 2010, Huatai Securities has over 6 million brokerage clients and almost CNY one trillion of custody assets. Huatai Securities has ownership interest in China Southern Fund (45%), the largest fund management company in China, Huatai Pinebridge (49%), a Sino-foreign joint fund management company, Huatai Great Wall Futures (60%), Bank of Jiangsu, GP Capital (7.5%), and Huatai Zijin Investment (100%). In 2013, Huatai Securities A-Share turnover ranked #2 and reached CNY 586 million (6.12% of the market share). It ranked fifth by total assets, net capital and revenue amongst China’s securities firms.