中信证券 www.cs.ecitic.com

CCITIC Securities Co., Ltd. (CITICS) was incorporated in Beijing on October 25, 1995.Upon approval of Chinese Securities Regulatory Commission (CSRC) on December 13, 2002, CITICS undertook an initial public offering (IPO) of 400 million common A shares. On January 6, 2003, CITICS (Ticker: 600030) was listed on the Shanghai Stock Exchange. On October 6, 2011, CITICS (Ticker: 6030) was listed on the Hong Kong Exchange, with H shares in issue total of 1,094,830,000.

The business scope of the Company covers: securities brokerage (for areas other than Shandong Province, Henan Province, Zhejiang Province, Fujian Province and Jiangxi Province); securities investment consulting; financial advisory services related to securities trading and securities investment activities; securities underwriting and sponsorship; securities proprietary business; securities asset management; margin financing and securities lending; securities investment fund sales agency; provision of brokerage services to futures companies; and distribution of financial products.

In 2012, our major businesses maintained their leading positions in China’s securities industry. The brokerage business accounted for 5.76% of the combined market share, maintaining its number one position in the market. Our investment banking team completed a total of 30 equity lead underwriting transactions and 137 bond lead underwriting transactions, with a lead underwriting amount of RMB50.6 billion and RMB215.36 billion, accounting for 10.53% and 5.13% of the market share, and ranking second and first among brokers, respectively. We completed 19 merger and acquisition deals, of which 10 were domestic transactions and nine were cross-border transactions. The AUM of our asset management business reached RMB250.84 billion, ranking first among our peers. Our fixed income business completed a total bond market-making volume of RMB4.2 trillion, ranking fourth in the entire market and first among brokers. The outstanding balance of our margin financing and securities lending amounted to RMB8.84 billion, securing a market share of 9.87%, which was ranked first in the market. The number of our QFII clients increased to 72, with the trading volume ranking first in the market. Our research business was ranked first for the seventh consecutive year as the “Best Local Research Team” by New Fortune Magazine.

As of 31 December 2012, CITIC Group is the shareholder holding more than 5% of the total shares of the Company (percentage to the total number of shares is 20.30%). Leveraging the synergy of CITIC Group, CITIC Bank, CITIC Trust, and CITIC Prudential, the Company provides comprehensive financial services home and abroad, together with CITIC International Financial Holdings Limited.

CITICS holds controlling stakes in six subsidiaries, namely: CITIC Securities (Zhejiang) Co., Ltd, CITIC Wantong Securities Co., Ltd, CITIC Securities International Company Limited (“CSI”), CITIC Futures Co., Ltd, GoldStone Investment Co., Ltd., and CITIC Securities Investment Company Limited (CITIC Securities Investment) and holds non-controlling stakes in four principal subsidiaries, namely China AMC, CITIC PE Fund, Jiantou Zhongxin Asset Management Co., Ltd., and S&P/CITIC Index Information Services (Beijing) Co., Ltd.

Since the A share IPO, the Company completed two secondary offerings. The Company issued 500,000,000 A Shares by private placement and 334,000,000 A shares by public offering respectively in 2006 and 2007, and raised around RMB4.6 billion and RMB 25 billion subsequently. After tow capitalization issue, the total number of issued Share of the Company increased to 6,630,467,600 in April 2008 and 9,945,701,400 in June 2010. The Company completed the H-share IPO in September and October of 2011, and the total number of issued Shares of the Company increased from 9,945,701,400 to 11,016,908,400, of which 9,838,580,700 Shares were A Shares and 1,178,327,700 Shares were H Shares. As of 31 December 2012, the Company maintained the largest securities company in China, with a total asset of RMB168.51billion, equity of RMB86.47 billion, and net capital of RMB40.47 billion.