中信证券 www.cs.ecitic.com

CITIC 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.

The business scope of the Company covers: 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 2013, our major businesses maintained their leading positions in China’s securities industry. The brokerage business accounted for 6.18% of the combined market share, maintaining its number one position in the market. Our investment banking team completed a total of 16 equity lead underwriting transactions and 141 bond lead underwriting transactions, with a lead underwriting amount of RMB54.3 billion and RMB159.5 billion, accounting for 10.95% and 4.02% of the market share, and ranking second and first among brokers, respectively. We completed 30 merger and acquisition deals, ranking number one in the world both in terms of the value of financial advisory services and number of deals completed. The AUM of our asset management business reached RMB504.9 billion, ranking first among our peers. Our fixed income business maintained its number one ranking in the interbank bond market in terms of spot trading volume. The outstanding balance of our margin financing and securities lending amounted to RMB33.1 billion, securing a market share of 9.64%, which was ranked first in the market. The number of our QFII clients increased to 110, with the trading volume ranking first in the market. Our stock repo and stock-pledged repo had a business scale of RMB3.1 billion and RMB7.9 billion, respectively, both ranking first.

As of 31 December 2013, 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 seven 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., China Asset Management Co., Ltd, (“China AMC”) and CITIC Securities Investment Co., Ltd, (CITIC Securities Investment) and holds non-controlling stakes in three principal non-controlling subsidiaries, namely 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 2013, the Company maintained the largest securities company in China, with a total asset of RMB271.4billion, equity of RMB87.7 billion, and net capital of RMB34.8 billion.