· SSE

2019 Excellent Options Market Maker
2020 Special Award for Epidemic Prevention and Control, Excellent Underwriter of Financial Bonds, Excellent Underwriter of Local Government Bonds, Excellent Underwriter of Corporate Bonds, Excellent Underwriter of Corporate Bond Innovative Products, Excellent Manager for Asset Securitization Business, Excellent Manager for Asset Securitization Innovative Business, Excellent Bond Dealer, Excellent Bond Investment Institution (Proprietary, Asset Management), Excellent Participating Institution for Bond Lending, Excellent Participating Institution of Bond Pledge Tripartite Repurchase, Excellent Participating Institution in Credit Protection Tool Business, Excellent Trustee

· SZSE

2019 Excellent ETF Liquidity Service Provider
2020 Excellent Corporate Bond Underwriter, Excellent Asset Backed Special Plan Manager, Excellent Bond Duration Management Institution, Excellent Private Enterprise Financing Supporting Institution, Outstanding Underwriter Award in Interest Rate Bonds, Excellent Bond Investment Trading Institution, Positive Contribution Award to Bond Trading Mechanism Optimization, Excellent Cross-market Bond Underwriting Transferred to Custodian Institution

· Shenzhen Municipal Government

Runner-up Prize of 2019 Shenzhen Financial Innovation Award: CITIC Securities Quantitative Trading Platform

· National Interbank Funding Centre

Core Dealer, Excellent Dealer in the Bond Market, Excellent Dealer in the Derivatives Market, Outstanding Contribution
in Opening Up, Market Innovation Award, Trading Mechanism Innovation Award, Automated Trading Innovation Award

· Insurance Asset Management Association of China

2019 Most Popular Securities Institution in Insurance Asset Management
2019 Most Popular Securities Institution in Insurance Asset Management (Trusted Business)
2019 Most Popular Securities Institutions in Insurance Asset Management (Trading Service)

· China Development Bank

Excellent Underwriter in the Exchange Market, Outstanding Underwriter in the Interbank Market, Excellent Market Maker in the Interbank Market, Overseas Market Promotion Award, Best Research Cooperation Institution, Buy and Sell Excellent Institution

· Agricultural Development Bank of China

Excellent Underwriter Award, Best Broker Institution Award, Outstanding Contribution Award for Anti-epidemic, Excellent Secondary Market Maker of Agricultural Development Bonds, Excellent Bond Connect Market Maker of Agricultural Development Bonds, Outstanding Underwriter of Exchange Financial Bonds, Best Cooperative Underwriter Award for Overseas Bonds (CLSA Limited)

· Bond Connect Company Limited

Top Market Maker 2020, Marketing Award

· SRP

Best Domestic House, Best Distributor, Best Index Provider, Best Performance

· Finance Asia

2020 Achievement Award
Best M&A Project of the Year: Assets Restructuring of China Oil & Gas Pipeline Network Corporation

· Asiamoney

2020 Best Corporate Finance and Investment Bank in China
Best Broker in China, Best Domestic Equity Financing Broker, Best Domestic Debt Financing Broker
2020 China ABS Leader Award
Best ABS Underwriter for Auto Loan, Most Innovative Securitization Business
Best MBS Deal of the Year: Gongyuan Yiju First Tranche of Personal Housing Mortgage Loan Asset-backed Securities in 2020 (The first LPR linked RMBS)

· Merger Market

2020 China Enterprise M&A Award
Best M&A Deal of the Year: Asset Restructuring of China Oil & Gas Pipeline Network Corporation
Best Consumer Industry M&A Deal of the Year: Wumart’s Acquisition of Metro
Best Financial Services Industry M&A Deal of the Year: Restructuring of Baoshang Bank

· The Asset

Triple A Country Awards 2020
Best Consultant for Local Corporates and Institutions, Best Local Equity Consultant, Best M&A Consultant
Best Anti-epidemic Project: Wumart’s Bonds for Epidemic Prevention and Control
Best IPO Project: Cambricon
Best Asset-backed Securitization Project: DEBAO TIANYUAN ZHIXIN First Tranche of Personal Auto Mortgage Loan Asset-backed Securities in 2020
2019/2020 Triple A Sustainable Investing Awards
Best Domestic Trustee Award (Broker Category — Rising Star Award)

· Caixin Media

Caixin Capital Market Achievement Awards for 2019
No. 1 Best Investment Bank, No. 1 Best Investment Bank for Financial Industry, No. 2 Best Investment Bank in Industries, No. 3 Best Investment Bank in TMT Industry
Best Stock Underwriting Broker No. 1, Best Bond Underwriting Broker No. 1, Best A-Share Underwriter No. 1, Best A-Share IPO Underwriter No. 1, Best A-Share Non-public Issuance Underwriter No. 2
Best Financial Bond Underwriter No. 1, Best Asset Securitization Underwriter No. 2, Best Corporate Bond Underwriter No. 2, Best Onshore Green Bond Underwriter No. 2, Best Corporate Bond No. 3

· New Fortune

The 13th New Fortune Best Investment Bank
Best Local Investment Bank No. 1, Best Investment Bank in Equity Underwriting No. 1, Best Investment Bank in Debt Underwriting No. 1, Best Refinancing Investment Bank No. 1, Best STAR Market Investment Bank No. 1, Best IPO Investment Bank No. 2, Best Investment Bank in Mergers and Acquisitions No. 2, Best Investment Bank in Serving Overseas Markets No. 2, Best NEEQ Investment Bank No. 3, Best Investment Bank in Aerospace and Military Industry No. 1, Best Investment Bank in Finance & Real Estate No. 2, Best Investment Bank in Medicine & Health No. 3, Best Investment Bank in TMT No. 4
Best IPO Project: No. 1 (PSBC), No. 2 (CZ Bank), No. 4 (Baofeng Energy)
Best Refinancing Project: No. 1 (Non-public Issuance of Preferred Shares of the Bank of China), No. 2 (Non-public Issuance of Preferred Shares of the ICBC), No. 4 (Restructuring and Listing of Easyhome New Retail), No. 5 (Non-public Issuance of Preferred Shares of the Industrial Bank), No. 6 (Overall Listing of the CITIC Special Steel), No. 8 (Non-public Issuance of China Eastern)
Best STAR Market Project: No. 1 (CRSC), No. 3 (Montage Technology)
Best Overseas Project No. 2 (COFCO Property’s Acquisition of Joy City Property)
Best Corporate Bond Project: No. 1 (Public Issuance of 2019 green exchangeable corporate bond of China Three Gorges
Corporation), No. 3 (Non-public Issuance of 2019 First Tranche exchangeable corporate bond of China Merchants Group Co., Ltd.)
Best Convertible Bond Project No. 1 (Ping An Bank — Convertible Bond)

· Securities Times

2020 Jun Ding Award for Investment Bank in China
Full-Service Investment Bank in China, STAR Market Investment Bank in China, SSE SME Board Investment Bank in China, Main Board Investment Bank in China
STAR Market Project in China: Montage Technology IPO
ChiNext Project in China: Non-public Issuance of Eve Energy
SSE SME Board Project in China: IPO of Bank of Qingdao
Main Board Project in China: 2019 Convertible Bond of CITIC Bank
2020 Jun Ding Award for Wealth Management Institution in China
Jun Ding Award for Asset Management Broker, Jun Ding Award for Equity Investment Team, Jun Ding Award for Top 10 Innovative Products
2020 Jun Ding Award for Securities Broker in China
Jun Ding Award for Full-Service Securities Broker, Jun Ding Award for Retail Securities Broker

· Wind Info

2020 Listed Companies Ranking List in China
Top 50 in the Total List of Market Value List, Top 50 Most Popular Listed Companies by Institutions, Top 5 in the Diversified Financial Industry
2019 Wind Best Investment Bank
Best Equity Underwriter, Best IPO Underwriter, Best Refinancing Underwriter, Best Preferred Stock Underwriter, Best NEEQ Select Tier Equity Underwriter, Best Bond Underwriter, Best Credit Bond Underwriter-Excellent Securities Trader Award, Best Financial Bond Underwriter-Excellent Securities Trader Award, Best Asset-backed Securities Underwriter,
Best Credit ABS Underwriter, Best Enterprise ABS Underwriter, Best Underwriter of Company Bonds, Best Underwriter of Corporate Bonds, Best Underwriter of Convertible Bonds, Best Underwriter of Exchangeable Bonds

· China Securities Journal

2020 Golden Bull Award in Chinese Securities Industry
Golden Bull Award of Top Ten Securities Companies, Golden Bull Award of Social Responsibility of Securities Companies, Golden Bull Asset Management Team Award
2019 Golden Bull Wealth Management Product Selection
Three-Year Golden Bull Broker’s Collective Asset Manager, Golden Bull Broker’s Social Responsibility on Asset Management Award
Three-Year Golden Bull Broker’s Collective Asset Management Plan: CITIC Securities Dividend Value for One Year Holding Hybrid Collective Asset Management Plan, CITIC Securities Selected Equities Collective Asset Management Plan
Five-Year Golden Bull Broker’s Collective Asset Management Plan: CITIC Securities Selected Value Growth Hybrid
Collective Asset Management Plan (former CITIC Securities Equity-bond Hybrid), CITIC Securities Quantitative Optimal Equity Collective Asset Management Plan (former CITIC Securities TaoLiBao #1)
Innovative Award for Golden Bull Broker’s Collective Asset Management Plan: CITIC Securities Six-Month Rolling Bond Collective Asset Management Plan

· China Fund News •Yinghua Award

Best Asset Management Broker Award, Best Fixed Income Broker Asset Management Award, Best Equity Broker Asset Management Award
Best Broker Asset Management Innovation Products Award: CITIC Securities Six-Month Rolling Bond Collective Asset Management Plan
Best Private Funds Custody Broker

· Financial Times

2020 Best Securities Company

· Shanghai Securities News

2020 Gold Quality Award (Social Responsibility Award)

· Yicai

Top 10 Investment Banks of the Year of China Financial Value Ranking 2020

· International Financial News

2020 Pioneer Investment Bank, 2020 Asset Management Pioneer Broker, 2020 Best Securities APP

· Sina Finance

2020 China Enterprise ESG “Golden Responsibility Award”: Best Securities Company for Responsible Investment

· JRJ.com

2020 “Pilot China” Annual Selection: Thirty Years of Mighty • Outstanding Securities Company in China

. www.caishiv.com

The 10th Fund and Wealth Management •Jiefu Awards: Outstanding Custodian

· Agricultural Development Bank of China

Best Cooperative Underwriter Award of Overseas Bonds

· Asiamoney

2020 China Outstanding Corporate Finance and Investment Bank Award
Best for Cross-border M&A 2020
Asiamoney Brokers Poll 2020
No. 2 Best Research & Sales in Asia (Excluding Australia & Japan)
No. 2 Sales in Asia (Excluding Australia & Japan)
No. 2 Research in Asia (Excluding Australia & Japan)
No. 2 Overall Combined Research & Sales in China (A & B Shares)
No. 2 Best Broker in China (A & B Shares), No. 2 Best Research, No. 1 Best Analyst for Banks, No. 2 Best Overall Salesperson, No. 3 Best Salesperson, No. 2 Best Execution, No. 2 Best CA Servicer
No. 2 Best Broker in China (H Shares), No. 1 Best Analyst for Semiconductors & Semiconductor Equipment, No. 2 Best Overall Salesperson, No. 1 Best Salesperson, No. 2 Best Executive, No. 2 Best CA Servicer
No. 1 Best Analyst for Small/Mid Caps Stock in Hong Kong, China, No. 3 Best Overall Salesperson of Local Stocks, No. 3 Best Salesperson, No. 3 Best Executive, No. 3 Best CA Servicer No. 3 Overall Combined Research & Sales in Australia
Awards in Asia (Excluding Japan)
Research: No. 3 Best Economist/No. 1 Best Technical Analyst (Quantitative) /No. 1 Best Analyst for Banks/No. 2 Best Analyst for Consumer Staples/No. 3 Best Analyst for Real Estate/No. 1 Best Analyst for Healthcare/No. 2 Best Analyst for Insurance/No. 1 Best Analyst for Semiconductors & Semiconductor Equipment/No. 2 Best Analyst for Technology Hardware & Equipment/No. 2 Best Analyst for Software & Internet Services/No. 3 Best Analyst for Telecommunication Services
Sales: No. 1 Best Regional Salesperson
Japan
Research: No. 1 Best Strategist
Sales and Trading: No. 1 Best Salesperson/No. 3 Best Salesperson/No. 3 Best Sales Trader
Australia
Research: No. 1 Best Economist/No. 1 Best Analyst for Small/Mid Caps/No. 1 Best Analyst for Banks/No. 1 Best Analyst for Consumer Staples/No. 1 Best Analyst for Energy/No. 1 Best Analyst for Financials (Non-banking) /No. 1 Best Analyst for Healthcare/No. 1 Best Analyst for Industrials/No. 1 Best Analyst for Software & Internet Services/No. 1 Best Analyst for Technology Hardware & Equipment/No. 1 Best Analyst for Transportation & Logistics/No. 1 Best Analyst for Utilities
Sales and Trading: No. 2 Best Overall Sales Services/No. 1 Best Salesperson/No. 2 Best Salesperson/No. 1 Best Sales Trader/No. 2 Best Sales Trader/No. 3 Best Sales Trader/No. 2 Best for Execution
Indonesia
Research: No. 2 Best for Overall Research/No. 1 Best Analyst for Automobiles & Components/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Real Estate
Sales and Trading: No. 2 Best Overall Sales Services/No. 1 Best Salesperson/No. 1 Best Sales Trader/No. 2 Best for Execution/No. 2 Best CA Servicer
Malaysia
Research: No. 3 Best for Overall Research/No. 1 Best Analyst for Construction & Engineering/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Semiconductors & Semiconductor Equipment/No. 1 Best Analyst for Technology Hardware & Equipment
Sales and Trading: No. 2 Best Overall Sales Services/No. 1 Best Salesperson/No. 2 Best Salesperson/No. 1 Best Sales Trader/No. 3 Best for Execution/No. 3 Best CA Servicer
The Philippines Research: No. 1 Best for Overall Research/No. 1 Best Strategist/No. 1 Best Economist/No. 1 Best Analyst for Small/mid Caps Stock/No. 1 Best Analyst for Banks/No. 1 Best Analyst for Casinos & Gaming/No. 1 Best Analyst for Construction & Engineering/No. 1 Best Analyst for Consumer Staples/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Energy/No. 1 Best Analyst for Financials (Non-banking)/No. 1 Best Analyst for Industrials/No. 1 Best Analyst for Materials/No. 1 Best Analyst for Real Estate/No. 1 Best Analyst for Software & Internet Services/No. 1 Best Analyst for Telecommunication Services/No. 1 Best Analyst for Transportation & Logistics/No. 1 Best Analyst for Utilities Sales and Trading: No. 1 Best Overall Sales Services/No. 1 Best Salesperson/No. 2 Best Salesperson/No. 1 Best Sales Trader/No. 1 Best for Execution/No. 2 Best CA Servicer
Singapore
Research: No. 1 Best Analyst for Banks/No. 1 Best Analyst for Transportation & Logistics
Sales and Trading: No. 3 Best Salesperson/No. 3 Best for Execution
Thailand
Research: No. 1 Best for Overall Research/No. 1 Best Strategist/No. 1 Best Analyst for Agriculture/No. 1 Best Analyst for Construction & Engineering/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Financials (Non-banking)
Sales and Trading: No. 1 Best Overall Sales Services/No. 1 Best Salesperson/No. 2 Best Salesperson/No. 2 Best Sales Trader/No. 3 Best Sales Trader/No. 2 Best for Execution/No. 1 Best CA Servicer

· Finance Asia

Country Awards for Achievement 2020 (China)
Best Securities Broker in China
Best Deal in China/Hong Kong: JD’s Hong Kong secondary listing (CITIC Securities/CLSA Limited as one of the sponsors)
Equity Deal of the Year: JD’s Hong Kong secondary listing (CITIC Securities/CLSA Limited as one of the sponsors)

· The Asset

Triple A Country Awards 2020 (China)
Best Equity Deal: JD.com US$3.9 billion Hong Kong secondary listing (CITIC Securities/CLSA Limited as one of the sponsors)
Best IPO: Hangzhou Tigermed US$1.38 billion Hong Kong IPO (CITIC Securities/CLSA Limited as one of the sponsors, global coordinators, bookrunners and lead managers)
Best Privatization: US$2 billion privatization of Huaneng Renewables Corporation (CITIC Securities/CLSA Limited as financial adviser)
Best LGFV Bond: Yunnan Provincial Energy Investment Group Company US$300 million senior unsecured notes and unsubordinated perpetual securities (CITIC Securities/CLSA Limited as one of the bookrunners and lead managers)
Best Liability Management: Guangzhou R&F Properties Company senior bond issuance (CITIC Securities/CLSA Limited as one of the global coordinators)
Best Bank Capital Bond: Bank of Communications (Hong Kong) Limited US dollar perpetual non-cumulative subordinated additional tier 1 capital instruments (CITIC Securities/CLSA Limited as one of the bookrunners and lead managers)
Best Corporate Bond: China National Travel Service Group Corporation Limited dual-tranche senior secured notes (CITIC Securities/CLSA Limited as one of the bookrunners and lead managers)

· Refinitiv

2020 STARMINE Analyst Awards
Asia
No. 1 Stock Selection in Banks/No. 1 Profit Forecast in Equity Real Estate Investment Trusts (REITs)/No. 1 Profit Forecast in Financial Services/No. 3 Stock Selection in Financial Services/No. 2 Profit Forecast in Interactive Media & Services/No. 10 Overall Analyst Awards: Metals & Mining, Energy & Chemicals and Construction & Engineering
China (including Hong Kong)
No. 4 Overall Analyst Awards: Real Estate/No. 1 Stock Selection in Financial Services/No. 2 Profit Forecast in Financial Services/No. 2 Profit Forecast in Interactive Media & Services/No. 2 Stock Selection in Materials/No. 3 Profit Forecast in Materials/No. 2 Stock Selection in Transportation & Industrials/No. 3 Profit Forecast in Transportation & Industrials
Australia and New Zealand
No. 1 Stock Selection in Energy/No. 3 Profit Forecast in Energy/No. 1 Profit Forecast in Food, Beverage and Tobacco/ No. 1 Stock Selection in Hotels, Restaurants & Leisure/No. 1 Profit Forecast in Hotels, Restaurants & Leisure/No. 3 Profit Forecast in Interactive Media & Services/No. 2 Profit Forecast in Transportation & Infrastructure/No. 2 Profit Forecast in Real Estate/No. 3 Overall Analyst Awards: Energy and Utilities/No. 10 Overall Analyst Awards: Retail and Consumer Goods, Food, Beverage &Tobacco and Hotels, Restaurants & Leisure
India
No. 2 Stock Selection in Utilities/No. 3 Profit Forecast in Banks/No. 3 Profit Forecast in Energy/No. 3 Profit Forecast in Real Estate/No. 9 Overall Analyst Awards: Banks/No. 10 Overall Analyst Awards: Information Technology
Japan
No. 1 Profit Forecast in Software & IT Services/No. 2 Profit Forecast in Entertainment

· Sina Finance

SINA FINANCE HONG KONG FINANCIAL INSTITUTIONS AWARDS (HKFIA)
The Best IPO Financial Advisor of the Year

· China Securities Journal

Golden Bull Broker’s Equity Investment Annual Winner, Golden Bull Best IPO Case

· Zero2IPO Group

2020 Top 20 Private Equity Investment Institutions in China, 2020 Top 10 Investment Institutions in Advanced Manufacturing Field in China, 2020 Top 10 Best Investment Institutions in Scientific Innovation Enterprise in China, 2020 Top 50 China State-owned Investment Institutions in China, 2020 Top 10 Securities Company Equity Investment Institutions in China
Member of 10 Billion Club of Equity Investment Market in China for 20 Years

· Zhengzhou Commodity Exchange

2019 Excellent Member, Excellent Risk Management Company, Excellent Member in Talent Cultivation, Excellent Member in Industrial Service, Excellent Member in White Sugar Variety Service, Excellent Member in Methyl Alcohol Variety Service, Excellent Member in Glass Variety Service, Excellent Member in PTA Variety Service, Excellent Member in Cotton Variety Service, Excellent Member in Vegetable Variety Service, Excellent Member in Ferroalloy Variety Service, Excellent Member in Apple Variety Service, Excellent Member in Thermal Coal Variety Service

. Dalian Commodity Exchange

Gold Award for Outstanding Member, Outstanding Institutional Service Award, Outstanding Chemical Product Service Award, Outstanding International Market Service Award, Outstanding Black Product Service Award, Outstanding Agricultural Product Service Award, Outstanding Industrial Service Award, Outstanding Option Market Service Award, Outstanding Technical Support Award

. China Financial Futures Exchange

Platinum Award for Outstanding Member, Technology Management Award, Business Innovation Award, Outstanding Investment Education Award, Product Development Award (Stock Index Options, Stock Index Futures, Treasury Futures)

. Shanghai Futures Exchange

2019: Outstanding Member (Gold), Industry Service Award (bronze, fuel oil, asphalt, zinc, lead, steel, tin, gold, silver, aluminum, natural rubber, nickel, energy and chemical, stainless steel, pulp)

. Insurance Asset Management Association of China

2019 Most Popular Futures Company for Insurance Assets, 2019 Most Popular Futures Company for Insurance Assets (Research Services), 2019 Most Popular Futures Company for Insurance Assets (Stock Index Futures Business)

. Securities Times, Futures Daily

Best Futures Company in China, 2020 Junding Award for Excellent Wealth Management Institution, Best Service Award for Commodities Futures Industry, Best Service Award for Financial Futures, Best Targeted Poverty Alleviation and Charity Award, Best Asset Management Leading Award, Annual Best Investor Education Model Innovation Award, Best Futures IT System Construction Award, Best Futures Derivatives Comprehensive Service Innovative Award, Emerging Future Company Award for Internationalization Process, Best Corporate Branding Development Award, Best Risk Management Subsidiary Service Innovation Award (CITIC Securities Capital Management Co., Ltd.), Best Futures Operation Branch in China (CITIC Futures Shanghai Branch Office), China Golden Futures Research Institute (Research Consulting Department of CITIC Futures)

. hexun.com

The 18th China’s Financial Annual Champion Awards — 2020 Poverty Alleviation Award for Futures Industry

. www.caishiv.com

Excellent FOF Product Revenue Award: CITIC Wings All Weather FOF No. 1

. China Securities Journal

Golden Bull Award for Passive Investment Fund Managers
Three-Year Open-ended Index Continuous Excellent Golden Bull Fund: ChinaAMC SSE 50 Index ETF

. Securities Times, China Fund News

2019 Best Index Development Fund Company, Best Marketing Planning Case
Best Social Commonweal Practice Case: China AMC Education Charity Program 2019 Best Stock ETF: ChinaAMC SSE
50 Index ETF

. Securities Times

ETF Management Star Fund Company,
Five -Year Continuous Return Absolute Return Strategy Star Fund: China AMC Return Mix

. National Business Daily

ETF Most Popular Fund Company, Most Competitive Fund Company (Special Account Institutional Business)
ETF Best Ten Top-selling Products: China AMC 5G ETF

. International Financial News

2020 Pioneer Securities Investment Institution

. Global Banking & Finance Review

2020 Best Asset Management Company in China, Fastest Growing Fund Management Company in China

. Finance Derivative

Best Asset Management Company China 2020

. Insights & Mandate

Best RMB Fund House in Asia, Best Fund House (Market - Mainland), Best Retail House in China, Best ETF Sponsor (Market - Mainland), Best Responsible Investor in China