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- 墩 秦
- 9 years ago
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Transcription
1 ( ( H *
2
3 AH11,501,700,000AH ,175,765, ,655,043,
4 A 1.00 H 1.00 Haitong Bank, S.A. 3
5 665 4
6 IPO QFII RQFII 571 5
7 6
8 [2015] % ETF A 7
9 Haitong Securities Co., Ltd. Haitong Securities 11,501,700, ,584,721, ,521,155, ,110,256, H 9,584,721,18011,501,700,000 11,501,700, [2001]3 [2001]819 [2001]306 ICP [2002]090 [2002]076 (SC201014) [2005]079 (Z-007) 8
10 10 [2005] [2006]3 12 [2007]86 13 ( ) 14 [2008] [2008]22 16 [2008]479[2010] [2008] [2009] [2009]1 20 [2010] [2010] ( ) 23 [2010] [2011] [2011]512[2011]37 26 [2011] [2011] [2012] [2012] [2012] [2012] (SC201307) 33 [2013]407[2014] [2013] [2013] [2013] [2013] [2013]1643 9
11 40 41 [2014] T [2014]4 44 [2014] [2015] ETF[2015] [2015]20 48 NO.G [2015] [2015] [2015] [2015]
12 A H ,000 11
13 [1994] ,000 [2000] , [2001] ,006,093,000 [2002] ,734,438,870 12
14 [2007] ,389,272, [2007] ,389,272,9104,113,910, ,113,910, ,113,910,590 8,227,821, ,229,400,000H ,940,000 H1,352,340,000 H H 127,500,000 H H10% 12,750,000AH 13
15 A 2015HH [2015]8111,916,978, H H1,916,978,820 1,048,141,220H ,837,600H H11,501,700,000 A 8,092,131,180 H 3,409,568,820HHAITONG SEC H (1) %
16 (2) % (3) A % (4) %
17 (5) % (6) % (7) N %
18 (8) % A H X X 17
19 ,285,553 23,666, % 12,802,734 21,118,869 10,420, % 5,454,748 15,838,851 7,710, % 4,035,024-33,989,522-29,338, % -18,841, , , % -80, % % 0.42 (%) ,448, ,622, % 169,123, ,521, ,357, % 105,018, ,026,336 80,766, % 40,429, ,694,545 68,364, % 61,506,991 11,501,700 9,584, % 9,584, % 6.42 (%) (1)
20 6, , , , , , , , , ,
21 ,285,553 23,666,866 12,802,734 10,743,347 10,860,374 34,648,129 13,413,806 7,464,926 6,681,975 6,633,122 21,118,869 10,420,394 5,454,748 4,127,238 4,300,164 15,838,851 7,710,623 4,035,024 3,037,542 3,103, ,448, ,622, ,123, ,482,104 98,976, ,521, ,357, ,018,445 66,051,508 52,366, ,026,336 80,766,843 40,429,567 36,956,823 38,013, ,694,545 68,364,431 61,506,991 58,679,683 45,042,375 11,501,700 9,584,721 9,584,721 9,584,721 8,227, (%) (%) (1) = 20
22 , , , , , , , , , , , % 16.00% 14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00% 6.93% 6.70% 5.66% 11.88% 17.56% % 70% 60% 50% 40% 30% 20% 10% 0% 73.42% 73.87% 50.19% 32.50% 23.54% 21
23 ,521,155 37,110, ,119,681 65,022,464 1,269.37% % 84.57% 57.07% 44.59% 26.71% 52.72% 46.80% 46.93% 61.21% 68.63% 78.78% 22
24 1 23
25 QDII QDII (PE) 25 24
26 % 81.27% % 63.15% % %30%5 116,367, % 25
27 H
28 % 5 11 FTUFT
29 2015 H ,7641, % % 17.56% ,875,640 16,555, % % % ,578,271 1,806, % 80.78% % ,744,544 4,212, % % % ,864, , % 39.23% 14.48% , , % % % ,665,688 2,002, % 54.85% 66.26% ,002,427 3,937, % % %
30 % % %1, % %226 97%AA % 29
31 , , % FICC % % % 30
32 4,37849%1, %3,43793%1,558 44% PE % % FT AA % 31
33 FICC BB %
34 2 (1) % 36% %129.22% %137.95% %93.69% %451.67% 33
35 ,812, % 9,516, % 12,296, % 18,322, % 7,699, % 10,622, % 11,057, % 5,708, % 5,348, % 4,093, % 742, % 3,351, % 55,285, % 23,666, % 31,618, % (2) % % % % 34
36 ,829,712 4,131,308 3,698, % 13,566,443 4,340,189 9,226, % 2,650, ,022 1,782, % 1,192, , , % 299, ,304 15, % 9,109,852 3,362,486 5,747, % 34,648,129 13,413,806 21,234, % , , ,143 35
37 (1) (2) (3) H , %4, % 31.04% 22.67% 13.24%10.45% 0.23% 36
38 ,682,965 48,996,084 53,686, % 17,472, % 12,826, % 4,645, % 33,445, % 8,714, % 24,730, % 4,668, % 4,470, % 197, % 7,774, % 1,527, % 6,247, % 5,136, % 5,686, % -549, % 17,223, % 10,292, % 6,930, % 1,317, % 1,210, % 107, % 5,648, % 5,648, % 3,757, % 2,600, % 1,156, % 473,765, ,626, ,139, % 163,191, % 85,703, % 77,487, % 15,747, % 14,818, % 928, % 102,665, % 55,630, % 47,035, % 76,324, % 64,883, % 11,441, % 6,263, % 4,384, % 1,879, % 60,245, % 52,873, % 7,372, % 9,921, % 7,399, % 2,522, % 11,045, % 3,990, % 7,054, % 5,275, % 5,495, % -219, % 3,428, % 642, % 2,785, % 13,524, % 3,347, % 10,177, % 576,448, ,622, ,826, % 37
39 ,022, ,124, ,898, % 129,026, % 80,766, % 48,259, % 90,951, % 59,807, % 31,143, % 31,284, % 19,807, % 11,476, % 1,512, % 14,270, % -12,757, % 24,837, % 14,781, % 10,055, % 3,718, % 246, % 3,471,130 1,405.40% 15,504, % 7,697, % 7,807, % 22,336, % 22,926, % -589, % 2,098, % 2,098, % 3,895, % 816, % 3,078, % 10,793, % 10,793, % 137,743,378 82,501,809 55,241, % 123,498,672 59,233,690 64,264, % 89,805, % 35,775, % 54,029, % 9,330, % 4,537, % 4,792, % 7,624, % 14,910, % -7,285, % 6,188, % 1,008, % 5,180, % 5,747, % 5,747, % 459,521, ,357, ,163, % 116,927,671 72,264,203 44,663, % * 38
40 2015 1, % , %
41 , ,599,408 35,775,667 40,614,504 24,345,258 22,336,951 22,926, ,550,863 83,047, ,
42 % 21 (1) 27.78% 700, ,135 10, (2) (3) 1,
43 2 (1) A2015H H [2015] ,916,978,820 H ,933,696, ,696, ,747,000, ,748,280, ,238,647, ,623, ,623, ,623, ,623, ,623, ,623, (i) 60% (ii) 15% (iii) 10% (iv) 5% (v) 10%
44 (2) 60% 15% 10% 5% 10% 1,573, ,573, ,573, % 61, , , , % 13, , , , % 11, , , , % 10, , , , % 2, ,623, ,623, ,623, , H (3) 43
45 % % % % % , %100% 100% % %
46 % Haitong International Finance 2015 Limted Bestlend Limited ibest Management Services Limited ibest Finance Group Limited ibest Investment Services Limited Haitong International Investment (Wealth Management) Limited ibest Finance Group (Holding) Limited (1) Haitong International Finance 2015 Limted (2) 1 Bestlend Limited ibest Management Services Limited ibest Finance Group Limited ibest Investment Services Limited Haitong International Investment (Wealth Management) Limited ibest Finance Group (Holding) Limited
47 , ,22323,091 1,547,848445,972 98,213 46
48 3 (1) 50ETF (2) 2015 ISDA (3) 47
49 IT 48
50 % WIND FICC H
51 1 (1) 50
52 (2) , , % % % , %44.35% 51.53% 9.41% 53.70% 84.41% 51
53 % DV
54 (3) (4) 53
55 54
56 2 (1) % % % % 215% (2) % ETF
57 (3) (4) 3 (1) (2) H 56
58 (3) (4) (5) (6) 57
59 (7) 2015 VaR (8) (9) IT OA 58
60 (10) 1 [2008]606 T
61 , %
62 3 61
63 %51.75% 35.69% 54.44% 53.87% 57.79% 73.42% 47.40% % 62
64 ,501,700, ,875,425, ,838,850, ,515,784, %1,351,578, ,054,735, ,461,049, ,245,183, ,875,425, ,830,808, AH11,501,700,000 AH ,175,765, ,655,043, AH
65 H (%) ,175,765, ,838,850, ,875,425, ,710,623, ,150,166, ,035,024,
66
67 ,000 10% 5% [2015]
68 5% A 2015H H H % % A2015 H
69 , ,321, ,980, % 68
70 66 14A14A (A) 10,342,629,514 (B) 22,854,195,281 (A+B) 22,854,195,281 (%) (C) 70%(D) 5,321,400,000 50%(E) (C+D+E) 5,321,400,000 69
71 Banco Espírito Santo de Investimento, S.A. ( BESI )BESI SPVNovo Banco Banco Espírito Santo de Investimento, S.A.Novo Banco, S.A Haitong International Finance Holdings 2015 Limited % Haitong International Finance Holdings Limited
72 [2013] %
73 % ETF AH A2015H 2015H
74 Haitong International Finance Holdings 2015 Limited [2012]
75 MTN
76 ,269, ,269,
77 ,533,453, BESI Japaninvest Group plc Haitong International (BVI) Limited Japaninvest Group plc JapaninvestJapaninvest
78 [ ] [2015]73 HOMS
79 ,756 A4 1 2,
80 %60-80% 70-80% %460w KVM
81
82 % A [2012] % %10%1 25%5% 5% [2012]85 QFIIQFII 2009[47] 10% QFII 81
83 H [1993]045 [2011]348 10% 10% 10%(1)10% (2)10%20% (3) 20% H [2008]897H % 5% 82
84 83
85 1 (%) (%) ,584,721, ,916,978,820 +1,916,978,820 11,501,700, ,092,131, ,092,131, ,492,590, ,916,978,820 +1,916,978,820 3,409,568, ,584,721, ,916,978,820 +1,916,978,820 11,501,700,
86 A 2015HH [2015]8111,916,978, H H 1,916,978,8201,048,141,220H ,837,600H H 9,584,721,180 11,501,700,000A8,092,131,180H3,409,568,820 3 H9,584,721,18011,501,700,
87 H ,048,141, ,048,141,220 H ,837, ,837, % * % * % * * A 2015HH [2015]811H H A2015H 86
88 200% H 9,584,721,180 11,501,700,000A 8,092,131,180H 3,409,568,8205% 5 333,047A 332,601 H ,064A 321,617 H
89 (%) 1,916,976,083 3,409,153, ,500, ,150, ,000, ,709, ,253, ,253, ,565, ,533, ,162, ,247, ,471, ,500, ,829, ,856, ,733, ,409,153,183 3,409,153, ,150, ,150, ,709, ,709, ,253, ,253, ,533, ,533, ,162, ,162, ,247, ,247, ,471, ,471, ,829, ,829, ,733, ,733,700 88
90 1 H 2 H A 3 A XV A 4 H (%) (%) 1. A 1 402,150, A 1 400,709, Maunakai Capital Partners (Hong Kong) Limited H 272,244, BSA Strategic Fund I H 271,844, Insight Capital Management (Hong Kong) Limited H 223,415, Insight Phoenix Fund H 223,415, H 2 248,000, H 2 248,000, Vogel Holding Group Limited H 2 248,000, BlackRock, Inc. H 229,183, H 45,
91 1 ( 482,686,582 A416,420,568 A ,000,000 3 (i)(ii) (iii)(iv) 4 (i)(ii) (iii)(iv) XV XV
92 1 A 2 H (%) (%) 1. H 1,000, (i)(ii) (iii)(iv) 2 (i)(ii) (iii)(iv) 5% H 3 91
93 92
94
95 , ,000,000 H 1,000,000 H H0.01% 0.03%
96
97
98
99
100 Japfa Ltd.UD2 CC SK7 STT GDC Pte. Ltd
101 NYENRODE
102 1959(MPP)
103
104
105
106
107
108
109 Shanghai International Shanghai Growth Investment Limited
110
111
112 Credit Suisse First BostonCredit Suisse Group AG Deutsche Genossenschaftsbank AGDeutsche Zentral-Genossenschaftbank AG J.P. Morgan Nikko (Citi) Asset Management Co., Ltd IT
113
114 IT
115 IT
116 PE
117
118
119
120
121
122 OUE Hospitality Trust 2013 Management Pte. Ltd OUE Hospitality REIT 2013 Management Pte. Ltd 2013 Jafa Ltd STT GDC Pte.Ltd PAG
123
124
125 Shanghai International 2015 Shanghai Growth Investment Limited ( 0770)
126 2,
127 3 5,235 3,789 9, , ,
128 134 2,284 5,319 1,287 9,024 9,024 5,235 3, ,566 48,
129 ,000 18,903, [2009]2 [2009]302 [2015] ,7496,
130 [2014]
131 (a) (b) (c) (d) (e) 130
132 A 2015H A 2015H AH<> <> A 2015H H<> A H2015H H http://
133 A2015H2015 3AH A AH 2015H AH com http:// 3.10(1) (2)3.10(A)
134
135 AH < > 134
136 <> AH A2015H ISDA 135
137 < >< >
138
139 Financial Times Live Global Investment Expert Forum Asia
140 HKSI HKSI Institute Roundtable Luncheon Series- Adjusting to the New Normal Guandian Boao Real Estate Forum BEA Recent Economy of China China Chamber Global Tourism of Tourism Economy Forum Macau SCMP China Conference Platinum Foreign Exchange Rate Database HKSI MPF Series-Sales Compliance and Recent Development
141
142 2/2 2/2 2/2 2/2 2/2 2/
143 (A+H)
144 5/5 5/5 5/5 4/5 5/5 5/5 5/
145 1/1 1/1 1/1 1/1 1/1 1/1 1/
146 < >< > 3/4 4/4 4/4 3/4 2/2 4/4 2/2 1/2 1/2 145
147
148
149
150 <>< >
151
152 (CFM)
153 (USB-KEY)
154 e 153
155 154
156 155
157
158
159 A H 158
160 e
161 % % % % % %
162 A2015H 200% % % %
163 [2014]1526 [2014]
164 [2013] [2013] [2013] [2013] [2013] [2014] [2014] [2014]
165 CCXR [2007] [2015] [2015]070 AAA
166
167
168 AH AH
169 (%) 34,540,965, ,044,887, % -35,966,393, ,294,284, % 97,077,920, ,573,041, % H 178,023,172, ,469,264, % % % 73.87% 73.42% 0.61% EBITDA % % % EBITDA % 100% 100% 0.00% 100% 100% 0.00% = =
170 , ,900 1,2511,093 2,
171 2015H H H 170
172 171
173 [2014] [2014] [2014] [2014] [2014] [2014] A 2 [2014] [2014] [2014]
174 10 10 [2014] E [2014] [2014] B 12 B07 [2014] [2014] A2010 [2014] S109A [2014] [2014] A [2014] [2014]
175
176 D [2015] [2015] [2015] [2015] [2015] [2015]
177 [2015] H [2015]11 H [2015] ETF [2015]214 50ETF [2015] [2015] [2015] [2015] A AA
178 177 IT PE
179 #
180
181 , E C
182 A S109A B A A
183 B 3 A B C B F A F a# 2-4b# 182
184 A 1310A
185
186 CBD
187 A
188 A1009-A
189
190 B D
191 B 12 B P
192 B B
193 D 1902F A 810A B B A
194 Aa2-11 Aa
195 A
196
197
198 ,812,616 9,516, ,322,037 7,699, ,057,133 5,708,662 51,191,786 22,924, ,093, ,063 55,285,553 23,666,866 9 (299,962) (284,304) 10 (7,829,712) (4,131,308) (1,192,138) (427,497) 11 (2,650,022) (868,022) 12 (13,566,443) (4,340,189) (9,109,852) (3,362,486) (34,648,129) (13,413,806) 481, , ,118,869 10,420, (4,277,553) (2,301,371) 16,841,316 8,119,023 15,838,851 7,710,623 1,002, ,400 16,841,316 8,119,
199 ,841,316 8,119,023 2,410, ,056 (1,702,322) (508,181) (162,378) (49,979) 545, ,896 70,676 49,672 79,374 65, , ,027 17,536,949 8,402,050 16,296,407 8,007,081 1,240, ,969 17,536,949 8,402,
200 ,317,178 1,210, ,254 20, ,757,597 2,600, , , ,136,607 5,686, ,472,135 12,826, ,445,224 8,714, ,668,075 4,470, , , ,516, , ,648, ,223,078 10,292, ,774,533 1,527, ,282,857 44, , , ,945 86, ,682,965 48,996, ,324,967 64,883, ,263,868 4,384, ,921,752 7,399, ,154,363 2,453, ,045,127 3,990, ,524,326 3,347, ,986 3, ,676, ,245,770 52,873, ,334 2,000, ,665,873 55,630, ,428, , ,275,772 5,495, ,747,116 14,818, , , ,191,220 85,703, ,765, ,626, ,448, ,622,
201 ,284,497 19,807, , ,336,951 22,926, ,512,362 14,270, ,026,336 80,766, ,098, ,793, ,504,612 7,697, ,611 2,493 3,895, , ,837,241 14,781, ,718, , ,951,854 59,807, ,022, ,124, ,743,378 82,501, ,426, ,497, ,501,700 9,584,721 56,375,749 32,383,596 1,054, ,434 (551,301) (361,545) 57 13,993,667 9,792, ,319,984 16,557, ,694,545 68,364,431 9,233,126 3,899, ,927,671 72,264,
202 , , ,805,660 35,775, ,330,007 4,537, ,336,208 1,941, ,624,682 14,910, ,188,371 1,008, , , ,747, , , ,498,672 59,233, ,426, ,497,
203 a ,584,721 32,383, ,434 (361,545) 9,792,774 16,557,451 68,364,431 3,894,370 5,402 3,899,772 72,264,203 15,838,851 15,838,851 1,002,465 1,002,465 16,841, ,312 (189,756) 457, , , , ,312 (189,756) 15,838,851 16,296,407 1,240,542 1,240,542 17,536,949 1,916,979 24,118,933 26,035,912 26,035,912 (126,780) (126,780) 4,629,368 4,629,368 4,502,588 27,065 27,065 27,065 4,200,893 (4,200,893) (583,036) (583,036) (583,036) 19,415 19,415 19, (2,875,425) (2,875,425) (2,875,425) ,501,700 56,375,749 1,054,746 (551,301) 13,993,667 25,319, ,694,545 9,208,309 24,817 9,233, ,927, ,584,721 32,383, ,065 (413,634) 8,009,216 11,780,552 61,506,991 2,592,765 5,402 2,598,167 64,105,158 7,710,623 7,710, , ,400 8,119, ,369 52, ,458 (13,431) (13,431) 283, ,369 52,089 7,710,623 8,007, , ,969 8,402,050 (3,232) (3,232) 764, , ,056 1,783,558 (1,783,558) b 298, , ,718 3,757 3,757 2,000 2,000 5, (1,150,166) (1,150,166) (158,370) (158,370) (1,308,536) ,584,721 32,383, ,434 (361,545) 9,792,774 16,557,451 68,364,431 3,894,370 5,402 3,899,772 72,264,203 (a) (b) (i) (ii) %
204 ,118,869 10,420,394 13,566,443 4,340,189 (481,445) (167,334) 299, , , ,142 (1,012,424) (525,344) 2,460 (1,023) 19,415 (172,966) 27,316 (2,415,035) (881,126) (168,595) ,678,902 13,920,718 (697,608) (1,805,375) 748, ,198 (828,705) (11,460,869) (37,418,063) (3,943,807) (3,480,057) (7,455,567) (7,797,373) (13,621,013) (54,079,096) 1,815,666 (2,000,000) (46,070,402) (10,202,954) (1,463,900) (68,558) (50,148,516) (38,164,631) 52,231,071 44,283,245 14,732,046 9,528,584 20,055,168 47,869,071 (11,554,535) 13,150,000 (92,257) (247) (25,434,759) (26,264,736) (2,553,144) (1,352,783) (6,001,619) (1,720,873) (33,989,522) (29,338,392) 203
205 ,638 53,240 (339,072) (248,369) 55,659 4,683 (922,310) (3,290,842) 112,587 1,287 (26,015,060) (1,922,799) 73 (2,041,641) (3,784,038) 133,543 (7,509,250) (3,418,331) 290, ,633 (52,748) (35,966,393) (12,294,284) (3,323,772) (1,308,536) (639,226) (19,270) H 25,972,690 3,375, , ,725 23,431,342 18,275,765 (2,099,643) (850,361) 904,471 (3,946) 189,914,602 61,475,912 (105,572) (48,008) (3,253,944) (1,114,008) 72,024 (107,253) (136,135,386) (32,501,486) H (89,477) 65,765 (36,773) 97,077,920 45,573,042 27,122,005 3,940,366 24,339,194 20,372, ,387 26, ,744,586 24,339,194 (11,355,206) (3,689,188) 204
206 H
207
208
209
210
211
212
213
214 (1) (2)
215
216
217
218 % % % % 3 8 0%
219
220
221
222
223
224
225
226 ) 2) 3) 225
227
228
229
230
231 (a) (b) 230
232
233 IAS
234 (i) (ii) (iii) (iv) (v) 233
235
236
237
238
239 )2) 3) ,852,454 5,939, , ,187 1,341, ,778 1,644,980 1,309,095 2,465,127 1,202,203 1,433 2,582 27,573 9,506 21,812,616 9,516,
240 ,596,340 1,707,654 7,963,583 3,093, ,163 4,529,821 1,457,645 1,986,670 1,428, ,460 12,766 18,322,037 7,699, , , ,415, ,127 9,735,570 1,527,736 (2,028,068) 2,737,653 11,829 36, , ,005 11,057,133 5,708,
241 , ,761 16,196 13,658 3,827, ,644 4,093, , , ,288 1,201 3,160 67,256 57, , , ,023,734 3,507, , , , ,243 7,829,712 4,131,
242 ,600, ,413 49,249 70,609 2,650, , ,050, , , ,418 5,334,167 1,508, , , , ,157 5,097,049 1,489, ,978 10,228 13,566,443 4,340,189 24, ,
243 ,693 16,827 6,004 5,600 6,314 7,728 1,375 3, , (5,141) 10, , ,804 19, ,107 79,162 59,321 34,914 2,460 (1,023) (172,966) 27,316 1,915, ,342 2,879, , , ,
244 ,220,875 1,546, , ,959 5,613,399 1,741,882 (10,519) (5,480) 15,093 1,500 4,574 (3,980) (1,351,355) 563,469 10,935 4,277,553 2,301, % 16.5% 243
245 ,118,869 10,420,394 25% 5,279,717 2,605,098 (120,361) (41,834) 317, ,098 (968,667) (375,373) 15,509 (3,980) (199,742) (93,198) (46,516) 65,560 4,277,553 2,301,
246 ,838,851 7,710,623 i 8,874 26,575 i ii) (45,309) (54,737) 15,802,416 7,682,461 10,702,959 9,584, (i) (ii) ,980, %
247 ,094, , , , ,758 27,943 2,936,887 4,537 43,087 16,888 25,497 2,573 92,582 3,730 33, ,727 18,514 14,188 50, ,343 (63) (4,320) (63,586) (16,328) (8,781) (93,078) 13,034 43,150 (56,184) 199 3,110 2, , , ,102, , , , ,198 25,364 3,191, , , , ,412 99,703 1,696,360 32,030 66,985 95,455 18,421 18, ,002 (32) (63,424) (15,739) (7,766) (86,961) 19 1,292 1, , , , , , ,407 1,843, ,382 30, , , ,222 62,514 65,791 25,364 1,317,
248 ,012, , , , ,255 4,440 2,670,317 3,561 1, ,362 7,152 22,022 84,033 21,370 12,404 56, ,436 82,484 82,484 (3,048) (15,432) (1,372) (19,852) 27,834 5, (33,104) ,094, , , , ,758 27,943 2,936, , , , ,275 82,354 1,468,331 30,275 74,117 82,685 18,879 17, ,288 19,285 19,285 (41) (14,745) (68) (14,854) , , , ,412 99,703 1,696, ,382 30, , , ,131 62,955 44,055 27,943 1,210, ,378 1, , , , ,
249 ,664 39, , ,094 (82,484) 37,610 37,610 17,155 33,280 1,201 3,160 (19,285) 18,356 17,155 19,254 20, ,201 92, % 248
250 ,600, , ,224 1,968, , ,247 8,684 3,757,597 2,600, , ,477 50,149 2, ,426 66,178 40,349 44, ,908 92,665 2,331 14, ,173 (5,499) (3) (5,502) 16,144 (16,144) , , , ,924 92,836 45, , , ,510 35, ,641 61,263 5,993 67,256 (1,199) (1,199) 10,253 10, , ,827 41, , , ,097 51,112 45, ,
251 , ,430 50,154 1, ,562 4,598 4,598 2,817 46,232 2,366 51,415 (1,144) (5) (1,149) 1,361 (1,361) , ,477 50,149 2, , , ,190 32, ,437 54,464 2,889 57,353 (1,144) (5) (1,149) , ,510 35, , , ,967 14,418 2, ,
252 AB CD E A 5,896 5,896 B 657, ,248 C 2,097,951 1,975,472 D 872,248 E Haitong International Holdings (UK) Limited Japaninvest Group plc 123,860 3,757,597 2,600, ABC DE ABCDE ABC DE8.0% 15.22% % 13% ABCD E 251
253 ,266,156 16,111,
254 % 51% 150,000,000 67% 67% 100,000, % 100% 7,650,000, % 100% 8,850,000, % % 1,300,000, % 66.52% 528,992,010 Ω 100% 100% 3,500,000, % 100% 1,200,000, % 100% 4,146,162, % 426,629,
255 ,533,453, ,117,88319,411,009 19,411,00984,026, ,511,179711,151, Nova Banco BESI100% Ω
256 /12/ /12/ /12/ /12/ /12/ /12/ % 33.48% 830, ,225 6,847,566 2,270, /12/ /12/31 64,986,926 34,654,438 12,020,974 3,337,521 47,041,905 25,692,862 12,516,055 5,517,574 17,449,940 6,781,523 6,847,566 2,270,
257 ,871,946 2,182,815 (2,769,075) (1,379,533) 2,102, ,282 (59,069) (22,610) 2,043, , , , ,609 75,641 (11,684,250) (5,933,153) 19,605,574 9,310,672 (5,265,858) (1,209,471) 2,655,466 2,168, ,051,169 1,230, ,689,
258 ,362,989 3,507, , ,736 1,063,956 1,779,113 (2,942) 15,222 5,136,607 5,686, Haitong-AC Asian Special Opportunities Fund 43.5% 50% 43.6% 50% New Bridge China Auto Caymans L.P. New Bridge 38.9% Harveston Asset Management Pte. Ltd 50% 50% Haitong Special Opportunities Fund I S.P. 100% 50% Haitong China Select Investment Fund S.P. 100% 50% Haitong Multi-Tranche Investment P 0.94% Fund II S.P. R 99.7% 50% 257
259 % % 37.5% 37.5% 37% 37% 42.83% 42.83% 21.71% 21.71% Trinitus Asset Management 20% 20% Limited Diamond Head Capital 28.35% 28.35% International, Ltd Class E 33.68% 37.12% 34.71% 34.71% 258
260 % 37.9% 300ETF 17.5% 31.9% 28.67% 300ETF Haitong Special Opportunities Fund I S.P. ( SP1 ), Haitong China Select Investment Fund S.P. ( SP3 ) Haitong Multi-Tranche Investment Fund II S.P. ( SP6 ) SP1 SP3 SP6Hai Tong Asset Management (HK) LimitedSP1 SP3 SP6 50% SP1 SP3 SP6 SP1 SP3 SP6 SP1 SP3 SP6 50% SP1 SP3 SP6 SP1 SP3 SP6 95SP1350SP3116SP6 259
261 ,619,040 2,208,486 2,098, ,980 2,520,591 1,515,506 3,339,163 1,242,924 1,167, ,838 1,203, , ,520,591 1,515, % % 700, ,
262 ,310 60,723 69,353 56, , ,725 4,436,513 5,265, ,779,770 23,962,578 (3,578,301) (3,411,212) 28,201,469 20,551,366 (807,582) (325,897) 27,393,887 20,225,469 9,921,752 7,399,072 17,472,135 12,826,397 27,393,887 20,225,
263 ,560,347 10,258,688 8,797,021 7,544, ,583,385 7,616,923 6,521,894 5,593, ,468,544 5,740,207 4,433,903 3,802, ,167,494 4,585,651 4,209,760 3,610,476 31,779,770 28,201,469 23,962,578 20,551,366 (3,578,301) (3,411,212) 28,201,469 28,201,469 20,551,366 20,551,366 (807,582) (807,582) (325,897) (325,897) 27,393,887 27,393,887 20,225,469 20,225,
264 (%) (%) 13,516, ,416, ,507, ,592, ,033, ,524, ,825, , ,563, ,211, , , , , , , , , , ,779, ,962, (3,578,301) (3,411,212) 28,201,469 20,551,366 (807,582) (325,897) 27,393,887 20,225, , , , , , , , , ,488 21,143 21,143 13,281 13,281 (187,671) (495) (188,166) (131,872) (131,872) 125, , ,582 56, , ,
265 iv 4,139,703 1,814,512 8,283,949 4,730,988 5,778, ,017 iii 26,288,210 5,229,877 44,490,351 12,705,394 6,204 6,843,896 2,934,366 37,640,251 9,771,028 44,490,351 12,705,394 ii 3,786,437 1,492,524 i 4,497,512 3,238,464 8,283,949 4,730,988 11,045,127 3,990,608 33,445,224 8,714,786 44,490,351 12,705,
266 (i) (ii) ,252, ,601 (iii) % (iv)
267 ,262233,826 12,528,548 6,049, ,425,390 2,316,600 10,270,891 4,861,063 3,448, ,774 1,145, ,532 18,192,401 7,817,437 13,524,326 3,347,033 4,668,075 4,470,404 18,192,401 7,817,
268 , ,822 4,986 3,006 77, ,816 82, , , , %-9.75% %-11.75% ,765 33,485 15,004 15, ,176 37, ,945 86, ,459,449 63,563,468 1,435,112 (134,482) (115,221) 76,324,967 64,883,359 76,324,967 64,883,359 76,324,967 64,883,
269 ,221 1,114 19, , , , ,073,316173,687, ,528,548 6,049,
270 ,720 97,432 4,667,907 3,194,489 7,419 7, , , , , ,188 6,270,935 4,421,669 (7,067) (37,315) 6,263,868 4,384, , ,267 37,193 (34,515) 7,067 37, ,253,075 4,230,641 38,512 66, ,788 60, ,493 27,074 6,263,868 4,384,
271 ,292,693 1,621, ii 1,344,835 1,318,266 3,637,550 2,939,999 i (483,187) (486,027) 3,154,363 2,453, , ,857 (9,408) (21,360) 6, (27) 483, ,027 (i) 550, , , ,983 (ii) 270
272 ,798,437 39,366,954 9,137,971 12,703, ,921 17,670,000 11,101,000 (138,483) (59,321) 77,468,848 63,166,089 50,857,926 44,092,885 9,079,405 8,031,525 17,670,000 11,101,000 (138,483) (59,321) 77,468,848 63,166,089 60,245,770 52,873,455 17,223,078 10,292,634 77,468,848 63,166, ,332, ,248,250116,465, ,118, ,037, ,374,
273 ,000, , ,260,638 31,361,176 17,786,575 14,011,074 48,573,634 11,174,523 3,819, , ,440,406 57,158,226 2,728,274 4,256,986 36,269,398 30,679,218 iii 71,442,734 22,222, ,440,406 57,158, ,665,873 55,630,844 ii 7,774,533 1,527, ,440,406 57,158,226 (i) (ii)
274 , ,
275 , , ,740 66,914 1, ,257 1, , ,085 1,492, , , , , ,344 2,118,844 2,923, ,658 6, ,033,056 6,393,848 4,675, ,104 16, ,233 16,812 40, ,021 10,845 3,867 5,270 13,723 67,873 21, ,875 1, , ,780 7,558,629 5,540,449 5,275,772 5,495,664 2,282,857 44,785 7,558,629 5,540,
276 ,535,190 1,281,263 14,211,926 13,537,613 15,747,116 14,818, ,834,566 23,495,626 i 112,066,661 62,592, ,901,227 86,088,084 ii (710,007) (384,473) 163,191,220 85,703,611 (i) 47 (ii) 275
277 ,834,566 23,495,626 (1,901,595) (437,695) 276,425 1,535,190 1,281,263 51,744,586 24,339, ,047 2, , ,425 1,111, ,885 2,
278 ,637,493 (27,565) (2,284,652) 7,325,276 1,676,977 5,648,299 7,325, ,634,718 2,775 (2,312,217) (27,565) (2,284,652) 7,325,
279 ,543, ,289, ,281, ,522,914 (2,312,217) 7,325, ,302,755 29,839 7,914 (20,321) (4,779) (3,191) 2,312,
280 ,156,544 (2,284,652) 5,478,174 (27,551) 9,634,718 (2,312,203) 7,322,515 2,775 (14) 2,775 (14) 2,761 4,156,544 (2,284,652) 5,480,949 (27,565) 9,637,493 (2,312,217) 7,325, ,718, ,835 93,598 9,637, , , ,801,382 2,976,
281 ,331 (394) 11,272 (73) 395,795 (135,439) 1,037,012 (5,159) 183,415 (80,815) 1,703,803 (8,582) 356,426 (133,591) 232,169 (1,172) 343,939 (41,694) 1,314,788 (6,593) 343,722 (129,753) 460,091 (2,356) 447,200 (358,269) 50,153 (251) 68,291 (696) 90,985 (466) 1,669,571 (1,263,414) 289,028 (1,441) 308,854 (140,587) 291,648 (1,472) 4,156,544 (2,284,652) 5,480,949 (27,565) ,
282 ,987 2,743,832 1,348 8,992 2,819,159 2,098, ,044 2,819, ,837,110 6,985,632 15,370,705 8,928,533 12,416,410 8,176, , ,979 40,614,504 24,345,258 24,253,520 15,161,746 7,030,977 4,645,828 31,284,497 19,807,574 9,330,007 4,537,684 40,614,504 24,345,
283 i 8,000,000 7,500,000 ii 14,336,951 15,426,586 22,336,951 22,926,586 (i) % (ii) [2014] % 6.00% 282
284 ,260,352 8,500,000 5,770,000 7,260,352 14,270,000 1,512,362 14,270,000 5,747,990 7,260,352 14,270, ,528,548 6,049,
285 i 4,738,366 1,726, , ,531 7,536 7, , ,264 1,522,701 2,163,513 1,798, ,061 19,624 20,321 1, , , ,171 37, ,356 3,505, , , , ,401 73, ,952 ii 1,271, ,989 16,149,899 8,000,534 15,504,612 7,697,576 i 645, ,958 16,149,899 8,000,534 (i) , , (ii) 284
286 ,493 2,740 60,611 (2,493) (247) 60,611 2, iii iii iv 2,288,424 2,257,776 31,190 22,530 v 12, ,348 24, , , , ,860 vi 387,988 59, ,960 vi 282 4, , ,800 5,576 34,282 79, ,012 3,428,166 3,718, , ,
287 (i) (160,725) (567,246) 172, ,387 11,829 36,141 (ii) ,042, ,626 88, ,569, ,
288 (iii) T ,033 (83) T1603 1,979,088 (23,200) TF1603 1,577,969 (11,559) 3,617,090 (34,842) 34, TF1503 1,112,165 2,909 TF ,504 (170) 1,165,669 2,739 (2,739) 287
289 (iv) ,311, ,080, ,109, ,869, ,311,000 (5,265) 69,109,989 2,288,424 (2,257,776) 90,420,989 2,288,424 (2,263,041) 5,265 2,288,424 (2,257,776) (v) ,136, (vi) ,358,93615,081,53313,90555,960 3,262, , ,750331, ,
290 i 19,005,988 11,604,704 iii 6,975,411 2,581,147 ii 5,044,213 1,603,773 31,025,612 15,789,624 24,837,241 14,781,559 iii 6,188,371 1,008,065 31,025,612 15,789,624 (i) (ii) (iii) ,188, New Bridge38.9%
291 ,382 29,633,244 20,003,884 67,944,910 54,713,980 98,576,536 74,717,864 6,787,085 12,994,806 22,846,158 7,009,078 68,943,293 54,713,980 98,576,536 74,717,864 90,951,854 59,807,864 7,624,682 14,910,000 98,576,536 74,717, ,390,140 38,254, ,352, , ,
292 ,012,009 1,572,939 1,449,929 44,642,636 25,185,376 1,430, , ,245,171 26,056,249 1,366,519 1,380,297 43,260,391 24,290,719 1,270, ,361 98,576,536 1,955, ,420 69,632 1,382, , ,089 (168) 4,668, ,252,142 17,463, ,741 39,191,870 18,117,289 1,236, ,770 2,786,512 81,538,051 1,080,524 15,070, ,000 36,845,261 17,032, , ,240 2,404,595 74,717, ,618 2,393, ,741 2,346,609 1,084, ,425 39, ,917 6,820,
293 A H ,092,131 8,092,131 1,492,590 1,492,590 9,584,721 9,584,721 1,916,979 1,916,979 1,916,979 1,916, ,092,131 8,092,131 3,409,569 3,409,569 11,501,700 11,501, A2015H [2015]811H H 1,048, , ,875,204 1,916,97924,071,378 HH ,516, ,817 (665,909) (758,197) 1,850,234 (191,380) 292
294 ,802 (11,757) (17,370) 56, ,130 11,605 4, ,349 (1,859) 8, ,293 76,745 (712,328) 2,107 18, ,478 (232,699) 95,390 72,170 (131) (563,469) (49,979) (49,979) (39) 13 (26) (532,526) (9,689) (685) 258,830 (160,548) 107, ,463 4,401 (191,380) 59,853 52,431 56, , , , ,949 (6,947) 8, ,558 9,534 32, ,808 8,657 1,340,420 (162,378) (162,378) (597) 501 (21) 12 6, , (213,577) (17,233) 67,555 1,016,320 (256,750) 139, , ,431 1,850,
295 i 112,592 1,405,329 ii iii iv) 52,896,037 34,359,083 v 35,851,697 vi 1,092,972 vii 10,646,110 11, ,599,408 35,775,667 10,793,748 89,805,660 35,775, ,599,408 35,775,667 (i) %
296 (ii) Haitong International Finance 2014 Limited Haitong International Finance 2015 Limited Unican Limited Unican Limited Haitong International Finance Holdings Limited Haitong International Finance Holdings Limited Haitong International Finance Holdings 2015 Limited , % %33.9% 295
297 (iii) % 56.15% % % 55.45% % (iv) ,000196, ,228,0001,866, % 4.9% 71466,9603,313, ,777821, ,9803,888, ,274633,417 (v) % %505.38% ,525 CMS % %5 296
298 (vi) (vii) [2014] % 6.2% ,278,606 1,913,474 57,602 27,645 2,336,208 1,941, (a) (b) 297
299 (c) 10% 50% 10% 10% ,351, , ,512,689 3,161, , ,441 (d) (i)(ii) 298
300 ,911, ,531 2,519, , , ,854594, ,854594,
301 ,813 12, ,834,642 21,567,864 26,402, ,806,642 19,913,571233,158 1,654, , , , , ,444 47, , ,
302 ,460 12, ,663 29, ,338 9,413 54,461 51, ,739 40, ,875,425 1,150,
303 * ^ & & , ,154 1, , # 1, ,952 1, ,952 1, ,138 1, ,691 Ω 1, ,724 Ω 2, ,019 Ω 251 4, ,629 Ω 3, , $ 1, ,479 $ 1, ,457 $ 1, ,450 1, , ,573 3,817 35,
304 * ^ & 2, ,562 & & 1, ,689 1, ,014 1, , ,054 1, ,029 1, ,115 1, ,009 # 1, ,859 1, ,859 1, ,859 Ω 1, ,647 Ω 2, ,448 Ω 237 3, ,965 Ω 2, , , ,017 $ 1, ,278 1, ,272 $ 1, ,274 $ 1, ,266 1,077 36,557 3,260 40,
305 62. * ^ & # Ω $ ,064 9,274 46,650 33, ,422 43,
306 ,000,0019,500, ,500,00110,000, ,500,00111,000, ,500,00112,000, ,500,00114,000, ,000,00114,500, ,000,00115,500, ,500,00116,000, % % 305
307 % %2002 1% 0.1% (i) (ii) 5 (iii)
308 , , , (19,441) 4.33 (602) 4.22 (42) 4.77 (2,460) , , , , , , , ,
309 ,441, ,000 (HTSGL) ,441,009 1,944, ,20084,026, ,544, ,662, ,092,802)0.24% % 12,662, ,092,8021,266, ,709,28035,490, ,195, ,662,655( ,894, %( %
310 ,924, % % ,924, % % 120.1%
311 (i) 110% (ii)5 (iii) % 12 1% 310
312 ,321, ,980,375 11,341,
313 Grupo Novo Banco Fundo de Pensões, S.A % 2.5% 0.5% 1% TV 73/77 2 TV 88/ (i) (ii)
314 , , , , ,147 8,820 11, ,437 34,191 (1,902) (32,936) 501,
315 , , , ,499 12,24912, ,009 (5,526) 94, (1,902) (32,936) 501,
316 % % 26.70% 2.60% 1.90% 13.50% 100% ,744 28,437 48, , ,820 2,157 10,
317 IAS (6,137) (10,977) (77,280) 94, , ,940 1,256 47,
318 ,340 1,469 (1,406) 15, BE (ASIA) 10% 10% 10% 10% 10% 10% 10% 10% 10% 10% 10% 317
319 , ,223 22,249 20,034 20,000 20,057 20,000 46,089 43, , , , ,565 63,782 a 43,074 45,729 b 2 (a) BE (ASIA) (b) 318
320 ,322 30,296 (5,542) (747) (19,052) (140) (982) (27) (32) (42) (3,112) (2,155) (1,397) 319
321 ,000 26,040 7,390 13, ,199 (629) (553) (7,940) (80,000) (189,000) (72,700) (477) ,424 37,634 3,817 3,260 35,241 40,
322 ,125,245 1,109,073 19,254 20, , ,421 21,266,156 16,111,180 92,907 92,907 23,170,776 6,694, ,000 1,166, ,299 41,990 48,993 15,422,426 9,017,835 62,491,596 34,455,167 60,508,389 56,758, , ,905 1,585,215 1,431,054 1,176,129 1,002,019 2,931,879 3,414,042 5,194,410 1,302,450 53,513,878 47,966,639 2,000,000 63,486,602 35,738,871 89,851 44, , ,395 15,157,548 13,907, ,906,499 63,865, ,594, ,629, ,085, ,084,
323 ,075 21,701,940 23,626,586 1,500,000 14,270,000 91,853,662 59,430,651 8,632,184 3,871, ,844 10,369 2,493 2,570, ,412 5,044,213 1,603, ,200 74,405 74,322,227 56,461,042 8,927, ,528, ,719, ,065,822 68,910, ,557, ,365,186 11,501,700 9,584,721 56,486,199 32,472,480 (254,162) 229,699 13,538,067 9,483,332 19,240,690 12,924, ,512,494 64,694, , ,435 59,646,178 22,976, ,174 25,890 7,200,000 14,790, , ,460 68,044,924 38,670, ,557, ,365,
324 a ,584,721 32,472, ,699 9,483,332 12,924,206 64,694,438 13,246,644 13,246,644 (483,861) (483,861) (483,861) 13,246,644 12,762,783 1,916,979 24,013,719 25,930,698 4,054,735 (4,054,735) 61 (2,875,425) (2,875,425) ,501,700 56,486,199 (254,162) 13,538,067 19,240, ,512, ,584,721 32,472,480 55,424 7,779,880 10,204,761 60,097,266 5,573,063 5,573, , , ,275 5,573,063 5,747,338 1,703,452 (1,703,452) 61 (1,150,166) (1,150,166) ,584,721 32,472, ,699 9,483,332 12,924,206 64,694,438 (a) 323
325 (a) (b) (c) (d) 324
326 (e) (f) (g) (h) 325
327 ,031,160 3,449,572 6,688,034 1,851, ,913 4,294,911 1,986,696 5,990,171 51,191,786 51,191,786 1,797, , ,477 11,572 69,032 3,255,365 85,863 5,496,349 (5,496,349) 46,499 9,640 2,899,033 1,378 5, , ,992 (73,607) 4,093,767 4,093,767 27,875,640 3,578,271 9,744,544 1,864, ,765 8,076,288 2,665,688 6,002,427 60,781,902 (5,496,349) 55,285,553 16,555,793 1,806,550 4,212, , ,768 9,075,184 2,002,258 3,937,510 38,613,210 (3,965,081) 34,648,129 11,319,847 1,771,721 5,532,134 1,043, ,997 (998,896) 663,430 2,064,917 22,168,692 (1,531,268) 20,637, , ,135 (41,854) 481, ,445 11,319,847 1,771,721 5,532,134 1,043, ,161 (674,761) 663,430 2,023,063 22,650,137 (1,531,268) 21,118, ,792,512 24,948,469 53,228, ,272 12,084, ,975,530 34,004, ,059, ,080,333 (35,284,191) 568,796,142 5,136,607 2,516, ,448, ,506,305 20,007,095 23,482,510 1,039,009 3,127,673 86,735,769 28,786, ,398, ,084,018 (11,228,706) 458,855, , ,521, ,345 15,158 4,710 4, ,685 4,354 43, , ,962 82,539 76,100 9, , ,595 82,726 16,211 66,575 1,937 (8,124) 701,246 61, , ,219 10,027, , , ,843 3,571,261 1,933,427 1,679,979 18,322,037 18,322,037 6,474,940 43, ,908 51,707 3,462, ,217 1,884,024 13,566,443 13,566,
328 ,723,069 1,877,689 3,718,193 1,327, ,232 2,048,031 1,446,860 2,477,359 22,924,803 22,924, ,121 85,288 15,817 10, ,527,773 85,628 2,419,507 (2,419,507) 31,885 16, , , , ,553 (34,036) 742, ,063 10,449,075 1,979,375 4,056,785 1,338, ,348 3,697,458 1,721,413 2,528,951 26,086,373 (2,419,507) 23,666,866 (6,244,168) (834,915) (1,050,903) (716,917) (65,302) (3,796,040) (1,204,277) (1,646,309) (15,558,831) 2,145,025 (13,413,806) 4,204,907 1,144,460 3,005, , ,046 (98,582) 517, ,642 10,527,542 (274,482) 10,253, , ,107 39, , ,334 4,204,907 1,144,624 3,005, , ,141 6, , ,610 10,694,876 (274,482) 10,420, ,229,661 18,910,411 40,533, ,734 5,187, ,733,890 22,899,516 45,379, ,868,909 (149,499,718) 346,369,191 5,686, , ,622, ,926,781 14,974,176 34,058, , , ,167,072 18,073,648 44,207, ,143,358 (131,543,609) 279,599, , ,357, ,129 14,195 4,457 4, ,787 4,668 26, , , , (21,291) 270, , ,142 3,569, , , ,623 1,378,073 1,428, ,191 7,699,971 7,699,971 1,613, , ,732 (10,778) 6, , , ,168 4,340,189 4,340,189 10% 327
329 ,324,967 76,324, ,134,867 19,528, , ,901,227 14,211,926 14,211, ,050 59,311,720 17,223,078 77,468, , ,334 8,912,072 24,236,498 7,112,068 40,260,638 1,124,190 2,155, ,354 4,139,703 4,986 77,747 82, ,439 13,243,887 4,768,075 18,192,401 9,921,752 17,455,512 16,623 27,393, ,532 1,512,175 1,653,485 3,673,084 7,325, ,672 3, , , , ,055, ,072,022 67,807,188 11,662, ,597,250 31,284,497 31,284,497 4,886,194 86,065,660 7,624,682 98,576,536 22,336,951 22,336,951 1,512,362 5,362, ,789 7,260, ,026, ,026,336 10,793,748 85,802,967 4,002, ,599,408 9,330,007 9,330,007 2,335, ,336, , ,514 2,668 2,668 66,335 2,031, ,044 2,819, ,981, ,024, ,610,123 4,388, ,005,
330 ,883,359 64,883,359 71,788,511 14,086, ,000 86,088,084 13,537,613 13,537,613 52,873,455 10,292,634 63,166,089 2,000,000 2,000,000 3,158,081 17,724,521 10,478,574 31,361,176 66,463 2,847, ,073 3,912,237 3, , ,822 3,347,033 4,470,404 7,817, ,877 7,198,196 12,826,396 20,225,469 85,527, ,616,166 48,684,472 11,476, ,304,286 1,006,000 18,801,574 19,807,574 59,807,864 14,910,000 74,717,864 22,926,586 22,926,586 14,270,000 14,270,000 80,766,843 80,766,843 32,602,151 3,173,516 35,775,667 4,537,684 4,537,684 1,941,119 1,941,119 81,772, ,806,024 53,990,954 3,173, ,743,
331 ,505, ,049, ,971, ,554, ,971,142 27,393,887 20,225,469 27,393,887 20,225,469 3,165,694 41,324,657 12,705,394 44,490,351 12,705,394 82, ,822 82, ,822 9,661, ,206,920 57,800, ,868,573 57,800,437 25,332, ,057, ,015, ,389, ,015,264 15,471, ,001, ,619, ,473, ,619,239 4,390,108 30,353,620 16,036,610 34,743,728 16,036,610 19,861, ,355, ,655, ,216, ,655,
332 ,324,967 64,883,359 4,325,832 4,384,354 2,844,207 2,453,972 18,192,401 7,817,437 82, ,822 27,393,887 20,225,469 1,176,007 1,814,512 75,832,892 63,166,089 2,000,000 33,155,794 31,361,176 5,355,227 5,540,449 15,747,116 14,818, ,190,720 85,703, , , , , ,211, ,508,468 A-3BBB 331
333
334 ,425 7,113,291 3,165,172 7,325,276 2,548,418 5,113,804 1,911, , ,796,
335 ,190,464 30,366,259 9,898,525 42,455, ,026, ,026,336 1,500,715 1,500,715 4,886,194 37,712,678 43,460,124 7,780,761 93,839,757 3,658, , , ,555 51,078 4,936,375 5,802,055 17,387,583 23,189, ,609 6,828, ,960,997 4,346, ,953,471 17,684, ,154 4,473,389 6,188,371 29,029,854 11, , ,273 50, ,056 2,335, ,336, ,267,408 48,945, ,985, ,320,514 4,397, ,916,
336 ,006,000 10,664,026 8,839,403 4,947,732 25,457,161 80,766,843 80,766,843 14,447,248 14,447,248 25,062,310 37,596,373 15,188,916 77,847,599 4,380, , ,367 92,828 4,955,643 10,100,046 13,380,246 23,480,292 1,845,189 38,036,590 4,015,180 43,896,959 11,777,285 1,103,554 2,157,771 1,020,222 16,058,832 1,941,119 1,941,119 97,930,416 61,521,344 64,157,349 61,227,407 4,015, ,851, % 335
337 % 10% % 1,424, ,488 10% (1,424,673) (300,488) 10% 36,189 13,016 10% (36,189) (13,016) 336
338
339 , , ,095 21, % 338
340 % , ,061 99% 10 12,625 23,843 39,024 12,625 8,227 12,491 2,765 8, , ,038 30,294 54,707 15,038 (5,035) (8,730) (2,907) (5,035) 31,567 62,154 93,941 31, ,60082,304 10% 339
341
342 ,733 81, , ,734 97,173,642 98,353,531 34,359,083 34,861, ,592 1,405,329 4,502 35, , ,782 1,440,900 1,894, ,987 81,987 98,478,313 98,478, , ,734 36,755,993 36,755,
343
344 ) 54,051 1, ) 333,937 57,975 55,960 3) 440, ,557 4) 213, , , ,860 5) 2,373,508 2,916,070 31,190 22,530 6) 282 4,
345 ) 12, ,348 8) 36,573, ,596 1,335,018 34,868,576 67, ,464 3,408, ,480 2,338,721 9) 2,411,747 4,780,120 2,073, ,102 26,627 8,
346 ) 24,018, , , ,269 13,577,468 26, ,095 11) 37,986,083 5,959,955 5,540, , ,636 12) 2,033, ,453 23,979,015 3,125,109 7,043 13) 3,252, ,
347 ) 16,882,364 11,347,476 15) 1,786,451 2,740, ,474 2,569,490 11,657 3,540,206 16) 5,044,213 1,603,773 17) 2,309,195 2,097,
348 ,548 14,806 1,588,914 1,685, , ,480 1,579,456 1,879, ,290 58,045 35,936 35,936 26,236 26, ,822 75,200 26, ,670 24,096 24, , , , , ,935 2,064,676 1,318,524 1,318, ,169 17, ,503 89,781 5,540, ,724 5,778,490 23,957,275 2,309,195 26,266,470 21,740 21,740 3,408,403 30,498,130 6,264,036 40,170,
349 ,103, ,126 4,780,120 7,722,016 4,883,125 1,459,431 6,342,556 1,179, ,591 1,873,700 62,694 7,630 70,324 8,026 21,122 29,148 4,410 4, ,125 1, , ,953 7, , ,686 13, ,093 34,307 7,332 41, ,408 13, ,313 14,183 62,798 76,981 3,721 23,970 27,691 13,520 13,520 4, , ,029 30,850 30,850 4,410,619 16,154,991 20,565,610 10,946,301 3,835,369 14,781, ,535 4,027,824 4,913,359 10,587,551 37,986,083 48,573,634 1,768,412 1,768,412 1,786, ,696 2,051,147 54,051 3,374,115 3,428,166 38,413,620 70,674,833 4,780, ,868,573 41,822, ,172,963 11,044, ,039,142 1,992 3,716,124 3,718,116 1,335,018 17,670,970 19,005,988 8,479,418 3,540,206 12,019,624 1,337,010 29,866,512 3,540,206 34,743,728 40,485,013 71,306,451 7,503, ,295,
350 ,918 8, , , , ,490 7,754 94, ,224 35,505 35,505 23,411 23,411 7,096 7,096 14,990 14,990 13,626 13,626 31,619 31,619 4,367 4,367 3,870 3,870 45,831 45,831 3,773 3,773 4,673 4, , ,049 1,784,466 30,046 30, , , ,017 7,043 3,125,109 2,097,725 5,229,877 2,345,764 4,442,926 2,686,326 9,475,
351 ,096, ,379 5,647,793 4,027,370 1,527,383 5,554, ,388 53, , , , , , , , , , , , , ,652 41,096 2,400 43,496 25,287 6,355 31, , ,229 43,368 43,368 64,066 64,066 2,930 2,930 23,847 23,847 4,546 4,546 9,894,706 10,870,687 20,765,393 6,910, ,612 7,656, ,015 1,961,169 2,939,184 5,214,568 5,959,955 11,174, , , , ,211 34,868,787 22,931,650 57,800,437 37,214,551 27,374,576 2,686,326 67,275, , , ,464 11,374,240 11,604,704 4,184,920 4,184, ,464 15,806,146 16,036,610 36,984,087 11,568,430 2,686,326 51,238,
352 ,131 94,470 2,097,725 2,686,326 1,128,540 55, ,994 17, , ,249 2,159,110 4,274 62, , ,758 1,178,605 (479,225) (94,470) (367,877) (941,572) 445,468 1, ,188 (27,130) (54,197) (164,596) 125,760 1,264,106 (82,539) (82,539) ,588,914 57,290 1,579,456 53, , ,269 2,309,195 6,264, ,759,338 1,759,338 3,020,782 3,020, ,780,120 4,780,
353 , ,424 3,020,782 3,020, ,540,206 3,540, ,131 75,241 76,215 10, , ,324 87,000 2,096,170 2,721,494 (52,746) (75,000) (65,100) (10,100) (202,946) (103,578) 7,470 (241) (11,115) (391) 1,555 (106,300) ,131 94,470 2,097,725 2,686,
354 [2013] % %2 3. 8% % % %6 353
355 ,521,155 37,110, % % % 57.07% % 26.71% % 46.80% % 61.21% % 78.78% 354
356 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 3,428, ,428,166 3,428, ,695,951 1,028,044 4,667,907 16,360 96,342 4,555, ,324,967 76,324,967 63,796,419 12,528, ,558,629 7,558,629 67,874 7,490, (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) ,950 2, , , ,629,451 1,434,962 3,194,489 33,745 58,445 3,102, ,883,359 64,883,359 51,373,168 13,510,
357 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 3,758,223 40,107 3,718,116 3,718, ,795,347 1,028,044 1,767, ,015 1,663, ,005,988 19,005,988 2,123,624 16,882, (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) , , , , ,903,023 1,434, , , , ,604,704 11,604, ,464 11,374,
358 (%) Haitong International ,779 Holdings (UK) Limited Japaninvest Group plc) ,692,492 2,841,271 Haitong International Holdings (UK) LimitedJapaninvest Group plc) Haitong International (BVI) Limited Haitong BVI Japaninvest Group plc Japaninvest100% 2,878,200148,779 Japaninvest Japaninvest Japaninvest 357
359 , ,794 40,337 5,605 7, ,189 24,764 66,895 (26,800) (450) (7,971) (35,221) 31,
360 ,779 (31,674) 117,105 Japaninvest Japaninvest 148,779 (11,189) 137,590 Japaninvest5.19Japaninvest Japaninvest 359
361 Nova Banco BESI379,0002,692, ,692,
362 ,105, , , ,536 4,987,623 2,715,400 8,073,645 3,051, ,908 25,575 90, , , , ,658 1,320, ,286 63,032 24,730, , ,280 4,544,887 2,177,961 4,787,759 3,803,504 3,559, , ,197 1,174, ,324 22,140,259 2,590,
363 ,692,483 26, ,572 (2,590,442) 407,119 2,692,483 (394,640) 2,297,
364 A H104.50AH11,501,700,000 5,175,765, ,655,043, AH
365 [2016] ()
6837 2016 12 31 2016 12 31 2016 (www.hkexnews.hk) (www.htsec.com) H2016 2017 3 29 * 3 7 23 28 62 91 100 101 149 184 193 194 195 13 11 2016 12 31AH11,501,700,000 AH 10 2.20 2,530,374,000.00 16,131,942,148.54
2016 中 期 報 告 02 03 06 11 14 52 66 72 73 78 87 88 89 2016H 02 2016 2016 03 2016H A 1.00 H 1.00 Haitong Bank, S.A 2016H 04 665 05 2016H IPO QFII 2016 1 12016 6 30 RQFII 571 2016H 06 Haitong Securities Co.,
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2014 年 度 報 告 3 4 7 18 24 79 85 98 99 145 169 176 177 178 13 12 AH102.5 2015 2 92015 2015AH HH 1,916,978,820H H HAH 11,501,700,0002,875,425,000.00H 479,244,705.0010,369,758,976.60 2 2014 IT FICC Banco Espírito
6837 2017 12 31 2017 12 31 2017 2017 12 31 (www.hkexnews.hk) (www.htsec.com) H2017 2018 3 27 * 3 7 23 29 74 104 114 115 164 200 210 211 212 1 13 11 2017 12 31AH11,501,700,000 AH102.30 2,645,391,000.0017,817,845,957.76
目錄 董事長致辭 HAR1402017_C_Haitong Securities()F_.indb 1 3 第一節 釋義及重大風險提示 4 第二節 公司簡介 7 第三節 會計數據和財務指標摘要 18 第四節 董事會報告 24 第五節 重要事項 71 第六節 股份變動及股東情況 77 第七節 董事 監
6837 20131231 201312312013 (www.hkexnews.hk) (www.htsec.com) H2013 2014328 * 目錄 董事長致辭 HAR1402017_C_Haitong Securities()F_.indb 1 3 第一節 釋義及重大風險提示 4 第二節 公司簡介 7 第三節 會計數據和財務指標摘要 18 第四節 董事會報告 24 第五節 重要事項 71
665 2014 2 4 6 10 14 22 42 48 57 74 76 205 206 207 12 31 2014 2013 2,713,291 1,646,814 65 1,018,269 529,152 92 % 1 15.71 12.57 25 56.17 41.07 37 50.42 39.15 29 5.85 4.21 39 3.74 2.99 25 2014 12 31 2013
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476651 (Citic Securities) RA Chi.indb
6030 2012 2012 12 31 2012 2012 2013 4 30 H http://www.hkexnews.hkhttp://www.cs.ecitic.com 1 2012 103.00 2 ............................................................................................ 4...................................................................................
為华泰证券股份有限公司 HTSC 2016 Annual Report 6886 2 4 8 01 14 32 38 02 44 105 03 138 148 149 175 226 04 234 374 375 377 383 401 20164,638,186,983.63 10% 10% 10% 1,391,456,095.083,246,730,888.55 10,929,349,736.652015
書冊C_ indb
38D 1933 0440 36.89 32,533,8312.00 8 1 8 10 (i)(ii) (iii) (i)(ii) (iii) i 6D 6D 6D 6D 6D 708 707 6D 6D ii Capital Markets and Services Act 2007 CMSA CMSA 229(1)(b) 230(1)(b) 6 7 iii CMSA 5 Securities Act
中 国 外 运 股 份 有 限 公 司 ( 住 所 : 北 京 市 海 淀 区 西 直 门 北 大 街 甲 43 号 金 运 大 厦 A 座 ) 公 开 发 行 2016 年 公 司 债 券 ( 第 一 期 ) 募 集 说 明 书 ( 面 向 合 格 投 资 者 ) 牵 头 主 承 销 商 / 债
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UBS AG
China Cinda Asset Management Co., Ltd. 01359 04607 2016 2016 12 31 2016 20162017 4 H www.hkexnews.hk www.cinda.com.cn 2017 3 30 1 1999 4 2010 6 2012 4UBS AG 2013 12 12 30 339 2.1 2016 2016 2 ... 4...............................................................
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書冊C_ _2356.indb
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1638 1999 2009 12 9 1638.HK 2 4 8 12 24 40 45 48 56 69 71 73 74 75 76 77 138 Cricket Square Hutchins Drive P.O. Box 2681 Grand Cayman, KY1-1111 Cayman Islands 3306 2 8 20 2001 Butterfield Fulcrum Group
409918 (Minshing A share).indb
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2017 2017 2 5 18 23 52 80 88 89 93 99 178 179 2 1788 2017 7 7 2017 7 24 70 A 571 ABS Asset-backed Securities 2017 3 A 1.00 H 1.00 FICC Fixed Income, Currencies and Commodities PB Prime Broker 2017 4 Guotai
65425_Chi.indb
: 3328 1908 2005620075 10529769 1662,6368 20081,00066 54 ISMS ISO27001 2010 2 4 8 16 23 64 70 85 92 98 114 117 121 123 129 284 298 300 308 80,000 30,000 28,393 3,000,000 2,682,947 70,000 65,862 25,000
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1949 10 2016500 119 02328 68.98% 75.0% 80.0% 95.45% 100% 100% 100% 2 3 25 42 43 81 2016 6 30 2015 12 31 (%) 902,276 843,468 7.0 738,847 686,273 7.7 163,429 157,195 4.0 (1) 2.85 2.74 4.2 6 30 6 2016 2015
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股份有限公司
公 司 代 码 :600837 公 司 简 称 : 海 通 证 券 一 重 要 提 示 海 通 证 券 股 份 有 限 公 司 2016 年 半 年 度 报 告 摘 要 1.1 本 半 年 度 报 告 摘 要 来 自 半 年 度 报 告 全 文, 投 资 者 欲 了 解 详 细 内 容, 应 当 仔 细 阅 读 同 时 刊 载 于 上 海 证 券 交 易 所 网 站 等 中 国 证 监 会 指 定
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:06881 2015 12 31 2015 12 31 2015 2015 20164www.hkexnews.hk www.chinastock.com.cn 2016 3 28 2 5 6 7 8 43 49 90 104 111 114 133 159 160 2015 1 A bp 1bp 11% 2007126 H06881 1.00 20151231 ETF IB 100% 70%30%
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