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 2

A 1.00 H 1.00 Haitong Bank, S.A 3

665 IPO 4

QFII 2016 1 12016 12 31 RQFII 571 5

6

Haitong Securities Co., Ltd. Haitong Securities 11,501,700,000.00 11,501,700,000.00 78,663,534,022.30 93,706,661,550.50 1. [2001]3 2. [2001]819 3. [2001]306 4. [2002]090 5. [2002]076 6. [2005]079 7. [2005]173 8. [2006]3 9. [2007]86 10. (2007.08) 7

11. [2008]146 12. [2008]22 13. [2008]479[2010]122 14. [2008]421 15. [2009]302 16. [2009]1 17. [2010]315 18. [2010]372 19. (2011.08) 20. [2010]070 21. [2011]237 22. [2011]512[2011]37 23. [2011]1821 H 24. [2011]585 25. [2012]686 26. [2012]825 27. [2012]113 28. [2012]561 29. (SC201307) 30. [2013]407 [2014]1551 31. [2013]180 32. [2013]741 33. 2013[2013]204 34. [2013]959 35. [2013]1643 36. 37. [2014]358 38. T004 39. [2014]4 8

40. [2014]321 41. [2015]153 42. 50ETF[2015]214 43. [2015]20 44. NO.G02008 45. [2015]1204 46. [2015]461 47. [2015]120 48. [2015]1152017 1 (K)0772 49. 50. [2016]224 51. 2017 689 12 200001 689 12 200001 8621-23219000 8621-23219000 8621-63410627 8621-63410627 huangzh@htsec.com sunt@htsec.com 9

689 200001 689 200001 http://www.htsec.com haitong@htsec.com 189 21 http://www.sse.com.cn http://www.sse.com.cn http://www.hkexnews.hk 689 12 A 600837 H 6837 10

2007 7 6 1988 1,000 [1994]5 1994 9 27 100,000 [2000]296 2000 12 29 374,692.80 11

[2001]278 2002 1 28 4,006,093,000 [2002]329 2002 11 1 8,734,438,870 2005 5 [2007]90 2007 6 7 2007 6 29 2007 7 6 3,389,272,910 2007 7 31 [2007]3682007 11 21 3,389,272,910 4,113,910,590 12

2008 5 520072007 2007 12 314,113,910,590 101.00310 74,113,910,590 8,227,821,180 2008 5 28 2012 4 27 1,229,400,000H 25 122,940,000 H1,352,340,000 H 2012 5 19 H 127,500,000 H2012 5 22 H10% 12,750,000 AH 2015 2 92015 2015A 2015HH 2015 5 [2015]8111,916,978,820 12015 5 8H 2015 5 29H1,916,978,820 1,048,141,220H2015 5 15868,837,600H 2015 5 29 H11,501,700,000 A 8,092,131,180 H 3,409,568,820H HAITONG SEC H6837 13

1 2 (1) 6636-37 2003 4 18 1.5 51% 021-38650999 (2) 816-17 1999 4 13 3 27.775% 021-20361818 14

(3) 888 8 A 2004 10 18 1 67% 021-62883005 (4) 1589 176 01 03 04 25 2 05 1993 3 18 13 66.667% 021-61871688 (5) 189 22 2007 7 24 88.5 88.5 88.5 100% 852-39268888 15

(6) 689 26 07 12 2008 10 23 106.5 100% 021-63410311 (7) 774 2 107N 2012 4 24 35 100% 021-23219000 (8) 6893201-12 2012 6 26 22 100% 021-23219000 27290 16

A H 61 4 8835 689 9131000013220921X6 17

2016 2015 2014 42,492,256 55,285,553-23.14% 23,666,866 11,161,727 21,118,869-47.15% 10,420,394 8,043,334 15,838,851-49.22% 7,710,623-19,268,426-33,989,522-29,338,392 281,583 695,633-59.52% 283,027 0.70 1.48-52.70% 0.80 0.70 1.48-52.70% 0.80 (%) 7.39 17.56-10.17 11.88 2016 2015 2014 12 31 12 31 12 31 560,865,846 576,448,892-2.70% 352,622,149 438,907,445 459,521,221-4.49% 280,357,946 104,059,287 129,026,336-19.35% 80,766,843 110,130,127 107,694,545 2.26% 68,364,431 11,501,700 11,501,700 9,584,721 9.58 9.36 2.35% 7.13 (%) (1) 73.30 73.87-0.57 73.42 1 18

6,000.00 5,000.00 5,764.49 5,608.66 4,000.00 3,526.22 3,000.00 2,000.00 1,000.00 683.64 1,076.95 1,101.30 0.00 2014 12 31 2015 12 31 2016 12 31 19

1 2016 2015 2014 2013 2012 42,492,256 55,285,553 23,666,866 12,802,734 10,743,347 31,530,964 34,648,129 13,413,806 7,464,926 6,681,975 11,161,727 21,118,869 10,420,394 5,454,748 4,127,238 8,043,334 15,838,851 7,710,623 4,035,024 3,037,542 2 2016 2015 2014 2013 2012 12 31 12 31 12 31 12 31 12 31 560,865,846 576,448,892 352,622,149 169,123,603 126,482,104 438,907,445 459,521,221 280,357,946 105,018,445 66,051,508 104,059,287 129,026,336 80,766,843 40,429,567 36,956,823 110,130,127 107,694,545 68,364,431 61,506,991 58,679,683 11,501,700 11,501,700 9,584,721 9,584,721 9,584,721 3 2016 2015 2014 2013 2012 0.70 1.48 0.80 0.42 0.33 0.70 1.48 0.80 0.42 0.33 (%) 7.39 17.56 11.88 6.70 5.66 (%) (1) 73.30 73.87 73.42 50.19 32.50 9.58 9.36 7.13 6.42 6.12 1 20

600.00 552.86 158.39 500.00 400.00 300.00 200.00 100.00 107.43 128.03 236.67 424.92 30.38 40.35 77.11 80.43 0.00 6,000.00 5,764.49 5,608.66 1,076.95 1,101.30 5,000.00 4,000.00 3,000.00 3,526.22 586.80 615.07 683.64 2,000.00 1,264.82 1,691.24 1,000.00 0.00 18.00% 16.00% 14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00% 17.56% 11.88% 6.70% 7.39% 5.66% 2012 2013 2014 2015 2016 80% 70% 60% 50% 40% 30% 20% 10% 0% 73.42% 73.87% 73.30% 50.19% 32.50% 21

2016 20152016 12 312015 12 31 2016 12 31 786.64 937.07 150.43 2016 12 31 2015 12 31 78,663,534 93,706,662 101,244,982 101,119,681 (%) 258.90% 365.64% (%) 27.64% 25.18% (%) 155.23% 322.01% (%) 131.65% 128.47% (%) 77.70% 92.67% (%) 52.56% 49.00% (%) 67.65% 52.87% (%) 29.66% 26.67% (%) 80.98% 76.72% 2016 22

1 QDII QDII (PE) 23

25 2 201630011.3% 22.9% 27.7% 2.38% 26050% 2016 51.8 36% 17.6 48% 24

PPP 2016 2016 5%30% 4 165,303,327,001.0829.47% 1 2007-2016 2016 626 2009-2016 2 25

3 2016 12 31 332 2904230 14 2016 12 31 980 4 2016 27% 5 2016 IPO 14 FTUFT 26

6 28 27

2016 2016 12 31 5,608.66 1,101.30 2016 424.9223.14% 80.43 49.22% 7.39%10.17 14,941,655 9,764,683 34.65% -46.40% -41.02% 5.96 1,910,902 987,431 48.32% -46.60% -45.34% 1.19 9,033,411 6,878,209 23.86% -7.30% 63.28% 32.91 2,219,593 1,012,510 54.38% 19.06% 23.37% 1.60 1,082,125 271,560 77.13% 11.01% 33.93% 2.07 3,332,235 2,215,050 33.53% 25.00% 10.63% 8.64 7,813,764 7,102,068 8.69% 30.18% 80.37% 25.71 28

2016 4.47% 196 2016 1,406 O2O 2016 8.43% 2.53%11.9%8% 2016 2016 51.7746.4% 29

A+BA 300 25 23 443.9 2016 12.0710.8% FICC 2016 21.5519.3% 30

201690 40 2016 2016 8.357.5% 1.48 57% PE185 8 28 2016 9.238.3% 4852% PPP 2016 11.1710.0% 31

2016 IPO IPO 560 2016 6.796.1% 2016 2015 32

1 (1) 2016 424.92127.93 23.14%2016 27%9 127.1129.91%41.73% 61.0814.37%44.76% 74.9217.64%83.02% 2016 1-12 2015 1-12 12,711,293 29.91% 21,812,616 39.45% -9,101,323-41.73% 16,180,548 38.08% 18,322,037 33.14% -2,141,489-11.69% 6,107,923 14.37% 11,057,133 20.00% -4,949,210-44.76% 7,492,492 17.64% 4,093,767 7.41% 3,398,725 83.02% 42,492,256 100.00% 55,285,553 100.00% -12,793,297-23.14% 33

(2) 2016 315.319.00% 123.419.03% 61.6821.22% 10.3660.90% 108.9719.61% 34

2016 2016 2015 6,168,040 7,829,712-1,661,672-21.22% 12,340,937 13,566,443-1,225,506-9.03% 1,036,089 2,650,022-1,613,933-60.90% 710,195 1,192,138-481,943-40.43% 379,089 299,962 79,127 26.38% 10,896,614 9,109,852 1,786,762 19.61% 31,530,964 34,648,129-3,117,165-9.00% 2 2016 8,756 2016 8,681 75 8,756 35

3 2016 174.91 (1) 192.68 316.58 548.45 130.49 155.97 94.48 (2) 315.78 (3) 333.55 377.66 4 2016 5,608.66 2.70% 4,389.07 4.49% 23.43% 25.29% 11.27%11.34% 0.29% 36

2016 2015 12 31 12 31 119,564,897 102,682,965 16,881,932 16.44% 22,035,884 3.93% 17,472,135 3.03% 4,563,749 26.12% 45,269,933 8.07% 33,445,224 5.80% 11,824,709 35.36% 5,684,365 1.01% 4,668,075 0.81% 1,016,290 21.77% 8,749,592 1.56% 5,136,607 0.89% 3,612,985 70.34% 20,922,862 3.73% 17,223,078 2.99% 3,699,784 21.48% 1,615,839 0.29% 1,317,178 0.23% 298,661 22.67% 5,141,634 0.92% 5,648,299 0.98% -506,665-8.97% 4,118,734 0.73% 3,757,597 0.65% 361,137 9.61% 441,300,949 473,765,927-32,464,978-6.85% 119,217,791 21.26% 163,191,220 28.31% -43,973,429-26.95% 12,191,899 2.17% 15,747,116 2.73% -3,555,217-22.58% 92,347,494 16.47% 102,665,873 17.81% -10,318,379-10.05% 63,212,920 11.27% 76,324,967 13.24% -13,112,047-17.18% 6,929,537 1.24% 6,263,868 1.09% 665,669 10.63% 63,600,363 11.34% 60,245,770 10.45% 3,354,593 5.57% 14,519,336 2.59% 9,921,752 1.72% 4,597,584 46.34% 12,758,905 2.27% 11,045,127 1.92% 1,713,778 15.52% 7,359,343 1.31% 5,275,772 0.92% 2,083,571 39.49% 3,935,071 0.70% 3,428,166 0.59% 506,905 14.79% 32,787,054 5.85% 13,524,326 2.35% 19,262,728 142.43% 560,865,846 576,448,892-15,583,046-2.70% 37

2016 2015 12 31 12 31 295,705,387 336,022,549-40,317,162-12.00% 104,059,287 23.71% 129,026,336 28.08% -24,967,049-19.35% 43,638,525 9.94% 90,951,854 19.79% -47,313,329-52.02% 46,659,113 10.63% 31,284,497 6.81% 15,374,616 49.14% 3,210,521 0.73% 1,512,362 0.33% 1,698,159 112.29% 38,063,861 8.67% 24,837,241 5.41% 13,226,620 53.25% 2,594,009 0.59% 3,718,116 0.81% -1,124,107-30.23% 19,866,992 4.53% 15,504,612 3.37% 4,362,380 28.14% 19,864,117 4.53% 22,336,951 4.86% -2,472,834-11.07% 4,757,573 1.08% 2,098,115 0.46% 2,659,458 126.75% 1,748,846 0.40% 3,895,438 0.85% -2,146,592-55.11% 11,103,335 2.53% 10,793,748 2.35% 309,587 2.87% 145,595,562 137,743,378 7,852,184 5.70% 143,202,058 123,498,672 19,703,386 15.95% 117,191,857 26.70% 89,805,660 19.54% 27,386,197 30.49% 14,489,442 3.30% 9,330,007 2.03% 5,159,435 55.30% 93,202 0.02% 7,624,682 1.66% -7,531,480-98.78% 575,770 0.13% 6,188,371 1.35% -5,612,601-90.70% 5,598,941 1.28% 5,747,990 1.25% -149,049-2.59% 438,907,445 459,521,221-20,613,776-4.49% 121,958,401 116,927,671 5,030,730 4.30% * 38

2016 1,195.65 16.44%2016 2016 1,455.96 1,377.43 78.525.70% 1 2016 2 1 2016 2 39

2016 12 31 2,093.08 2016 2016 2015 12 31 12 31 128,295,192 100,599,408 61,148,555 40,614,504 19,864,117 22,336,951 209,307,864 163,550,863 44 45 55 2016 12 31 776.27 1,455.96 2016 12 31 40

5 10,874.29 1 87.50 51.37 36.1370.33% 23 (1) 27.775% 681,741 208,841-12,215 1 2 (2) (3) 923.47 533.18 13.41 41

2 (1) 2015 2 920152015 A 2015H H2015 5 [2015]811 2015 5 291,916,978,820 H 1.00 17.18 32,933,696,128.00 186,696,098.00 32,747,000,030.002015 12 31 32,748,280,742.1026,238,647,735.44 2016 12 31 2015 2,623,864.77 2,623,864.77 2,623,864.77 2,623,864.77 2,623,864.77 2,623,864.77 (i) 60% (ii) 15% (iii) 10% (iv) 5% (v) 10% 2016 12 31 42

(2) 60% 15% 10% 5% 10% 1,573,973.62 1,573,973.62 1,573,973.62 100% 393,171.85 393,171.85 393,171.85 100% 262,114.57 262,114.57 262,114.57 100% 130,000.00 130,000.00 130,000.00 100% 264,604.73 264,604.73 264,604.73 100% 2,623,864.77 2,623,864.77 2,623,864.77 H H 43

1. 1.551% 2016 12 31 13.52 9.47 2016 5.64 1.35 2. 327.775% 2016 12 3142.9 24.55 2016 24.7 7.52 3. 167% 2016 12 31 2.85 1.99 2016 1.78 0.79 4. 1366.667% 2016 12 31253.77 26.31 2016 67.48 3.1 5. 88.50100% 2016 12 312,368.14109.78 2016 123.0114.52 6. 106.50100% 2016 12 31176.26137.59 2016 12.22 6.96 7. 35100% 2016 12 3180.61 46.69 2016 6.73 5.38 8. 22100% 2016 12 31 132.36 33.64 2016 5.35 1.2 44

1. 5Haitong International Strategic Investment Europe Limited Haitong Fixed Income Investment Manager Limited Haitong International New Energy VIII Limited Haitong International New Energy IX Limited Haitong Unitrust No.1 Limited (1) Haitong International Strategic Investment Europe Limited 2016 1 55 1 (2) Haitong International Global Strategic Investment Limited 2016 8Haitong Fixed Income Investment Manager Limited 5 1 (3) 1 Haitong International New Energy VIII Limited 2016 1 11 5 1 2 Haitong International New Energy IX Limited2016 1 11 51 (4) Haitong Unitrust No.1 Limited 2016 10 18100 Ireland Haitong Unitrust No.1 Limited 2. 19 45

1. 27 290 2. 2008 4 111 60 3,670 3192262016 12 31 26,112 23,031 1,544,178445,653 97,987 3. (1) A 46

(2) 15 2016 A+BA ETF (3) 47

IT 2017 FICC 48

1. (1) 49

(2) 1) 2016 2016 13,536.59 2,638.302016 12 30 3,103.64 12.31% 22.89% 27.71%2016 (ivix)2016 1 27.95%2016 12 3017.22% 38.39% (VaR) 50

2) 2016SLF MLF 2016 3 4 1012 117.341.63% DV01 3) 2016 12 31 51

(3) 52

(4) 2016 6 30 53

2. (1) 2016 12 279.94% 205.51% 262.93% 2016 12 311.11% 296% (2) 20160.3% 2016 20162.50 2015 2.842016 2015 194.57 ETF 54

(3) (4) 3. (1) (2) 55

(3) (4) (5) (6) 56

(7) IT OA (8) (9) (10) 57

1. 125 [2008]606 T+1 2016 10 2. 3. 786.64 1,012.4577.70% 58

4. 2016 201644 2007 5 2008 3 4 59

60

3 3 61

20072015 156.99 12.34 28.80 20072015 30%51.75% 35.69% 54.44% 53.87% 57.79% 73.42% 47.40% 148.25% 54.71% 62

20152016 7 2011,501,700,000 10 4.50 5,175,765,000.00 2016 8,043,334,519.302016 5,724,675,393.85 201610% 572,467,539.39 1,717,402,618.172016 4,007,272,775.68 19,830,808,372.862015 5,175,765,000.00 18,662,316,148.54 2016 1. 2016 12 31AH11,501,700,000 AH10 2.20 2,530,374,000.00 16,131,942,148.54 2. AH 2016 63

20162016 20162016 H 10 10 10 (%) 2016 0 2.2 0 2,530,374,000.00 8,043,334,519.30 31.46 2015 0 4.5 0 5,175,765,000.00 15,838,850,897.61 32.68 2014 0 2.5 0 2,875,425,000.00 7,710,623,597.60 37.29 3 3 64

3 3 3 3 3 65

275 6 315 5 40 2016 275 40 2016 315 1,661 34 66

1,000 10% 5% 2016 11 25 (2016)127 HOMS 67

2015 2015 9 11HOMS HOMSHOMS 2016 5% 3 3 3 2015 7 8 25 2,800 2016 2 192016 9 21 68

2014 2015 6 8 10 2016 12 312015 18,000,000200,052 2016 2014 5 27 5 50 97,321,500 2015 1 19 28 85,980,375 0.4552 8% 65 14A14A 69

0 (A) 0 11,677,443,882 (B) 30,042,027,872 (A+B) 30,042,027,872 (%) 27.3 (C) 0 70%(D) 19,279,354,000 50%(E) 0 (C+D+E) 19,279,354,000 70

1. 2016 8 29 40 40 [2016]325 2. 2015 2 92015 2015A 2015 H 50% 2015 6 5 13 13 1300 2016 5 18 Haitong International Finance Holdings 2015 Limited 120211.6% 71

3. 2016 5 26 Haitong International Finance Holdings 2015 Limited1.22021 1.6% 4. 2016 3 30 13 11 13 00 2016 5 262015 70% 50% 10% 72

2016 5 31 Haitong Investment Ireland Public Limited Company7.5 Novo Banco, S.A. NBBanco Espírito Santo de Investimento, S.A.Haitong Bank S.A7.5 NB 8 5 NB NBNB NB 2015 9 7 Banco Espírito Santo de Investimento,S.A.Haitong Bank S.A Novo Banco, S.A. 7.5 3 2016 5 31 HIIP 7.5 5 5. 2015 4 13 Haitong International Finance Holdings 2015 Limited 6.720203.5% 73

6. 2013 109 Haitong International Finance Holdings Limited 2013 7. 2013 6 9 [2013]145 88 8 32,857,813 2016 12 30 1 7.3068 240,085,468 220,021,4352016 12 30 1 7.3068 1,607,652,621 74

SPV 23,469,000,0002016 12 30 1 0.89451 20,993,255,190 75,469,000,0002016 12 30 1 0.89451 67,507,775,190 10 2007 2013 9 2016 9 20% 1.6 2016 7 29 3.05 2016 9 232016 2016 10 28 3.05 75

[2015]121 2016 8 16 9131000013220921X6 310000000016182 1. 2016 8 15 25%15%60% 2016 11 29 2. 2,000 2016 51,100 76

2016 8 10 40 12 22 1. 2016 11 8,000 1 2. 30 2016 12 106.5 30 2016 1230 5.23 8.03 34.9% 3. 60% 2017 1 77

1. 2016 10 25 20213,880,000,000 6.8112569,649,988 2. 2.2 Haitong International Finance Holdings 2015 Limited 2016 5 185 26 2.2 3. Unican Limited 2016 92014MTN 6,400 2016 28 2016 3 2016 125+N 2016 78

1. 79

2. 1 2016 100 IPO PPP IPO 80

2 2016 500 3 2016 4 PE 81

100 20 4 2016 2011 6 82

3 2016 1. 1,038.3 2. 7.98 3. 949 4. 4.1 7.81 4.2 154 4.3 5.8 5. 5.1 7.5 6. 6.1 6.2 500 83

7. 7.1 0.7 7.2 0.13 7.3 15 8. 8.1 0 8.2 8.73 8.3 509.1 9. 9.1. 1 9.2. 6.51 9.3. 59 9.4. 84

4 2017 PPP 500 2016 85

2017 3 29http://www.hkexnews.hk http://www.sse.com.cn http://www.htsec.com 3 1 2 8.08 86

3 2014 10 2011 32016 7 2016 11 2012 2016 9 4 5 6 2014 2015 6 8 10 2016 12 312015 18,000,000200,052 2016 87

7 2016 88,9562.10% 17,2340.41% 8 A [2012]85 1 1 20%11 150% 10% 1 25% 5% 5% [2012]85 QFIIQFII 2009[47] 10% QFII 88

H [1993]045 [2011]348 10% 10% 10% (1)10% (2) 10%20% (3) 20% H [2008]897H 2008 10% 89

5% 90

1 2 A 8,092,131,180H 3,409,568,820 3 4 91

2013 11 25 6.15% 23.5 2013 12 16 23.5 2018 11 22 2013 11 25 6.18% 23.9 2013 12 16 23.9 2023 11 23 2014 7 14 5.25% 56.5 2014 8 13 56.5 2017 7 12 2014 7 14 5.45% 45.5 2014 8 13 45.5 2019 7 11 2014 7 14 5.85% 8 2014 8 13 8 2024 7 11 2015 4 8 5.50% 150 2015 5 11 150 2018 4 4 2020 4 6 * 2015 6 12 5.30% 150 2015 8 26 150 2017 6 9 2018 6 8 * 2015 6 12 5.38% 50 2015 8 26 50 2018 6 8 2020 6 10 * 2016 5 18 3.60% 150 2016 6 15 150 2019 5 15 2020 5 14 * 2016 5 18 3.80% 50 2016 6 15 50 2021 5 13 2016 11 17 3.30% 40 2016 11 30 40 2019 11 14 2016 11 17 3.40% 20 2016 11 30 20 2021 11 15 * 2013 3 26 2013 5 27 2012 2013 9 25[2013]1220 230 1202013 11 27 72.6 23.5 23.9 110 2014 7 16 56.5 45.5 8.0 13012016 11 252016-049 92

2014 12 19 2015 2 9 2015 2015AH 200% 350 1502015 4 85 3 200 2015 6 12 3 1502 5 503 113 [2016]886 2016 5 2004 1503 5 50 2016 3 302016 5 26 2015 200% 93

2016 11 4 [2016]2080 3002016 11 60 3 405 20 4 249,535 A 249,083 H 452 249,993 A 249,544 H 449 94

(%) -766,420 3,408,386,763 29.63% 0 0 0 402,150,000 3.50% 0 0 0 400,709,623 3.48% 0 0-4,221,300 358,031,871 3.11% 0 0 0 322,162,086 2.80% 0 0-15,446,479 319,086,793 2.77% 0 0 0 235,247,280 2.05% 0 0 0 214,471,652 1.86% 0 0 193,402,041 193,402,041 1.68% 0 0 10 5,108,426 156,842,126 1.36% 0 0 95

3,408,386,763 3,408,386,763 402,150,000 402,150,000 400,709,623 400,709,623 358,031,871 358,031,871 322,162,086 322,162,086 319,086,793 319,086,793 235,247,280 235,247,280 214,471,652 214,471,652 10 193,402,041 193,402,041 156,842,126 156,842,126 1 H 2 H A 3 A 4 96

2016 12 31 XV23 336 (%) A H (%) 3 4 1. A 1 402,150,000 3.49 4.96 2. A 1 400,709,623 3.48 4.95 3. Maunakai Capital Partners (Hong Kong) Limited H 283,894,000 2.46 8.32 4. BSA Strategic Fund I H 283,844,000 2.46 8.32 5. Insight Capital Management (Hong Kong) Limited H 223,415,200 1.94 6.55 6. Insight Phoenix Fund H 223,415,200 1.94 6.55 7. H 2 248,000,000 2.15 7.27 8. H 2 268,000,000 2.33 7.86 9. Vogel Holding Group Limited H 2 248,000,000 2.15 7.27 10. BlackRock, Inc. H 182,844,978 1.58 5.36 H 1,036,000 0.00 0.03 1 (www.hkexnews.hk) 482,686,582 A416,420,568 A 336 2 Vogel Holding Group Limited248,000,000 HVogel Holding Group LimitedVogel Holding Group Limited 248,000,000 H Union Sky Holding Group Limited20,000,000 H 268,000,000 H 3 97 (i) (ii) (iii)(iv)

4 (i) (ii) (iii) (iv) 2016 12 31 336 2016 12 31 XV XV7 8 352 1 A 2 H (%) (%) 1. H 1,000,000 0.01 0.03 1 (i) (ii) (iii)(iv) 2 (i) (ii) (iii) (iv) 98

10 10 5% H 99

100

49 2016-10-28 2017-12-30 0 0 0 20.39 55 2014-12-30 2017-12-30 0 0 0 76.92 54 2015-06-08 2017-12-30 0 0 0 0 35 2014-12-30 2017-12-30 0 0 0 0 52 2016-10-18 2017-12-30 0 0 0 0 60 2014-12-30 2017-12-30 0 0 0 7.5 57 2014-12-30 2017-12-30 0 0 0 0 47 2015-06-08 2017-12-30 0 0 0 0 65 2014-12-30 2017-12-30 100 100 0 21 68 2014-12-30 2017-12-30 0 0 0 21 57 2014-12-30 2017-12-30 0 0 0 16 53 2014-12-30 2017-12-30 0 0 0 19 58 2016-6-12 2017-12-30 0 0 0 1.67 58 2014-12-30 2016-7-29 0 0 0 93.13 61 2014-12-30 2016-7-29 0 0 0 5.92 51 2014-12-30 2016-6-12 0 0 0 19 53 2015-07-08 2017-12-30 0 0 0 0 60 2014-12-30 2017-12-30 0 0 0 70.94 54 2014-12-30 2017-12-30 0 0 0 0 54 2015-9-21 2017-12-30 0 0 0 0 45 2014-12-30 2017-12-30 0 0 0 0 101

50 2014-12-30 2017-12-30 0 0 0 0 45 2014-12-30 2017-12-30 0 0 0 0 47 2016-7-11 2017-12-30 0 0 0 0 56 2014-12-30 2017-12-30 0 0 0 238.95 52 2014-12-30 2017-12-30 0 0 0 356.43 45 2014-12-30 2017-12-30 0 0 0 355.35 47 2015-07-08 2017-12-30 0 0 0 328.23 61 2014-12-30 2016-03-30 0 0 0 0 54 2014-12-30 2016-12-29 0 0 0 0 59 2014-12-30 2017-12-30 0 0 0 70.94 54 2014-12-30 2017-12-30 0 0 0 70.94 51 2014-12-30 2017-12-30 0 0 0 669.78 51 2014-12-30 2017-12-30 0 0 0 70.94 56 2014-12-30 2017-12-30 0 0 0 474.76 59 2014-12-30 2017-12-30 0 0 0 474.76 45 2016-9-19 2017-12-30 0 0 0 267.02 41 2015-3-12 2017-12-30 0 0 0 403.94 53 2014-12-30 2017-12-30 0 0 0 455.50 53 2014-12-30 2017-12-30 0 0 0 434.61 51 2014-12-30 2017-12-30 0 0 0 390.71 47 2014-12-30 2017-12-30 0 0 0 1,549.40 53 2014-12-30 2016-12-1 0 0 0 987.29 100 100 0 4,906.63 1. 2016 12 30 2. 3. 2015 102

2 19672016 10 28 2016 7 1992 21996 6 1996 62001 12 2001 122003 4 2002 12016 7 0363 2004 82016 7 2010 32012 5 601607 026072012 62013 6 2016 52016 7 2009 12016 7 SMI00981 103

1961 2014 6 25 1980 91983 12 1984 11992 9 1992 91995 11 1995 111996 12 1995 121996 12 1996 121999 3 1999 31999 121999 122000 6 2000 62005 2 2002 92003 9 2005 22008 9 2008 92008 11 2008 112010 12 2010 12 2012 82012 82014 42015 10 2015 11 2016 10 104

6 19622015 6 8 2010 8 1996 82006 4 2006 82008 8 2008 82010 8 2013 92014 3 2014 9 2015 3 19812014 12 30 2017 22003 7 2010 1 2010 12016 10 2014 42017 2 2014 10 600958 03958 105

1964 2016 10 18 2013 4 1984 72001 122002 1 2004 32004 42005 9 2005 92008 8 2006 32008 82008 82009 12 2009 122013 4 2016 5 02345 2016 6 600619 2015 3 2013 42016 6 2016 11 600958 03958 1956 2011 5 16 1998 122016 9 20 106

1959 2014 12 30 2014 12 1981 31995 10 1995 101998 11 1998 112004 11 2004 112014 1220122016 9 000166 2015 62016 5 600642 19692015 6 82014 12 1992 61993 6 1993 71999 9 1999 92002 1 2002 22009 12 2009 122014 12 107

5 19512011 11 28 1996 2013 11 2016 6 2013 122016 6 00180 2014 72016 4 Japfa Ltd. UD22004 8 CC3 2013 6 SK7 2015 5 2015 10 STT GDC Pte.Ltd. 35 108

19482013 5 271968 71971 9 1971 9 1975 1 1975 11984 2 1984 21985 8 1985 11987 81987 81990 9 1990 91995 11 1995 111999 8 1999 82007 2 2007 22012 11 2013 7 0025732013 8 000506 109

1959(MPP) 2014 12 30 1993 1 1984 91990 12 1991 11991 12 1992 11992 12 19632014 12 30 2004 121987 7 1993 4 1993 41995 10 1995 101997 12 1998 1 2014 6 110

19582016 6 12 1983 2008 5 82014 12 302010 52016 5 600626 2009 5 600843 A 900924 B 2011 6 600639 A 900911 B 2015 5 600327 2016 5 600000 3 1958 1995 2 1998 52016 7 29 1990 7 1995 2 1992 31994 2 1995 21997 11 1997 11 1998 12 1997 112001 5 1998 122016 7 1999 42016 9 2002 72016 12 2014 5 2015 9 111

19552011 5 162016 7 29 19861994 6 1996 8 2004 10 2004 102006 102006 102013 12 2007 3 2011 10 2008 52013 122010 102011 102010 5 2013 12 023452012 122013 122011 62013 6008482010 52015 3 2013 122016 7 2011 32016 7 600958 039582011 62016 7 600619 2015 32016 7 112

19652014 12 302016 6 12 1989 62001 5 1999 11999 9NYENRODE 2004 92005 9 2001 52006 2 2006 2 113

1963 2015 7 8 2015 7 21 1987 71995 10 1995 101997 121997 12 1999 81999 82000 5 2000 52002 12 2002 122009 9 2009 92013 3 2013 32014 62014 6 2015 4 5 1956 2004 5 21 2011 5 16 2008 10 2014 2 1974 12 1998 8 1998 82002 111998 8 2003 82003 52005 4 2002 112013 2 2003 82013 42003 82013 4 2013 72014 12 114

19602007 7 16 2014 112016 51980 8 1992 81993 31993 8 1993 81994 11 1994 111996 8 1996 81998 4 1998 42000 72000 7 2009 3 2009 32010 12 2010 122014 11 2005 102016 12 2008 102016 11 2008 10 2016 11 2010 112016 11 2012 62017 1 115

1964 2014 12 30 2011 31988 11994 10 1992 52001 5 2001 52001 8 2001 82002 3 2002 32006 5 2006 52006 9 2006 92011 3 2005 7 2008 10 2010 12 2011 12012 4 2012 9 0665 2014 1 2014 1 2014 1 2014 7 116

1971 2014 12 30 2013 3 1993 71995 6 1995 61996 51996 51998 3 1998 32001 3 2001 32005 5 2005 52010 12 2010 12 2013 22012 6 2014 12 1969 2015 7 8 2016 4 1992 71996 6 1996 62000 3 2000 32006 3 2006 3 2009 8 2009 82012 2 2011 92013 1 2013 12016 4 2013 42016 10 2016 10 117

6 1962 2013 5 27 2014 4 1984 71996 12 1997 12001 3 2001 42001 6 2001 72007 8 2007 92010 7 2010 82014 4 2014 12 2014 10 2014 10 1962 2015 9 21 2015 6 600827 2015 8 1982 91999 7 1999 72002 3 2002 32002 12 2002 122003 10 2003 102005 7 2005 72010 82010 8 2014 72014 7 2015 6 2014 32014 7 118

1971 2014 12 30 2013 101994 71995 3 1995 31996 5 1996 52001 2 2001 22002 6 2002 62005 4 2005 42013 10 2014 3 2014 5 600825 2014 8 2014 9 2014 10 2015 5 2016 2 2016 4 2016 7 2016 11 2014 32015 122014 42015 8 119

19662014 12 30 2013 12 1989 81996 1 1996 12002 1 2002 13 2002 32003 12 2003 122007 12 2007 122013 12 2014 52016 1 2012 6 600826 2016 7 19712014 12 30 1999 1 2012 12 2014 9 2004 7 2012 4 2014 1 2014 5 2014 12 2014 12 2015 12015 2 2015 12Shanghai International Shanghai Growth Investment Limited 07702015 12 2011 5 162014 12 30 120

19692016 7 11 2016 3 1992 81996 9 1996 91997 6 1997 61998 9 1998 9 2009 2 2009 22012 3 601919 019192012 32016 3 2017 2 600016 2 19552013 10 162016 3 30 2013 52016 31982 11997 2 1997 2 2000 102000 10 2013 5 121

19622007 7 16 2016 12 292015 6 600637 1988 42002 6 1996 31997 4 2002 72003 32004 32015 6 2009 62015 1 2015 12016 8 000166 12 19571995 11 1997 111983 8 1988 111988 111995 11 1995 111997 11 2010 122011 5 2004 112011 3 2003 42016 32010 1 06652011 3 2010 8 2011 3 122

1962 1996 31997 111982 6 1988 21988 31996 3 1996 31997 11 2008 102011 82011 3 2014 7 2014 7 19652009 52012 3 1993 41994 3 Credit Suisse First Boston Credit Suisse Group AG1994 4 1998 3 Deutsche Genossenschaftsbank AG Deutsche Zentral- Genossenschaftbank AG1998 41999 9 J.P. Morgan 1999 102009 3 Nikko (Citi) Asset Management Co., Ltd. 2007 4 2009 4 2009 52012 32015 9 2016 12 123

1965 2013 8 1993 71996 7 1996 82002 10 2002 102013 8 2014 8 2014 11 2015 9 19601994 82010 72011 5 2017 3 1984 81990 8 1990 81992 5 1992 51993 3 1993 31994 7 1994 81996 3 1996 31998 91998 9 2004 8 2001 62011 2 2005 32006 6 2008 102011 3 124

19571994 82007 7 1988 71991 8 1991 81994 7 1994 8 1996 3 1996 31998 4 1998 42001 72001 7 2007 72006 52009 5 600836 2012 62016 10 2003 4 2010 6 1971 2016 9 19IT 1993 8 2001 9 2001 92011 11 2011 112016 4 125

1975 2001 7 2015 3 2015 4 2001 72003 12 2003 122011 3 2011 32012 11 IT 2012 112017 2 2014 1 2014 72013 8 2016 3 1963 1998 2008 19921998 1998 1999 1999 52008 8 2008 102010 8 2010 10 2010 1 00665 2010 3 126

1963 1997 10 2012 3 IT 2017 2 1997 101998 11998 1 2000 3 2000 32000 12 2000 122006 5 2006 52013 22007 112009 32015 1 127

1965 1996 5 2014 122013 3 PE 1983 121988 4 1988 41991 12 1991 12 1996 5 1996 52002 4 2002 42006 52006 52008 10 2008 102012 11 2012 6 2015 8 2011 112015 7 2015 82016 3 2013 72016 5 2015 72016 5 2012 12 2016 3 2016 6 128

1969 1996 12 2014 12 2007 7 1996 122003 7 2001 12003 7 2003 72004 5 2004 52007 7 2010 32011 3 0665 2009 122010 2 2011 4 2011 6 2016 4 1 19632011 102016 12 2012 32016 12 1985 71996 9 1996 91999 8 19992011 129

(1) 2015 12 11 2016 6 12 2016 3 30 2016 5 26 20152016 6 20 2016 6 12 2016 7 29 3.05 130

2016 9 232016 2016 10 18 2016 121 2016 1182016 10 18 2016 10 28 3.05 2016 8 31 2016 9 232016 2016 10 28 131

2016 12 3113 2 6 5 (2) 2016 3 30 2016 5 26 2015 2016 7 11 2016 12 29 2016 12 3112 7 5 132

(3) 2016 4 27 2016 9 19 2016 9 19 2016 12 22016 12 1 2017 3 29 3.05 3.05 3.28 8.17 133

2015 2017 2013 1998 2016 2014 2014 2013 2016 2014 2015 2016 2012 2013 2016 2015 134

2013 2014 2014 2015 2014 2014 2016 2016 2016 2016 2016 2016 2016 2016 2016 2016 135

2016 2016 2016 2016 2016 2016 2016 2015 2013 2016 2012 2016 2015 2016 1996 2013 2016 2004 OUE Hospitality Trust Management 2013 Pte. Ltd OUE Hospitality REIT Management Pte. Ltd 2013 136

2013 2016 Jafa Ltd. 2014 2016 2015 STT GDC Pte. Ltd. 2015 2013 2013 2013 1993 2011 2016 2016 1998 2004 2014 2014 2014 137

1997 2009 2010 2016 2011 2015 2016 2011 2016 2011 2016 2015 2016 2006 2010 2016 2010 2016 2010 2016 138

2014 2014 2013 2016 2013 2014 2014 2014 8 2014 2014 2015 2015 2016 2016 2016 139

2016 2016 2016 2016 2012 2004 2012 2014 2014 2014 2015 2015 Shanghai International 2015 Shanghai Growth Investment Limited 0770 2015 2014 2015 2016 2015 2016 140

2010 2011 2010 2011 2011 2014 2014 2014 2014 2014 2015 2016 2014 2014 2015 2003 2010 2014 2014 2014 2014 2014 2013 2016 2010 2010 2010 2015 141

2012 2016 2016 2009 2010 2011 2011 2016 2016 142

4,906.63 143

2015 8 242015011 2015 8 25 2015 9 10 [2015]73 2015 9 11 144

2016 11 28 [2016]127 2016 11 28 2015 2016 5,539 4,261 9,800 26 456 956 4,670 211 262 329 500 466 375 669 906 9,800 145

149 2,953 5,512 1,186 9,800 9,800 5,539 4,261 146

2016 20162.0 201615 1000 30 80 168 2017 1,052,000 20,356,200 [2009]2 [2009]302 2696,824 6,561 147

95553 2016 148

[2016]23 A.2.1 2016 7 29 3.05 3.052016 9 23 2016 2016 10 18 149

2016 10 28 3.05 264 2534 228 (1) (2) (3) (4) (5) 150

2015 2016 5 26 http://www.hkexnews.hk 2016 5 26 2016 2016 9 23 http://www.hkexnews.hk 2016 9 23 2016 5 262015 171. 2015 2. 2015 3. 20154. 20155. 20156. 2016A H 7. 8. 9. 2016 10.11. 12.13. 14.AH15. 16.17. 1 12 15 16 13 14 1713 14 17 15 16 17 17 15 16 http://www.hkexnews.hk 2016 5 27http://www.sse.com.cn http://www.htsec.com 2016 9 232016 41. 2. 3.4. 151

1 42 3 http://www.hkexnews.hk 2016 9 24http://www.sse.com.cn http://www.htsec.com 3.10(1) (2)3.10(A) 3.13 3 152

2 1 1 0 0 0 6 5 1 0 0 2 6 5 1 0 0 1 6 5 1 0 0 1 2 1 1 0 0 0 6 4 1 1 0 1 6 4 1 1 0 1 6 4 1 1 0 1 6 5 1 0 0 2 6 5 1 0 0 2 6 3 1 2 0 0 6 3 1 2 0 0 4 3 1 0 0 0 3 3 0 0 0 1 3 2 0 1 0 1 2 2 0 0 0 0 6 2 1 3 153

6 1 2016 3 30 2015 2015 2015 20152015 2015 2015 20152015 2015 H AH 2016 2015 2016 < >< > <>2015 2 2016 4 27 2016 3 2016 7 29 <> < > 2016 154

4 2016 8 29 2016 2016< > PPPSPV 5 2016 10 28 2016 6 2016 12 2 3006-3008 2017 3 30 2016 155

1 2016 7 29 2016 10 28 2016 7 29 2016 10 28 156

2 3 4 5 157

2016 10 20 2016 10 28 1 2016 4 27 2016 10 20 2016 10 28 1 2016 4 27 2016 10 20 2016 10 28 1 2016 4 27 2016 10 20 2016 10 28 1 2016 10 20 2016 10 28 1 158

159 2016 4 27 2016 5 12 2016 5 13 2 2016 10 20 2016 10 28 1 2016 4 27 2016 10 20 2016 10 28 1 2016 4 27 2016 8 23 3 2016 8 25 2016 10 18 2 2016 10 19 2016 10 20 2016 10 28 1 2016 4 22 18 SFC SFC Panel Meeting 2016 4 23 2016 4 27 2016 5 12 2 2016 5 13 2016 9 13 7 KPMG Sustainability Reporting 2016 9 14 and Corporate Governance Workshop 2016 10 20 2016 10 28 1

2016 4 27 2016 10 20 2016 10 28 1 2016 4 27 2016 10 20 2016 4 27 2016 10 20 2016 10 20 2016 10 28 1 2016 4 27 2016 4 27 2016 4 27 1 160

2 3 4 2015 12 11 2016 3 30 2016 5 262015 2016 6 202016 6 12 2016 7 29 2016 9 232016 2016 10 18 [2016]1182016 10 18 2016 10 28 161

2016 8 31 2016 9 23 2016 2016 10 28 1 162

2 2016 3 292016 20152015 2015 2016 8 292016 2016 2016 2/2 2/2 2/2 2/2 2/2 2/2 2 163

2016 2016 5 2016 1 252016 2015 2015 2015 2016 3 292016 2015 2016 2015 <> 20152015 20162015 2016 4 222016 2016 164

2016 8 292016 2016(A+H)2016 2016 10 272016 2016 2/2 5/5 5/5 5/5 5/5 1/1 5/5 3/3 4/4 3 165

4 2016 4 52016 2016 7 28 2016 2016 8 24 2016 2016 10 21 2016 166

0/0 4/4 4/4 4/4 4/4 4/4 1/1 2/2 2/2 4 167

3 2016 3 292016 2015 20152016 2016 4 222016 2016 7 282016 3/3 3/3 3/3 1/1 3/3 3/3 3/3 2/2 168

4 4 0 0 0 4 4 0 0 0 4 3 0 1 0 4 4 0 0 0 4 4 0 0 0 4 4 0 0 0 4 4 0 0 0 4 2 0 2 0 4 4 0 0 0 4 3 0 1 0 4 2 0 2 0 2 1 0 1 0 1 1 0 0 0 4 4 0 0 0 4 1 2016 3 302015 20152015 2015 2 2016 4 272016 169

3 2016 8 292016 2016 4 2016 10 28 2016 1 2 170

3 4 5 171

< ><> 2016 2016 2016 172

2016 12 31 2017 2 24 173

(1) (2) (3) 174

1 2016 2016 2016 19 2016 2016 175

2016 2 2016 519 9 2016 1 176

20162016 PB PB 177

2016 9 45 178

179

2016 12 31 2016 180

2017 2017 3.292016 12 31 15 181

2016 2016 12 31 www.htsec.com 182

70 75 2016 A H E-mail e 201620152016 602016 36 250720152016 173 2016 2016 7 29 2016 9 232016 2016 7 29 2016 9 23 183

2013 3 26 2013 5 27 2012 2013 3 272013 5 28 http://www.sse.com.cn2013 9 25 [2013]1220230 2013 2013 2013 2013 2013 1302 122281 2013/11/25 2018/11/25 23.5 6.15% 1303 122282 2013/11/25 2023/11/25 23.9 6.18% 1304 122311 2014/07/14 2017/07/14 56.5 5.25% 1305 122312 2014/07/14 2019/07/14 45.5 5.45% 1306 122313 2014/07/14 2024/07/14 8 5.85% 157.4 184

1. 2013 47.4 1301 2016 11 25 2016-049 1302 1303 2016 11 252016-051 2. 2013 110 2016 7 14 2016-027 2016 3 30 2016 5 26 2015 185

1 2015 2015 2015 2016 2016 15C1 123212 5 (3+2) 2015/04/08 150 5.50% 15C2 125994 3 (2+1) 2015/06/12 150 5.30% 15C3 125993 5 (3+2) 2015/06/12 50 5.38% 16C1 145179 3 2016/11/17 2019/11/17 40 3.30% 16C2 145179 5 2016/11/17 2021/11/17 20 3.40% 410 (1) 2015 15C15 3 15 C23215C35 3 30 (2) 2016 2016 11 2016 [2016]2080 2016-048 2016 11 182016 2016-052 186

2 2016 1601 135484 4 (3+1) 2016/05/18 150 3.60% 2016 1602 135485 5 2016/05/18 2021/05/18 50 3.80% 200 2016 5 [2016]886 2016 5 182016 2016-017 3 2014 10 28 2014 1526 2014 4 2015 5 13 2014 14D3 135025805% 4 2014 1551 2015 77 2016 2016 3 9 90 20 2.45% 2016-003 187

4822 23 010-60838888 760 8 1 2013 [2013]1220 2013 11 27 120 2013 11 20 2013 11 27 [2013] 114129 [2013] 114130 [2013] 114107 47.4 2 2013 [2013]1220 2014 7 16 110 2014 7 10 188

2014 7 16 [2014] 113875[2014] 113874 [2014] 113873 110 1997 8 [2007]223 (ZPJ001) 2016 4 30 [2016]045048 2013 AAA 2016 [2016] G215AAA 2016 189

1 2 2013 2015 2016 4 282016 4 30 20162016 190

2016 2015 (%) 23,536,376,402.89 34,540,965,190.90-31.86 1.67 1.60 4.52 1.67 1.60 4.52 73.30% 73.87% -0.76 EBITDA 0.07 0.10-32.75 1.93 2.61-26.02-2.83 2.72-203.70 EBITDA 1.96 2.63-25.46 100% 100% 100% 100% =++++ + + ++ +++ ++ + ++ +++ + =++++ + + ++ +++ ++ + ++ +++ + 191

1 2015 2016-0082016-022 2 20142016 5 13 2016-015 3 20162016 6 72016-024 1004,000 10 2,4333,000 2016 11 28 [2016]127 2015 2016 2016-053 192

2016H H H 193

194

0 0 14 1 1 2016 1 14 6-7 2 2016 1 25 3 26 2016 3 11 2 1 4 2016 3 15 393 5 2016 4 11 40 6 2016 5 6 41 302 195

7 2016 6 21 695 8 2016 6 24 239 6 1 101 102 103 104,2 201 202 9 2016 7 6 10 2016 8 25 665 110 11 2016 11 16 399 211 212 213 12 2016 11 21 109 13 2016 11 22 277 12-04 14 2016 12 30 207 211 196

2 1 2016 6 [2016]54 2 2016 6 [2016]65 3 2016 9 [2016]105 4 2016 10 [2016]118 5 2016 10 [2016]121 197

3 2016 4 27 CQC16T10005R0M/3100 2016 4 28 2016 2016 [2016]880 2016 5 25 A 2016 11 14 00000000201611140049 2016 11 29 2016 12 21 9131000013220921X6 15169003 2016 B BBB 2017 3 29 198

199 IT PE

1 285 19 20 2009 2 138 B 2009 3 188 2009 4 8849 B 2009 C D E 5 8 9 901-902 2009 6 56601 2009 7 99-9 B 7 2009 8 15710 2009 9 144 2009 10 2010 11 4 550 2011 12 129 2011 4505 4506 13 92 2011 14 162 2011 15 2011 12-14 1 16 166 2011 17 13 2011 18 12 2011 19 364 2011 200

20 278 2011 1# 3 01 21 183 2012 22 618 6 2012 23 1110 2012 24 2 2012 25 15 2014 26 2014 359 27 6 14 1401 2014 1 7 1-2 2 146 3 442 4 549 5 1 6 2624 201

7 1221017-1018, 2014-2018 8 9 10 9 302 11 1112 203 12 44 13 14 299 15 2666 E21 301 16 8C 3 302 17 66 301 302A 18 56 19 63 20 1 13 202

21 197 22 2 A2010 23 50 1S109A 24 6 1 5 B05 25 278 1# 3 01 26 4 27 98103 28 111701 1703 29 A2 1206 30 488 56-61 2 03 31 34 32 28 33 34 2070 35 157 203

36 376 37 9 38 744 39 22 40 41 42 22 1 2 43 B 3 44 60 45 195 B 11 12 46 498 6 47 8 9 903-906 48 3 6 F05 49 6-7 204

50 205203 303 51 52 18 A1 8 53 1159 F 54 41 418 55 3108 56 4 4 57 1812 58 2 7 3-1 59 69 1119 60 2-4a# 2-4b# 61 66 62 6 112 4 5 63 1 16 205

64 65 15 66 100 67 215 68 2 69 41 302 70 10104 71 13 72 1309A 1310A 73 3 4 5 74 16 75 1394 12207 76 225602 77 126 206

78 168 79 115 80 184 81 47 82 29 D 1-1 2 3 4 2 3 4 83 11 203 204 205 402 84 2 85 99-5 86 200 87 80 88 218 89 40 90 240 91 111 92 135 207

93 11 2 28 29 30 94 27 95 258 96 81 97 8 98 99 110 100 75 101 102 1 103 7 104 75 105 65 106 101 208

107 393 108 98 109 42 110 81 111 6 112 9 113 235 114 16 115 90 116 CBD 24 117 61 118 144 119 259 120 A 6 209

121 6 122 4507 703 123 63 124 1374 125 2 604-607 126 127 61816 128 21-4 129 104 130 2853 131 2356 132 550 133 19 134 20 210

135 16 136 310 137 2 5 6 138 50 1 4 5 139 139 140 55 141 347 349 142 28 A1009-A1012 143 66 5110 144 85-7 145 188 146 23-6 147 31 148 168 107 211

149 96 150 315 151 1008 152 64 153 12 154 68201 (1) 155 69 156 63 65 67 157 123 158 53 159 4 102 160 6-1038 161 296 162 19 212

163 1279 164 93 165 1533 166 25 1-4 167 399 211 212 213 168 123 169 65 2-1 170 1 171 5 172 695 173 05 174 1 175 90 176 49 19 (S1 S2 S3) 177 91 213

178 1-48-6 179 364 180 9 181 395 3 182 277 12-04 183 49-3 184 171 B 109 185 039 186 13 187 25 188 20 189 25 190 9 191 10 214

192 2 193 164 194 D 122 195 69 196 140 197 1251 198 10 199 5 3 200 92 201 386 202 109 203 105 204 205 45 206 207 1110 1 1100111002 215

208 13 209 112 3 01 210 106 B 12 B07 211 300 709-711 212 420 213 536 542 188 1 P04 214 758 215 233 202 204 216 263-265 217 3703 101 218 2 219 239 6 1 101 102 103 104,2 201 202 220 619 221 38 216

222 363 223 285 224 207 211 225 141 226 351 4 227 3255 228 293 229 137 230 11 1-3 231 612 232 381 233 1601-1613 102 125 335-345 234 1059 6 B B101 235 169 12 217

236 46 237 182 1 3 238 681 1 685 3 2 239 171 5 678 240 780 241 1250 242 408 243 D 1902F 244 8 801-805 806A 810A 811 812 245 2068 246 5 500 111-3 1116-1138 247 4 5 B 248 88 3 B 218

249 250 9030 A 1208 251 13 6 252 09 253 96 254 31 3483 255 244 256 26 2 1 257 214 2 258 508 6 259 18 260 359 261 220 262 4240 219

263 Aa2-11 Aa2-13 264 618 265 100 266 162 267 12 13 268 34 36-1 269 166 270 138 271 46-2 272 208 273 160 274 119 275 265 276 850 852 220

277 787 11 278 136-148 279 204-206 108 280 678 1-3 281 158 282 89 283 1 106 284 222 1-3 285 96 286 24 287 288 A 2 288 251-1 251-2 289 1079 3 6-2 290 152 221

7 1432016 12 312016 2016 12 31 2016 222

4 2016 12 3163,411 198 3013 63 223

4 262016 12 31 565 224

4 2016 12 314,119 18 20 225

4 22 25 226

227

228

2017 3 29 229

2016 2016 12 31 2015 5 12,711,293 21,812,616 6 16,180,548 18,322,037 7 6,107,923 11,057,133 34,999,764 51,191,786 8 7,492,492 4,093,767 42,492,256 55,285,553 9 (379,089) (299,962) 10 (6,168,040) (7,829,712) (710,195) (1,192,138) 11 (1,036,089) (2,650,022) 12 (12,340,937) (13,566,443) (10,896,614) (9,109,852) (31,530,964) (34,648,129) 200,435 481,445 13 11,161,727 21,118,869 14 (2,231,209) (4,277,553) 8,930,518 16,841,316 8,043,334 15,838,851 887,184 1,002,465 8,930,518 16,841,316 15 0.70 1.48 15 0.70 1.48 230

2016 12 31 2016 2015 8,930,518 16,841,316 1,073,293 2,410,283 (1,483,495) (1,702,322) 123,540 (162,378) (286,662) 545,583 493,983 70,676 74,262 79,374 281,583 695,633 9,212,101 17,536,949 7,648,626 16,296,407 1,563,475 1,240,542 9,212,101 17,536,949 231

2016 12 31 2016 2015 12 31 12 31 16 1,615,839 1,317,178 17 18,059 19,254 18 4,118,734 3,757,597 19 467,750 449,286 23 8,749,592 5,136,607 24 22,035,884 17,472,135 26 45,269,933 33,445,224 41 5,141,634 5,648,299 28 83,509 77,747 54 2,773,812 2,516,143 27 5,684,365 4,668,075 33 20,922,862 17,223,078 35 7,774,533 36 1,592,688 2,282,857 38 771,029 710,007 29 319,207 184,945 119,564,897 102,682,965 30 63,212,920 76,324,967 31 6,929,537 6,263,868 24 14,519,336 9,921,752 32 10,228,802 3,154,363 26 12,758,905 11,045,127 41 470,655 1,676,977 28 4,986 27 32,787,054 13,524,326 33 63,600,363 60,245,770 34 705,848 184,334 35 92,347,494 102,665,873 50 3,935,071 3,428,166 36 7,359,343 5,275,772 37 12,191,899 15,747,116 40 274,303 834,885 40 761,628 276,425 38 119,217,791 163,191,220 441,300,949 473,765,927 560,865,846 576,448,892 232

2016 12 31 2016 2015 12 31 12 31 44 46,659,113 31,284,497 42 14,586 2,668 45 19,864,117 22,336,951 46 3,210,521 1,512,362 47 104,059,287 129,026,336 43 4,757,573 2,098,115 55 11,103,335 10,793,748 48 19,866,992 15,504,612 49 124,622 60,611 1,748,846 3,895,438 51 38,063,861 24,837,241 50 2,594,009 3,718,116 52 43,638,525 90,951,854 295,705,387 336,022,549 145,595,562 137,743,378 265,160,459 240,426,343 53 11,501,700 11,501,700 56,338,470 56,375,749 784,436 1,054,746 (675,699) (551,301) 57 15,849,581 13,993,667 57 26,331,639 25,319,984 110,130,127 107,694,545 11,828,274 9,233,126 121,958,401 116,927,671 233

2016 12 31 2016 2015 12 31 12 31 54 557,472 665,909 55 117,191,857 89,805,660 44 14,489,442 9,330,007 56 3,539,521 2,336,208 52 93,202 7,624,682 51 575,770 6,188,371 43 721,044 438,408 433,514 46 5,598,941 5,747,990 48 717,445 645,287 143,202,058 123,498,672 265,160,459 240,426,343 230 3882017 3 29 234

2016 12 31 a 57 2016 1 1 11,501,700 56,375,749 1,054,746 (551,301) 13,993,667 25,319,984 107,694,545 9,208,309 24,817 9,233,126 116,927,671 8,043,334 8,043,334 887,184 887,184 8,930,518 (270,311) (124,397) (394,708) 676,291 676,291 281,583 (270,311) (124,397) 8,043,334 7,648,626 1,563,475 1,563,475 9,212,101 (37,279) (37,279) 133,946 133,946 96,667 b 1,197,170 1,197,170 1,197,170 1,855,914 (1,855,914) (336,426) (336,426) (336,426) 36,983 36,983 36,983 61 (5,175,765) (5,175,765) (5,175,765) 2016 12 31 11,501,700 56,338,470 784,435 (675,698) 15,849,581 26,331,639 110,130,127 11,766,474 61,800 11,828,274 121,958,401 2015 1 1 9,584,721 32,383,596 407,434 (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 16,841,316 647,312 (189,756) 457,556 238,077 238,077 695,633 647,312 (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 19,415 61 (2,875,425) (2,875,425) (2,875,425) 2015 12 31 11,501,700 56,375,749 1,054,746 (551,301) 13,993,667 25,319,984 107,694,545 9,208,309 24,817 9,233,126 116,927,671 235

2016 12 31 (a) (i) (ii) (b) 2016 3 112016 3 14 1,200,000 12 236

2016 12 31 2016 2015 11,161,727 21,118,869 12,340,937 13,566,443 (200,435) (481,445) 379,089 299,962 1,178,947 922,218 (950,026) (1,012,424) 1,193 2,460 25,795 19,415 (10,728) (172,966) (2,558,598) (2,415,035) (240,546) (168,595) 21,127,355 31,678,902 (1,393,402) (697,608) 1,712,987 748,369 1,938,414 641,198 577,394 (828,705) 13,049,204 (11,460,869) (6,936,400) (3,943,807) (9,448,482) (7,455,567) (7,095,274) (13,621,013) (521,514) 1,815,666 15,597,243 (46,070,402) 112,407 (1,463,900) 29,456,075 (50,148,516) (19,370,717) 52,231,071 3,895,903 14,732,046 (54,844,809) 20,055,168 1,549,110 (11,554,535) 64,011 (92,257) (10,530,495) (25,434,759) (4,620,367) (2,553,144) (4,117,564) (6,001,619) (19,268,426) (33,989,522) 237

2016 12 31 2016 2015 271,647 268,638 (452,431) (339,072) 31,536 55,659 (4,267,946) (922,310) 618,377 112,587 (11,174,808) (26,015,060) 71 (2,041,641) 133,543 (16,611,192) (7,509,250) 7,019 290,513 (31,577,798) (35,966,393) (5,456,657) (3,323,772) (233,431) (639,226) H 25,972,690 1,268,470 3,375,770 33,801,217 23,431,342 (2,316,886) (2,099,643) 3,441,379 (4,088) 100,531,669 189,914,602 (80,638) (105,572) (5,845,624) (3,253,944) 10,256 72,024 (107,253) (91,760,791) (136,135,386) H (89,477) 65,765 33,354,876 97,077,920 (17,491,348) 27,122,005 51,744,586 24,339,194 77,409 283,387 39 34,330,647 51,744,586 (12,284,162) (11,355,206) 238

2016 12 31 1. 19881994 9 2001 12 2002 1 2007 6 72012 4 27 H 689 2. 11 1 16 38 16 41 27 10 12 28 (2012-2014 239

2. 2016 12 31 1 1 1 (i) (ii) 67 1 11 11 11 3 3 12IAS 36 3 240

2016 12 31 2. 11 311 9 1 15 1 16 2 22 1 2 1 4 9 4 1 15 15 1 10 3 28 7 4 12 4 40 1 (2014-2016 5 1 2018 1 1 2 2019 1 1 3 4 2017 1 1 5 2017 1 12018 1 1 9 9 241

2. 2016 12 31 9 9 9 9 9 39 9 39 39 9 242

2016 12 31 2. 9 2016 12 31 9 9 15 15 15 18 11 15 15 1 2 3 4 5 15 243

2016 12 31 2. 15 15 15 2016 15 15 15 16 16 16 17 16 17 16 IAS17 IFRS16 244

2016 12 31 2. 16 1617 16 2016 12 31 557,697 59 16 16 2 1 2 3 1) 2) 3) 245

2. 2016 12 31 2 2 2 3. 2 17 2 36 246

2016 12 31 3. 247

3. 2016 12 31 (1) (2) 39 248

2016 12 31 3. 12 19 2 5 249

3. 2016 12 31 3937 250

2016 12 31 3. 5 39 36 36 251

3. 2016 12 31 39 252

2016 12 31 3. 3 5% 30 40 3 10% 5 11 3 10% 5 8 3 10% 3 5 0% 253

2016 12 31 3. 303%-5% 254

2016 12 31 3. 255

3. 2016 12 31 256

2016 12 31 3. 257

3. 2016 12 31 258

2016 12 31 3. 259

3. 2016 12 31 260

2016 12 31 3. 39 69 261

3. 2016 12 31 (a) (b) (c) 262

2016 12 31 3. 263

3. 2016 12 31 264

2016 12 31 3. 39 265

3. 2016 12 31 266

2016 12 31 3. (a) 267

3. 2016 12 31 (b) 268

2016 12 31 3. 269

3. 2016 12 31 IAS 37 270

2016 12 31 3. 3 (i) (ii) (iii) (iv) (v) (vi) (vii) 271

3. 2016 12 31 272

2016 12 31 4. 3 41 30 33 24 273

4. 2016 12 31 20 26 274

2016 12 31 4. 14 1)2) 3) 275

2016 12 31 5. 2016 2015 6,406,529 15,852,454 551,135 479,974 1,460,984 1,341,075 2,619,300 1,644,980 1,641,855 2,465,127 662 1,433 30,828 27,573 12,711,293 21,812,616 6. 2016 2015 3,164,933 3,596,340 5,047,767 7,963,583 694,180 145,163 4,743,989 4,529,821 2,401,560 1,986,670 128,119 100,460 16,180,548 18,322,037 61,677 2015 136,040 276

2016 12 31 7. 2016 2015 2,558,598 2,415,035 2,766,728 9,735,570 (231,334) (2,028,068) 11,829 1,013,931 922,767 6,107,923 11,057,133 8. 2016 2015 568,029 249,573 14,369 16,196 6,910,094 3,827,998 7,492,492 4,093,767 277

2016 12 31 9. 2016 2015 280,748 231,002 1,195 1,201 96,643 67,256 503 503 379,089 299,962 10. 2016 2015 62 5,124,830 7,023,734 674,426 496,690 368,784 309,288 6,168,040 7,829,712 64 278

2016 12 31 11. 2016 2015 988,559 2,600,773 47,530 49,249 1,036,089 2,650,022 12. 2016 2015 2,768,182 2,050,102 344,147 104,485 2,627,625 5,334,167 345,377 444,309 24,382 274,353 6,038,402 5,097,049 192,822 261,978 12,340,937 13,566,443 4,951 2015 24,191 279

13. 2016 12 31 2016 2015 24,248 13,693 7,300 6,004 16,609 6,314 339 1,375 240,546 168,595 (23,044) (5,141) 507,743 648,708 62,843 19,261 57,841 79,162 70,025 34,914 1,193 2,460 (10,728) (172,966) 490,686 1,915,068 5,863,536 2,879,878 407,758 345,089 280

2016 12 31 14. 2016 2015 2,113,828 5,220,875 323,379 392,524 2,437,207 5,613,399 (15,495) (10,519) (30,686) 15,093 (46,181) 4,574 (159,416) (1,351,355) (401) 10,935 2,231,209 4,277,553 2008 1 1 25% 16.5% 281

14. 2016 12 31 2016 2015 11,161,727 21,118,869 25% 2,790,432 5,279,717 (53,111) (120,361) 667,132 317,613 (986,765) (968,667) (46,582) 15,509 (164,853) (199,742) 24,956 (46,516) 2,231,209 4,277,553 282

2016 12 31 15. 2016 12 31 2015 12 31 8,043,334 15,838,851 i 7,328 8,874 i ii (30,138) (45,309) 8,020,524 15,802,416 11,501,700 10,702,959 0.70 1.48 0.70 1.48 i 2013 7 182013 10 102014 11 4 7.76 2.32 11.6455 ii 2015 1 1685,980,375 2016 12 31 20162015 283

16. 2016 12 31 2016 1 1 1,102,905 769,008 944,170 173,747 176,198 25,364 3,191,392 4,378 45,049 177,033 299,208 26,398 52,923 604,989 (4,692) (1,250) (91,040) (8,654) (17,626) (4,986) (128,248) 466 20,160 15,793 903 (37,322) 4,666 4,275 7,065 (8,923) 6,665 (3,162) 10,586 2016 12 31 1,107,723 837,242 1,053,021 455,378 192,538 32,817 3,678,719 2016 1 1 359,925 610,319 651,948 111,233 110,407 1,843,832 32,050 63,633 146,138 17,389 21,538 280,748 (83) (1,096) (84,331) (7,602) (14,085) (107,197) 111 2,121 5,839 183 6,861 15,115 2016 12 31 392,003 674,977 719,594 121,203 124,721 2,032,498 2016 1 1 2016 12 31 30,382 30,382 2016 12 31 685,338 162,265 333,427 334,175 67,817 32,817 1,615,839 284

2016 12 31 16. 2015 1 1 1,094,502 680,891 818,426 171,367 143,758 27,943 2,936,887 4,537 43,087 16,888 25,497 2,573 92,582 3,730 33,206 126,727 18,514 14,188 50,978 247,343 (63) (4,320) (63,586) (16,328) (8,781) (93,078) 13,034 43,150 (56,184) 199 3,110 2,565 194 1,536 54 7,658 2015 12 31 1,102,905 769,008 944,170 173,747 176,198 25,364 3,191,392 2015 1 1 327,908 542,042 618,295 108,412 99,703 1,696,360 32,030 66,985 95,455 18,421 18,111 231,002 (32) (63,424) (15,739) (7,766) (86,961) 19 1,292 1,622 139 359 3,431 2015 12 31 359,925 610,319 651,948 111,233 110,407 1,843,832 2015 1 1 2015 12 31 30,382 30,382 2015 12 31 712,598 158,689 292,222 62,514 65,791 25,364 1,317,178 2016 12 31 2015 12 31 10 50 1,402 1,378 50 683,936 711,220 685,338 712,598 285

16. 2016 12 31 2016 12 312015 12 31 36,264 37,664 17. 2016 12 31 2015 12 31 37,610 37,610 37,610 37,610 18,356 17,155 1,195 1,201 19,551 18,356 18,059 19,254 2016 12 312015 12 31 101,506 94,201 286

2016 12 31 18. 2016 12 31 2015 12 31 3,757,597 2,600,616 71 95,568 980,734 265,569 176,247 4,118,734 3,757,597 20 19. 2016 1 1 223,757 615,924 92,836 45,720 978,237 95,925 2,800 14,253 112,978 (6,891) (50) (9,452) (16,393) 40,181 (40,181) 374 20,196 2,903 4,404 27,877 2016 12 31 224,131 765,335 98,489 14,744 1,102,699 2016 1 1 118,400 368,827 41,724 528,951 93,554 3,089 96,643 (4,665) (50) (4,715) 13,827 243 14,070 2016 12 31 118,400 471,543 45,006 634,949 2016 12 31 105,731 293,792 53,483 14,744 467,750 287

19. 2016 12 31 2015 1 1 223,434 431,477 50,149 2,366 707,426 66,178 40,349 44,381 150,908 92,665 2,331 14,177 109,173 (5,499) (3) (5,502) 16,144 (16,144) 323 14,959 10 940 16,232 2015 12 31 223,757 615,924 92,836 45,720 978,237 2015 1 1 118,400 298,510 35,731 452,641 61,263 5,993 67,256 (1,199) (1,199) 10,253 10,253 2015 12 31 118,400 368,827 41,724 528,951 2015 12 31 105,357 247,097 51,112 45,720 449,286 20 288

2016 12 31 20. 18 AB CD E 2016 12 312015 12 31 2016 12 31 2015 12 31 A 5,896 5,896 B 702,173 657,642 C 2,240,013 2,097,951 D 1,038,404 872,248 E Haitong International Holdings (UK) Limited Japaninvest Group plc) 132,248 123,860 4,118,734 3,757,597 2016 12 312015 12 31 A B C D E A B C D E 2016 12 31A B C D E 8.0% 15.22%2015 12 318.0% 15.22%) 289

20. 2016 12 31 A B C D E 2016 12 31 2015 12 31 21. 2016 12 31 2015 12 31 25,266,156 21,266,156 290

2016 12 31 21. 12 31 2016 2015 51% 51% 150,000,000 67% 67% 100,000,000 100% 100% 10,650,000,000 100% 100% 8,850,000,000 66.667% 66.667% 1,300,000,000 61.78% 60.76% 533,653,447 100% 100% 3,500,000,000 100% 100% 2,200,000,000 100% 100% 4,146,162,881 100% 100% 426,269,000 291

2016 12 31 21. 2015 3 18 3.5 1 1 2015 5 22 2015 5 26 2,533,453,0082015 12 3120132014 6.81 10.27 364,117,8832016 12 31 20132014 3,523,991 2015 19,441,0093,523,991 2015 12 3119,441,009 352,000 2015 12 311,944,00011,465,000 2015 12 3184,026,0002017 3 9 2016 12 31426,923,000 2016 9 29 10 22 2016 12 27 30 106.5 2015 9 25 28.5 31/12/2016 31/12/2015 31/12/2016 31/12/2015 31/12/2016 31/12/2015 38,22% 39.24% 574,458 830,959 7,675,170 6,847,566 292

2016 12 31 21. 2016/12/31 2015/12/31 97,083,831 64,986,926 20,548,928 12,0`20,974 84,321,463 47,041,905 13,230,420 12,516,055 20,080,876 17,449,940 7,675,170 6,847,566 2016 2015 4,786,359 4,871,946 (3,283,381) (2,769,075) 1,502,978 2,102,871 104,517 (59,069) 1,607,495 2,043,802 614,406 809,465 282,554 447,609 (2,935,590) (11,684,250) 15,220,614 19,605,574 (11,600,540) (5,265,858) 684,484 2,655,466 293

22. 2016 12 31 2016 12 312015 12 31 2016 2015 2016 12 312015 12 31 8,272,156 2,051,169 2016 12 312015 12 31 1,000,811 1,689,783 23. 2016 12 31 2015 12 31 4,741,241 3,362,989 53,628 712,604 3,979,115 1,063,956 (24,392) (2,942) 8,749,592 5,136,607 294

2016 12 31 23. 2016 2015 12 31 12 31 Haitong Multi-Tranche Investment Fund II S.P. HT Freedom Multi-Tranche Bond Fund 60.20% 42.67% 28.65% 27.775% 27.775% 37.51% 37.51% 37% 37% 42.83% 42.83% 33.68% 33.68% 34.71% 34.71% 37.9% 37.9% 295

2016 12 31 23. 2016 2015 12 31 12 31 28.67% 28.67% 33.96% 27.76% 27.02% 50.00% 35.72% About Capital Asian Special Opportunities Fund Haitong-AC Asian Special Opportunity Fund Haitong China Select Investment Fund S.P. 2016 1 1 154,000 296

2016 12 31 23. 2016 12 31Haitong Freedom Multi-Tranche Bond Fund Haitong Multi- Tranche Investment Fund II S.P. 2016 12 3150% 50% Haitong Freedom Multi-Tranche Bond Fund 3,186,0002015 12 310 Haitong Multi-Tranche Investment Fund II S.P. 609,000 2015 12 31 514,000 2016 12 31 2015 12 31 4,289,660 4,619,040 1,835,146 2,098,449 2,454,514 2,520,591 2,469,505 3,339,163 751,903 1,167,004 707,923 1,203,085 297

23. 2016 12 31 2016 12 31 2015 12 31 2,454,514 2,520,591 27.775% 27.775% 681,741 700,094 2016 2015 (8,406) 157,310 86,478 69,353 78,071 226,663 8,067,851 4,436,513 24. 2016 12 31 2015 12 31 42,203,604 31,779,770 (4,336,324) (3,578,301) 37,867,280 28,201,469 (1,312,060) (807,582) 36,555,220 27,393,887 14,519,336 9,921,752 22,035,884 17,472,135 36,555,220 27,393,887 298

2016 12 31 24. 2016 12 31 2015 12 31 1 16,758,152 15,036,290 11,560,347 10,258,688 1 2 12,958,310 11,626,873 8,583,385 7,616,923 2 3 7,614,175 6,831,836 6,468,544 5,740,207 3 4,872,967 4,372,281 5,167,494 4,585,651 42,203,604 37,867,280 31,779,770 28,201,469 (4,336,324) (3,578,301) 37,867,280 37,867,280 28,201,469 28,201,469 (1,312,060) (1,312,060) (807,582) (807,582) 36,555,220 36,555,220 27,393,887 27,393,887 299

2016 12 31 24. 2016 12 31 2015 12 31 (%) (%) 13,778,353 32.65 13,516,248 42.53 8,944,127 21.19 1,825,687 5.74 6,942,224 16.45 6,507,240 20.48 3,818,979 9.05 5,033,923 15.84 2,399,523 5.69 402,654 1.27 1,528,181 3.62 611,620 1.92 1,460,060 3.46 947,483 2.98 1,314,120 3.11 759,626 2.39 827,871 1.96 1,563,042 4.92 1,190,166 2.82 612,247 1.93 42,203,604 100.00 31,779,770 100.00 (4,336,324) (3,578,301) 37,867,280 28,201,469 (1,312,060) (807,582) 36,555,220 27,393,887 2016 12 31 2015 12 31 125,571 682,011 807,582 56,299 269,598 325,897 224,213 291,674 515,887 235,800 412,908 648,708 21,143 21,143 (11,409) (11,409) (187,671) (495) (188,166) 338,375 973,685 1,312,060 125,571 682,011 807,582 300

2016 12 31 25. 22 2016 12 312015 12 31 47.97 52.03 11.25 9.4 26. 2016 12 31 2015 12 31 12,563,689 4,139,703 11,639,952 8,283,949 7,339,981 5,778,489 iii 26,485,216 26,288,210 58,028,838 44,490,351 770,025 6,204 10,831,690 6,843,896 46,427,123 37,640,251 58,028,838 44,490,351 ii 5,277,291 3,786,437 i 6,362,661 4,497,512 11,639,952 8,283,949 12,758,905 11,045,127 45,269,933 33,445,224 58,028,838 44,490,351 301

2016 12 31 26. i ii 2016 12 312015 12 31 1,646,561 3,252,221 iii 2014 11 28 21 26%2017 11 27 2014 12 5 5 2017 12 5 2014 12 5 5 2015 7 62015 9 1 150 44.57 2016 12 31 2016 12 312015 12 31 4,165 12,262 6,179,196 12,528,548 47 2016 12 31 564,914 302

2016 12 31 27. 2016 12 31 2015 12 31 876,743 2,425,390 25,552,523 10,270,891 7,269,300 3,448,861 3,873,072 1,145,727 899,781 901,532 38,471,419 18,192,401 32,787,054 13,524,326 5,684,365 4,668,075 38,471,419 18,192,401 28. 2016 12 31 2015 12 31 83,509 82,733 4,986 83,509 77,747 83,509 82,733 2016 12 31 82,697 2015 81,9872016 12 31 4.1% 20154.1%- 9.75%) 303

2016 12 31 29. 2016 12 31 2015 12 31 51,993 52,765 14,501 15,004 252,713 117,176 319,207 184,945 30. 2016 12 31 2015 12 31 63,410,640 76,459,449 (197,720) (134,482) 63,212,920 76,324,967 63,212,920 76,324,967 63,212,920 76,324,967 2016 12 31 2015 12 31 134,482 115,221 62,843 19,261 395 197,720 134,482 304

2016 12 31 30. 2016 12 31 2015 12 31 222,238,904 281,073,316 2016 12 312015 12 31 6,179,196 12,528,548 31. 2016 12 31 2015 12 31 324,699 855,720 5,512,817 4,667,907 3,375 7,419 621,846 491,511 482,631 248,378 6,945,368 6,270,935 (15,831) (7,067) 6,929,537 6,263,868 2016 12 31 2015 12 31 7,067 37,315 (1,376) 4,267 10,140 (34,515) 15,831 7,067 305

31. 2016 12 31 2016 12 31 2015 12 31 5,776,157 5,253,075 51,333 38,512 670,895 469,788 431,152 502,493 6,929,537 6,263,868 32. 2016 12 31 2015 12 31 7,422,060 2,292,693 21 22 ii 3,268,530 1,344,835 10,690,611 3,637,550 i (461,809) (483,187) 10,228,802 3,154,363 2016 12 31 2015 12 31 483,187 486,027 (21,668) (9,408) 300 6,568 (10) 461,809 483,187 i. 550,000 2016 12 31 109,106 2015 12 31 87,088 22,018 2015 12 31 ii. 306

2016 12 31 33. 2016 12 31 2015 12 31 54,215,365 50,798,437 13,303,923 9,137,971 580 923 17,183,460 17,670,000 (180,103) (138,483) 84,523,225 77,468,848 55,630,973 50,857,926 11,888,895 9,079,405 17,183,460 17,670,000 (180,103) (138,483) 84,523,225 77,468,848 63,600,363 60,245,770 20,922,862 17,223,078 84,523,225 77,468,848 2016 12 311 34,201,058 2015 34,332,913120,014,307 2015 16,465,524 2016 12 31 200,968,044 2015 215,037,612 34. 2016 12 31 2015 12 31 705,848 184,334 307

35. 2016 12 31 2016 12 31 2015 12 31 53,332,885 40,260,638 14,537,635 17,786,575 17,054,943 48,573,634 7,422,031 3,819,559 92,347,494 110,440,406 5,309,887 2,728,274 42,743,537 36,269,398 i ii 44,294,070 71,442,734 92,347,494 110,440,406 92,347,494 102,665,873 ii 7,774,533 92,347,494 110,440,406 i. ii. 51 2016 12 31 13,939 2015 29,149 308

2016 12 31 36. 2016 12 31 2015 12 31 437,579 442,017 85,285 173,740 2,662 1,565 1,342 1,257 526,868 618,579 2,166,039 1,492,788 808,344 479,161 259,596 266,437 3,340,775 2,118,844 7,665 329 6,087 2,658 614 575 1,527,605 2,033,056 8,116,725 6,393,848 23,864 137,104 30,528 112,233 121,761 40,709 21,126 10,845 5,914 5,270 49,189 67,873 313 293 55,743 171,875 308,438 546,202 8,952,031 7,558,629 7,359,343 5,275,772 1,592,688 2,282,857 8,952,031 7,558,629 309

2016 12 31 37. 2016 12 31 2015 12 31 2,866,007 1,535,190 9,325,892 14,211,926 12,191,899 15,747,116 38. 2016 12 31 2015 12 31 32,492,200 51,834,566 i 87,496,620 112,066,661 119,988,820 163,901,227 ii (771,029) (710,007) 119,217,791 163,191,220 i. 47 ii. 310

2016 12 31 39. 2016 12 31 2015 12 31 32,492,200 51,834,566 (1,789,188) (1,901,595) 761,628 276,425 2,866,007 1,535,190 34,330,647 51,744,586 40. 2016 12 31 2015 12 31 260,201 832,047 14,102 2,838 274,303 834,885 761,628 276,425 1,035,931 1,111,310 2016 12 31 274,303 14,102 311

41. 2016 12 31 2016 12 31 2015 12 31 7,475,938 9,637,493 (21,194) (27,565) (1,842,455) (2,284,652) 5,612,289 7,325,276 470,655 1,676,977 5,141,634 5,648,299 5,612,289 7,325,276 42. 2016 12 31 2015 12 31 14,586 2,668 43. 2016 12 31 2015 12 31 134,728 64,987 4,376,874 2,743,832 1,896 1,348 244,075 8,992 4,757,573 2,819,159 4,757,573 2,098,115 721,044 4,757,573 2,819,159 312

2016 12 31 44. 2016 12 31 2015 12 31 9,957,771 11,837,110 20,650,430 15,370,705 28,606,996 12,416,410 1,933,358 990,279 61,148,555 40,614,504 38,564,767 24,253,520 8,094,346 7,030,977 46,659,113 31,284,497 14,489,442 9,330,007 61,148,555 40,614,504 2016 12 31 6.94 2015 12 316.49 7.50 2016 12 31 2.01 2015 12 312.01 2 2 2016 12 31 5.18 2015 12 31 5.5 2016 12 31 1.04 2015 12 31 1.65 2016 12 31 44.98 2015 12 31 58.02 2016 12 31 162.55 2015 12 31 165.48 18.38 2015 12 31 2016 12 31 16.10 2015 12 31 15.08 19.64 2015 12 31 17.01 313

44. 2016 12 31 2016 12 31 25.46 2015 12 31 23.92 19.38 2015 12 31 18.82 2016 12 31 82.542015 58.43 87.19 2015 12 31 70.262016 12 31 262.83 2015 12 31 214.52 2016 12 31 15.26 2015 12 31 13.87 45. 2016 12 31 2015 12 31 8,000,000 i 19,864,117 14,336,951 19,864,117 22,336,951 i [2014]285 2.9 12.31%712 46. 2016 12 31 2015 12 31 7,509,462 7,260,352 1,300,000 8,809,462 7,260,352 3,210,521 1,512,362 5,598,941 5,747,990 8,809,462 7,260,352 314

2016 12 31 47. 2016 12 312015 12 31 6,179,196 12,528,548 48. 2016 12 31 2015 12 31 i 4,722,531 4,738,366 642,793 910,824 7,536 7,536 294,505 257,237 4,028,155 1,522,701 181,450 1,798,608 18,917 19,624 585,181 445,104 37,094 3,568,230 3,505,681 666,737 755,041 3,376,787 338,401 1,054,351 540,952 ii 1,437,264 1,272,730 20,584,437 16,149,899 19,866,992 15,504,612 i 717,445 645,287 20,584,437 16,149,899 315

2016 12 31 48. i 2016 395,439 355,8902017 12 31 ii 49. 2016 12 31 2015 12 31 60,611 2,493 124,622 60,611 (2,493) (60,611) 124,622 60,611 50. 2016 12 31 2015 12 31 i ii iii iv 2,717,683 1,827,642 2,288,424 2,257,776 v 22,927 227,880 12,783 236,348 125,627 263,974 213,480 505,449 vi 433,534 104,224 387,988 59,967 73,045 282 526,978 440,407 41,788 52,558 5,576 34,282 66,534 44,686 79,508 624,012 3,935,071 2,594,009 3,428,166 3,718,116 316

2016 12 31 50. i 2016 12 31 2015 12 31 2016 12 31 34,059 806 2015 12 31 88,541 30 2016 12 312015 12 31160,725 ii 2016 12 31 2015 12 31 2016 12 31 TF1703 178,839 215 TF1703 1,023,357 16,963 TF1706 4,927 (55) 1,207,123 17,123 (17,123) 2015 12 31 T1603 60,033 (83) T1603 1,979,088 (23,200) TF1603 1,577,969 (11,559) 3,617,090 (34,842) 34,842 317

2016 12 31 50. iii 2016 12 31 2016 12 31 AU1706 162,210 326 162,210 326 (326) iv 2016 12 31 2016 12 31 24,547,0002015 12 31 21,311,000 2016 12 31 46,210,884 2015 12 31 69,109,989 2016 12 31 24,547,000 (9,536) 46,210,884 2,717,683 (1,827,642) 70,757,884 2,717,683 (1,837,178) 9,536 2,717,683 (1,827,642) 318

2016 12 31 50. v 2016 12 31 1,137,820 2015 12 311,136,450 vi 2016 12 31 2015 12 31 438,380,766 252,358,93645,770 13,905 67,846,691 3,262,423 375,105 341,926 51. 2016 12 31 2015 12 31 8,492,151 2,123,624 12,655,009 16,882,364 ii 13,058,951 6,975,411 i 4,433,520 5,044,213 38,639,631 31,025,612 iii 38,063,861 24,837,241 575,770 6,188,371 38,639,631 31,025,612 i 2016 12 31 ii 2016 12 31 319

52. 2016 12 31 2016 12 31 2015 12 31 998,382 32,995,727 29,633,244 10,736,000 67,944,910 43,731,727 98,576,536 8,876,743 6,787,085 24,118,984 22,846,158 10,736,000 68,943,293 43,731,727 98,576,536 43,638,525 90,951,854 93,202 7,624,682 43,731,727 98,576,536 2016 12 31 290,193 2015 12 31 8,390,140 3 290,193 2015 12 31 8,254,8433 1 2015 12 31 41,57512015 12 31 93,722 320

2016 12 31 52. 2016 12 312015 12 31 2016 12 31 29,246,049 1,427,026 5,609,655 6,366,163 3,999,542 46,648,435 28,079,631 1,151,866 5,520,000 5,377,050 3,603,180 43,731,727 1,166,418 275,160 89,655 989,113 396,362 2,916,708 2015 12 31 28,012,009 1,572,939 1,449,929 44,642,636 25,185,376 1,430,089 952,193 103,245,171 26,056,249 1,366,519 1,380,297 43,260,391 24,290,719 1,270,000 952,361 98,576,536 1,955,760 206,420 69,632 1,382,245 894,657 160,089 (168) 4,668,635 321

2016 12 31 53. A H 1.0 2015 1 1 8,092,131 8,092,131 1,492,590 1,492,590 9,584,721 9,584,721 ) 1,916,979 1,916,979 1,916,979 1,916,979 2015 12 31 2016 1 1 8,092,131 8,092,131 3,409,569 3,409,569 11,501,700 11,501,700 2016 12 31 8,092,131 8,092,131 3,409,569 3,409,569 11,501,700 11,501,700 2015 2015A2015H [2015]811H 2015 5 152015 5 29 17.18 H 1,048,141 868,838 1 25,875,204 1,916,979 24,071,378 HH 54. 2016 12 31 2015 12 31 2,773,812 2,516,143 (557,472) (665,909) 2,216,340 1,850,234 322

2016 12 31 54. 2015 1 1 (532,526) (9,689) (685) 258,830 (160,548) 107,374 141,463 4,401 (191,380) 59,853 52,431 56,663 584,292 104,100 857,339 318,949 (6,947) 8,387 704,558 9,534 32,474 264,808 8,657 1,340,420 (162,378) (162,378) (597) 501 (21) 12 6,065 273 6,233 2015 12 31 (213,577) (17,233) 67,555 1,016,320 (256,750) 139,860 996,628 117,431 1,850,234 182,965 1,834 (124,381) (62,431) 3,130 (102,121) 80,507 180,314 159,817 123,540 123,540 297 (1,161) 4,599 4,434 4,417 62,013 8,150 82,749 2016 12 31 (30,315) (16,560) (52,227) 958,323 (125,663) 37,739 1,139,148 305,895 2,216,340 55. 2016 12 31 2015 12 31 i 3,401,402 112,592 ii iii iv 69,445,196 52,896,037 v 41,875,847 35,851,697 vi 3,008,084 1,092,972 vii 10,564,663 10,646,110 128,295,192 100,599,408 11,103,335 10,793,748 117,191,857 89,805,660 128,295,192 100,599,408 323

2016 12 31 55. i 20132014 10.08 9.02 11.64 10.41 1.25% 5 2016 12 31 2016 11 1 0.75 0.6720132014 2.87 2.57 2015 12 31 2.95 2.47 4.80 4.29 2015 12 31 4.92 4.12 2016 12 3120132014 2015 6.81 5.71 10.27 8.60 2016 38.80 34.71 5 ii 2014 9 11 Haitong International Finance 2014 Limited 6 41.622014 9 4 11 2014 2015 1 29 Haitong International Finance 2015 Limited 7 48.56 2015 1 22 23 29 2013 10 29Haitong International Finance Holdings Limited 9 62.43 5 Haitong International Finance Holdings Limited 2015 4 21Haitong International Finance Holdings 2015 Limited 6.7 46.485 324

2016 12 31 55. ii 2016 5 18Haitong International Finance Holdings 2015 Limited 1 7.311.6% 2016 5 26Haitong International Finance Holdings 2015 Limited 1.2 8.771.6% 2015 5 15 2 5.9%3 2015 12 3 20 5314 6 54.25%33.9% iii 2013 11 25 1203 510 72.6 23.5 23.936.05% 56.15% 106.18% 2014 7 14 1103 510 56.5 45.5 8 35.25% 55.45% 10 5.85% 2016 5 18 2004 5 150 50 4 3.6% 53.8% iv 2016 12 31 1 3 23.28 20.82 20.87 18.67 2016 12 31 25.48 22.79 2015 12 31 24.62 20.63 325

2016 12 31 55. iv 314,215 2,295,9062015 466,960 3,313,174 2016 31,063 226,971 2015 115,777 821,460 201,420 1,471,7362015 547,980 3,888,027 2014 5 30 2014 9 18Unican Limited 5 163 2014 11 18 4 3 2015 7 2Unican Limited 10 3 2016 1 19 4 33.6% 2016 6 3 6 5 (3+2) 3 4.07% 2016 7 15 6 5 (3+2) 3 3.7% 2016 9 28Unican Limited64 4443524 166 2.90% 40 2783.00% v 2015 4 8 1505.5% 53 2015 6 12 200 150 5.30% 50 5.38% 2017 6 122018 6 12 326

2016 12 31 55. v 2016 11 17 60 40 3.30% 20 3.40% 2016 12 31 2015 215 1,525 215 1,570 2016 2015 2015 12 15 5 4.94%6 2015 11 9 10 4.95%5 vi 2015 5 7 13.62 2016 12 31 0.14 2016 4 22 12 2016 12 31 0.6 2016 11 15 15 2016 12 31 0.75 vii [2014]285 3.2 4.29%13 19 4.2 4.5%13 25 327

56. 2016 12 31 2016 12 31 2015 12 31 3,312,228 2,278,606 227,293 57,602 3,539,521 2,336,208 57. (a) (b) (c) 10% 50% 10% 10% 328

2016 12 31 57. (c) 2016 12 312015 12 31 1,716,152 1,351,578 2016 12 312015 12 31 5,084,740 4,512,689 2016 12 31 572,050 2015 348,513 (d) 58. (i)(ii) 2016 12 31 2016 12 31 2015 12 31 1,607,648 1,911,109 2,352,350 608,531 3,959,998 2,519,640 116,032 342,065 116,032 342,065 329

58. 2016 12 31 2016 12 31 59. 3 2016 12 312015 12 31 2016 12 31 2015 12 31 1 227,851 271,120 25 309,846 374,264 5 20,000 16,444 557,697 661,828 2 2016 12 31 2015 12 31 1 12,007 14,460 25 25,009 30,663 5 4,921 9,338 41,937 54,461 330

2016 12 31 60. 2016 12 31 2015 12 31 79,173 56,739 600,000 679,173 56,739 2016 9 1,500,000 900,000 375,000 225,000 2016 12 31 375,000 225,000 300,000 150,000 150,000 225,000 75,000 61. 2016 2015 5,175,765 2,875,425 2016201520152014 0.45 0.25 201672 331

62. 2016 12 31 2016 12 312015 12 31 2016 12 31 * ^ & 161 43 204 & 774 157 931 & 598 171 769 538 171 709 538 171 709 9,617 257 9,874 6,655 43 6,698 538 171 709 # 4,491 257 4,748 4,491 257 4,748 3,782 257 4,039 Ω 4,089 257 4,346 Ω 3,865 42 3,907 Ω 4,455 100 4,555 Ω 15,394 100 15,494 ~ 2,495 175 2,670 + 210 210 + 210 210 + 190 190 + 190 190 + 160 160 + 17 17 75 75 59 59 538 171 709 $ 2,240 150 2,390 $ 3,307 257 3,564 $ 3,297 257 3,554 3,025 257 3,282 1,111 74,888 3,721 79,720 332

2016 12 31 62. 2015 12 31 * ^ & 736 201 937 & 736 201 937 663 201 864 663 201 864 1,930 224 2,154 1,930 224 2,154 663 201 864 # 1,728 224 1,952 1,728 224 1,952 1,008 130 1,138 1,467 224 1,691 1,500 224 1,724 2,978 41 3,019 251 4,278 100 4,629 3,165 100 3,265 + 120 120 + 120 120 + 120 120 + 120 120 + 120 120 663 201 864 $ 1,255 224 1,479 $ 1,233 224 1,457 $ 1,226 224 1,450 1,023 224 1,247 851 30,573 3,817 35,241 333

2016 12 31 62. * ^ 64 & 2106 7 2016 10 2014 6 ~ 2016 9 + 2014 12 2016 62016 6 2014 12 2016 7 2014 12 2015 7 2014 12 2016 12 # 2014 12 2014 12 Ω 2014 12 2015 3 2014 122015 4 $ 2014 12 334

2016 12 31 63. 2016 2015 3,863 10,064 70,462 46,650 903 708 75,228 57,422 2016 2015 10,500,001 11,000,000 1 11,000,001 11,500,000 2 11,500,001 12,000,000 1 12,500,001 13,000,000 1 14,000,001 14,500,000 1 15,000,001 15,500,000 1 15,500,001 16,000,000 1 1 16,000,001 16,500,000 1 5 5 335

64. 2016 12 31 2002 2002 8 23 2002 2012 8 22 2002 2002 2002 2002 10% 2002 10% 10% 2002 2002 30% 2002 1% 0.1% 500 336

2016 12 31 64. 2002 30 1 6 10 20026 (i) (ii) 5 (iii) 20022012 8 22 2002 2016 2015 2.91 12,663 4.54 27,093 1 2.77 4 2.90 5,052 3.25 (3,524) 4.31 (19,441) 3.36 (11) 4.22 (42) 2.77 9,132 2.91 12,662 337

64. 2016 12 31 2002 1 2016 12 31 9,132 2.768 2011 3 32019 3 2 2015 12 31 2,884 3.356 2008 6 12016 5 31 9,778 2.769 2011 3 32019 3 2 12,662 1 2016 12 312015 12 31 2016 12 313,523,991 2015 12 3119,441,009 (HTSGL)2016 3,523,991 352,000 2015 12 31 1,944,000 11,465,000 2015 12 31 84,026,000 2016 12 3120029,131,657 2015 12,662,655) 0.17% 20150.24%) 9,131,657 201512,662,655) 913,000 2015 1,266,000 24,363,000 2015 35,490,000 338

2016 12 31 64. 2015 2015 6 82015 2015 6 8 2015 6 12 2015 2015 2002 2012 8 22 2015 2015 212,924,4392014 11 3010% 12 12 12 21,292,444 2015 (i) 10%(ii) 1%2015 339

64. 2016 12 31 2015 2015 30% 2015212,924,439 4.03% 2015 12 1% 120.1% 500 28 1 2015 6 (i) 110% (ii)5 (iii) 340

2016 12 31 64. 2015 2016 12 312015 2016 5 122015 4.675 18,100,00018,000,0002016 5 12 2021 5 11 4.252016 5 122015 23.6 2016 4.25 4.675 53.32% 0.897% 5.176% 2.34 2.07 3.6 2016 12 312015 23,673,000 2015 12 3102015 341

2016 12 31 64. 2015 2015 2016 4.675 18,000 2 4.674 7 4.674 (200) 4.674 17,807 2 2016 12 31 17,807 4.674 2016 12 82021 5 11 2 2014 5 27 50 97,321,500 2015 1 19 85,980,375 11,341,125 2016 12 31 342

2016 12 31 65. 23 BE (ASIA) 10% 10% 10% 10% 10% 10% 10% 10% 10% 10% 10% 62 2016 2015 71 203 567 8,255 169 164 343

65. 2016 2016 12 31 2015 60,252 85,223 30,095 20,034 21,158 20,057 38,122 46,089 53,007 127,836 5,659 5,880 19,298 11,940 172,344 127,565 2 633 6,465 a 15,914 43,074 b 1,877 2 a) BE (ASIA) b) 344

2016 12 31 65. 2016 2015 350 1,624,486 80,322 (17,282) (5,542) (747) (140) (27) (27) (32) 2016 2015 (3,112) (1,465) (2,155) 345

65. 2016 12 31 2016 12 31 2015 12 31 764 112,200 38,000 3,734 7,390 277 91,199 (268) (629) (80,000) (189,000) (30,868) (477) (670,000) (14,000) (15,050) (49,000) 2016 2015 75,999 31,424 3,721 3,817 79,720 35,241 346

2016 12 31 66. 2016 12 31 2015 12 31 1,110,031 1,125,245 18,059 19,254 203,036 186,350 25,266,156 21,266,156 681,741 700,094 19,914,061 23,170,776 1,173,164 1,166,492 41,487 41,990 16,919,234 15,422,426 65,326,969 63,098,783 44,591,606 60,508,389 169,281 170,700 1,677,902 1,585,215 1,742,531 1,176,129 4,686,254 2,931,879 14,700,000 5,194,410 49,533,072 53,513,878 45,896,579 63,486,602 89,851 701,485 873,049 12,149,685 15,157,548 76,058,406 117,906,499 251,906,801 322,594,149 317,233,770 385,692,932 347

66. 2016 12 31 2016 12 31 2015 12 31 34,479 485,075 18,434,617 21,701,940 1,900,000 1,500,000 65,239,234 91,853,662 7,859,810 8,632,184 28,792 930,844 860,982 2,570,429 4,195,101 5,044,213 225,340 560,200 28,230,549 74,322,227 5,673,288 8,927,553 132,682,192 216,528,327 119,224,609 106,065,822 184,551,578 169,164,605 11,501,700 11,501,700 56,486,199 56,486,199 (660,702) (237,093) 15,255,470 13,538,067 18,662,316 19,830,808 101,244,983 101,119,681 66,258 244,045 81,145,026 59,646,178 1,211,621 688,174 7,200,000 527,800 355,890 266,527 83,306,595 68,044,924 184,551,578 169,164,605 348

2016 12 31 66. 2016 12 31 a b 2016 1 1 11,501,700 56,486,199 (237,093) 13,538,067 19,830,808 101,119,681 5,724,675 5,724,675 (423,609) (423,609) (423,609) 5,724,675 5,301,066 1,717,403 (1,717,403) 61 (5,175,765) (5,175,765) 2016 12 31 11,501,700 56,486,199 (660,702) 15,255,470 18,662,315 101,244,982 2015 1 1 9,584,721 32,472,480 229,699 9,483,332 12,924,206 64,694,438 13,836,762 13,836,762 (466,792) (466,792) (466,792) 13,836,762 13,369,970 1,916,979 24,013,719 25,930,698 4,054,735 (4,054,735) 61 (2,875,425) (2,875,425) 2015 12 31 11,501,700 56,486,199 (237,093) 13,538,067 19,830,808 101,119,681 (a) (b) 27 2016 1 1 2016 1 127 349

67. 2016 12 31 (a) (b) (c) (d) (e) (f) (g) (h) 350

2016 12 31 67. 351

67. 2016 12 31 2016 12 312015 12 31 2016 12 31 13,535,152 1,861,378 2,999,613 2,162,600 1,032,355 3,366,837 2,553,733 7,488,096 34,999,764 34,999,764 1,473,861 (86) 100,852 56,080 43,770 3,002,891 (26,348) 4,651,020 (4,651,020) (67,358) 49,610 5,932,946 913 6,000 370,986 778,502 352,016 7,423,615 68,877 7,492,492 14,941,655 1,910,902 9,033,411 2,219,593 1,082,125 6,740,714 3,332,235 7,813,764 47,074,399 (4,582,143) 42,492,256 9,764,683 987,431 6,878,209 1,012,510 271,560 7,625,486 2,215,050 7,102,068 35,856,997 (4,326,033) 31,530,964 5,176,972 923,471 2,155,202 1,207,083 810,565 (884,772) 1,117,185 711,696 11,217,402 (256,110) 10,961,292 (52) 24,047 208,841 (32,401) 200,435 200,435 5,176,972 923,419 2,155,202 1,207,083 834,612 (675,931) 1,117,185 679,295 11,417,837 (256,110) 11,161,727 137,762,028 18,415,373 47,389,875 866,787 11,712,997 164,519,754 48,127,299 159,952,141 588,746,254 (39,403,812) 549,342,442 8,749,592 2,773,812 560,865,846 111,094,778 10,436,209 21,132,849 1,665,598 2,464,639 109,662,691 37,957,839 153,314,725 447,729,328 (9,379,355) 438,349,973 557,472 438,907,445 113,537 18,453 5,211 5,288 340 149,058 4,207 82,995 379,089 379,089 92,775 147,770 240,545 240,545 35,884 311 22,135 558 (23,513) 563,032 580,540 1,178,947 1,178,947 7,095,941 727,417 304,308 36 16,819 2,831,500 2,451,386 2,753,141 16,180,548 16,180,548 2,398,375 27,000 690,134 113,247 4,355,088 1,250,864 3,506,229 12,340,937 12,340,937 352

2016 12 31 67. 2015 12 31 26,031,160 3,449,572 6,688,034 1,851,329 899,913 4,294,911 1,986,696 5,990,171 51,191,786 51,191,786 1,797,981 119,059 157,477 11,572 69,032 3,255,365 85,863 5,496,349 (5,496,349) 46,499 9,640 2,899,033 1,378 5,820 526,012 678,992 (73,607) 4,093,767 4,093,767 27,875,640 3,578,271 9,744,544 1,864,279 974,765 8,076,288 2,665,688 6,002,427 60,781,902 (5,496,349) 55,285,553 16,555,793 1,806,550 4,212,410 820,737 202,768 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 1,043,542 771,997 (998,896) 663,430 2,064,917 22,168,692 (1,531,268) 20,637,424 199,164 324,135 (41,854) 481,445 481,445 11,319,847 1,771,721 5,532,134 1,043,542 971,161 (674,761) 663,430 2,023,063 22,650,137 (1,531,268) 21,118,869 162,792,512 24,948,469 53,228,101 987,272 12,084,548 199,975,530 34,004,494 116,059,407 604,080,333 (35,284,191) 568,796,142 5,136,607 2,516,143 576,448,892 199,506,305 20,007,095 23,482,510 1,039,009 3,127,673 86,735,769 28,786,978 107,398,679 470,084,018 (11,228,706) 458,855,312 665,909 459,521,221 120,345 15,158 4,710 4,834 345 106,685 4,354 43,531 299,962 299,962 82,539 76,100 9,956 168,595 168,595 82,726 16,211 66,575 1,937 (8,124) 701,246 61,648 922,219 922,219 10,027,273 508,103 583,970 181 17,843 3,571,261 1,933,427 1,679,979 18,322,037 18,322,037 6,474,940 43,992 723,908 51,707 3,462,655 925,217 1,884,024 13,566,443 13,566,443 2015 10% 353

2016 12 31 68. 2016 2015 352,567,420 376,554,213 36,555,220 27,393,887 58,028,838 44,490,351 83,509 82,733 96,282,565 113,868,573 543,517,552 562,389,757 392,115,196 414,473,110 38,986,530 34,743,728 431,101,726 449,216,838 69. 354

2016 12 31 69. 2016 12 31 2015 12 31 63,212,920 76,324,967 6,929,537 6,263,868 10,228,802 3,154,363 38,471,418 18,192,401 83,509 82,733 36,555,221 27,393,887 12,563,689 4,139,703 84,523,225 77,468,848 705,848 184,334 53,332,885 40,260,638 8,952,031 7,558,629 12,191,899 15,747,116 119,217,455 163,190,818 771,029 710,007 274,303 834,885 761,628 276,425 5,612,289 7,325,276 3,935,071 3,428,166 458,322,759 452,537,064 A-3BBB 355

69. 2016 12 31 2016 12 31 2015 12 312016 12 31 356

2016 12 31 69. 357

69. 2016 12 31 2016 12 31 3 3 1 15 5 43,410,730 15,300,746 6,349,088 65,060,564 438,408 438,408 14,586 14,586 136,625 1,338,708 2,531,139 1,105,366 22,052 5,133,890 104,059,287 104,059,287 3,412,118 397,638 5,361,952 868,784 10,040,492 35,108,688 8,721,705 93,247 43,923,640 6,036,524 1,817,715 3,313,003 415,802 67,838 11,650,882 8,940,379 11,900,779 20,841,158 1,093,680 10,771,368 129,603,219 3,633,459 145,101,726 20,857,779 293,627 17,063,210 601,046 38,815,662 228,845 127,717 258,267 648,381 1,330,799 2,594,009 3,521,003 18,518 3,539,521 131,333,646 95,543,362 70,257,855 148,137,512 5,941,450 451,213,825 358

2016 12 31 69. 2015 12 31 3 3 1 15 5 2,190,464 30,366,259 9,898,525 42,455,248 433,514 433,514 2,668 2,668 66,335 35,769 2,221,759 784,758 3,108,621 129,026,336 129,026,336 1,501,700 12,308,741 424,179 14,234,620 4,886,194 44,356,285 43,460,124 7,882,545 100,585,148 3,658,051 1,667,655 1,069,201 398,983 201,140 6,995,030 5,802,055 17,387,583 23,189,638 1,097,946 7,797,769 105,506,135 4,692,710 119,094,560 17,684,940 683,154 5,794,437 6,188,371 30,350,902 11,886 189,578 612,314 1,451,541 1,452,797 3,718,116 2,335,708 500 2,336,208 155,336,410 57,524,606 108,709,446 147,188,821 6,771,326 475,530,609 2010 359

69. 2016 12 31 10% 10% 2016 2015 10% 933,636 1,424,673 10% (933,636) (1,424,673) 10% 268,860 36,189 10% (268,860) (36,189) 360

2016 12 31 69. 50 50 2016 12 312015 12 31 166,756 135,803 2016 12 312015 12 31 153,515 113,052 2016 12 31 361

69. 2016 12 31 5% 5%2016 12 31 2015 12 31 381,165 461,884 362

2016 12 31 69. 2016 12 31 2015 12 31 83,509 82,679 82,733 81,987 122,597,884 124,500,824 97,173,642 98,353,531 3,401,402 112,592 179,383 4,502 3,580,785 4,761,153 117,094 124,782 2016 12 31 82,679 82,679 129,261,977 129,261,977 363

2016 12 31 69. 2015 12 31 81,987 81,987 98,478,313 98,478,313 364

2016 12 31 69. 2016 12 31 2015 12 31 1) 385,103 54,051 47,497 1,992 2) 48,431 333,937 56,727 57,975 3) 526,978 440,407 4) 125,627 213,480 263,974 505,449 5) 2,826,005 2,373,508 1,924,886 2,916,070 365

69. 2016 12 31 2016 12 31 2015 12 31 6) 73,045 282 7) 22,927 12,783 227,880 236,348 8) 21,657,821 36,573,118 25,308,593 851,596 323,126 1,335,018 41,547 2,147 6,272,789 3,408,403 3,682,365 141,480 366

2016 12 31 69. 2016 12 31 2015 12 31 9) 962,956 2,411,747 269,313 3,166,124 4,780,120 1,607,954 151,102 44,284 26,627 1,043 367

69. 2016 12 31 2016 12 31 2015 12 31 10) 1,013,346 18,662,260 24,018,184 198,946 8,127,478 788,606 958,456 4,877,194 685,548 195,462 528,269 303,700 368

2016 12 31 69. 2016 12 31 2015 12 31 11) 13,686,104 37,986,083 7,067,004 5,540,985 177,430 147,724 12) 7,422,031 2,033,108 23,835,084 23,979,015 994,601. 369

69. 2016 12 31 2016 12 31 2015 12 31 13) 1,646,561 3,252,221. 14) 12,655,010 16,882,364. 370

2016 12 31 69. 2016 12 31 2015 12 31 15) 1,786,451 10,958,382 2,740,731 182,360 694,474 5,472 1,909,546 3,540,206 16) 4,433,520 5,044,213 17) 1,655,531 2,309,195 371

69. 2016 12 31 2016 12 31 1,383,541 12,524 355,891 1,751,956 1,234,384 831,615 82 2,066,081 829,170 20,604 1,046,042 1,895,816 3,489 3,489 145,051 198,781 343,832 28,227 28,227 22,611 22,611 211 211 13,928 17,891 31,819 739,640 45,847 785,487 577,106 1,295,815 195,463 2,068,384 2,110,886 2,691,823 4,802,709 5,388,897 303,699 5,692,596 95,547 7,067,004 177,430 7,339,981 24,829,685 1,655,531 26,485,216 6,272,789 43,022,658 4,022,968 53,318,415 372

2016 12 31 69. 2016 12 31 3,592,232 471,305 3,166,125 7,229,662 2,988,556 232,302 3,220,858 784,684 331,092 269,312 1,385,088 12,488 12,488 90,779 90,779 51,918 51,918 302,822 519,384 822,206 486,919 121,823 608,742 613,045 21,376 634,421 37,788 37,788 74,526 74,526 138,622 138,622 114,445 114,445 6,181 6,181 868 868 98,626 98,626 10,417 10,417 3,844,982 24,624,887 7,523 28,477,392 4,066,109 3,266,879 7,332,988 972,975 16,358,107 191,423 17,522,505 3,368,839 13,686,104 17,054,943 2,710,071 2,710,071 4,711,960 4,711,960 385,103 3,549,968 3,935,071 22,042,924 70,605,258 3,634,383 96,282,565 28,315,713 113,627,916 7,657,351 149,600,980 47,497 2,546,512 2,594,009 323,126 8,169,025 8,492,151 2,147 28,235,787 1,909,546 30,147,480 372,770 38,951,324 1,909,546 41,233,640 27,942,943 74,676,592 5,747,805 108,367,340 373

69. 2016 12 31 2015 12 31 81,548 14,806 1,588,914 1,685,268 158,871 141,480 1,579,456 1,879,807 45 710 57,290 58,045 35,936 35,936 26,236 26,236 354 304 658 13,822 75,200 26,648 115,670 24,096 24,096 138,450 138,450 868,193 685,548 510,935 2,064,676 1,318,524 1,318,524 739,169 17,334 756,503 89,781 5,540,985 147,724 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 40,170,569 374

2016 12 31 69. 2015 12 31 2,103,770 838,126 4,780,120 7,722,016 4,883,125 1,459,431 6,342,556 1,179,109 694,591 1,873,700 62,694 7,630 70,324 8,026 21,122 29,148 4,410 4,410 258,125 1,316 259,441 207,953 7,911 215,864 721,686 13,407 735,093 34,307 7,332 41,639 213,408 13,905 227,313 14,183 62,798 76,981 3,721 23,970 27,691 13,520 13,520 4,225 111,804 116,029 30,850 30,850 4,410,619 16,154,991 20,565,610 10,946,301 3,835,369 14,781,670 885,535 4,027,824 4,913,359 10,587,551 37,986,083 48,573,634 1,768,412 1,768,412 1,786,451 264,696 2,051,147 54,051 3,374,115 3,428,166 38,413,620 70,674,833 4,780,120 113,868,573 41,822,023 101,172,963 11,044,156 154,039,142 1,992 3,716,124 3,718,116 1,335,018 788,606 2,123,624 25,361,782 3,540,206 28,901,988 1,337,010 29,866,512 3,540,206 34,743,728 40,485,013 71,306,451 7,503,950 119,295,414 375

69. 2016 12 31 2016 12 31 2016 1 1 1,588,914 57,290 1,579,456 53,188 147,724 528,269 2,309,195 6,264,036 150,671 587,211 134,940 304,548 6,480 1,183,850 (1,161,314) (55,677) (637,994) (17,666) (250,960) (899,376) (3,022,987) (222,380) 457,218 (941,380) 118,368 29,706 (82,695) 239,232 (401,931) 2016 12 31 355,891 1,046,042 82 288,830 177,430 499,162 1,655,531 4,022,968 2016 2015 4,780,120 492,018 1,759,338 (1,637,755) 3,020,782 3,634,383 4,780,120 376

2016 12 31 69. 2016 2015 3,540,206 73,095 519,424 (1,703,755) 3,020,782 1,909,546 3,540,206 2015 12 31 2015 1 1 494,131 94,470 2,097,725 2,686,326 1,128,540 55,677 637,994 17,666 150,984 168,249 2,159,110 4,274 62,652 201,921 909,758 1,178,605 (479,225) (94,470) (367,877) (941,572) 445,468 1,613 937,188 (27,130) (54,197) (164,596) 125,760 1,264,106 (82,539) (82,539) 2015 12 31 1,588,914 57,290 1,579,456 53,188 147,724 528,269 2,309,195 6,264,036 377

69. 2016 12 31 1. 2. 3. 4. <> 125 [2016]10 2014 3 18 1. 100%1 2. 20%2 3. 8%3 4. 10%4 5. 100%5 6. 500%6 7. 8%7 378

2016 12 31 69. 8. 30100%8 9. 100%9 2016 12 312015 12 31 2016 12 31 2015 12 31 78,663,534 93,706,662 1 258.90% 365.64% 2 77.70% 92.67% 3 52.56% 49.00% 4 67.65% 52.87% 5 29.66% 26.67% 6 80.98% 76.72% 7 27.64% 25.18% 8 155.23% 322.01% 9 131.65% 128.47% 379

70. 2016 12 31 2016 12 31 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 3,952,520 17,449 3,935,071 3,935,071 31 7,887,737 2,374,920 5,512,817 8,200 55,426 5,449,191 30 63,212,920 63,212,920 57,033,724 6,179,196 36 8,952,031 8,952,031 33,548 8,918,483 2015 12 31 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 3,428,196 30 3,428,166 3,428,166 31 5,695,951 1,028,044 4,667,907 16,360 96,342 4,555,205 30 76,324,967 76,324,967 63,796,419 12,528,548 36 7,558,629 7,558,629 67,874 7,490,755 380

2016 12 31 70. 2016 12 31 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 2,604,351 10,342 2,594,009 2,594,009 48 6,403,075 2,374,920 4,028,155 174,048 3,854,107 51 18,900,050 18,900,050 2,812,094 16,087,956 2015 12 31 (a) (b) (c)=(a)-(b) (d) (e)=(c)-(d) (d)(i) (d)(ii) 50 3,758,223 40,107 3,718,116 3,718,116 48 2,795,347 1,028,044 1,767,303 104,015 1,663,288 51 19,005,988 19,005,988 2,123,624 16,882,364 381

70. 2016 12 31 2016 12 312015 12 31 71. (%) Haitong International 2015 3 31 100 148,779 Holdings (UK) Limited Japaninvest Group plc 2015 9 7 100 2,692,492 2,841,271 Haitong International Holdings (UK) LimitedJapaninvest Group plc 2015 3 31Haitong International (BVI) Limited HaitongBVI Japaninvest Group plc Japaninvest100% 2,878,200 148,779 Japaninvest 2015 3 22015 3 26 Japaninvest Japaninvest 382

2016 12 31 71. 148,779 1.58 1,794 40,337 5,605 7,150 820 11,189 24,764 66,895 (26,800) (450) (7,971) (35,221) 31,674 383

71. 2016 12 31 148,779 (31,674) 117,105 Japaninvest Japaninvest 148,779 (11,189) 137,590 2015 Japaninvest 5.19Japaninvest 26.81 2015 1 1 2015 512.1 168.372015 1 1 Japaninvest 2015 384

2016 12 31 71. 2015 9 7 Novo Banco BESI 379,000 2,692,483 2015 9 8 2015 2,692,483 31 385

71. 2016 12 31 1,105,813 1,105,813 380,865 380,865 104 104 3,512 3,512 394,536 394,536 4,987,623 4,987,623 2,715,400 2,636,451 8,073,645 8,029,715 3,051,017 3,051,017 760,908 760,908 25,575 25,575 90,788 90,788 110,571 110,571 187,676 187,676 140,120 140,120 857,658 892,393 1,320,572 1,320,572 63,032 63,032 24,269,415 24,181,271 434,065 434,065 415,280 415,280 4,544,887 4,544,887 2,177,961 2,177,961 4,787,759 4,787,759 3,803,504 3,803,504 3,559,792 3,559,792 150,375 166,484 319 319 497,197 497,197 1,174,796 1,174,796 594,324 594,324 22,140,259 22,156,368 2,129,156 2,024,903 386

2016 12 31 71. 2,692,483 2,692,483 26,506 26,506 278,572 269,889 (2,129,156) (2,024,903) 868,405 963,975 2015 2,692,483 (394,640) 2,297,843 387

72. 2016 12 31 2017 3 29 2016A H10 2.20AH11,501,700,000 2,530,374,000.00 16,131,942,148.54 AH 2016 2016 100% 10191.607425 85,798.21 73. 388