2015 10 5.00 2

6030 2015 2015 12 31 2015 2015 2016 4 30 H http://www.hkexnews.hk http://www.cs.ecitic.com 1

2015 10 5.00 2

... 4... 7... 8... 18... 22... 23... 65... 72... 92... 103... 117... 150... 228... 229... 230... 237 3

2014 100% 2014 2014 4

2013 2013 CITIC Securities Finance MTN CITIC Securities Finance MTN Co., Ltd. 5

A 1.00 600030 H 1.00 6030 A A H H 6

7

1.1 CITIC Securities Company Limited CITIC Securities Co., Ltd. 2015 12 31 2014 12 31 12,116,908,400.00 11,016,908,400.00 89,415,194,540.25 44,319,246,529.28 12,116,908,400 A 9,838,580,700 H 2,278,327,700 8

1 (QDII) 2 50ETF 3 4 5 1.2 8 48 0086-755-2383 5383 0086-10-6083 6030 0086-755-2383 5525 0086-10-6083 6031 ir@citics.com 9

1.3 8 518048 8 48 518048,100026 1 26 http://www.cs.ecitic.com ir@citics.com 0086-755-2383 5888, 0086-10-6083 8888 0086-755-2383 5861, 0086-10-6083 6029 0086-95548, 0086-4008895548 0086-755-2383 5383, 0086-10-6083 6030 914403001017814402 1.4 http://www.sse.com.cn http://www.hkexnews.hk 8 16 48 10 1 26 10

1.5 A 600030 H 6030 1.6 1.6.1 1995 10 25 3 95% 1999 12 29 208,150 37.85% 2000 4 6 2002 12 A 40,000 4.50 2003 1 6 248,150 31.75% 2005 8 15 10:3.5 10 3.5 3,000 248,150 194,150 78.24% 29.89% 2008 8 15 2006 6 27 50,000 A 9.29 248,150 298,150 24.88% 2007 9 4 33,373.38 A 74.91 298,150 331,523.38 23.43% 2008 4 2007 10 5 10 10 331,523.38 663,046.76 2010 6 2009 10 5 10 5 663,046.76 994,570.14 11

2011 9-10 H 107,120.70 13.30 1.00 13 10,712.07 H 109,483 H H 7,590.70 H H 759.07 2011 10 6 2011 11 1 2011 11 7 994,570.14 1,101,690.84 A 983,858.07 H 117,832.77 20.30% 2011 12 27 20.30% 2011 12 27 2014 2013 2 25 20.30% 2014 4 16 100% 2014 8 25 2014 8 27 2015 6 23 10 11 H 24.60 1,101,690.84 1,211,690.84 A 983,858.07 H 227,832.77 15.59% 2016 2 1,888,758,875 1,999,695,746 15.59% 16.50% 2,018,602,746 A 1,999,695,746 A 16.66% 180 50 300 A50 88 H AH 100 AH 25 MSCI 2014 11 17 12

2015 3 3 2015 8 4 2015 9 23 2015 10 23 1995 10 25 6 10001830 10178144-0 2002 1.6.2 1996 1999 10 2002 2006 2007 (QDII) 2008 2009 2010 2011 2012 2013 13

2014 2015 50ETF 1.6.3 1.6.1 1.6.4 4 2 4.3.5 1.6.5 2015 12 31 299 259 40 4 70 6 2 61 6 2 24 5 2 21 5 2 20 3 2 18 3 2 8 3 1 8 3 1 8 3 1 7 2 4 14

1.7 202 2 11 22 A 166 36 H 183 17M 1.8 2015 1.8.1 Euromoney Asiamoney ABS A B H P A B FinanceAsia 2015 TMT 14 13 IPO IPO 15

2015 2014 Top5 Top5 IPO Top5 2014 2015 2015 2015 1.8.2 FinanceAsia 2015 (2006/2007-2015/2016) (2012-2016) 1.8.3 Finance Asia IPO 3A (3sBio) QIP (Indiabulls Housing Finance) 16

Asiamoney 1.8.4 2015 TOP10 TOP10 TOP3 2015 TOP10 TOP10(OmniVision) 2014 Top30 Top10 Top50 2015 50 50 1.8.5 2015 2015 2015 PTA 1.8.6 17

2.1 2.1.1 2015 2014 (%) 2013 72,924 39,525 84.50 20,279 26,642 14,793 80.10 6,635 27,287 15,422 76.94 6,846 19,800 11,337 74.65 5,244 39,533-26,283-22,714 2015 2014 2013 12 31 12 31 (%) 12 31 616,108 479,626 28.46 271,354 474,371 378,495 25.33 181,952 139,138 99,099 40.40 87,688 12,117 11,017 9.98 11,017 18

2.1.2 2015 2014 (%) 2013 1.71 1.03 66.02 0.48 1.71 1.03 66.02 0.48 (%) 16.63 12.18 4.45 6.02 2015 2014 2013 12 31 12 31 (%) 12 31 11.48 9.00 27.56 7.96 (%) 69.56 73.23 3.67 60.47 2.1.3 2015 12 31 894.15 101.75% H 2015 12 31 2014 12 31 89,415 44,319 116,208 78,684 13,477 7,144 (%) 663.49 620.35 (%) 76.94 56.33 (%) 33.43 19.85 (%) 43.44 35.24 (%) 54.29 90.73 (%) 120.99 186.78 19

2.2 5 2.2.1 2015 2014 2013 2012 2011 72,924 39,525 20,279 13,071 26,371 46,282 24,732 13,644 8,016 11,756 645 629 211 432 416 27,287 15,422 6,846 5,487 15,031 19,800 11,337 5,244 4,237 12,576 2.2.2 2015 2014 2013 2012 2011 12 31 12 31 12 31 12 31 12 31 12,117 11,017 11,017 11,017 11,017 141,737 101,131 89,402 86,685 86,990 139,138 99,099 87,688 86,465 86,587 474,371 378,495 181,952 81,823 61,290 150,457 101,846 45,196 34,807 36,477 616,108 479,626 271,354 168,508 148,280 2.2.3 2015 2014 2013 2012 2011 0.50 0.28 0.15 0.30 0.43 1.71 1.03 0.48 0.38 1.23 1.71 1.03 0.48 0.38 1.23 (%) 16.63 12.18 6.02 4.90 17.00 (%) 69.56 73.23 60.47 35.17 22.19 (1) (2) 20

21

2015 2015 729 198 2,524 996 304 461 6,680 540 3.5 1.69 2015 8 2016 2016 2016 3 23 22

4.1 4.1.1 2015 3.7 3 2016 2015 12 4.1.2 23

4.1.3 2016 2016 4.1.4 2016 2015 80 80 200 438 2015 12 31 288 474.21 CITIC Securities Finance MTN 4.3968 1,301 127.86 3.7 3.3 4.1.5 2016 24

4.2 4.2.1 2015 A 6 IPO A IPO 2015 A 16,548.69 79.58%IPO 1,588.04 12,730.21 6,618.82 83.74% 40.94 71.84% 84 73.83% 2,105.50 2015 A 48.34% 2014 57.97% 25

2015 A 64 1,773.33 10.72% IPO 10 120.95 54 1,652.38 2015 2014 12,095 10 6,252 4 165,238 54 89,667 36 177,333 64 95,919 40 2015 2015 15 IPO 24 19 2015 2016 2016 26

2015 2015 12.45 82.5% 7,816 50.9% 2015 3.84 1 2015 321 3,856.94 3.35% 2015 2014 34,500 24 31,133 17 64,133 42 21,446 28 147,292 53 138,208 50 50,910 62 41,889 52 20,600 21 14,625 16 68,259 119 87,456 99 385,694 321 334,757 262 2015 27

2016 2016 2015 4.3 26% 38,644 18% 63% 62% 2015 6,467 83% 4,069 31% 46% 55% 2015 2015 700 58 28

2016 2016 2015 11 2015 100 2015 75 43 2015 104 66 2016 2016 29

4.2.2 2015 10,765 247% 5.12 2014 26% 2015 33.63 2015 2015 33.8 6.43% 2015 3,049.68 2015 3.9 100 12 2014 78% 2015 3.5 QFII 139 RQFII 48 QFII RQFII 2015 2014 48 2015 44 2016 2016 30

4.2.3 2015 A 2015 12 31 300 3,731.00 5.58% 3,539.18 9.41% 12,664.89 14.98% 500 7,617.69 43.12% 2,714.05 84.41% (ETF) 50ETF 4.6.4 2015 2015 2015 11.05% 31

2015 2015 12 31 740.10 739.80 0.30 2015 2014 12 31 12 31 65,940 64,863 8,070 7,263 74,010 72,126 2015 2015 2015 2016 2016 2016 32

4.2.4 2015 12 31 10,712.89 2014 3,162.82 1,329.15 9,146.21 237.53 2015 2014 12 31 12 31 2015 2014 132,915 77,961 732.32 388.76 914,621 661,129 1,007.12 420.37 23,753 15,917 11.03 5.29 1,071,289 755,007 1,750.47 814.42 2015 12 31 8,643.71 2014 88.58% 5,902.24 2014 77.65% 7% 2,741.48 2014 117.37% 33

2016 2016 2016 4.2.5 2015 2015 2,249 2014 5 2015 5,649.54 2014 1.46 PE 2015 2,845 2014 3 2,679 3,859.74 2014 16.7% PE C 2014 2015 1,878 954 50% IPO 2015 267 PE 2014 IPO 2015 IPO PE 276 2015 33 12.8 2015 12 31 65 23.9 4 34

2015 12 31 4 8.92 2015 58 2015 2015 REITs 2015 11 43.95 2015 6 32.65 14 REITs REITs REITs 2015 REITs REITs 2016 35

2015 12 34 2016 4.2.6 2015 33 2015 7,096 10% A 1,021 A 64% 370 270 2015 19 7,000 90 2016 2015 2015 560 160 263 33 120 2015 (AsiaMoney) A B (Institutional Investor) 4 11 5 9 2014 3 7 3 5 2016 36

4.3 4.3.1 2015 2015 729.24 84.50% 198.00 74.65% 1.71 66.02% 16.63% 4.45 2015 H 2015 12 31 6,161.08 1,364.82 28.46% 4,656.51 878.71 23.26% 2015 12 31 4,743.71 958.76 25.33% 3,239.14 472.65 17.08% 2015 12 31 1,391.38 400.39 40.40% 2015 12 31 4,656.51 52.62% 24.12% 14.80% 1.70% 2015 12 31 3,239.14 1,277.89 39.45% 701.81 21.67% 411.67 12.71% 307.05 9.48% 540.72 16.69% 2015 12 31 69.56% 3.67 37

2015 289.32 189.19 2015 395.33 2014 262.83 658.16 2015 379.10 2014 0.24 379.34 2015 273.09 2014 362.72 89.63 2015 2014 38

4.3.2 2015 272.87 76.94% 2015 2014 34,253 18,915 15,621 7,851 19,510 10,204 3,540 2,555 46,282 24,732 645 629 27,287 15,422 6,927 3,560 19,800 11,337 2015 729.24 84.50% 2015 2014 2013 2012 2011 46.97% 47.86% 52.76% 54.24% 36.83% 21.42% 19.86% 20.17% 16.62% 7.80% 26.75% 25.82% 25.93% 27.91% 54.58% 4.86% 6.46% 1.14% 1.23% 0.79% 100.00% 100.00% 100.00% 100.00% 100.00% 2015 296.32 73.12% 2014-2015 2015 2014 22,714 10,365 12,349 119.14% 4,563 3,516 1,047 29.78% 287 231 56 24.24% 6,449 4,504 1,945 43.18% 240 299-59 -19.73% 4,621 1,799 2,822 156.86% 29,632 17,116 12,516 73.12% 39

2014-2015 123.49 119.14% 2015 A 247% 10.47 29.78% 2015 0.56 19.45 43.18% 2015 12 31 10,713 2014 3,163 40

2015 27.91 193.79% 2015 2014 5,288 2,131 3,157 148.15% 10,294 5,688 4,606 80.98% 39 32 7 21.88% 668 202 466 230.69% 6,341 3,791 2,550 67.26% 4,483 2,229 2,254 101.12% 1,338 679 659 97.05% 2,791 950 1,841 193.79% 31.57 148.15% A 2014 46.06 80.98% 2015 59.29 85.92% 2015 195.10 91.20% 2015 2014 6,733 3,599 3,134 87.08% 14,859 15,606-747 -4.79% -2,082-9,001 6,919 19,510 10,204 9,306 91.20% 41

31.34 87.08% 35.49 186.79% 4.15 24.43% 7.47 4.79% 2015 80.00 87.47 69.19 2015 288.31 127.99 79.83% 2015 2014 14,798 9,463 5,335 56.38% 285 377-92 -24.40% 2,768 1,257 1,511 120.21% 8,499 4,335 4,164 96.06% 2,481 600 1,881 313.50% 28,831 16,032 12,799 79.83% 53.35 56.38% 0.92 24.40% 15.11 120.21% 2015 2015 24.81 18.81 2015 2015 2014 1,625 566 1,059 187.10% 383 383 100.00% 473 34 439 1,291.18% 2,481 600 1,881 313.50% 42

4.3.3 2015 12 31 6,161.08 28.46% 2015 12 31 4,656.51 23.26% 2015 12 31 2014 12 31 92,135 48,836 43,299 88.66% 4,484 3,962 522 13.18% 143-143 -100.00% 136,792 126,185 10,607 8.41% 11,595 7,282 4,313 59.23% 112,294 116,998-4,704-4.02% 7,912 3,183 4,729 148.57% 68,907 37,967 30,940 81.49% 31,532 33,224-1,692-5.09% 465,651 377,780 87,871 23.26% 43

2015 12 31 2,450.06 585.98 31.44% 52.62% 3.28 2015 12 31 2014 12 31 92,135 19.79% 48,836 12.93% 4,484 0.96% 3,962 1.05% 143 0.03% 136,792 29.38% 126,185 33.40% 11,595 2.49% 7,282 1.93% 245,006 52.62% 186,408 49.34% 2015 12 31 432.99 88.66% 19.79% 2015 7 9 211.09 2015 12 31 2014 12 31 33,149 35.98% 10,847 22.21% 24,575 26.67% 21,846 44.73% 34,411 37.35% 16,143 33.06% 92,135 100.00% 48,836 100.00% 44

2015 12 31 2014 12 31 4,480 3,954 526 13.30% 4 8-4 -50.00% 4,484 3,962 522 13.18% 2015 12 31 5.22 13.18% 2015 12 31 29.38% 106.07 8.41% 2015 12 31 2013 12 31 66,766 64,051 2,715 4.24% 56,461 46,270 10,191 22.03% 10,354 12,434-2,080-16.73% 3,211 3,430-219 -6.38% 136,792 126,185 10,607 8.41% 2015 12 31 79.12 148.57% 2015 12 31 2014 12 31 3,856 1,222 2,634 215.55% 71 74-3 -4.05% 3,985 1,887 2,098 111.18% 7,912 3,183 4,729 148.57% 45

2015 12 31 309.40 2015 12 31 2014 12 31 68,907 37,967 30,940 81.49% 2015 12 31 4,743.71 958.76 25.33% 2015 12 3,239.14 17.08% 2015 12 31 2014 12 31 150,457 101,846 48,611 47.73% 41,167 34,400 6,767 19.67% 30,705 36,404-5,699-15.65% 127,789 124,914 2,875 2.30% 70,181 45,482 24,699 54.30% 54,072 35,449 18,623 52.53% 474,371 378,495 95,876 25.33% A 2015 12 31 1,504.57 47.73% 31.72% 46

2015 12 31 2014 12 31 139,999 90,750 49,249 54.27% 86,586 58,530 28,056 47.93% 53,413 32,220 21,193 65.78% 10,458 11,096-638 -5.75% 150,457 101,846 48,611 47.73% 2015 12 31 411.67 19.67% 50 2016 8 2015 12 31 307.05 15.65% 2015 12 31 28.75 2.30% 2015 12 31 1 678.36 246.69 2015 80 200 2015 12 31 1,417.37 40.15% 2015 H 2015 12 31 2014 12 31 12,117 11,017 54,453 34,123 7,525 7,093 17,174 13,339 3,100 1,778-18 -961 44,787 32,710 2,599 2,032 141,737 101,131 47

4.3.4 4.3.5 6 2 (%) 100.00 1988.6.2 222 222 0086-532- 250,000 1 1 2001 85021179 20 100.00 1998.4.9 1 1 00852-651,605 26 26 22376899 100.00 2007.10.11 0086-10- 720,000 48 17 48 60837800 100.00 2012.4.1 222 0086-10- 300,000 48 1 2001 60838838 93.47 1993.3.30 8 8 0086-755- 1,604,792,982 83217780 1 3 1 3 0 1-1 3 0 5 1 4 1 3 1 3 0 1-1 3 0 5 1 4 62.20 1998.4.9 0086-10- 23,800 33 B 16 A 88066688 35.00 2008.6.6 89 0086-10- 180,000 11 C 85079062 30.00 2005.9.30 0086-10- 190,000 3 9 188 5 66276508 48

(%) 100.00 2013.10.30 1,000 100.00 2015.7.24 10,000 100.00 2015.4.17 1 100.00 2014.8.27 10,000 50.00 2005.12.27 100 12.74 2011.11.15 117,740 11.11 2013.12.26 9,000 40.00 2014.2.13 5,000 24% 16% 7.00 2005.11.2 610,000 (1) 25 2015 12 31 2,808,006 478,864 2015 293,112 160,942 120,302 65 2,678 49

(2) 651,605 2015 12 31 6,648,106 702,149 2015 507,930 25,036 5,791 4 2015 12 31 2,000 (3) 72 2015 12 31 2,503,542 1,304,177 2015 128,888 61,156 41,128 154 (4) 30 2015 12 31 721,561 397,343 2015 320,881 8,108 5,864 (5) 1,604,792,982 93.47% 2015 12 31 3,615,330 301,728 2015 126,888 58,094 41,688 44 921 (6) 2.38 62.20% 2015 12 31 752,365 560,230 2015 419,729 185,019 141,376 783 (7) 18 35% 2015 12 31 617,697 441,532 2015 127,378 50

(8) 19 30% 2015 12 31 228,052 201,771 2015 13,123 4.3.6 13 1 2010 9 29 5 5 4 0086-10-65648685 2 2010 10 26 1568 10 0086-21-61768696 3 2010 12 10 5 11 37 0086-20-66609909 4 2010 9 26 747 16 0086-27-85355300 51

5 2010 10 21 5 0086-25-83282413 6 2014 8 12 1 10 1003 0086-21-58957037 7 2015 5 29 8 12 0086-755-23911638 8 2015 7 8 335 0086-24-88598858 9 2015 11 3 2201 2202 2203 2204 0086-571- 85783714 52

10 2012 7 16 127 1901 1902 1905A 1907 0086-591-87801076 11 2012 11 12 129 28 0086-791-83970561 12 2012 8 24 577 7 701 0086-577- 88107230 13 2010 5 25 235 2 (15-1) 0086-574-87033718 4.3.7 2015 12 31 2 2013 2013 3 2013 CITIC Securities Finance MTN 2014 9 53

4.3.8 2 9 22 4.3.9 2008 1 1 [2012]57 < > 25% 4.4 2015 33.8 6.43% 6.2% QFII 139 48% 1,773.33 10.72% 3,856.94 3.35% 700 1.1 9% 4.72% 740 6.3% 331 12.2% 54

4.5 4.5.1 20% 2015 6 19 2014 2014 10 3.10 2014 H 2015 2015 A 2015 H H 2014 3,415,241,604.00 H 2015 6 23 2014 H 2015 7 2 11 H H 2014 2014 3,415,241,604.00 H 12,116,908,400 A H 10 3.10 2.8185 10 H 3.57299 2014 2015 8 14 2014 30.12% 2014 55

4.5.2 2013 2015 30% 10 10 10 (%) 2015 5.0000 6,058,454,200.00 19,799,793,374.33 30.60 2014 2.8185 3,415,241,604.00 11,337,193,825.46 30.12 2013 1.5000 1,652,536,260.00 5,243,916,979.11 31.51 2014 3,415,241,604.00 2015 H 12,116,908,400 2015 2015 15,282,637,038.03 2015 9 1 4,274,894,800.35 2015 15,097,565,149.96 2015 3,415,241,604.00 2015 31,239,855,384.34 2015 1 2 3 135,952,727.66 50% 2015 2015 1 8 10% 1,690,421,281.76 2015 2015 1 8 10% 1,690,421,281.76 3,516,795,291.18 27,723,060,093.16 2015 2015 26,810,738,107.47 56

2015 2015 100% 2015 A H 6,058,454,200.00 2015 30.60% 22.60% 2015 20,752,283,907.47 2015 12 31 10 5.00 A H 2015 2015 2015 2016 8 30 2015 H A 4.6 4.6.1 4.6.2 57

58

59

4.6.3 60

VaR VaR VaR 1 95% VaR VaR VaR VaR 2015 54 61

4.6.4 62

2015 12 31 2014 12 31 19,767.18 6,456.55 AAA 9,139.58 7,871.30 AA 16,465.32 22,780.22 A 187.09 93.55 A-1 7,760.24 7,354.13 17,512.38 6,085.76 70,831.80 50,641.51 AAA A AAA A-1 AA AA+ AA AA A A+ A A A A 2015 12 31 2014 12 31 A 45.66 35.68 B 1,764.43 864.23 C 2,938.61 2,836.49 D 101.69 313.30 NR 2,022.05 3,557.25 6,872.43 7,606.95 NR A Aaa Aa3 AAA AA AAA AA B A1 Baa3 A+ BBB A+ BBB C Ba1 B3 BB+ B BB+ B D Caa1 D CCC+ C CCC+ B 2015 284% 263% 432% 211% 63

4.6.5 2015 54 4.6.6 IT (1) (2) 2014 2015 8 64

5.1 5.1.1 2015 2015 5,752 121% 2,448 154% 2015 6.4 57% 1.5 58% 4.1 2015 729.24 198.00 16.63% 4.2 5.1.2 4.6.3 4.6.6 2016 4.1.5 5.1.3 2015 5.1.4 2011 2015 65

5.2 2015 4.5 5.3 A [2012]85 [2015]101 1 1 1 (QFII) QFII [2009]47 10% QFII [2014]81 A 10% 10% 66

H [1993]045 [2011]348 10% 10% 10% (1) 10% (2) 10% 20% (3) 20% H [2008]897 H 2008 10% [2014]81 H H 20% H 12 67

5.4 (2015) 748 2015 H 211.22 2015 12 31 130 104.14 54.95 52.13 80 80 200 288 CITIC Securities Finance MTN 4.3968 2015 12 31 295 270 14.5 94.25 80 739.25 127.86 7.4 2016 5.5 5.6 8.1.4 5.7 9 7 2016 1 19 5.8 68

5.9 5.10 8.4.3 8.4.4 8.5.4 10 5.11 5.12 5.13 2015 12 31 XV 352 (%) A 2,649,750 0.022 A 1,733,160 0.014 A 1,368,363 0.011 A 483,285 0.004 A 81,000 0.001 2016 1 19 2016 374 A 0.000003% 8.1.1 2015 12 31 18 69

5.14 7.5.5 5.15 5.16 56 5.17 2015 12 31 18 5.18 2015 1.64% 5% 5.19 8.5.4 8.5.5 2015 12 31 1,017 720 8.5.3 5.18 5.20 H H (i) 10% (ii) H H H 10.70% 8.08 70

5.21 5.22 2015 180 2015 30 4 11 80 2015 2015 2015 5.23 6.3 5.24 4.1.2 4.1.3 2016 2016 3 23 71

6.1 6.1.1 (1) 2005 12 1% 12 5% 24 10% 2015 1 16 2015 1 16 (2) 2002 12 A 6.1.2 72

6.2 2015 12 23 1 2 2015 3.12 3.12 6.3 130 1 25 1 30 73

2015 2014 2015 6.4 6.4.1 1 2013 2 2012 12 4,400 12 2015 4 29 4,609 2015 12 4 4,609 2015 12 28 2016 1 28 2015 8 3 4,609 2015 12 4 2015 74

2 2013 2014 002306 18,156 47,960 2015 5 18,156 *ST 2015 5 19 18,156 *ST ST 2015 6 18 2015 6 25 *ST 18,156 47,960 3,252,082.19 2015 4 22 2015 8 6 2015 11 20 2016 3 2016 3 18 75

3 (1) 2014 4 25 2014 00071 1,000 2014 4 25 2014 8 20 2014 8 20 2015 1 21 1,090 2015 4 20 2015 7 17 2015 10 22 2015 12 5 2016 2 18 (2) 2014 3 27 2014 00041 1,500 2014 3 28 2015 2 27 2015 2 27 2015 3 4 1,467.99 2015 3 2 3 32.01 2015 3 4 2015 3 11 2015 8 24 2015 11 12 2015 11 20 76

(3) 2014 4 14 2014 00056 1,500 2014 4 16 2014 10 15 2014 10 15 2016 1 11 1,416.02 2014 11 26 2015 8 13 135.7 2016 1 11 2016 2 19 4 2015 4 9 2,571.40 4,536.99 2015 11 2016 3 16 2016 4 8 5 2014 11 4 2.3909% 71,481,322 2015 9 18 76,906,754.43 2015 9 10 2015 9 18 2015 11 17 2015 12 28 2016 3 20 71,481,322 2016 3 21 51,500,000 19,981,322 77

2011 3 31 4.04% 2015 10 8 36,660,204.53 2015 10 9 2015 11 26 2016 2 29 6 2015 5 15 2015 7 8 IH1509 84 2015 7 2015 7 9 77 11,485,320 2016 1 18 2016 2 25 6.4.2 1 3 2015 1 19 2014 2015 2 2015 11 26 153121 2015 11 26 2015 11 29 78

6.5 16.4.2 2 2015 8 25 6.6 2015 6.7 6.7.1 2013 2013 12 31 < > 2014-2016 79

1 3 2014 1 1 2016 12 31 2015 12 31 3,059.69 261.24 80

2015 12 31 8.41 2015 25 0.94 2015 11 2015 2015 1 305,969.18 26,124.00 2 2,500.00 841.41 1.69% 1,100.00 93.61 0.54% 81

< > 3 2014 1 1 2016 12 31 2015 12 31 612.21 2015 3,500 4,092.78 2015 4,500 2015 2015 35,000 6,122 7.19% 45,000 40,928 3.80% 3 2014 1 1 2016 12 31 2015 12 31 373.42 2015 500 3,925.20 2015 11,000 2015 2015 5,000 3,734 0.11% 110,000 39,252 0.18% 82

83

2 2014 2015 2015 2015 (%) 30,550 2,556 0.01 2,556 300,000 50,000 68 0.01-68 3,000 1,000 200,000 13 0.01 13 1,000 3,000 1,000 6,000 3,000 46,000 500 4,300 2,398 0.01-2,398 1,610,000-1,057 84

3 2015 3 1 2015 1,300 2015 8 1,300 2,500 2,900 2015 2,500 2014 0.5% 0.1% 2015 3 4 2015 8 28 (%) 25,000 25,000 0.11 / / 25,000 0.11 / / / 85

6.7.2 37,432 37,432 37,432-11,450 2,441,992 CTI Capital Management Limited 49% 37,431,758 2,441,992 2015 10 30 2014 0.5% 0.1% 2015 10 16 86

6.7.3 50,000 39,760 39,760-240 2,000 2015 8 27 5,000 4,000 1,000 2014 0.5% 0.1% 2015 6 8 6.7.4 315,774.75 395,352.00 711,126.75 822,435.20 745,766.14 1,568,201.34 1,813.85 1,813.85 2,269,395.85-1,916,045.76 353,350.09 335,108.49 335,108.49 292,244.58 292,244.58 519,423.60 519,423.60 103,295.37 41,823.21 145,118.58 150,000.00-150,000.00 315,774.75 1,543,942.52 1,859,717.27 3,345,126.42-1,278,456.41 2,066,670.01 87

6.7.5 2006 15 15 2015 12 31 15 6.7.6 6.8 147.84 242.28 300.85 2015 21.62% (1) 2013 2013 9.02 58.57 2014 2013 CITIC Securities Finance MTN 2014 10 30 CITIC Securities Finance MTN 6.5 CITIC Securities Finance MTN 4.3968 2015 50 88

(2) ISDA GMSL 2015 12 31 121.52 6.9 6.9.1 44 1 194 1 35 1 107 2 98 5 3 101 306-1 3 19 1 20 BCD 4 5 16 102 5 C 1 1-015 6 8 AB 503B 807B 7 34 8 10 F 9 9 401 10 1 4 7 11 132 1 1 1006 12 13 236 14 7#-4 15 D03-1 16 1 5H 17 333 307 308A 18 100 63 T53 19 168 1004 20 178 89

21 270 22 48-1 23 3 E 201 24 1 3 25 598 1 101-5 26 58 E 27 159 28 20 29 392 30 18 13 (10-2)-(10-6) 31 586 588 32 187 B 1-2 33 432 434 34 67 1372 35 17 906B 906C 36 52 37 11 107-109 38 222 708 709 39 1 (6) 40 9 41 31 6 820 42 1 2 6 603 604 43 3 2 10 1001 44 5 1-1-4 1 8 12 2 335 3 29 2201.2202.2203.2204 5 168 10 1 9 3 63 2 90

3 3 2016 1 5 4 39 4 6.9.2 1 59.04% 2015 1 29 KVB Holdings 12 60% 8077KVB Holdings 2015 5 29 12 59.37% 7.8 0.65 26.1 13.5 2015 6 5 KVB Holdings 0.65 2015 6 26 4 310,001 201,500.65 1,200,310,001 59.04% 2 2015 7 6 2015 9 1 2015 1,567,486 543,409 2,110,895 2015 7 31 20% 3 0.9 2016 1 8 344,965,586.55 0.9 1.325% 2016 2 23 2016 1 8 91

7.1 2015 12 31 (%) A 1,888,758,875 15.59 A A 7,949,821,825 65.61 H H 2,278,327,700 18.80 12,116,908,400 100.00 A 7.2 2015 2 16 2015 2015 A 2015 H H 2015 6 23 11 H 11,016,908,400 12,116,908,400 A 9,838,580,700 H 1,178,327,700 2,278,327,700 2015 8 25 2015 2015 A 2015 H H 6.4 H 18 7.3 H 11,016,908,400 2015 1.80 12.63 H 12,116,908,400 2015 1.63 11.48 92

7.4 H 2015.6.23 24.6 11 2015.6.23 11 2013.5.3 2.50% 8 2013.5.6 8 2018.5.3 2013.6.14 4.65% 30 2013.6.28 30 2018.6.7 2013.6.14 5.05% 120 2013.6.28 120 2023.6.7 2013.8.7 5.00% 50 2013.8.23 50 2016.8.5 2014.4.28 5.90% 60 2014.6.13 60 2015.4.28 2014.10.24 5.65% 70 2014.11.5 70 2019.10.24 2014.10.30 3.5% 6.5 2014.10.31 6.5 2019.10.30 2014.12.15 5.50% 80 2015.1.5 80 2015.12.15 2015.3.16 5.50% 115 2015.4.14 115 2020.3.16 2015.3.16 1.60% 0.5 0.5 2015.9.30 2015.4.21 0.80% 1 1 2015.7.21 2015.5.7 0.80% 0.5 0.5 2015.8.7 2015.5.13 0.80% 0.264 0.264 2015.8.13 2015.5.13 1.00% 0.8828 0.8828 2015.11.13 2015.5.14 1.00% 0.5 0.5 2015.11.14 2015.6.2 1.00% 0.5 0.5 2015.12.2 2015.6.25 4.60% 55 2015.7.30 55 2020.6.25 2015.6.25 5.10% 25 2015.7.30 25 2025.6.25 2015.7.16 5.00% 85 2015.8.28 85 2020.7.16 2015.8.20 0.90% 0.25 0.25 2015.11.20 2015.10.27 3.90% 80 2015.11.23 80 2016.10.27 1 2 2015 2015 A 2015 H 2015 H 2015 6 23 11 H 270.60 267.84 2013 2013 2014 2015 (1) 2013 5 8 2.5% 2013 5 6 (2) 2013 2013 2013 6 14 2013 6 28 5 30 4.65% 10 120 5.05% 2013 2013 8 7 50 5% 3 2013 8 23 93

2014 2014 2014 4 28 60 5.9% 4 1 2014 6 13 2015 4 28 2015 2014 2014 10 24 70 5.65% 5 2 2014 11 5 2015 10 27 80 3.9% 1 2015 11 23 2015 57 99.58 3 2013 2014 2015 (1) CITIC Securities Finance MTN 2014 10 17 30 2014 10 23 2014 10 30 6.5 3.5% 2014 10 31 2015 4.3968 (2) 2014 2014 12 15 80 5.50% 1 2015 1 5 2015 12 15 (3) 2014 13 28.60 2015 101 178.87 (4) 2015 3 16 2015 115 5.5% 5 3 2015 4 14 (5) 2015 6 25 2015 7 30 5 55 4.6% 10 25 5.1% 94

4 2014 2015 130 195.76 2015 12 31 127.86 2015 7 16 2015 85 5.0% 5 3 2015 8 28 5 2011 2013 2013 500 2014 460 2015 408 91 2015 12 31 2015 2 3 2015 2015 AA+ AAA 2015 3 27 2015 A A A A-1 2015 4 27 2015 A A A 2014 2014 AA+ 2015 4 28 2006 2006 A A A AAA 2015 4 29 2015 2015 A A A AAA 2015 5 20 2013 (2015) 2013 A A A AAA 2015 5 20 2013 (2015) 2013 A A A AAA 95

2015 6 15 2014 2014 AAA AAA 2015 7 15 2015 2015 AA+ AAA 2015 10 22 2015 2015 A A A AAA 2015 10 29 2015 AAA 96

7.5 2015 12 31 620,925 A 620,771 H 154 2016 2 29 624,379 A 624,221 H 158 7.5.1 2015 12 31 (%) 1 1,099,735,038 2,277,743,638 18.80 2-348,131,745 1,888,758,875 15.59 306,212,165 349,801,682 2.89 2-30,000,000 331,059,999 2.73 231,141,935 1.91 198,709,100 198,709,100 1.64 106,478,308 0.88 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 89,567,400 89,567,400 0.74 1 H 2 2016 2 29 1,999,695,746 16.50% 97

3 005L-CT001 005L-FH002 321,322,773 9,737,226 4 A 5 6 2015 12 31 7.5.2 2015 12 31 A B H 2,277,743,638 H 1,888,758,875 A 349,801,682 A 331,059,999 A 231,141,935 A 198,709,100 A 106,478,308 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 98

7.5.3 2015 12 31 23,919,000 7.5.4 2015 12 31 15.59% 2015 12 31 10% 2011 12 27 13,900,000 71783170-9 1. 2. (1) (2) (3) (4) (5) (6) 3. 2014 7 22 1979 184,198,156,859.03 10168558-X 2019 1 09 99

2015 12 31 601998.SH 0998.HK 67.13% 000099.SZ 38.63% 601608.SH 71.04% 1205.HK 59.50% 1135.HK 74.43% 1091.HK 43.46% 1883.HK 58.77% 1828.HK 56.07% 000708.SZ 58.13% U19.SG 87.59% 100

2015 12 31 0267.HK 58.13% 2015 12 31 5% H 7.5.5 571 336 2015 12 31 2015 12 31 2015 12 31 2015 A 12 31 H (%) 5 (%) A 1,939,757,575 1 A 565,060,815 2 H 690,359,200 Citigroup Inc. 3 H 259,932,275 11,572,599 244,672,449 BlackRock, Inc. 4 H 165,876,774 Cinda Sinorock Global Portfolio Limited Partnership II H 135,409,762 19.72 16.01 5.74 4.66 30.30 5.70 11.40 2.15 0.50 0.10 10.73 2.02 7.28 1.37 41,000 0.00 0.00 5.94 6 1.12 6 101

1 1,939,757,575 A 2015 1 16 2015 12 31 1,888,758,875 A 2015 1 16 2016 1 1 2015 1 16 2016 2 29 2016 3 4 A 2,018,602,746 16.66% 2 565,060,815 A 231,141,935 A 333,918,880 A 3 Citigroup Inc. 4 BlackRock, Inc. 5 2015 12 31 2,278,327,700 H 9,838,580,700 A 6 Lazard Asset Management LLC Banco BTG Pactual S.A. 5% H 2015 6 H 5% H 7.6 11 H 102

8.1 8.1.1 1 11 9 10 9 10 7 50 2016.1.19 2019.1.18 374 374 2 52 2009.6.30 2019.1.18 933.10 51 2016.1.19 2019.1.18 2 47 2012.6.20 2019.1.18 57 2016.1.19 2019.1.18 2 61 2011.11.14 3 4 15.30 68 2011.8.11 3 5 15.60 6 58 2016.1.19 2019.1.18 2 59 1999.9.26 2019.1.18 10.00 48 2002.5.30 2019.1.18 483,285 483,285 422.12 45 2005.12.16 2019.1.18 81,000 81,000 329.23 51 2013.9.10 2019.1.18 339.31 57 2016.1.19 2019.1.18 2 43 2011.4.21 2019.1.18 410.03 64 1999.9.26 2016.1.19 2,649,750 2,649,750 539.70 103

1 11 9 10 9 10 7 54 2012.6.20 2016.1.19 1,733,160 1,733,160 583.85 42 2013.12.19 2016.1.19 52 2002.5.30 2015.6.19 3.63 57 2012.6.20 2016.1.19 15.30 60 2010.6.28 2016.1.19 1,368,363 1,368,363 582.00 53 2006.5.12 2015.12.4 5.00 46 2010.9.30 2016.1.19 870,000 870,000 531.70 45 2010.9.30 2016.1.19 990,000 990,000 553.15 46 2013.12.30 2016.1.19 252,258 252,258 748.96 47 2013.12.30 2016.1.19 542.29 47 2013.12.30 2016.1.19 698.47 / / / / / 8,428,190 8,428,190 7,127.37 / 1 2 2016 1 19 2016 2016 104

3 2016 1 19 2016 4 5 6 7 2011 2012 7 10 15 3000 2012 6 21 2015 1-5 2015 2015 1-6 2015 143.69 662.20 8 2015 2015 2015 8 25 9 A 10 2015 12 31 A 19.35 H 18.12 11 8.2 8.1.2 2015.11.12 2011.12.27 2015.4.9 2013.1.18 105

8.1.3 2007.2.1 2013.11.1 2001.6.1 2008.10.1 1994.10.1 1994.8.1 2014.11.1 8.1.4 3 1995 2016 1 19 1995 1999 9 2012 6 2002 5 2005 10 1998 2001 2005 2011 2011 12 2015 12 1987 1990 106

2007 2009 6 30 1991 1992 1992 1998 1998 1999 1998 1999 1999 2000 2000 2002 2002 2007 2007 2009 2000 2009 ACT 360 Solutions Limited 2005 2009 2006 2010 2010 2011 2010 2012 2009 2014 2007 2013 2011 2016 1 1985 1991 1995 2016 1 19 2002 2005 2005 2007 2005 2011 1996 10 1982 1985 1 2012 2012 6 20 2005 2011 2011 2016 1991 1996 1999 107

3 2016 2016 1 19 1984 7 1997 10 1997 10 2001 5 1999 4 2000 4 1984 1993 2000 1991 8 1999 8 1996 8 2015 7 2001 6 2002 7 2001 6 2002 10 1978 1983 1988 2016 1 19 1977 1998 1994 2002 7 2012 6 2013 10 2015 8 1998 2001 1998 1996 1999 1980 1995 1977 2016 1 19 108

2011 2011 11 14 5100 29 2007 10 1996 12 1983 9 1984 3 1995 7 2008 1980 1988 2011 2011 8 11 1982 4 2016 2016 1 19 1991 1996 1996 2000 2000 2004 2004 2006 2006 1 2006 11 2006 2010 2010 2011 1980 2005 109

1999 1999 9 26 1988 1992 1992 2002 2001 1 2013 1 1993 9 1988 1995 2002 5 30 1994 1997 2005 12 16 1993 2016 1 19 3 2010 1994 2008 2013 (Xerox Corporation) (Xerox) (JP Morgan Chase) (UBS Investment Bank) 1984 1994 2000 (MBA) (CFA) (FRM) 1997 A 2003 2011 1996 2011 4 2011 5 110

8.2 2015 5 8 2015 12 4 8.3 111

8.4 8.4.1 9.4.4 9.9 8.4.2 8.4.3 112

8.1.1 8.4.4 2006 9 6 2006 9 7 2011 9 6 66,081,000 8.1.1 IT 113

8.5 8.5.1 2015 12 31 16,853 10,051 10,051 6,802 16,853 154 10,747 814 848 234 567 185 482 412 126 249 975 480 635 75 24 16,853 248 4,014 9,525 3,066 16,853 114

8.5.2 8.5.3 2015 12 31 1,017 720 115

8.5.4 8.4.4 10 8.5.5 1 2 3 4 2015 726 165 116

9.1 9.2 2008 3 13 8.1.1 9.3 10% 10 5 10 10% 5 90 10% 117

3% 3% 10 2 118

2015 12 31 A H 1 2015 2015 A 2015 H 2015 2 16 2015 2015 A 2015 H 2 2014 2015 6 19 3 2015 2015 A 2015 H 2015 8 25 119

7 7 6 1 100% 7 7 7 100% 7 7 1 6 100% 7 7 7 100% 3 3 3 100% 7 7 4 3 100% 7 7 1 6 100% 7 7 7 100% 7 7 7 100% 2015 1 2 9.4 9.4.1 7 3 1 3 1/3 3.13 2011 120

9.4.2 9.4.3 2015 A AA 121

9.4.4 9.4.4.1 (1) 2015 1 22 (2) 2015 1 29 60% (3) 2015 2 12 < > (4) 2015 3 23 2014 2014 2014 2014 2015 A H < > 2014 2015 2014 2014 2014 2014 2014 2014 2014 (5) 2015 4 17 122

(6) 2015 4 29 2015 (7) 2015 6 8 H 2015 2015 A 2015 H (8) 2015 6 18 (9) 2015 7 6 <21 > (10) 2015 8 14 (11) 2015 8 24 2015 2015 (12) 2015 9 1 (13) 2015 10 29 2015 (14) 2015 12 2 2016 (15) 2015 12 23 123

15 15 15 12 3 15 15 2 1 15 14 1 1 2 6 6 1 15 15 15 15 2 15 15 15 15 1 15 2 13 1 2015 6 8 2 2015 6 9.4.4.2 (1) 2013 11 29 2013 8 2015 12 31 (2) 2013 3 13 2013 2014 6 18 2013 2015 6 19 2014 7.4 124

(3) 2015 2 16 2015 2015 A 2015 H H 7.4 H 2015 6 19 2014 < > 2015 8 4 (4) 2015 6 19 2014 2014 A H 2015 8 14 (5) 2015 6 19 2014 2015 2015 2016 3 23 (6) 2015 2 16 2015 2015 A 2015 H H 15 15 H 2015 5 22 [2015]936 15 H 2015 6 23 H 11 267.84 (7) 2014 12 22 2014 2015 9 1 2015 9 11 2015 10 29 [2015] 087 125

9.4.4.3 2015 3 27 2015 5 9 2015 6 17 2015 12 1 126

2015 2 20 2014 2015 2015 4 15 2015 6 8 2015 3 28 2015 4 14 2015 5 25 2015 9 24 2015 11 27 2015 3 26 2015 6 8 < 2015 2015 5 2015 8 12-14 2015 9 7 12 1 39 2015 9 127

2015 5 20 2015 7 8 2015 2015 10 19 2015 10 15 2015 11 2 2015 11 27 2015 12 6 2016 1 8 9 9.5 9.6 4 3 8.1 128

9.7 1 2 3 4 5 6 9.7.1 1 2015 12 2 129

9.7.2 7 2015 2015 2015 130

2015 1 30 2015 3 2 2014 2014 2015 2015 3 20 2014 2014 2014 2015 4 29 2015 2015 8 24 2015 2015 10 29 2015 2015 12 23 < 2015 > 2016 1 19 2016 3 1 2015 2015 2015 2016 2016 3 21 2015 2015 2015 7/7 7/7 7/7 4/4 2015 4 131

2015 IT 2015 2016 3 23 2015 2015 2016 3 21 2015 9.15 132

9.7.3 2015 1 2015 3 23 2014 2014 2014 2014 2014 2015 2006 9 133

9.7.4 2015 2015 12 31 3 2 2015 2 12 2015 12 2 134

9.7.5 2 2015 3 20 2014 2014 2015 8 24 2015 2015 1 9.7.6 1 2015 3 20 2015 135

2015 9.8 9.8.1 (1) 2015 1 30 2015 4 3 (2) 2014 2015 3 2 2015 2014 2015 2014 4 3 2014 2015 3 20 2015 2014 2014 2014 4 3 2014 136

(3) 2015 2015 12 23 2015 2015 3 2015 2015 2016 3 1 2015 2015 2016 2015 2015 2016 3 21 2015 2015 2015 9.8.2 (1) 2015 3 4 (2) 2015 6 8 (3) 2015 8 28 (4) 2015 10 16 49% 137

9.8.3 2015 2 12 2015 3 20 2014 [2003]56 2014 2014 2014 2015 2015 8 24 2015 12 2 9.8.4 2008 7 28 9.4.4.1 138

9.9 2015 9.9.1 1 2015 3 23 2014 2014 2014 2014 2014 2014 2014 2014 2 2015 4 29 2015 3 2015 8 24 2015 2015 4 2015 10 29 2015 5 2015 12 2 139

1 5 5 5 5 2 5 5 5 5 5 5 5 1 4 1 2016 1 19 2 2015 12 4 9.9.2 3 2015 5 26 2015 10 16 2015 10 20 140

9.9.3 1 2 2015 3 H 11 211.22 2015 12 31 130 104.14 54.95 52.13 80 80 200 288 CITIC Securities Finance MTN 4.3968 4 5 6 (http:// www.sse.com.cn) (http://www.hkexnews.hk) 141

7 8 2015 2015 2015 9 2015 2015 2015 9.10 6.3 9.11 9.12 142

9.13 43 2015 A+H 9.14 9.14.1 2014 2014 2015 2015 A 2015 H 2015 8 4 1,211,690.84 1,211,690.84 983,858.07 227,832.77 2015 8 4 143

9.14.2 2015 2015 3 A 2 H 2 2014 2015 H e 2016 9.15 9.15.1 144

9.15.2 9.15.3 2011 2012 2012 145

9.15.4 2015 21 2015 12 31 9.15.5 2009 9 29 [2010]126 9.15.6 2010 3 29 146

9.15.7 2015 9 2015 12 87 12 4 7 68 12 4 7 68 38 27 3 147

2015 12 31 894.15 2015 2015 9 2015 12 2015 12 31 7,365,822 6,672,116 90.58% 692,572 9.40% 1,134 0.02% 2015 12 31 5,014,610 4,328,945 86.3267% 684,137 13.6429% 1,501 0.0299% 27 0.0005% 2015 2015 148

[2003]56 [2004]338 (2016) 0601 2015 [2003]56 2013 2013 2014 CITIC Securities Finance MTN 2015 12 31 CITIC Securities Finance MTN 10.8968 2015 50 2015 12 31 2015 12 31 149

... 151... 152... 153... 154... 156... 157 1.... 159 2.... 159 3.... 164 4.... 175 5.... 176 6.... 177 7.... 178 8.... 178 9.... 178 10.... 179 11.... 180 12.... 181 13.... 182 14.... 183 15.... 183 16.... 183 17.... 183 18.... 184 19.... 186 20.... 187 21.... 189 22.... 195 23.... 198 24.... 199 25.... 199 26.... 199 27.... 201 28.... 201 29.... 201 30.... 201 31.... 202 32.... 202 33.... 202 34.... 203 35.... 203 36.... 203 37.... 203 38.... 204 39.... 204 40.... 204 41.... 205 42.... 206 43.... 206 44.... 208 45.... 208 46.... 208 47.... 209 48.... 209 49.... 210 50.... 210 51.... 211 52.... 212 53.... 214 54.... 217 55.... 225 56.... 226 57.... 226 58.... 226 150

152 226 151

2015 2015 2014 34,252,523 18,915,358 7 15,621,547 7,850,808 8 19,510,014 10,204,336 69,384,084 36,970,502 9 3,539,811 2,554,813 72,923,895 39,525,315 10 4,621,076 1,798,997 10 12,830,544 6,900,792 10 14,797,624 9,463,242 284,926 376,538 2,767,980 1,257,025 10 8,498,901 4,336,205 13 2,481,231 599,975 46,282,282 24,732,774 26,641,613 14,792,541 664,352 638,022 (18,821) (8,616) 27,287,144 15,421,947 14 6,926,800 3,560,448 20,360,344 11,861,499 19,799,793 11,337,194 560,551 524,305 20,360,344 11,861,499 17 1.71 1.03 17 1.71 1.03 152

2015 2015 2014 20,360,344 11,861,499 2,334,233 2,026,175 4,091,585 2,878,444 (993,413) (672,291) (1,707,484) (116,170) 1,390,688 2,089,983 40 944,845 (63,808) (1,340) 2,334,233 2,026,175 22,694,577 13,887,674 22,063,367 13,384,117 631,210 503,557 22,694,577 13,887,674 153

2015 12 31 2015 2014 12 31 12 31 18 3,856,121 1,222,324 70,921 73,694 19 10,265,277 10,075,152 20 3,985,413 1,887,275 22 4,480,218 3,954,167 22 3,946 7,829 23 12,154,939 10,557,598 24 353,524 306,168 142,585 25 3,463,395 3,353,096 26 3,141,288 2,596,285 27 3,634,339 197,503 45,409,381 34,373,676 1,158,753 662,760 28 75,523,403 74,135,256 23 79,980,146 38,278,411 29 126,438,796 113,751,561 24 10,000,078 12,127,559 30 11,594,613 7,281,626 31 36,770,724 42,862,895 32 16,771,559 21,344,829 33 143,553,897 96,840,688 34 68,906,892 37,967,189 570,698,861 445,252,774 35 150,456,676 101,845,838 30 4,765,284 5,339,085 36 3,456,175 2,608,314 37 21,342,602 25,809,281 38 127,788,537 124,914,446 18,033,000 11,751,000 39 4,618,751 3,295,465 40 4,721,632 4,651,416 41 12,848,079 17,997,658 42 52,182,331 29,352,488 400,213,067 327,564,991 170,485,794 117,687,783 215,895,175 152,061,459 154

2015 2014 12 31 12 31 43 67,835,803 43,167,363 26 2,542,466 2,610,454 44 2,345,210 2,314,393 37 1,140,679 2,647,377 45 293,919 190,387 74,158,077 50,929,974 141,737,098 101,131,485 46 12,116,908 11,016,908 47 82,233,809 55,371,420 44,787,070 32,710,342 139,137,787 99,098,670 2,599,311 2,032,815 141,737,098 101,131,485 2016 3 23 155

2015 2015 1 1 11,016,908 34,122,744 7,092,744 13,338,581 1,778,526 (961,175) 32,710,342 99,098,670 2,032,815 101,131,485 19,799,793 19,799,793 560,551 20,360,344 1,321,834 941,740 2,263,574 70,659 2,334,233 1,321,834 941,740 19,799,793 22,063,367 631,210 22,694,577 2014 (3,415,242) (3,415,242) (3,415,242) 432,181 (432,181) 3,835,900 (3,835,900) 1,100,000 20,236,724 21,336,724 39,130 21,375,854 94,010 (39,742) 54,268 14,865 69,133 (118,709) (118,709) 2015 12 31 12,116,908 54,453,478 7,524,925 17,174,481 3,100,360 (19,435) 44,787,070 139,137,787 2,599,311 141,737,098 2014 1 1 11,016,908 34,428,152 6,439,142 11,401,724 (334,040) (895,532) 25,632,131 87,688,485 1,713,610 89,402,095 11,337,194 11,337,194 524,305 11,861,499 2,112,566 (65,643) 2,046,923 (20,748) 2,026,175 2,112,566 (65,643) 11,337,194 13,384,117 503,557 13,887,674 2013 (1,652,537) (1,652,537) (1,652,537) 653,602 (653,602) 1,936,857 (1,936,857) (41,069) (41,069) (305,408) (15,987) (321,395) (25,774) (347,169) (117,509) (117,509) 2014 12 31 11,016,908 34,122,744 7,092,744 13,338,581 1,778,526 (961,175) 32,710,342 99,098,670 2,032,815 101,131,485 156

2015 2015 2014 27,287,144 15,421,947 4,850,905 2,766,264 (645,531) (629,406) (1,283,832) (1,699,262) (5,448,837) (1,899,256) 27,470 (1,937,508) (3) (1,670,267) (1,354,760) (522,481) 287,699 380,171 397,403 355,676 1,624,890 566,031 856,341 33,944 26,598,889 11,165,853 (15,984,147) (49,880,693) (46,713,208) (56,715,367) (3,770,164) (76,077,454) (66,467,519) (182,673,514) 50,007,851 53,528,259 2,874,091 69,210,191 32,917,370 25,457,590 85,799,312 148,196,040 45,930,682 (23,311,621) (6,397,663) (2,971,797) 39,533,019 (26,283,418) 157

2015 2014 1,362,010 1,792,527 (4,278,817) (479,101) 922,251 7,049,851 21(e) (275,787) 61,896 419,570 826,803 (35,881,279) (9,227,999) (178,205) (37,910,257) 23,977 21,472,198 8,807,056 2,649,528 9,816,961 124,348,404 70,921,948 (107,262,316) (49,060,380) (7,970,267) (4,185,096) (5,928,390) (27,658) 27,309,157 36,272,831 28,931,919 10,013,390 35,568,511 25,668,912 1,170,326 (113,791) 48 65,670,756 35,568,511 34 68,906,892 37,967,189 34 3,236,136 2,398,678 65,670,756 35,568,511 158

2015 1. 1995 10 25 1999 2003 8 2011 H [2011]1366 2011 9 10 H 1.00 H 1,071,207,000 75,907,000 2011 12 31 11,016,908,400.00 (2011) 60469435_A09 2015 H [2015]936 2015 6 23 24.60 1,100,000,000 H 2015 12 31 12,116,908,400.00 (2015) 748 2. 2015 1 1 159

2015 2015 1 1 (1) 19 2011 (2) 2010-2012 2013 12 (3) 2011-2013 2013 12 (1) 19 2011 19 2011 19 2011 (2) 2010-2012 2010-2012 2 3 8 13 24 16 38 (3) 2011-2013 2011-2013 1 3 13 40 160

2015 (1) 9 2018 1 1 (2) 10 2016 1 1 12 28 (3) 11 2016 1 1 (4) 15 2018 1 1 (5) 16 2019 1 1 (6) 16 2016 1 1 38 (7) 27 2016 1 1 (8) 2016 1 1 2012-2014 (9) 10 28 2016 1 1 (10) 1 2016 1 1 (11) 12 2017 1 1 (12) 7 2017 1 1 (13) 14 2016 1 1 (14) 16 41 2016 1 1 (1) 9 9 2014 7 39 9 39 9 161

(2) 10 12 28 10 28 (3) 11 11 (4) 15 15 15 (5) 16 16 IFRS16 IFRS16 17 (6) 16 38 16 38 (7) 27 27 162

(8) 2012-2014 2012-2014 5 7 19 34 (9) 10 28 10 28 (10) 1 1 (11) 12 12 (12) 7 7 (13) 14 14 1 (14) 16 41 16 41 41 622 622 9 163

2015 12 31 (a) (b) (c) (d) (e) (f) (g) 3. (1) (2) 164

(3) (a) (i) (ii) (a) (b) (b) 165

(i) (ii) (iii) (iv) 166

(v) (vi) (c) (d) (i) 167

(ii) 50% (iii) (e) (f) (g) 168

(4) (a) (b) (i) 0.5% (ii) 10% (iii) 20% (iv) 50% (5) (6) (7) (8) 169

(9) (10) (11) (a) UPS 2,000 (b) 35 0.2262% 5% 2-5 1.667%-4.167% 0% * 5 1.617% 3% 5 1.617% 3% 3 2.778% 0% 5 1.617% 3% 5 1.617% 3% * 20 25 0.283% 15% 170

(c) (12) 5 (i) (ii) (iii) (iv) (v) (vi) 171

(13) (14) (i) (ii) (i) (ii) 172

(15) (16) (17) 173

(18) (a) (i) (ii) (iii) (b) (i) (ii) (iii) (iv) (v) (vi) (a) (vii) (a)(i) (a)(i) (19) (a) (b) (c) (20) 10% 10% 10% 5% 10% 50% 25% 174

4. (a) (b) 175

1) 2) 3) 1) 2) 3) 4) 5. (1) 2008 1 1 [2012]57 < > 25% (2) 2011 65 [2013]63 [2004]203 5% [2006]172 (3) (4) 7% 3% 2% 176

6. 2015 4,606,457 26,815,973 29,253,445 7,838,675 4,409,345 72,923,895 4,563,090 22,713,891 287,057 6,449,325 239,160 34,252,523 286 4,022,561 11,184,513 168,028 246,159 15,621,547 (21,082) 17,567,082 1,197,103 766,911 19,510,014 43,081 100,603 214,793 24,219 3,157,115 3,539,811 1,879,576 13,125,286 20,853,575 3,918,011 6,505,834 46,282,282 30 677,788 11,592,251 69,403 491,072 12,830,544 2,963 1,255 1,703,721 61,760 711,532 2,481,231 2,726,881 13,690,687 8,399,870 3,920,664 (2,096,489) 26,641,613 645,531 645,531 2,726,881 13,690,687 8,399,870 3,920,664 (1,450,958) 27,287,144 6,926,800 20,360,344 6,233 196,694 19,248 25,064 437,864 685,103 514,364 392,137 304,356 235,906 2,840,825 4,287,588 177

2014 3,627,040 12,041,166 12,965,820 6,218,287 4,673,002 39,525,315 3,516,440 10,365,206 230,864 4,503,850 298,998 18,915,358 379 1,571,999 5,805,713 284,521 188,196 7,850,808 99,712 364 6,959,201 1,398,573 1,746,486 10,204,336 10,509 103,597 (29,958) 31,343 2,439,322 2,554,813 2,159,031 6,926,193 9,818,757 3,030,447 2,798,346 24,732,774 62 212,038 6,180,007 67,892 440,793 6,900,792 127 313,276 899 285,673 599,975 1,468,009 5,114,973 3,147,063 3,187,840 1,874,656 14,792,541 629,406 629,406 1,468,009 5,114,973 3,147,063 3,187,840 2,504,062 15,421,947 3,560,448 11,861,499 12,971 174,126 13,856 48,690 486,203 735,846 73,637 180,684 63,661 38,231 248,051 604,264 7. 2015 2014 10,293,652 5,687,944 5,288,412 2,131,145 39,483 31,719 15,621,547 7,850,808 8. 2015 2014 14,537,117 16,221,761 5,448,837 1,899,256 1,283,832 1,699,262 268,503 (692,758) 53,209 76,672 (2,081,484) (8,999,857) 19,510,014 10,204,336 9. 2015 2014 2,226 2,179,457 (i) 3,537,585 375,356 3,539,811 2,554,813 (i) 2015 30.07 178

10. 2015 2014 4,470,216 1,712,450 150,860 86,547 4,621,076 1,798,997 2015 2014 6,341,068 3,791,335 4,483,119 2,228,703 668,168 202,032 1,338,189 678,722 12,830,544 6,900,792 2015 2014 13,351,034 8,467,912 955,727 601,382 (i) 490,863 393,948 14,797,624 9,463,242 (i) 2015 2014 1,076,430 850,218 572,380 516,662 475,225 374,422 417,454 449,822 312,667 267,651 307,035 273,360 287,001 286,623 248,002 96,123 244,280 223,701 200,897 186,428 (i) 31,104 30,993 (ii) 4,326,426 780,202 8,498,901 4,336,205 (i) (ii) 0.22 2014 0.15 2015 29.95 179

11. 2015 (1) (2) (3) (4) (5) (1)+ (2)+(3)+(4) 2,085 3,127 185 5,397 1,672 4,010 156 5,838 3,011 4,505 301 7,817 36 36 153 153 153 153 156 156 1,094 4,611 115 5,820 100 100 50 50 1,022 3,089 110 4,221 839 2,356 97 3,292 1,124 4,060 133 5,317 1,333 4,066 133 5,532 1,035 6,326 128 7,489 1,235 4,060 128 5,423 1,871 5,002 112 6,985 997 2,292 105 3,394 749 3,259 92 4,100 18,067 50,763 648 1,795 71,273 * 2016 1 19 2016 2015 180

2014 (1) (2) (3) (4) (5) (1)+ (2)+(3)+(4) 1,748 3,452 119 5,319 1,666 3,997 103 5,766 2,777 10,116 278 13,171 103 103 156 156 156 156 153 153 119 119 1,088 1,100 80 2,268-100 100-100 100 1,000 1,800 77 2,877 787 615 69 1,471 1,119 3,815 90 5,024 1,327 3,815 90 5,232 1,327 3,997 86 5,410 1,334 3,815 86 5,235 1,832 3,124 72 5,028 833 501 71 1,405 743 809 67 1,619 17,581 40,956 887 1,288 60,712 2014 12. 2014 1 5 2014 4 2015 2014 13,930 12,971 59,241 30,533 73,171 43,504 181

2015 2014 9,500,001 10,500,000 1 10,500,001 11,500,000 2 11,500,001 12,500,000 1 12,500,001 13,500,000 13,500,001 14,500,000 2 14,500,001 15,500,000 2 15,500,001 16,500,000 1 5 4 13. 2015 2014 (i) 1,624,890 566,031 382,610 221,939 90,388 161,404 33,944 2,481,231 599,975 (i) 2015 14. (a) 2015 2014 7,983,850 3,728,589 7,694,673 3,556,265 289,177 172,324 (1,057,050) (168,141) 6,926,800 3,560,448 (b) 25% 2015 2014 27,287,144 15,421,947 6,821,786 3,855,487 133,247 (58,215) 374,357 134,117 (550,369) (479,331) (56,697) 31,804 204,476 76,586 6,926,800 3,560,448 182

15. 2015 150.98 2014 66.06 56 16. 2015 2014 6,058,454 3,415,242 3,415,242 1,652,537 2015 0.50 2014 0.31 17. 2015 2014 19,799,793 11,337,194 11,592,525 11,016,908 1.71 1.03 [2010]2 9 2010 33 2015 2014 183

18. 2015 12 31 2014 12 31 622,600 67,431 219,773 187,727 5,497 1,993,657 80,589 3,177,274 239,826 3,417,100 103,641 3,600 33,193 2,214,224 203 294,379 8,985 2,658,225 500,922 3,159,147 (9,497) (5,870) (11,386) (20,726) (840) (182,616) (8,751) (239,686) (204,308) (443,994) 2,114 2,315 (22) 76 45,335 1,476 51,294 51,294 2015 12 31 718,858 67,476 241,558 2,381,301 4,860 2,150,755 82,299 5,647,107 536,440 6,183,547 2014 12 31 232,785 30,857 190,781 52,248 4,663 1,615,559 67,883 2,194,776 2,194,776 24,476 11,239 20,863 28,261 331 212,647 12,176 309,993 309,993 (1,044) (3,530) (10,494) (18,864) (753) (175,797) (8,469) (218,951) (218,951) 1,791 1,510 (212) 63 37,497 959 41,608 41,608 2015 12 31 258,008 40,076 200,938 61,708 4,241 1,689,906 72,549 2,327,426 2,327,426 2014 12 31 2015 12 31 2015 12 31 460,850 27,400 40,620 2,319,593 619 460,849 9,750 3,319,681 536,440 3,856,121 2014 12 31 389,815 36,574 28,992 135,479 834 378,098 12,706 982,498 239,826 1,222,324 184

2014 12 31 2013 12 31 2,486,005 65,775 211,289 69,548 5,395 1,869,995 74,727 4,782,734 903,706 5,686,440 2,919 3,551 14,466 127,502 232 200,201 10,100 358,971 148,060 507,031 (1,864,460) (1,363) (5,559) (9,268) (130) (77,030) (4,380) (1,962,190) (811,940) (2,774,130) (1,864) (532) (423) (55) 491 142 (2,241) (2,241) 2014 12 31 622,600 67,431 219,773 187,727 5,497 1,993,657 80,589 3,177,274 239,826 3,417,100 2013 12 31 325,649 20,153 156,297 52,896 4,207 1,425,352 64,482 2,049,036 2,049,036 30,444 11,337 40,276 7,252 562 264,976 7,604 362,451 362,451 (121,900) (307) (5,447) (7,853) (106) (75,341) (4,314) (215,268) (215,268) (1,408) (326) (345) (47) 572 111 (1,443) (1,443) 2014 12 31 232,785 30,857 190,781 52,248 4,663 1,615,559 67,883 2,194,776 2,194,776 2013 12 31 2014 12 31 2014 12 31 389,815 36,574 28,992 135,479 834 378,098 12,706 982,498 239,826 1,222,324 2013 12 31 2,160,356 45,622 54,992 16,652 1,188 444,643 10,245 2,733,698 903,706 3,637,404 185

19. 2015 2014 12 31 12 31 10,075,152 10,047,495 10,075,152 10,047,495 547,268 27,657 357,143 10,622,420 10,075,152 357,143 10,265,277 10,075,152 2015 2014 12 31 12 31 7,418,587 7,418,587 2,085,994 2,330,564 434,695 193,826 193,826 88,675 88,675 43,500 43,500 10,265,277 10,075,152 2015 12 31 186

20. 2015 12 31 2014 12 31 124,274 934,124 1,160,812 260,005 55,081 2,534,296 600 139,098 2,197,212 2,336,910 (1,000) (1,023) (1,250) (3,273) 83 31,290 63,507 15,971 110,851 2015 12 31 123,957 1,103,489 1,224,319 275,976 2,251,043 4,978,784 2014 12 31 94,788 403,667 143,176 5,390 647,021 2,136 178,818 122,432 25,120 328,506 (695) (695) 572 5,677 12,290 18,539 2015 12 31 97,496 587,467 277,898 30,510 993,371 2014 12 31 2015 12 31 2015 12 31 26,461 516,022 946,421 275,976 2,220,533 3,985,413 2014 12 31 29,486 530,457 1,017,636 260,005 49,691 1,887,275 2014 1 2015 8 2015 9 27 187

2014 12 31 2013 12 31 122,872 876,299 1,030,535 259,158 11,386 2,300,250 3,200 75,929 126,909 43,695 249,733 (1,800) (19,750) (21,550) 2 1,646 3,368 847 5,863 2014 12 31 124,274 934,124 1,160,812 260,005 55,081 2,534,296 2013 12 31 91,686 244,711 42,939 3,479 382,815 4,396 174,679 101,050 1,911 282,036 (1,315) (16,820) (18,135) 21 1,097 (813) 305 2014 12 31 94,788 403,667 143,176 5,390 647,021 2013 12 31 1,544 1,544 (1,544) (1,544) 2014 12 31 2014 12 31 29,486 530,457 1,017,636 260,005 49,691 1,887,275 2013 12 31 29,642 631,588 987,596 259,158 7,907 1,915,891 188

21. 2015 2014 12 31 12 31 24,238,594 24,182,700 (a) % 720,000 590,000 100% 5,010 5,010 100% 1,500 1,500 100% 10,000 10,000 100% 75,610 27%(i) 1,010 1,010 100% 80,500 200,000 100% 10,000 30,000 100% 10,000 10,000 100% 100,000 100,000 100% (i) 189

% 500 30 100% 500 100 100% 50,000 100% 1,500 750 100% 100 100 70% 30% 300,000 300,000 100% 50,000 20,000 100% 1,300 1,300 100% 100 100 100% 20,000 20,000 93.47% 20,000 1,500 93.47% 30,000 8,160.30 93.47% 190

% 30,000 30,000 100% 1,000 1,000 100% 10,000 100% 10,000 10,000 100% 10,000 10,000 100% 651,605 100% 65,000 100% 5,000 100% 38,000 100% 1 100% Dragon Stream 1,000 100% Investments Limited CSI Capital Management Limited 5,000 100% CITIC Securities Equity 200 100% Trading Company Limited CITIC Securities 1,600 72% International Partners,Ltd. CSIAM (CAC) 1 100% Investments Limited August Sky Holdings Limited 1 100% CSI REITs Investment 1 100% Management Company Limited CSI Direct Investments Limited 3,800 100% CSI USA Securities Holdings,Inc. 2,700 100% CITIC Securities Carbon Trade and Investment Company Limited 25 100% 191

% CSI Nominee Services Limited 1 100% GMMC Limited 1 100% CSI Finance Limited 10,000 100% CSIAMC Company Limited(HK) 1 100% CSI Capital L.P. 4,471 64.20% CITIC Securities Finance 1 100% 2013 Co.,Ltd. CITICS GLOBAL 17,701.81 83.05% 16.95% ABSOLUTE RETURN FUND CITICS GLOBAL 29,572 100% MULTI-STRATEGY FUND CITIC Securities Finance 1 100% MTN Co.,Ltd. CSI Partners Limited 1 100% (b) % 7,000 12,532 92.07% 250,000 115,194 100% 160,479.30 150,303 93.47% 1,250 1,858.98 100% 23,800 207,515 62.20% 20,000 20,000 62.20% 5,000 2,550 62.20% 109,030 100% 78,020 59.04% 192

(c) 2015 4 17 2015 5 29 KVB Kunlun Holdings Limited 12 59.37% 2015 5 29 7.80 6.16 2015 5 29 3.05 59.37% 1.81 59.37% 2015 5 29 4.35 2015 5 29 5,984 3,620 690 10,294 126,404 508,550 634,954 288,689 51,701 340,390 98 304,760 59.37% 180,936 434,695 615,631 2015 12 31 2.52 0.55 (d) 3 6 3 1 2 3 193

2015 12 31 2015 12 31 2015 12 31 2,728,301 2,728,301 114,090 114,090 8,391 8,391 2015 2015 221,336 186,445 (168,376) (e) 2015 2014 (746,778) (8,037) (746,778) (8,037) 470,991 69,933 (275,787) 61,896 (f) 2015 12 31 2014 12 31 37.80% 37.80% 108,922 94,729 2,117,668 1,659,652 545,848 459,165 2015 2014 4,212,490 3,590,005 1,413,759 1,200,759 1,609,437 1,146,947 1,439,268 (29,330) (1,569,999) 446,895 (274,943) (250,607) (397,800) 165,730 2015 12 31 2014 12 31 6,908,483 5,177,048 615,169 404,743 1,537,905 1,011,862 383,452 240,779 (g) 2015 12 31 2014 194

22. 2015 2014 12 31 12 31 4,480,218 3,954,167 3,946 7,829 4,484,164 3,961,996 (a) 180,000 35% 35% 117,740 12.74% 12.74% 5,000 40% 40% 14,300 51.25% 46.75%(i) 32.26% 32.26% 33% 33% 1,760 34.09% 34.09% 5,000 35% 35% 5,000 35% 35% 1,000 25% 25% 10,000 35% 35% 195

5,000 40% 40% 5,000 40% 40% CITICPE Holdings Limited (iv) 35% 35% World Deluxe Enterprise Limited 40% 40% Aria Investment Partners III,L.P. 12.58% (ii) Aria Investment Partners IV,L.P. 39.27% Clean Resources Asia Growth Fund L.P. 17.59% (ii) Fudo Capital L.P. 0.24% (ii) Fudo Capital L.P.II 5.86% (ii) Fudo Capital L.P.III 5% (ii) Sunrise Capital L.P.II 26.20% CT CLSA Holdings Limited 50,000 25% Enhanced Investment Products Limited 49% 802.70 50% 50% 1,000 50% 50% 5,000 50% 50% Double Nitrogen Fund GP Limited 100 48% (iii) (i) (ii) (iii) (iv) 2014 12 31 CITIC PE (Hong Kong) Limited 196

(b) (i) 2015 2014 12 31 12 31 5,972,769 3,253,767 204,204 1,772,762 736,637 610,378 1,025,012 349,937 2,262,659 2,209,263 1,273,778 1,335,929 1,273,778 1,335,929 (ii) 2015 2014 12 31 12 31 760,928 342,258 1,423,577 1,300,904 1,276,022 547,878 222,153 242,305 513,161 616,638 5,141 160,590 5,141 160,590 (c) 2015 2014 12 31 12 31 1,166,359 705,688 2,251 2,771 1,168,610 708,459 (d) 2015 12 31 2014 12 31 (e) 2014 197

23. 2015 2014 12 31 12 31 402,288 357,848 12,367,452 10,613,631 12,769,740 10,971,479 614,801 413,881 12,154,939 10,557,598 402,288 357,848 11,752,651 10,199,750 12,154,939 10,557,598 2015 2014 12 31 12 31 33,192,595 10,847,436 14,004,989 11,915,670 (i) 34,521,099 16,142,125 81,718,683 38,905,231 1,738,537 626,820 79,980,146 38,278,411 44,654,277 20,062,011 35,325,869 18,216,400 79,980,146 38,278,411 (i) 2015 12 31 2015 7 6 2015 9 1 21,108,950,000.00 198

24. 2015 2014 12 31 12 31 147,533 122,635 205,991 183,533 353,524 306,168 353,524 306,168 9,352,528 8,378,051 647,550 3,749,508 10,000,078 12,127,559 7,183,636 8,359,578 2,816,442 3,767,981 10,000,078 12,127,559 25. 2015 2014 12 31 12 31 3,027,976 852,987 368,615 2,497,855 66,804 2,254 3,463,395 3,353,096 26. 2014 12 31 35,842 150,928 1,368,203 993,845 47,467 2,596,285 (13,417) 908 363,773 (850,187) 1,001,361 36,956 539,394 1,410 (41,936) 45,434 4,908 271 430 701 2015 12 31 23,835 908 514,701 518,016 1,953,541 130,287 3,141,288 199

2013 12 31 12,824 112,319 274,822 153,023 80,988 543,215 146,063 1,323,254 23,212 (112,319) (2,095) 1,287,215 451,527 (99,081) 1,548,459 (194) (274,822) (897) 485 (275,428) 2014 12 31 35,842 150,928 1,368,203 993,845 47,467 2,596,285 2014 12 31 555,138 1,450,136 573,508 5,977 25,695 2,610,454 (72,689) (522,491) 9,959 28,370 19,643 (537,208) 30,336 437,355 1,010 468,701 519 519 2015 12 31 512,785 927,645 1,020,822 34,347 46,867 2,542,466 2013 12 31 628,263 218 217,822 1,697 24,286 872,286 (75,507) 1,450,260 4,280 1,286 1,380,319 2,382 (342) 355,686 123 357,849 2014 12 31 555,138 1,450,136 573,508 5,977 25,695 2,610,454 200

27. 2015 2014 12 31 12 31 20 1,568,335 1,076,204 989,800 197,503 3,634,339 197,503 28. 2015 2014 12 31 12 31 75,745,319 74,135,256 221,916 75,523,403 74,135,256 2015 12 31 2.22 2014 12 31 29. 2015 2014 12 31 12 31 66,766,316 64,050,942 (i) 56,461,175 46,269,983 3,211,305 3,430,636 126,438,796 113,751,561 103,045,025 103,623,461 23,393,771 10,128,100 126,438,796 113,751,561 (i) 2015 12 31 0.28 2014 12 31 0.95 30. 2015 12 31 2014 12 31 472,655 677,513 259,065 219,616 415,342 116,180 82,874 163,557 10,530,910 3,943,703 6,664,763 4,717,018 358 165,676 209,927 175,706 27,530 109,248 28,967 11,594,613 4,765,284 7,281,626 5,339,085 2015 12 31 201

31. 2015 2014 12 31 12 31 30,129,245 33,114,142 6,731,852 9,367,198 15 381,555 90,388 36,770,724 42,862,895 5,476,491 2,878,703 487,031 4,109,297 30,897,590 35,874,895 90,388 36,770,724 42,862,895 2015 12 31 8.10 2014 12 31 62.89 2014 12 31 25.42 32. 2015 2014 12 31 12 31 6,302,988 7,966,725 3,663,622 3,152,563 2,891,244 1,692,822 2,428,775 2,291,044 312,632 248,843 21,767 2,852 1,299,111 6,028,704 148,580 38,724 16,771,559 21,344,829 33. 35 202

34. 2015 2014 12 31 12 31 348 283 68,906,544 37,966,906 68,906,892 37,967,189 2015 12 31 32.36 2014 12 31 23.99 35. 2015 2014 12 31 12 31 150,456,676 101,845,838 33 36. 2015 2014 12 31 12 31 879,246 687,253 1,239,769 772,938 1,337,160 1,148,123 3,456,175 2,608,314 37. 2015 2014 12 31 12 31 1,140,679 2,647,377 21,342,602 25,809,281 203