2013 10 1.50 2

6030 2013 2013 12 31 2013 2013 2014 4 30 H http://www.hkexnews.hk http://www.cs.ecitic.com 1

2013 10 1.50 2

... 4... 7... 8... 17... 20... 22... 52... 59... 71... 80... 92... 123... 214... 215.... 216.... 222... 223 3

2013 12 24 CLSA BV 2013 7 31 2013 12 2 2013 2013 4

CASA BV Credit Agricole Securities Asia BV 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. 8 518048 8 518048 48 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 0086-10-6083 6688 0086-755-2383 5383 0086-10-6083 6030 http://www.sse.com.cn http://www.hkexnews.hk 8

8 16 48 15 1 26 1 16 1 22 A 166 36 H 183 17M A 600030 H 6030 100000000018305 440300101781440 440300101781440 10178144 1,101,690.84 1,101,690.84 A 983,858.07 H 117,832.77 347.96 9

2013 9 13 9 10 1-2 1995 10 25 6 10001830 10178144 1.2 1.2.1 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% 2008 8 15 29.89% 2006 5 29 A 50,000 9.29 248,150 298,150 24.88% 2007 8 27 A 33,373.38 74.91 298,150 331,523.38 23.43% 2008 4 2007 10 5 10 10 331,523.38 663,046.76 10

2010 6 2009 10 5 10 5 663,046.76 994,570.14 2011 9-10 H 107,120.70 13.30 1 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 2013 2 25 20.30% 1996 1999 10 2002 2006 2007 (QDII);2008 2009 2010 2011 2012 2013 2014 1 A AA 6 1 180 50 300 A50 88 H AH 100 25 MSCI 11

1.2.2 (1) (QDII) (2) (3) (4) (5) 1.3 2013 1.3.1 2013 2013 2013 2013 2013 2013 12

2013 2013 2013 2013 2013 100 2013 2013 2013 DHL 2013 International Academy of Communications Arts and Sciences 27 ARC 2012 2012 2012 2012 2012 2013 2013 2012 13

2013 2013 2013 2013 2013 2013 1.3.2 A 1.3.3 2013 14

1.3.4 2012 2012 2012 1.3.5 2012 2012 2012 2012 2012 A 50 1.3.6 2013 PE 2013 2013 50 16 2013 5 21 2013 15

1.3.7 PVC 16

2.1 2.1.1 2013 2012 (%) 2011 20,279 13,071 55.14 26,371 6,635 5,055 31.26 14,615 6,846 5,487 24.77 15,031 5,244 4,237 23.77 12,576-22,714-17,194 122 2013 2012 2011 12 31 12 31 (%) 12 31 271,354 168,508 61.03 148,280 181,952 81,823 122.37 61,290 87,688 86,465 1.41 86,587 11,017 11,017 11,017 2.1.2 2013 2012 (%) 2011 0.48 0.38 26.32 1.23 0.48 0.38 26.32 1.23 (%) 6.02 4.90 1.12 17.00 2013 2012 2011 12 31 12 31 (%) 12 31 7.96 7.85 1.40 7.86 (%) 60.47 35.17 25.30 22.19 17

2.1.3 2013 12 31 347.96 14.02% 2013 12 31 2012 12 31 34,796 40,472 71,691 72,593 (%) 849.74 1,333.00 (%) 48.54 55.75 (%) 33.15 94.81 (%) 68.29 170.05 (%) 76.11 69.55 (%) 176.88 91.82 1 2012 12 31 2013 2 2.2 5 2.2.1 2013 2012 2011 2010 2009 20,279 13,071 26,371 30,281 23,868 13,644 8,016 11,756 13,985 10,669 211 432 416 24 103 6,846 5,487 15,031 16,320 13,302 5,244 4,237 12,576 11,311 8,984 2.2.2 2013 12 31 2012 12 31 2011 12 31 2010 12 31 2009 12 31 11,017 11,017 11,017 9,946 6,630 89,402 86,685 86,990 70,848 64,814 87,688 86,465 86,587 70,435 61,599 181,952 81,823 61,290 82,330 141,993 45,196 34,807 36,477 62,081 112,478 271,354 168,508 148,280 153,178 206,807 18

2.2.3 2013 2012 2011 2010 2009 0.15 0.30 0.43 0.50 0.50 0.48 0.38 1.23 1.14 0.90 0.48 0.38 1.23 1.14 0.90 (%) 6.02 4.90 17.00 17.28 15.38 (%) 60.47 35.17 22.19 22.23 31.29 (1) (2) 2009-2010 2010 (3) 19

2013 2013 202.79 55.14% 52.44 23.77% 2013 2013 6.18% 542.99 10.95% 1,595.37 1,578.39 5,048.58 1.7 QFII 110 2013 334.20 9.64% 31.41 78.77 2011 2013 2010 117 2013 1,100 8 2012 15% 2013 28% 2013 8 200 2012 1.55 2013 2.5 20

2014 2014 2014! 2014 3 27 21

4.1 4.1.1 2013 2013 2013 2011 2013 27% 39% 4.1.2 2011 4.1.3 2013 8 200 2014 22

4.1.4 2014 4.2 4.2.1 2013 A 3.09%IPO 4,594 20.40% 3,522 2,151 3.67% 76.66% 227.73% 233.12% 2013 A 60.12% 2012 60.68% 2013 23

16 542.99 10.95% 1 IPO 11 243.25 2013 2012 15,291 1 17,361 15 39,008 15 33,287 15 54,299 16 50,648 30 2012 2013 5 IPO 3 4 21 2014 2014 2013 2013 1-5 2013 5 2013 5 2013 24

2013 141 1,595.37 4.02% 2013 2012 29,000 17 37,267 20 31,247 40 20,716 13 54,775 25 93,600 24 25,390 32 36,150 30 15,325 18 16,950 15 3,800 9 10,672 35 159,537 141 215,355 137 37 132 2014 2014 2013 2.33 3.86% 27,830 0.49% 40.67% 56% 2013 2,456.40 29.03% 2,743 0.11% 36.76% 53.78% 25

2013 256.42 1,578.39 30 2013 2014 2014 4.2.2 2013 2,002 52% 2013 0.796 1% 2013 12 31 23.91 3.78% 5,264 12% 2013 2013 5.89 6.18% 7.29% 2013 1.79 500 36.2% 54 QFII 110 2013 1,139.03 26

2014 2014 2014 4.2.3 2013 2013 A 2013 2,115.98 6.75% 8,121.79 10.91% 300 2,330.03 7.65% 2013 (ETF) 2013 6 ETF ETF ETF OTC 2013 2013 9.64% 27

2013 12 31 330.86 285.32% 3.34 33.15% 2013 2012 12 31 12 31 22,502 6,236 7,310 1,869 3,608 732 33,420 8,837 2013 2013 A 2014 2014 2014 4,500 A 10% 28

4.2.4 2013 2013 12 31 5,048.58 330.64 4,689.65 28.29 2013 2012 12 31 12 31 2013 2012 1-12 1-12 33,064 24,923 193.56 151.56 468,965 222,423 245.96 46.13 2,829 3,493 2.06 0.40 504,858 250,839 441.58 198.09 2013 2,465.42 2013 35 42.11 51.08 2013 41 1 81.41 29

2013 2013 12 31 3,333.74 12.01% 2,447.15 3.98% 8.15% 886.58 42.37% 501.14 2014 2014 QDII 2014 4.2.5 2013 2013 349 5.4% 339 345.06 36.3% 2013 660 2.9% 602 244.83 23.7% 2013 A IPO 2013 228 62 30

2012 12 2013 16 15 2013 1 2013 7 2013 12 31 19 36.44 2014 2013 8 25.84 2014 LP 31

4.2.6 2013 A 70 A+H 180 (NDR) 2013 12 31 150 1,300 18 4.3 4.3.1 2013 2013 202.79 55.14% 52.44 23.77% 0.48 26.32% 6.02% 1.12 2013 32

2013 876.88 12.23 1.41% 2013 2,261.58 2012 1,337.01 924.57 69.15% 276.85 12.24% 51.46% 2.65% 15.17% 84.13% 2013 1,367.56 2012 470.16 897.40 190.87% 2013 60.47% 2012 35.17% 25.30 2013 1.85 2012-76.00 77.85 2013-227.14 2012-171.94 55.20 2013 26.01 2012 7.44 18.57 2013 202.98 2012 88.50 114.48 2013 2012 33

4.3.2 2013 68.46 24.77% 2013 2012 10,699 7,090 4,090 2,172 5,259 3,648 231 161 13,644 8,016 211 432 6,846 5,487 1,538 1,180 5,244 4,237 2013 202.79 55.14% 2013 2012 2011 2010 2009 52.76% 54.24% 36.83% 54.81% 76.05% 20.17% 16.62% 7.80% 6.57% 8.46% 25.93% 27.91% 54.58% 37.98% 14.36% 1.14% 1.23% 0.79% 0.64% 1.13% 100.00% 100.00% 100.00% 100.00% 100.00% 34

2013 96.38 53.25% 2012-2013 2013 2012 6,493 3,603 2,890 80.21% 2,217 2,754-537 -19.50% 399 238 161 67.65% 1,489 320 1,169 365.31% 101 175-74 -42.29% 1,061 801 260 32.46% 9,638 6,289 3,349 53.25% 2012-2013 28.90 80.21% 2013 52% 6.18% 5.37 19.50% 2013 IPO 1.61 11.69 365.31% 2013 10 5,000 2.44 123.23% 35

2013 8.29 32.27% 2013 2012 1,611 1,675-64 -3.82% 2,478 493 1,985 402.64% 1 4-3 -75.00% 142 153-11 -7.19% 1,776 556 1,220 219.42% 1,246 233 1,013 434.76% 97 6 91 1,516.67% 829 1,224-395 -32.27% 402.64% 219.42% 250 434.76% 1,516.67% 2013 52.59 44.16% 2013 2012 2,774 1,646 1,128 68.53% 1,259 1,815-556 -30.63% 1,226 187 1,039 555.61% 5,259 3,648 1,611 44.16% 36

11.28 68.53% 8.97 126.82% 2.31 24.59% 5.56 30.63% 22.34 27.90 5.56 10.39 555.61% 2013 93.22 30.54 2013 2012 5,077 3,786 1,291 34.10% 331 280 51 18.21% 773 401 372 92.77% 2,788 1,771 1,017 57.43% 353 30 323 1,076.67% 9,322 6,268 3,054 48.72% 12.91 34.10% 3.67 9.69% 0.51 18.21% 0.01 92.77% 2013 10.17 57.43% 3.32 18.75% 37

2013 3.53 3.23 2013 2012 350 34 316 929.41% 2-4 6 1 1 353 30 323 1,076.67% 4.3.3 2013 12 31 2,713.54 61.03% 2013 2,261.58 69.15% 2013 12 31 2012 12 31 35,704 37,878-2,174-5.74% 4,298 9,796-5,498-56.12% 69,898 38,808 31,090 80.11% 6,491 423 6,068 1,434.52% 34,302 9,423 24,879 264.02% 5,986 3,873 2,113 54.56% 27,685 25,836 1,849 7.16% 41,794 7,664 34,130 445.33% 226,158 133,701 92,457 69.15% 38

2013 12 31 1,163.91 2012 294.86 33.93% 51.46% 13.54 2013 12 31 2012 12 31 35,704 15.79% 37,878 28.33% 4,298 1.90% 9,796 7.33% 69,898 30.91% 38,808 29.03% 6,491 2.86% 423 0.31% 116,391 51.46% 86,905 65.00% 39

2013 12 31 21.74 5.74% 15.79% 2013 12 31 2012 12 31 6,451 18.07% 12,547 33.12% 20,589 57.67% 21,698 57.28% 8,664 24.26% 3,633 9.60% 35,704 100.00% 37,878 100.00% 2013 12 31 2012 12 31 3,484 9,027-5,543-61.40% 814 769 45 5.85% 4,298 9,796-5,498-56.12% 2013 56.12% 2013 12 31 310.90 80.11% 30.91% 40

2013 12 31 2012 12 31 46,340 24,573 21,767 88.58% 11,308 13,568-2,260-16.66% 12,036 483 11,553 2,391.93% 214 184 30 16.30% 69,898 38,808 31,090 80.11% 2013 12 31 59.86 54.56% 2013 12 31 2012 12 31 3,637 3,320 317 9.55% 432 392 40 10.20% 1,917 161 1,756 1,090.68% 5,986 3,873 2,113 54.56% 2013 12 31 18.49 2013 12 31 2012 12 31 27,685 25,836 1,849 7.16% 41

2013 12 31 1,819.52 1,001.29 122.37% 2013 1,367.56 190.87% 2013 2013 12 31 2012 12 31 45,196 34,807 10,389 29.85% 11,998 13,000-1,002-7.71% 19,283 19 19,264 101,389.47% 55,704 22,044 33,660 152.69% 26,177 1,500 24,677 1,645.13% 23,594 10,453 13,141 125.72% 181,952 81,823 100,129 122.37% 2013 12 31 451.96 29.85% 24.84% 2013 12 31 2012 12 31 36,591 33,109 3,482 10.52% 26,842 27,915-1,073-3.84% 9,749 5,194 4,555 87.70% 8,605 1,698 6,907 406.77% 45,196 34,807 10,389 29.85% 406.77% 2013 12 31 192.83 CLSA 42

336.60 152.69% 2013 2013 12 31 381.75 236.75 2013 200 2013 8 49.43 2013 12 31 894.02 3.13% 2013 2013 12 31 2012 12 31 11,017 11,017 34,428 34,524 6,439 5,885 11,402 10,425-334 -133-896 -473 25,632 25,220 1,714 220 89,402 86,685 4.3.4 6.5 4.3.5 2013 4.3.6 43

4.3.7 5 1 14 4.3.8 2008 1 1 [2012]57 < > 25% 4.4 4.5 4.5.1 2012 < > 25% 30% 2/3 2012 2012 12 27 44

2013 6 20 2012 2012 10 3.00 2013 8 16 25.02% 2012 78% 2014 3 27 < > 3 2013 4. 5.2 2010 10 5 2011 10 4.30 2012 10 3 2010 2011 30% 2012 25.02% 78% 2010 4,973 15,141 32.84% 11,311 43.96% 2011 4,737 15,688 30.20% 12,576 37.67% 2012 3,305 13,209 25.02% 4,237 78.00% 45

4.6 4.6.1 4.6.2 46

47

4.6.3 VaR VaR VaR 1 95% VaR VaR VaR VaR VaR 95% 1 48

VaR 2013 12 31 2012 12 31 176 129 304 287 33 31 10 8 9 7 12 7-36 -26-16 -13 VaR 182 141 310 289 2013 12 31 VaR 1.3 2013 12 31 VaR 1.5 4.6.4 49

2013 2012 12 31 12 31 10,334 7,110 AAA 7,829 8,463 AA 16,649 8,922 A 400 535 A-1 2,654 5,918 4,503 2,510 42,369 33,458 AAA A AAA A-1 AA AA+ AA AA- A A+ A A- 2013 12 31 2012 12 31 A 76 27 B 528 527 C 1,271 707 D 18 NR 2,613 431 4,506 1,692 NRA 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- 181,587.61 130% 132% 142% 130% 50

4.6.5 4.6.6 51

5.1 4.2 5.2 2013 4.5 6.8 5.3 (2011) 60469435_A09 2011 H 112.71 2013 12 31 110.61 71.66 23.00 15.91 352.27 2.08 200 ETF 2013 8 2013 12 31 215 8 47.24 120 382.24 2014 52

5.4 7 3 (%) 100.00 2002.2.6 88,500 29 29 0086-571- 22 23 22 23 85783737 100.00 1988.6.2 80,000 222 0086-532- 1 29 15 85022517 21 1507-1510 100.00 1998.4.9 651,605 1 1 00852 26 26 22376899 100.00 1993.3.30 150,000 8 1 3 1 3 0 3-1 3 0 5 1 4 8 1 3 1 3 0 3-1 3 0 5 1 4 0086-755- 83217504 1 100.00 2007.10.11 720,000 48 17 48 0086-10- 60837899 100.00 2012.4.1 300,000 48 222 1 2001 0086-10- 60838838 2 59.00 1998.4.9 23,800 33 B 16 A 0086-10- 88066688 35.00 2008.6.6 180,000 89 0086-10- 11 C 85079070 30.00 2005.9.30 190,000 0086-10- 1 2 188 5 66276508 1032 3 6 D 50.00 2005.12.27 100 3 F 4 0086-10- 65692913 1601 401-A-16 1 13 72 2 62.20% 3 53

(1) 8.85 2013 12 31 1,689,495 296,402 2013 176,968 82,670 61,578 59 2,209 (2) 8 2013 12 31 832,794 304,974 2013 95,340 40,825 30,579 46 1,979 (3) 651,605 2013 12 31 4,557,324 607,000 2013 252,276 39,336 34,931 4 2013 12 31 1,829 (4) 15 2013 12 31 1,158,814 201,374 2013 65,421 27,682 22,548 29 694 (5) 72 2013 12 31 1,169,553 895,759 2013 74,602 49,880 34,311 103 (6) 30 2013 12 31 365,845 329,944 2013 36,591 29,008 21,756 54

(7) 2.38 59% 62.20% 2013 12 31 432,861 343,281 2013 304,662 128,537 97,079 710 (8) 18 35% 2013 12 31 367,926 283,790 2013-43,326 2013 (9) 19 30% 2013 12 31 187,673 164,608 2013 4,980 (10) 100 50% 2013 12 31 10-63 2013-18 5.5 5 2010.9.29 0086-10- 5 5 65648601 4 2010.10.26 0086-21- 1568 10 61768699 2010.12.10 0086-20- 5 37 66609909 2010.9.26 0086-27- 747 85355300 16 2010.10.21 0086-25- 5 83282416 55

5.6 2013 12 31 2013 2013 3 2013 5.7 2013 3.37% 5% 5.8 10 5.9 5.10 5.11 2013 12 31 XV 352 (%) A 2,649,750 0.024% A 1,733,160 0.016% A 1,728,363 0.016% A 483,285 0.004% A 108,000 0.001% 56

8.1.1 2013 12 31 18 5.12 5.13 46 5.14 A [2012]85 1 5% 1 1 5% (QFII) QFII 2009[47] 10% QFII H [1993]045 [2011]348 10% 10% 10% (1) 10% (2) 10% 20% (3) 20% H [2008]897 H 2008 10% 57

5.15 2013 12 31 18 5.16 2013 500 500 2013 7 115 2,200 2013 11 2013 2013 2014 3 27 58

6.1 390 10 2012 9 7 2012 11 16 2012 12 26 2013 1 17 2014 1 29 6.2 6.3 6.3.1 2012 7 20 19.9% 3.1032 2013 7 31 80.1% 2013 7 31 80.1% 80.1% 9.4168 8.4168 23,854,598 CASA BV,CASA BV 23,854,598 76,145,402 80.1% 80.1% 85,550,412 2013 12 3 CASA BV 100% 10.90 12.52 1.62 6.3.2 2013 9 16 2013 9 16 59

6.3.3 13.2% 16 5.888 10% 3.2% 10% 2013 9 24 3.2% 2014 1 29 62.20% 6.3.4 2013 6.4 / / 2011 9 2011 2011 9 23 2011-2013 2013 2013 12 31 < > 2014-2016 2013 2014-2016 H 2013 9 26 2013 10 14 2013 11 29 60

6.4.1 3 2011 9 23 2014 9 22 2013 12 31 467 383 61

2013 12 31 2013 24 5.19 2013 2.1 0.45 2013 2013 1 46,668 38,275 2 2,400 519 3.51% 210 45 1.03% 10 2011 9 23 2021 9 22 2013 12 31 2013 0.8 0.25 2013 1.2 0.34 2013 2013 80 25 10.40% 120 34 0.42% 62

3 2011 9 23 2014 9 22 2013 12 31 2013 700 2013 2.52 2013 18,000 5,355 2013 2013 7,000 25.20 0.01% 180,000 53,553 0.66% 2011 9 22 H 63

2012 2013 2013 335 0.65 0.01% 60 125 10 2,000 5,000 5,000 2012 0.5% 0.1% 64

6.4.2 2006 15 15 2013 12 31 15 2012 12 31 15 112 112 50 592-265 68 150 322 3,527 833 833 2013 12 31 65

6.5 6.5.1 6.5.2 2013 9.02 ISDA GMSL 1 CSI Capital Management Limited 8,000 2 20,000 3 33,500 4 CSI Capital Management Limited ISDA GMSL 5 CITIC Securities International USA,LLC 580.75 2 6 250,500 22,900 450 1 1-5 2 2013 12 31 114 2013 12 31 13% 6.5.3 66

6.6 5% 6.6.1 2 23 700.14 6-7 3,000 6.6.2 2002 12 2005 12 1% 12 5% 24 10% 67

6.7 5% 5% 2013 1 8 2013 4-5 7 6.8 6.8.1 2013 2013 13,280,530,116.13 2013 2,908,853,406.92 2013 3,305,072,520.00 2013 12,884,311,003.05 2013 (1) 2013 10% 290,885,340.69 (2) 2013 10% 290,885,340.69 (3) 2013 10% 290,885,340.69 872,656,022.07 12,011,654,980.98 68

2013 2013 12,315,827,634.21 2013 (1) 2013 100% 2013 12 31 A H 11,016,908,400 A H 10 1.50 1,652,536,260.00 2013 31.51% 13.42% 2013 10,663,291,374.21 (2) A H 2013 2013 2013 31.51% 13.42% 25% 2/3 2013 12 31 347.96 2012 14.02% 57 2013 33.05 48.54% 48% 76.11% 80% 2013 2013 2013 2013 H 69

6.8.2 11 4 70 13 1 48 4 18 1801 2 48 4 20 2001 3 6 C 16 4 C 503 5 7088 1706 6 188 7 7 33 2405 8 5 9 1 10 441 3 B401-F19 11 A2112-A2114 1 92 B 5 2 308 8 3 258 6 4 368 B 11 70

2 7 59 4 3 1 2014 1 47 8 2014 1-3 33 4 6.8.3 2013 1 1.5 27.027% 2013 12 1,000 11.11% 2014 2 1,200 24% 800 16% 7.1 2013 12 31 (%) A 2,300,630,550 20.88 A A 7,537,950,150 68.42 H H 1,178,327,700 10.70 11,016,908,400 100.00 A 71

7.2 + %) (%) 1 2 3 23,919,000 0.217 23,919,000 0.217 23,919,000 0.217 23,919,000 0.217 4 23,919,000 0.217 23,919,000 0.217 1 9,814,661,700 89.087 9,814,661,700 89.087 2 3 1,178,327,700 10.696 1,178,327,700 10.696 10,992,989,400 99.783 10,992,989,400 99.783 11,016,908,400 100.000 11,016,908,400 100.000 2006 9 7 72

7.3 2011 9 99,530 H 13.30 13 9,953 H 2011 10 6 109,483 H 2011 10 27 7,590.70 H 13.30 13 759.07 H 7,590.70 H H 759.07 H 2011 11 1 2011 11 7 994,570.14 1,101,690.84 2013 2013 5 8 2.5% 2013 5 6 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 2013 3 28 2013 AAA AAA 2013 7 9 2013 AAA AAA 2013 7 15 2006 2006 AAA 2013 9 23 2013 AAA 2011 91 2013 12 31 120 73

7.4 2013 12 31 562,160 A 562,038 H 122 2014 3 21 599,579 A 599,463 H 116 7.4.1 2013 12 31 7 (%) 1 2,236,890,620 20.30 2,236,890,620 2,236,890,620 2 1,178,008,200 10.69-48,500 1,178,008,200 3 361,059,999 3.28 361,059,999 231,141,935 2.10 231,141,935 129,908,681 1.18 109,908,822 129,908,681 106,478,308 0.97 106,478,308 A50ETF 71,730,053 0.65 22,937,506 71,730,053 64,563,634 0.59-6,660,000 64,563,634 63,739,930 0.58 63,739,930 51,447,504 0.47 51,447,504 51,447,504 1 2013 2 25 2,236,890,620 A 2 H 3-005L-CT001-005L-FH002 351,322,773 9,737,226 4 2013 12 31 3,400 5 6 2013 12 31 H A 7: A 8 74

7.4.2 2013 12 31 A B H 2,236,890,620 A 1,178,008,200 H 361,059,999 A 231,141,935 A 129,908,681 A 106,478,308 A A50ETF 71,730,053 A 64,563,634 A 63,739,930 A 51,447,504 A 7.4.3 2013 12 31 23,919,000 7.4.4 2013 2 25 20.30% 2011 12 27 12,800,000 71783170-9 2012 12 31 34,708 31,099 2,283 2012 3,022 315 2012 298 1,367 357 75

1979 183,970,408,771.84 10168558-X 2012 12 31 35,657 31,851 2,355 2012 3,498 302 2012 327 1,497 520 2013 12 31 : 601998.SH 66.95% 0998.HK 0267.HK 57.51% 1883.HK 59.81% 1205.HK 59.41% 1135.HK 37.59% 1091.HK 49.26% 601608.SH 71.04% 000099.SZ 42.18% 2013 12 31 000839.SZ 41.42% 600084.SH 42.65% 21 0241.HK 21.73% 2013 12 31 5% H 76

7.4.5 571 336 2013 12 31 2013 12 31 2013 12 31 2013 A 12 31 H (%) (%) Temasek Holdings (Private) Limited JPMorgan Chase & Co. 1 A 2,303,963,550 A 688,700,626 2 H 70,688,700 3 H 106,142,500 4 H 59,381,321 H H H H 4,128,062 47,499,434 1,200,000 3,128,062 23.42 20.91 7.00 6.25 6.00 0.64 9.01 0.96 5.04 0.54 0.35 0.04 4.03 0.43 0.10 0.01 0.27 0.03 77

2013 12 31 2013 A 12 31 H (%) (%) BlackRock, Inc. 5 H 86,996,031 H 1,399,500 H 192,500 H 76,500 FIL Limited H 83,004,500 Banco BTG Pactual H 58,625,500 S.A. Lazard Asset H 82,859,000 Management LLC Deutsche Bank 6 H 69,055,075 Aktiengesellschaft H 58,612,550 H 3,932,000 H 16,433,750 H 2,369,500 Citigroup Inc. 7 H 63,703,195 H 12,167,228 H 51,279,081 H 5,006,821 H 874,870 7.38 0.79 0.12 0.01 0.02 0.002 0.006 0.0007 7.04 0.75 4.98 0.53 7.03 0.75 5.86 0.63 4.97 0.53 0.33 0.04 1.39 0.15 0.20 0.02 5.41 0.58 1.03 0.11 4.35 0.47 0.42 0.05 0.07 0.008 78

1 2,236,890,620 A 67,072,930 A 2013 12 31 2,300,630,550 A 20.88% 2 231,141,935 A 457,558,691 A 2013 12 31 592,201,934 A 5.38% 3 Temasek Holdings (Private) Limited Fullerton Management Pte Ltd. Cairnhill Investments (Mauritius) Pte Ltd. 106,142,500 H 4 JPMorgan Chase & Co. 5 BlackRock, Inc. 6 Deutsche Bank Aktiengesellschaft 7 Citigroup Inc. 8 Temasek Holdings (Private) Limited Banco BTG Pactual S.A. H 2013 12 31 2013 12 31 336 7.5 H H (i) 10% (ii) H H H 10.70% 8.08 7.6 7.7 79

8.1 8.1.1 2013 1 2 2 62 2012.6.20-2,649,750 2,649,750 583.43 2015.6.19 52 2012.6.20-1,733,160 1,733,160 576.73 2015.6.19 50 2012.6.20-2015.6.19 1,270.86 40 2013.12.19-2014.3.10 2015.6.19 50 2012.6.20-2015.6.19 10.00 45 2012.6.20-2015.6.19 55 2012.6.20-2015.6.19 16.20 59 2012.6.20-2015.6.19 16.20 66 2012.6.20-2015.6.19 15.90 66 2012.10.29-2015.6.19 16.20 58 2012.6.20-2015.6.19 1,728,363 1,728,363 216.35 57 2012.6.20-2015.6.19 10.00 80

2013 1 2 2 51 2012.6.20-2015.6.19 10.00 46 2012.6.20-2015.6.19 483,285 483,285 247.25 43 2012.6.20-108,000 108,000 149.91 2015.6.19 61 2012.6.20-352.70 2013.10.11 46 2012.6.20-1,728,363 1,728,363 322.69 2013.10.11 44 2012.6.20-2015.6.19 870,000 870,000 466.89 43 2012.6.20-2015.6.19 1,310,000 1,310,000 438.65 44 2013.12.30-2015.6.19 252,258 252,258 796.97 45 2013.12.30-2015.6.19 355.52 45 2013.12.30-364.68 2015.6.19 49 2013.9.10-161.13 2015.6.19 41 2012.6.20-2015.6.19 133.44 10,863,179 10,863,179 6,260.03 1 2 A 81

3 2011 2012 7 10 15 3,000 2012 6 20 2013 2013 4 8.2 5 2013 12 31 A 12.75 H 21.15 8.1.2 2011.12.27 2011.2 2001.1 8.1.3 2013.9 2008.10 1994.10 1994.8 2010.4 2008.10 2007 2 2013 9 82

8.1.4 4 62 1995 1999 9 26 1987 1992 1992 1993 1993 1995 2002 2009 1997 12 1977 1984 52 2001 2012 6 20 1987 1993 1993 2001 1994 1995 1984 1987 1998 50 2007 2009 6 30 1991 1992 1992 1998 1998 1999 1998 1999 1999 2000 2000 2002 2002 2007 2007 2009 2000 2009 ACT 360Solutions Limited 2005 2009 2006 2010 2010 2011 2010 2012 1985 1991 40 2008 2012 2013 1995 2006 83

2 50 2002 2002 5 30 1995 1998 1998 2000 2000 2002 2004 2011 1987 45 2012 2012 6 20 2005 2005 2011 2 1991 1996 1999 4 55 2012 2012 6 20 1986 7 1994 9 1994 10 2002 6 1994 7 1983 7 1986 7 1990 7 59 2011 2011 11 14 5100 29 2007 10 1996 12 1983 9 1984 3 1995 7 2007 1980 1988 66 2011 2011 8 11 1982 84

66 2012 2012 10 29 1984 2003 2003 2008 2011 2012 5 2009 2013 1982 1 1984 12 5 58 1995 2010 5 19 1988 1994 1996 10 1982 57 1999 1999 9 26 1988 1992 1992 2002 2001 1 2013 1 1993 9 1988 51 2006 2006 5 12 1984 2008 1998 46 1995 2002 5 30 1994 43 1997 2005 12 16 1993 7 44 1998 1991 1996 2000 85

43 1997 A 2007 1994 1997 (MBA) 44 1997 5 1992 45 1997 7 2003 2006 2006 9 1991 2002 2012 45 2006 3 2013 1990 1993 2003 49 2010 1994 2008 41 1997 A 2003 2011 1996 2011 4 2011 5 86

8.2 1 2013.12.19 2014.3.10 2 2013.9.10 3 2013.10.11 4 2013.10.11 5 2013.12.30 6 2013.12.30 7 2013.12.30 8.2.1 2013 10 29 2013 [2013]197 2013 12 19 2014 1 24 [2014]32 2014 3 10 2 8.2.2 8.2.3 2012 12 19 [2013]45 [2013]89 2013 9 10 2013 10 11 [2013]203 [2013]204 [2013]202 2013 12 30 87

8.3 8.4 8.4.1 8.4.2 2013 2013 8.4.3 8.1.1 88

8.4.4 2006 9 6 2006 9 7 2011 9 6 66,081,000 8.1.1 IT 89

8.5 8.5.1 2013 12 31 12,211 4,687 (%) (%) 7,448 61.00 3,074 65.58 739 6.05 611 13.04 737 6.04 91 1.94 153 1.25 137 2.92 518 4.24 163 3.48 95 0.78 6 0.13 447 3.66 121 2.58 278 2.28 65 1.39 95 0.78 28 0.60 172 1.41 64 1.37 623 5.10 190 4.05 312 2.55 47 1.00 539 4.41 77 1.64 55 0.45 13 0.28 12,211 100.00 4,687 100.00 196 1.61 146 3.12 2,367 19.38 1,476 31.49 6,661 54.55 2,129 45.42 2,987 24.46 936 19.97 12,211 100.00 4,687 100.00 34 7,259 59.44 2,954 63.03 35 50 4,513 36.96 1,625 34.67 51 439 3.60 108 2.30 12,211 100.00 4,687 100.00 90

8.5.2 8.5.3 2013 12 31 1,134 400 8.5.4 10 91

8.4.4 8.5.5 9.1 9.13 92

9.2 2008 3 13 8.1.1 9.3 10% 10 5 10 10% 5 90 10% 3% 3% 10 2 1.1 93

2013 12 31 2013 2013 3 13 2012 2013 6 20 A H < > 2012 2012 2012 2012 2013 2013 2012 94

2013 2013 10 29 2013 2013 11 29 < > < > 4 4 3 1 100% 4 4 2 2 100% 4 4 4 100% 2014.3.10 4 3 3 75% 4 4 3 1 100% 4 4 1 3 100% 4 4 3 1 100% 4 4 3 1 100% 4 4 3 1 100% 2013 9.4 9.4.1 2013 2013 12 19 95

10 4 2 4 1/3 3.13 2011 9.4.2 9.4.3 96

2013 9.4.4 2013 1 21 48 11 1 2013 2013 2 28 2013 3 27 48 11 1 2012 2012 2012 2012 A H 2013 < > 2013 2012 2012 2012 2012 2012 < > 2012 2012 2012 2013 4 18 2013 4 25 2013 97

2013 5 21 10% 2013 8 19 2013 8 29 2013 2013 < > 2013 2013 9 26 < > 2013 2013 10 11 48 11 1 2013 10 30 2013 2013 11 8 3.20% 98

12 12 12 12 12 12 2 1 2014.3.10 2 12 11 1 12 12 12 12 12 12 12 12 1 12 12 12 3 9 1 2013 2 2013 10 11 3 9.4.5 2013 3 13 2013 8 200 150 8 2013 2013 6 20 2012 < > 2013 9 13 [2013]121 99

2013 6 20 2012 2012 10 3 A H 2013 8 16 2013 6 20 2012 2013 2013 2014 3 27 2013 6 20 2012 A H A+H 2013 10 29 2013 2014 1 15 [2014]53 2013 10 29 2013 2013 12 19 2013 11 29 2013 < > 2014 3 6 [2014]17 2013 11 29 2013 < > 2013 12 31 < > 9.4.6 100

2013 3 13 2013 4 7 2013 4 14 2013 5 9 2013 6 19 2013 5 9 2013 5 9 2013 11 2013 1 9 2013 5 9 2013 8 2013 10 16 2013 12 16 2014.3.10 60 22 2013 11 6-9 2013 3 14 2013 5 9 2013 6 19 2013 11 21 2013 11 22 2013 5 9 2013 6 6 2013 6 17-20 101

2013 1 12 2013 5 9 2013 12 17 2013 12 26 2013 12 2013 2 26 2013 3 13 2013 5 2 2013 5 9 2013 6 7 5100 2013 7 30 2013 12 6 2013 5 9 2013 5-11 5 2013 7-11 3 2013 5 9 2013 5 24 2013 6 27 2013 8 22 20 2013 11 29 2013 12 19 102

9.5 9.6 6 4 8.1 9.7 1 2 2 3 4 3 5 2 6 1 8.1.4 2 2014 1 24 3 2014 3 24 2014 < > 2014 3 27 103

9.7.1 1 2013 10 11 9.7.2 5 2013 2013 2013 104

2013 3 13 2012 2012 2013 3 27 2012 2012 2013 2013 4 25 2013 2013 8 29 2013 2013 10 30 2013 2014 1 10 2013 2014 3 12 2013 2013 2014 2014 3 26 2013 2013 2013 5/5 5/5 5/5 5/5 2013 2013 105

2013 2014 3 27 2013 2013 2014 2014 2014 3 27 2013 9.14 9.7.3 2013 1 2013 3 27 2012 2012 2012 2012 2012 106

2013 2006 9 9.7.4 2013 2013 12 31 4 2 2013 8 29 < > 2013 10 11 107

9.7.5 2 2013 3 22 2012 2012 2013 8 29 2013 9.7.6 108

3 2013 1 21 2013 3 22 2013 2013 9 26 2013 2014 3 6 9.8 9.8.1 2012 2013 3 13 2012 3 2012 2012 2013 3 27 3 2012 2012 2013 109

2013 2014 1 10 2014 2013 4 3 2013 2013 2014 3 12 2013 2013 2013 2014 2014 3 26 2013 2013 2013 9.8.2 2013 1 21 2013 3 27 2013 2012 2013 7 29 2013 9 11 5,000 5,000 2013 9 26 2013 10 11 11 18 2013 110

9.8.3 2013 3 27 2012 [2003]56 2013 4 18 9.8.4 2013 3 27 2012 2012 2013 9 26 100% 9.8.5 2008 7 28 9.4.4 9.8.6 111

9.9 2013 9.9.1 2013 3 27 11 18 2012 2012 2012 2012 2012 2012 2012 2012 2013 4 25 2013 2013 8 29 2013 2013 2013 10 11 < > 2013 10 30 2013 112

5 5 5 5 5 5 5 4 1 5 5 5 1 4 9.9.2 3 2013 7 1 2013 7 18 2013 9 6 9.9.3 (1) (2) 2013 (3) 8 200 2013 12 31 120 113

(4) (5) (6) (http:// www.sse.com.cn) (http://www.hkexnews.hk) (7) (8) 2013 2013 2013 (9) 2013 2013 2013 114

9.10 9.10.1 2012 2013 2013 7 2000-2006 2 1 3 2013 2012 380 120 2012 2013 400 200 2014 2013 2014 2014 9.10.2 9.11 115

9.12 25 A +H 2013 6.5 9.13 9.13.1 2013 6 20 2012 2013 9 13 10 1 1-2 2013 9 13 2013 11 29 2013 2014 3 6 2014 3 6 116

9.13.2 2013 4 2012 2013 260 2013 200 2012 2013 5 8 2013 100 2012 2013 27 ARC 2013 International ARC Awards International Academy of Communications Arts and Sciences 2014 117

9.14 9.14.1 2013 12 31 9.14.2 118

9.14.3 2011 2012 9.14.4 2013 21 2013 12 31 (2014) 60469435_A05 2013 12 31 9.14.5 2009 9 29 [2010]126 119

9.14.6 2010 3 29 9.14.7 2013 4 2013 8 9 29 3 7 45 9 29 16 5 4 4 3 7 120

2013 12 31 347.96 2013 A 2013 8 2013 8 2013 12 31 2,298,491 1,741,128 75.75% 556,637 24.22% 726 0.03% 2013 12 31 1,549,794 996,481 64.29% 552,177 35.63% 1,109 0.07% 27 0.0017% 2013 2013 [2003]56 [2004]338 (2014) 60469435_A06 2013 121

[2003]56 2013 2013 2013 2013 12 31 2013 12 31 122

... 124... 125... 126... 127-128... 129... 130-131... 132-133 1.... 134 2.... 135 3.... 136-147 4.... 147-148 5.... 148 6.... 149-150 7.... 150-151 8.... 152 9.... 152 10.... 152-153 11.... 154-155 12.... 156 13.... 156 14.... 157 15.... 157 16.... 157 17.... 158 18.... 159-162 19.... 163 20.... 164-167 21.... 168-173 22.... 174-176 23.... 177 24.... 178 25.... 178 26.... 179-181 27.... 181 28.... 182 29.... 182 30.... 183 31.... 183 32.... 184 33.... 184 34.... 184 35.... 184 36.... 185 37.... 185 38.... 185 39.... 186 40.... 186 41.... 187 42.... 187-188 43.... 188 44.... 188 45.... 189 46.... 189-191 47.... 191 48.... 192 49.... 192-193 50.... 193-197 51.... 198-201 52.... 202-212 53.... 213 54.... 213 123

125 213 2013 12 31 2013 12 31 2013 12 31 2013 2014 3 27 124

2013 12 31 2013 2012 10,698,835 7,089,695 8 4,089,746 2,172,183 9 5,259,499 3,648,018 20,048,080 12,909,896 230,657 161,345 20,278,737 13,071,241 10 1,060,676 800,805 10 3,260,336 947,693 10 5,076,588 3,785,608 330,651 280,174 772,601 400,888 10 2,790,024 1,770,933 13 352,784 30,039 13,643,660 8,016,140 6,635,077 5,055,101 166,360 439,344 44,654 (7,176) 6,846,091 5,487,269 14 1,538,044 1,180,466 5,308,047 4,306,803 5,243,917 4,237,418 64,130 69,385 5,308,047 4,306,803 17 0.48 0.38 17 0.48 0.38 16 125

2013 12 31 2013 2012 5,308,047 4,306,803 (505,520) 191,365 133,638 (32,802) 170,632 251,296 (201,250) 409,859 (5,417) 5,417 (440,199) (28,582) (646,866) 386,694 4,661,181 4,693,497 4,619,079 4,624,149 42,102 69,348 4,661,181 4,693,497 126

2013 12 31 2013 2012 12 31 12 31 18 3,637,404 3,319,826 432,348 391,786 19 10,047,495 500,900 20 1,915,891 160,950 22 3,484,220 9,027,265 22 813,487 768,276 23 12,887,140 11,985,629 24 122,208 272,835 25 1,024,683 818,533 26 1,323,254 836,688 195,830 255,170 35,883,960 28,337,858 440,259 48,387 27 34,301,932 9,423,188 23 22,817,342 25,892,481 28 57,861,675 38,325,031 24 11,914,137 209,743 29 6,491,368 423,192 30 22,091,992 793,623 31 11,741,639 5,366,768 32 40,125,321 33,851,517 33 27,684,624 25,835,767 235,470,289 140,169,697 34 45,196,159 34,807,288 29 1,326,161 636,272 35 2,842,095 14,303 36 16,441,015 4,475 37 55,704,255 22,043,614 4,710,000 2,900,000 38 2,203,344 1,004,471 39 2,525,220 790,564 40 11,998,130 13,000,000 41 9,761,219 4,533,863 152,707,598 79,734,850 82,762,691 60,434,847 118,646,651 88,772,705 127

2013 2012 12 31 12 31 42 26,177,108 1,500,000 26 872,286 323,176 43 567,000 44 1,628,162 265,232 29,244,556 2,088,408 89,402,095 86,684,297 45 11,016,908 11,016,908 46 51,039,446 50,228,214 25,632,131 25,219,882 87,688,485 86,465,004 1,713,610 219,293 89,402,095 86,684,297 128

2013 12 31 2013 1 1 11,016,908 34,524,094 5,885,189 10,424,685 (132,572) (473,182) 25,219,882 86,465,004 219,293 86,684,297 5,243,917 5,243,917 64,130 5,308,047 (5,417) (201,468) (422,350) 4,397 (624,838) (22,028) (646,866) (5,417) (201,468) (422,350) 5,248,314 4,619,079 42,102 4,661,181 2012 (3,305,073) (3,305,073) (3,305,073) 553,953 (553,953) 977,039 (977,039) 1,757,260 1,757,260 (90,525) (90,525) (292,600) (383,125) (12,445) (12,445) 2013 12 31 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 2012 1 1 11,016,908 34,527,836 5,464,621 9,718,593 (542,468) (444,600) 26,846,395 86,587,285 402,918 86,990,203 4,237,418 4,237,418 69,385 4,306,803 5,417 409,896 (28,582) 386,731 (37) 386,694 5,417 409,896 (28,582) 4,237,418 4,624,149 69,348 4,693,497 2011 (4,737,271) (4,737,271) (4,737,271) 420,568 (420,568) 706,092 (706,092) (167,480) (167,480) (9,159) (9,159) (12,921) (22,080) (72,572) (72,572) 2012 12 31 11,016,908 34,524,094 5,885,189 10,424,685 (132,572) (473,182) 25,219,882 86,465,004 219,293 86,684,297 129

2013 12 31 2013 2012 6,846,091 5,487,269 1,324,763 232,890 (211,014) (432,168) (1,170,138) (939,206) (1,604,044) (707,201) (112,567) (82,823) 565,374 (416,774) 343,606 291,391 230,601 133,335 349,917 33,922 2,867 (3,883) 6,565,456 3,596,752 (21,027,676) (18,279,029) (4,104,253) 1,908,721 (34,470,852) (11,610,687) (59,602,781) (27,980,995) 3,925,036 (1,610,766) 33,660,641 7,810,921 (6,367,736) 3,017,367 31,217,941 9,217,522 (21,819,384) (15,166,721) (894,439) (2,027,246) (22,713,823) (17,193,967) 130

2013 2012 1,207,567 939,391 (330,510) (506,170) (2,289,315) (17,988) (1,031,329) 120,840 5,044,521 (48,895) 256,676 2,600,934 743,854 25,278,177 13,819,367 (888,763) (4,018,383) (4,969,594) (73,175) 20,297,856 8,849,773 184,967 (7,600,340) 25,835,767 33,444,451 (351,822) (8,344) 47 25,668,912 25,835,767 33 27,684,624 25,835,767 33 2,015,712 25,668,912 25,835,767 131

2013 12 31 2013 2012 12 31 12 31 18 3,007,501 3,118,746 432,348 391,786 20 130,512 106,257 21 22,663,040 18,066,759 22 1,125,353 2,877,276 23 3,783,146 4,302,490 25 1,234,961 1,783,536 26 929,773 788,948 87,749 122,831 33,394,383 31,558,629 71,738 48,387 27 22,183,838 5,990,043 23 23,222,964 21,868,201 28 51,214,298 35,178,305 29 993,745 374,991 30 21,714,990 793,623 1,660,000 31 5,487,626 893,481 32 16,892,425 14,571,019 33 16,097,643 18,924,821 159,539,267 98,642,871 34 16,261,083 14,919,595 29 1,345,715 610,136 35 1,855,352 37 55,062,780 20,925,313 2,860,000 2,800,000 38 1,368,056 728,015 39 100,000 40 11,998,130 13,000,000 41 8,936,846 2,880,344 99,787,962 55,863,403 59,751,305 42,779,468 93,145,688 74,338,097 132

2013 2012 12 31 12 31 42 21,453,448 1,500,000 26 1,697 245,215 21,455,145 1,745,215 71,690,543 72,592,882 45 11,016,908 11,016,908 46 48,661,980 48,295,444 12,011,655 13,280,530 71,690,543 72,592,882 133

2013 12 31 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 2012 10 22 5% 2,236,890,620 20.30% 2013 2 25 134

2. 2013 1 1 2013 12 31 (a) (b) (c) (d) (e) (f) (g) 135

3. (1) (2) (3) (a) (i) (ii) (a) (b) 136

(b) (i) 137

(ii) (iii) (iv) (v) (vi) (c) 138

(d) (i) (ii) 50% 139

(iii) (e) (f) (g) (4) (a) (b) (i) 0.5% (ii) 10% (iii) 20% (iv) 50% 140

(5) (6) (7) (8) (9) 141

(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% (c) 142

(12) 5 (13) 143

(14) (a) (b) (a) (b) (15) 144

(16) (17) 145

(18) (a) (i) (ii) (iii) (b) (i) (ii) (iii) (iv) (v) (vi) (a) (vii) (a)(i) (a)(i) (19) (a) (b) (c) 146

(20) 10% 10% 10% 5%-10% 50% 25% 4. 147

5. (1) 2008 1 1 [2012]57 < > 25% (2) 2011 65 [2013]63 [2004]203 5% [2006]172 (3) (4) 7% 3% 2% 148

6. 32 1 36 1 39 1 9 2 9 39 7 10 12 1 27 2010-2012 2011-2013 2013 12 3 1 2014 1 1 2 3 2014 7 1 32 32 7 36 36 13 39 39 1) 2) 3) 149

9 9 39 7 9 39 2013 11 9 9 9 39 7 10 12 27 10 12 27 10 2010-2012 2011-2013 2013 12 2010-2012 2011-2013 2013 12 2014 7 1 2013 7. (a) (b) (c) (d) (e) 150

2013 12 31 2,223,931 7,642,117 7,353,153 1,685,736 1,373,800 20,278,737 2,217,436 6,493,275 398,525 1,489,344 100,255 10,698,835 287 1,075,920 2,918,233 41,769 53,537 4,089,746 174 4,065,581 146,545 1,047,199 5,259,499 6,208 72,748 (29,186) 8,078 172,809 230,657 1,582,369 4,630,795 5,187,422 1,047,367 1,195,707 13,643,660 142,451 2,813,673 6,913 297,299 3,260,336 1,577 350,134 1,073 352,784 641,562 3,011,322 2,165,731 638,369 178,093 6,635,077 211,014 211,014 641,562 3,011,322 2,165,731 638,369 389,107 6,846,091 1,538,044 641,562 3,011,322 2,165,731 638,369 389,107 5,308,047 25,818 190,112 15,813 14,603 327,861 574,207 63,283 150,165 23,789 22,191 73,540 332,968 2012 12 31 2,754,659 4,574,422 4,238,268 327,918 1,175,974 13,071,241 2,754,315 3,602,717 237,915 319,542 175,206 7,089,695 393 893,204 1,267,278 3,341 7,967 2,172,183 461 2,711,835 4,964 930,758 3,648,018 (49) 78,040 21,240 71 62,043 161,345 1,632,138 3,373,948 2,377,867 264,695 367,492 8,016,140 152,877 781,931 1 12,884 947,693 (3,854) 27,637 6,284 (28) 30,039 1,122,521 1,200,474 1,860,401 63,223 808,482 5,055,101 432,168 432,168 1,122,521 1,200,474 1,860,401 63,223 1,240,650 5,487,269 1,180,466 1,122,521 1,200,474 1,860,401 63,223 1,240,650 4,306,803 22,618 202,278 12,859 5,694 181,277 424,726 103,025 171,260 59,176 19,984 161,922 515,367 151

8. 2013 2012 1,610,783 1,675,381 2,478,069 493,385 894 3,417 4,089,746 2,172,183 9. 2013 2012 1,604,044 707,201 1,170,138 939,206 1,134,961 1,672,851 137,605 147,636 (13,756) (5,658) (i) 1,226,507 186,782 5,259,499 3,648,018 (i) 10. 2013 2012 1,042,209 788,800 18,467 12,005 1,060,676 800,805 2013 2012 142,451 152,877 1,245,773 232,890 1,775,927 556,035 96,185 5,891 3,260,336 947,693 152

2013 2012 78,990 5,147 2013 2012 4,424,071 3,211,313 393,855 368,938 (i) 258,662 205,357 5,076,588 3,785,608 (i) 2013 2012 370,034 263,301 356,011 266,655 299,258 113,111 192,583 138,562 176,295 128,953 157,704 133,276 143,738 111,136 134,135 38,162 119,203 9,082 94,954 93,727 13,905 8,623 732,204 466,345 2,790,024 1,770,933 153

11. 161 2013 (1) (2) (3) (4) (1)+(2)+(3) 2,198 3,636 5,834 1,767 4,000 5,767 2,911 7,081 9,992 100 100 162 162 162 162 159 159 162 162 1,164 1,000 2,164 100 100 100 100 1,073 1,400 2,473 849 650 1,499 9,962 17,767 945 28,674 154

2012 (1) (2) (3) (4) (1)+(2)+(3) 2,414 1,065 3,479 1,782 1,044 2,826 3,002 5,027 8,029 90 90 75 75 135 135 135 135 25 25 40 40 617 507 1,124 60 60 60 60 1,251 1,014 2,265 90 90 90 90 1,094 1,007 2,101 907 993 1,900 11,067 10,657 800 22,524 155

12. 1 2012 0 11 4 2012 5 2013 2012 4,926 5,984 31,375 47,717 36,301 53,701 2013 2012 7,500,001 8,000,000 1 8,000,001 8,500,000 1 9,000,001 9,500,000 1 9,500,001 10,000,000 1 10,000,001 10,500,000 2 10,500,001 11,000,000 1 11,000,001 11,500,000 1 12,000,001 12,500,000 1 4 5 13. 2013 2012 (i) 349,917 33,922 2,385 (3,883) 238 244 352,784 30,039 (i) 3.50 2012 0.34 156

14. (a) 2013 2012 1,838,101 570,656 1,726,600 568,121 111,501 2,535 (300,057) 609,810 1,538,044 1,180,466 (b) 25% 2013 2012 6,846,091 5,487,269 1,711,523 1,371,817 (37,666) (20,082) 96,792 42,266 (284,007) (220,381) (32,561) (10,805) 83,963 17,651 1,538,044 1,180,466 15. 2013 29.09 2012 31.31 46 16. 2013 2012 3,305,073 4,737,271 1,652,536 3,305,073 2013 0.15 2012 0.30 157

17. 2013 2012 5,243,917 4,237,418 11,016,908 11,016,908 0.48 0.38 [2010]2 9 2010 33 2013 2012 158

18. 2013 12 31 2012 12 31 2013 1 1 2,324,753 5,502 155,016 58,666 5,382 839,362 46,673 3,435,354 768,675 4,204,029 298,137 68,439 60,582 17,400 83 1,131,991 29,604 1,606,236 185,088 1,791,324 136,885 8,166 4,309 6,518 70 101,358 1,550 258,856 50,057 308,913 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 2012 12 31 2013 1 1 181,902 2,725 83,751 38,424 3,505 539,771 34,125 884,203 884,203 184,072 25,356 76,417 20,010 769 984,895 31,647 1,323,166 1,323,166 40,325 7,928 3,871 5,538 67 99,314 1,290 158,333 158,333 2013 12 31 325,649 20,153 156,297 52,896 4,207 1,425,352 64,482 2,049,036 2,049,036 2012 12 31 2013 1 1 56 563 619 619 56 563 619 619 2013 12 31 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 2012 12 31 2,142,851 2,777 71,265 20,242 1,877 299,591 12,548 2,551,151 768,675 3,319,826 159

2012 12 31 2011 12 31 2012 1 1 2,276,176 4,510 141,363 71,633 5,281 756,782 36,589 3,292,334 691,921 3,984,255 137,641 1,170 14,834 3,720 184 114,156 10,084 281,789 230,677 512,466 89,064 178 1,181 16,687 83 31,576 138,769 153,923 292,692 2012 12 31 2,324,753 5,502 155,016 58,666 5,382 839,362 46,673 3,435,354 768,675 4,204,029 2011 12 31 2012 1 1 124,108 2,144 45,765 36,482 2,705 405,277 29,327 645,808 645,808 59,016 753 38,811 10,934 876 164,989 4,806 280,185 280,185 1,222 172 825 8,992 76 30,495 8 41,790 41,790 2012 12 31 181,902 2,725 83,751 38,424 3,505 539,771 34,125 884,203 884,203 2012 12 31 2,142,851 2,777 71,265 20,242 1,877 299,591 12,548 2,551,151 768,675 3,319,826 2011 12 31 2,152,068 2,366 95,598 35,151 2,576 351,505 7,262 2,646,526 691,921 3,338,447 160

2013 12 31 2012 12 31 2013 1 1 2,165,879 2,308 93,251 39,220 2,078 464,037 281 2,767,054 768,254 3,535,308 72,092 8 6,160 637 37 57,811 141 136,886 106,985 243,871 116,156 842 733 5,407 23,958 147,096 49,832 196,928 2013 12 31 2,121,815 1,474 98,678 34,450 2,115 497,890 422 2,756,844 825,407 3,582,251 2012 12 31 2013 1 1 105,186 1,336 41,348 25,379 1,384 241,658 271 416,562 416,562 56,466 260 27,692 5,109 273 116,910 18 206,728 206,728 18,816 817 643 4,481 23,783 48,540 48,540 2013 12 31 142,836 779 68,397 26,007 1,657 334,785 289 574,750 574,750 2013 12 31 1,978,979 695 30,281 8,443 458 163,105 133 2,182,094 825,407 3,007,501 2012 12 31 2,060,693 972 51,903 13,841 694 222,379 10 2,350,492 768,254 3,118,746 161

2012 12 31 2011 12 31 2012 1 1 2,117,301 2,270 88,360 38,596 2,099 410,129 281 2,659,036 690,458 3,349,494 137,641 117 5,581 1,559 20 78,594 223,512 228,676 452,188 89,063 79 690 935 41 24,686 115,494 150,880 266,374 2012 12 31 2,165,879 2,308 93,251 39,220 2,078 464,037 281 2,767,054 768,254 3,535,308 2011 12 31 2012 1 1 51,199 1,153 14,231 19,865 1,117 160,412 271 248,248 248,248 55,209 260 27,623 6,421 307 105,243 195,063 195,063 1,222 77 506 907 40 23,997 26,749 26,749 2012 12 31 105,186 1,336 41,348 25,379 1,384 241,658 271 416,562 416,562 2012 12 31 2,060,693 972 51,903 13,841 694 222,379 10 2,350,492 768,254 3,118,746 2011 12 31 2,066,102 1,117 74,129 18,731 982 249,717 10 2,410,788 690,458 3,101,246 162

19. 2013 2012 12 31 12 31 500,900 500,880 500,900 500,880 500,900 500,880 9,546,595 20 10,047,495 500,900 10,047,495 500,900 10,047,495 500,900 95.47 163

20. 2012 12 31 2013 1 1 86,870 266,803 11,386 365,059 37,511 616,955 1,044,285 262,616 1,961,367 1,509 7,459 13,750 3,458 26,176 2013 12 31 122,872 876,299 1,030,535 259,158 11,386 2,300,250 2012 12 31 2013 1 1 77,781 121,639 3,145 202,565 14,451 123,926 43,057 334 181,768 546 854 118 1,518 2013 12 31 91,686 244,711 42,939 3,479 382,815 2012 12 31 2013 1 1 1,544 1,544 2013 12 31 1,544 1,544 2013 12 31 29,642 631,588 987,596 259,158 7,907 1,915,891 2012 12 31 7,545 145,164 8,241 160,950 18.17 164

2011 12 31 2012 1 1 87,266 204,611 11,386 303,263 600 62,523 63,123 996 331 1,327 2012 12 31 86,870 266,803 11,386 365,059 2011 12 31 2012 1 1 76,331 83,819 2,811 162,961 1,450 37,828 334 39,612 8 8 2012 12 31 77,781 121,639 3,145 202,565 2011 12 31 2012 1 1 1,544 1,544 2012 12 31 1,544 1,544 2012 12 31 7,545 145,164 8,241 160,950 2011 12 31 9,391 120,792 8,575 138,758 165

2012 12 31 2013 1 1 47,825 182,750 230,575 57,047 57,047 15 15 2013 12 31 47,825 239,782 287,607 2012 12 31 2013 1 1 42,665 81,653 124,318 1,417 31,375 32,792 15 15 2013 12 31 44,082 113,013 157,095 2012 12 31 2013 1 1 2013 12 31 2013 12 31 3,743 126,769 130,512 2012 12 31 5,160 101,097 106,257 166

2011 12 31 2012 1 1 47,822 133,617 181,439 3 49,464 49,467 331 331 2012 12 31 47,825 182,750 230,575 2011 12 31 2012 1 1 41,231 58,119 99,350 1,434 23,542 24,976 8 8 2012 12 31 42,665 81,653 124,318 2011 12 31 2012 1 1 2012 12 31 2012 12 31 5,160 101,097 106,257 2011 12 31 6,591 75,498 82,089 167

21. 2013 2012 12 31 12 31 22,663,040 18,066,759 (a) % 720,000 590,000 100% 5,010 5,010 100% 1,500 1,500 100% 10,000 10,000 100% 22,516 24.42% 68,000 68,000 100% 1,010 1,010 100% 30,500 30,500 100% 10,000 10,000 100% 10,000 10,000 100% 100 100 40% 60% 300,000 300,000 100% 10 10 100% 10 10 100% 20,000 20,000 100% 30,000 30,000 100% 1 4,701 100% 651,605 100% 168

% 25,000 100% 5,000 100% 38,000 100% 1 100% Dragon Stream Investments 1,000 100% Limited CSI Capital Management 5,000 100% Limited CITIC Securities Equity Trading 200 100% Company Limited CITIC Securities International 1,800 72% Partners, Ltd. CSIAM (CAC) Investments 1 100% Limited August Sky Holdings Limited 1 100% CSI REITs Investment 1 100% Management Company Limited CSI Direct Investments Limited 1 100% CSI USA Securities Holdings, 880 1 100% Inc. CITIC Securities Carbon Trade 25 100% and Investment Company Limited CSI Nominee Services Limited 1 100% CSI Capital Advisors, Limited 20 100% GMMC Limtied 1 100% CSI Finance Limited 1 100% CITIC Securities Finance 2013 1 100% Co., Ltd CITICS GLOBAL ABSOLUTE 15,000 100% RETURN FUND CITICS GLOBAL MULTI- STRATEGY FUND 15,000 83.33% 16.67% 169

(b) % 7,000 12,532 92.07% 80,000 115,194 100% (i) 88,500 100% 150,000 150,303 100% 1,250 1,858.98 100% 23,800 207,515 59% 20,000 20,000 59% 5,000 2,550 (ii) 109,030 100% (i) 4% 100% (ii) 51% 30.09% 170

(c) (i) 2013 9 24 16 10% 59% 2013 9 30 191,172 11,396 5,100 153,194 15,847 376,709 51,587 859,694 2,366,289 405,169 3,682,739 72,164 127,833 199,997 156,756 516,292 673,048 3,186,403 7,418,587 1,600,000 7,709,222 0.12 2013 12 31 8.19 2.58 171

(ii) 2013 7 31 100% 10.9 67.37 2013 7 31 269,117 69,324 888,050 44,293 17,821 162,803 107,116 1,558,524 10,533,523 4,613,614 3,533,638 20,801,897 39,482,672 289,434 689,852 25,174 715,026 14,786,130 9,473 195,355 2,003,952 20,673,561 37,668,471 142,023 2,805,110 1,817,303 2,114,794 6,737,207 172

2013 12 31 14.13 1.28 (d) 2013 2012 6,265,024 18,590 6,265,024 18,590 3,975,709 602 2,289,315 17,988 5,991,513 22,602 43,454,845 602 1,935,233 42,000 38,483,541 20,000 915,024 (e) 2013 12 31 41% 109,427 1,424,484 106,700 2013 12 31 819,459 257,805 246,407 169,730 451,981 620,586 2013 12 31 3,936,672 391,939 686,588 209,214 (f) 2013 12 31 2012 12 31 173

22. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 3,484,220 9,027,265 1,125,353 2,877,276 813,487 768,276 4,297,707 9,795,541 1,125,353 2,877,276 (a) 14,300 46.75% 46.75% 180,000 35% 35% Fudo Capital L.P. II 6.13% (i) 62,000 32.26% 32.26% 500,000,001 33.33% 33.33% Aria Investment Partners III, L.P. 13.92% (i) 55,500 27.03% 27.03% CITIC PE (Hong Kong) Limited 35% Clean Resources Asia Growth Fund L.P. 17.63% (i) Sunrise Capital L.P. II 28.85% 3,000 33% 33% Aria Investment Partners II, L.P. 5.36% (i) World Deluxe Entreprise Limited 40% Aria Investment Partners IV, L.P. 37.62% Sunrise Capital L.P. 8.19% (i) MezzAsia Capital L.P. 22.61% Fudo Capital L.P. 5.81% (i) CITIC Securities Alpha Leaders 33,862 (ii) (ii) Fund Limited CSI China A-Share QFII Fund Ltd (ii) (ii) CSI RMB Fund Ltd. (ii) (ii) 174

10,000 50% 50% ChinaAMC Capital Management Limited 100 50% 50% 802.70 50% 50% (i) (ii) (b) 2013 2012 12 31 12 31 2,235,422 2,026,530 1,443,836 2,252,089 697,354 373,030 144,001 318,777 (433,263) 689,765 (660,987) 276,562 (660,987) 276,562 2013 12 31 269,079 1,099,535 488,365 132,799 883,402 200,129 200,129 175

(c) CITIC Securities Alpha Leader Fund 2013 2012 12 31 12 31 560,893 873,207 21,426 130,464 20,284 118,596 65,712 41,350 67 392 421 43 63 32,676 (12,010) 32,676 (12,010) 325,905 454,038 (d) 2013 2012 12 31 12 31 1,022,772 721,003 (63) 12,160 1,022,709 733,163 (e) 2013 12 31 2012 12 31 (f) 2012 176

23. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 2,533,833 3,299,264 2,533,833 3,033,177 10,514,648 8,852,696 1,401,042 1,421,042 13,048,481 12,151,960 3,934,875 4,454,219 161,341 166,331 151,729 151,729 12,887,140 11,985,629 3,783,146 4,302,490 2,533,833 3,299,264 2,533,833 3,033,177 10,353,307 8,686,365 1,249,313 1,269,313 12,887,140 11,985,629 3,783,146 4,302,490 2013 2012 2013 2012 12 31 12 31 12 31 12 31 6,450,844 12,556,957 13,500,099 13,845,139 (i) 8,497,677 9,803,086 5,305,143 7,994,922 8,664,685 3,632,801 4,693,137 60,082 23,613,206 25,992,844 23,498,379 21,900,143 795,864 100,363 275,415 31,942 22,817,342 25,892,481 23,222,964 21,868,201 13,820,393 21,372,295 10,928,815 19,222,701 8,996,949 4,520,186 12,294,149 2,645,500 22,817,342 25,892,481 23,222,964 21,868,201 (i) 2013 12 31 0.03 2012 12 31 1.15 177

24. 2013 2012 12 31 12 31 122,208 272,835 272,835 122,208 122,208 272,835 7,084,225 209,743 4,829,912 11,914,137 209,743 7,102,494 91,435 4,811,643 118,308 11,914,137 209,743 25. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 262,987 693,696 176,723 362,834 296 40 383,069 1,312,744 761,400 124,797 675,169 107,958 1,024,683 818,533 1,234,961 1,783,536 178

26. 2013 1 1 127,224 7,985 262,359 432,289 6,831 836,688 (3,800) 112,319 60,597 (181,371) 20,431 18,803 26,979 72 147,598 11 (1,014) (895) 145,772 16,552 84,430 91,509 121,324 313,815 2013 12 31 12,824 112,319 274,822 153,023 80,988 543,215 146,063 1,323,254 2012 1 1 54,781 271,876 377,659 52 632,976 7,023 1,344,367 (54,781 ) (369,674) 262,307 (200,687) (192) (363,027) (144,652) (144,652) 2012 12 31 127,224 7,985 262,359 432,289 6,831 836,688 2013 1 1 245,271 76,393 694 818 323,176 (29,042) (245,053) (540) 1,697 (140) (273,078) 69,265 (2) 69,263 657,305 72,164 23,456 752,925 2013 12 31 628,263 218 217,822 154 1,697 24,132 872,286 179

2012 1 1 104,478 104,478 245,271 694 818 246,783 (28,085) (28,085) 2012 12 31 245,271 76,393 694 818 323,176 2013 1 1 128,160 7,985 257,914 393,299 1,590 788,948 112,319 60,869 (176,784) (38,463) (1,188) (43,247) 184,072 184,072 2013 12 31 112,319 312,232 68,854 81,130 354,836 402 929,773 2012 1 1 54,781 269,351 377,559 52 588,025 5,213 1,294,981 (54,781) (369,574) 257,862 (194,726) (3,623) (364,842) (141,191) (141,191) 2012 12 31 128,160 7,985 257,914 393,299 1,590 788,948 180

2013 1 1 245,215 245,215 (245,215) 1,697 (243,518) 2013 12 31 1,697 1,697 2012 1 1 245,215 245,215 2012 12 31 245,215 245,215 27. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 34,301,932 9,423,188 22,183,838 5,990,043 2013 12 31 0.002 2012 12 31 181

28. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 46,339,931 24,572,542 41,826,929 22,879,988 (i) 11,307,641 13,567,693 9,128,095 12,113,521 214,103 184,796 259,274 184,796 57,861,675 38,325,031 51,214,298 35,178,305 54,298,020 34,421,284 50,955,023 34,060,922 3,563,655 3,903,747 259,275 1,117,383 57,861,675 38,325,031 51,214,298 35,178,305 (i) 2013 12 31 3.33 2012 12 31 1.36 29. 2013 12 31 2012 12 31 599,601 636,265 261,062 330,421 85,032 86,077 13,986 14,751 5,518,113 562,243 23,775 196,765 274,177 26,248 119,682 92,804 14,445 15,328 4,687 1,531 6,491,368 1,326,161 423,192 636,272 2013 12 31 2012 12 31 658,739 697,811 260,624 330,289 106,027 625,699 192,119 228,979 22,205 114,367 87,728 993,745 1,345,715 374,991 610,136 2013 12 31 182

30. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 10,919,228 685,810 10,689,228 685,810 11,065,042 103,193 11,025,042 103,193 107,722 4,620 720 4,620 22,091,992 793,623 21,714,990 793,623 96,139 103,193 96,139 103,193 13,645,979 13,458,977 8,349,874 690,430 8,159,874 690,430 22,091,992 793,623 21,714,990 793,623 2013 12 31 97.33 2012 12 31 1.01 44.83 2012 12 31 1.01 31. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 5,743,850 360,084 1,439,538 309,121 646,994 1,333 318,931 2,165,507 705,315 1,962,870 643,863 763,852 3,670,454 588,800 150,000 139,262 51,589 7,935 10,707 21 4 849,713 273,289 2,610,699 90,331 7,098 4,421 1,609 1,420 11,741,639 5,366,768 5,487,626 893,481 183

32. 33. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 434 313 76 67 27,684,190 25,835,454 16,097,567 18,924,754 27,684,624 25,835,767 16,097,643 18,924,821 2013 12 31 20.16 2012 12 31 34. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 45,196,159 34,807,288 16,261,083 14,919,595 32 35. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 1,872,030 5,613 1,855,352 970,065 8,690 2,842,095 14,303 1,855,352 184

36. 2013 2012 12 31 12 31 2,263 4,475 16,438,752 16,441,015 4,475 37. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 42,849,040 20,846,684 42,837,565 20,925,313 12,855,215 1,196,930 12,225,215 55,704,255 22,043,614 55,062,780 20,925,313 14,207,626 10,663,889 14,007,626 10,663,889 29,086,932 5,754,959 28,656,932 4,738,029 12,409,697 5,624,766 12,398,222 5,523,395 55,704,255 22,043,614 55,062,780 20,925,313 38. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 1,349,589 405,927 756,301 196,400 208,830 59,874 155,849 41,315 644,925 538,670 455,906 490,300 2,203,344 1,004,471 1,368,056 728,015 185

39. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 2,194,329 406,766 100,000 330,891 383,798 2,525,220 790,564 100,000 2,525,220 790,564 100,000 2013 12 31 0.2% 7% 40. 2013 2012 12 31 12 31 11,998,130 13,000,000 11,998,130 13,000,000 2013 12 31 2012 12 31 12 CP003 2012/10/17 2013/1/16 5,000,000 4.00% 5,000,000 12 CP004 2012/11/21 2013/2/20 5,000,000 4.19% 5,000,000 12 CP005 2012/12/13 2013/3/14 3,000,000 4.31% 3,000,000 13 CP009 2013/10/17 2014/1/16 4,000,000 5.19% 3,999,762 13 CP010 2013/11/11 2014/2/10 4,000,000 5.75% 3,999,366 13 CP011 2013/12/4 2014/3/5 4,000,000 6.40% 3,999,002 25,000,000 11,998,130 13,000,000 2013 12 31 186

41. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 3,295,862 2,313,600 1,468,431 1,608,931 194,925 191,224 181,634 177,870 61,260 175,297 61,086 175,118 1,501,150 209,585 2,370,612 581,664 1,284,485 397,072 290,701 80,998 73,043 57,872 890,888 143,094 846,584 132,708 4,944 4,944 2,050 2,041 22 22 1,153,771 831,416 5,021,561 325,807 9,761,219 4,533,863 8,936,846 2,880,344 42. 2013 2012 2013 2012 12 31 12 31 12 31 12 31 12,706,194 7,982,534 13,470,914 1,500,000 13,470,914 1,500,000 26,177,108 1,500,000 21,453,448 1,500,000 06 5/29/2006 100 4.25% 5/31/2006 5/31/2021 8/18/2006 1,500,000 (1) CITIC SEC B1805 5/3/2013 99.753 2.50% 5/3/2013 5/3/2018 5/6/2013 4,930,543 (2) 13 01 6/7/2013 100 4.65% 6/7/2013 6/7/2018 6/28/2013 3,000,000 (3) 13 02 6/7/2013 100 5.05% 6/7/2013 6/7/2023 6/28/2013 12,000,000 (4) 13 03 8/5/2013 100 5.00% 8/5/2013 8/5/2016 8/23/2013 5,000,000 (5) (1) 2006 5 25 2006 6 2 15 15 (2) CITIC Securities Finance 2013 Co., Ltd. 2013 4 25 2013 5 3 5 8 49.43 187

(3) 2013 6 7 2013 6 14 5 30 (4) 2013 6 7 2013 6 14 10 120 (5) 2013 8 5 2013 8 7 3 50 43. 2013 2012 12 31 12 31 567,000 567,000 2013 12 31 6.40% 44. 2013 2012 12 31 12 31 1,487,334 265,232 140,828 1,628,162 265,232 188