HIP e_Project_Sunrise_2016_ViteML

興證國際金融集團有限公司 China Industrial Securities International Financial Group Limited ( 於開曼群島註冊成立的有限公司 ) 股份代號 :8407 全球發售聯席保薦人及聯席全球協調人聯席賬簿管理人及聯席牽頭經辦人

China Industrial Securities International Financial Group Limited 1,000,000,000 100,000,000 900,000,000 1.39 1% 0.0027%0.005% 1.18 0.10 8407 32 342C S 2016 10 12 2016 10 17 1.391.18 1.39 1% 0.0027%0.005% 1.392016 10 17 1.18 1.39 www.xyzq.com.hkwww.hkexnews.hk 2016 9 30

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2011 7 100 20121 2 4 92013 5 6 2015 300 C 2015 24 201527 2014 2015 12 31120.0364.3 203.6% 20152016 3 3153.879.8 48.2% 12 31 3 31 2014 2015 2015 2016 % % % % 45.3 37.7 175.2 48.1 20.5 38.2 23.9 30.0 24.0 20.0 115.6 31.7 10.6 19.7 17.5 22.0 21.3 17.7 59.6 16.4 10.0 18.5 5.8 7.3 0.6 0.7 10.0 8.3 127.0 34.9 9.7 18.1 52.9 66.3 8.1 6.7 107.1 29.4 7.1 13.2 47.8 59.9 1.9 1.6 19.9 5.5 2.6 4.9 5.1 6.4 2

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2014 2015 12 312016 3 31 12 31 3 31 2014 2015 2015 2016 120,001,758 364,324,168 53,815,010 79,766,999 4,365,712 3,865,371 644,239 957,221 (16,682,557) (45,843,172) (7,211,573) (12,965,744) (12,976,346) (79,996,504) (6,900,500) (12,586,570) (36,377,417) (100,009,268) (19,866,317) (25,322,229) (37,460,628) (85,253,840) (18,607,532) (21,658,267) (1,598,329) (2,871,675) 2,248,537 (7,419,313) 3,025,178 2,258,976 23,119,059 48,069,113 4,898,505 7,578,711 (4,347,723) 2,434,920 34,973 (1,782,237) 18,771,336 50,504,033 4,933,478 5,796,474 5

12 31 2016 3 31 2014 2015 % % % 23.0 28.3 11.8 37.3 35.8 40.7 35.6 36.3 (82.9) 57.4 54.2 (28.2) 35.1 (22.4) FVTPL 36 2015 12 31 22.4% 18.5 A 122016 8 31 304.6 2016 12 31 2016 3 3182.9% 2016 2016 3 3128.2% 2015 2016 20142015 12 31 65.9% (13.7%) 2016 3 31 6

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20142015 12 31 1,063.0 1,339.4 2014 12 31411.72015 12 312,421.3 (i)(ii) 20142015 12 31 986.5 2,416.120142015 12 31 85.1 34.8 2016 3 31 35.82016 3 31 2,484.61,490.2 39.82.6 12 31 2014 2015 2016 3 31 (8) 15.6% 13.9% 7.3% 4.5% 10.2% 4.6% 0.9% 1.0% 0.4% 12 31 2016 2014 2015 3 31 1.2 1.1 1.1 1.2 1.1 1.1 234.5% 485.9% 474.0% 186.2% 438.0% 427.3% 100% 2014 12 31 15.6%2015 12 31 13.9% (i)2015(ii)2015100% 18.5 8

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2016 42,419,799,995 2,395,841,579 2016 4 2016 3 31 2015 12 12

2016 4 22 2016 4 26 16.47% 279,800,000ESES 277,029,703 ES ES 7.20% 13

1 20142015 12 312016 3 31 8.3% 6.7% 9.8% 25.3% 21.1% 19.6% 1.285 46.2 1,238.8 40% 495.5 20% 248.0 10% 124.0 8% 99.1 8% 99.1 4% 49.1 10% 124.0 14

1.18 1.39 1 4,720 5,560 2 1.02 1.07 1. 4,000,000,000 2. A. 44,000,000,000 2016 4 1.2851.18 1.39 46.229.3 16.9 1.6 2015 12 31 2016 12 31 15

2013 12 31 8.05(1)(a) 30 16

615 2016 7 27 8 A.3 2016 7 27 114,158,421 17

2015 7 20 2011 10 31 2011 7 20 2012 8 16 18

2013 10 28 2012 1 18 2014 5 29 2015 4 21 22 19613 19

622 32 2015 7 21 2016 9 28 Dragon Power Dragon Power Group Holdings Limited Li San Yim Ngai Ngan Ying 20

ES 2016 9 571N Fusion International Fusion International (Singapore) Pte Ltd FVTPL 2014 2014 12 31 2015 2015 12 31 www.hkgem.com 21

Chen Jiaqiang Yang Zhiying70% 30% www.hkeipo.hk www.hkeipo.hk 22

100,000,000 10% 2016 9 29 ICV Intelligence Creation Value Limited 2016 1 26 Equity Trustee Limited Intelligence Creation Trust 23

1994 6 30 601377 2011 7 5 2013 11 25 Intelligence Creation Trust Intelligence Creation International Employee Share Trust ICV 900,000,000 S 24

A.3 2016 7 27 20% 25

2016 9 21 2016 10 20 2015 7 21 163 163A Money Space Money Space Inc. Jiang Jinzhi Tang Hua65% 35% 26

1.39 1.18 Li To 426 Dragon Power Money Space Fusion International Sushine Teda Holdings 27

2016 10 12 2016 10 17 A.3 2016 7 27 10% 571I 28

571H 571AI 571 0.10 8166 Sushine Sushine Holdings Limited Choi Lim Chi Cui Weizhen Zhong Shan Zhao He Li Binfeng Hui Min 29

Teda Holdings Teda Holdings Limited Li Lei 2015 12 31 2016 3 31 % * 30

B CAGR CBBC 1 FATCA 1 FATCA 32

120(1) 121(1) NAV QDII QFII 126 RQFII T+2 33

2015 2015 12 31 2016 3 31 2015 36

2016 6 30 582 53036 16 37

20142015 12 312016 3 31 45.3 175.2 23.937.7% 48.1% 30.0% 38

T+2 T+2 21 39

20142015 12 312016 3 31 411.7 2,421.3 2,484.6 157.5 282.3 264.6 2.0 2014 12 312015 12 312016 3 31 1,543.5 8,940.8 8,639.6 720.0 1,963.6 1,881.5 40

20142015 12 31 20142015 12 31 1,063.0 1,339.4 2014 2015 12 31 40% 41

20142015 12 31 FVTPL 43.4 29.4 2016 3 31 2016 8 31304.6 2016 12 31 20% 42

20142015 3 312016 3 31 16.8% 7.0% 1.8% 43

2015 12 31-22.4% 2016 3 31-82.9% -28.2% 45

20142015 12 31 1,063.0 1,339.4 46

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2016 3 3115 48

2012 7 (i)(ii)(iii)(iv) (v) 50

2012 20142015 12 31120.0364.3 203.6% 51

2015 12 2012 2016 7 9 2016B BBB 2015 A AA 52

13 9 9 20092010 20132014 92018 1 1 39 9 3 15 15 2016152018 1 1 18 11 15 15 3 15 15 53

17.29 54

571V 2016 4 28 57

2016 10 20 58

Tricor Services (Cayman Islands) Limited 1.001.1816 59

20.33 20.34 20.32 20.49 20.50 20.51 20.53 20.54 20.69 61

2-506 400A 501 6 C 21 4 18B 26 E 2 6 G 38 6 66 E 12 3 39 H 2255 171 62

1 30 189 22 1 30 189 22 1 30 189 22 50 10 63

12 10 1005B-06A 181 27 189 29-30 189 7 33 24 100 28-29 183 19 1908 64

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400,000 1961 (i)20162020 (ii)20162020 69

19862010 2010 2008 2016 6 30 29,726 2016 6 30 1. 18,711.3 2. OMX 7,063.6 3. 4,686.5 4. 3,776.6 5. 3,600.4 6. 3,286.2 7. 3,190.8 8. 2,972.6 9. TMX 1,868.7 10. 1,539.1 1 A 14 B 15 65 C 66 2007 8 2007 11 20082009 70

2014171,556 2015 260,906 2015 12 314,7202015 2016 20052016 8 30,000 105.6 120 25,000 88.1 100 20,000 15,000 72.1 62.3 69.1 69.7 53.9 62.6 69.5 67.0 80 60 10,000 5,000 0 33.9 18.8 8,376.3 17,653.0 17,210.1 13,301.2 17,155.6 10,913.7 4,520.3 21,668.7 15,517.4 17,154.1 15,264.6 26,090.6 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 8 40 20 0 2011 2010210,770 2011175,373 16.8%2008 2005 81,799 2015246,838 CAGR 11.7% 20052016 30,000 25,000 20,000 15,000 20,697.6 24,042.8 25,071.8 24,683.8 23,062.9 21,077.0 21,950.1 17,874.3 17,537.3 10,000 5,000 8,179.9 13,337.7 10,298.8 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 1986 200513.412.1 2015 71

73.5116.4CAGR 18.6% 25.4% 20102012 201246.972.9 201573.5116.4 20052016 300 250 200 189.8 150 100 88.0 105.0 98.5 116.1 140.5 119.8 130.0 142.4 94.6 50 25.5 42.9 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 25.5 42.9 88.0 105.0 98.5 116.1 140.5 119.8 130.0 142.4 189.8 94.6 12.1 23.0 55.3 60.3 55.1 73.0 89.8 72.9 78.7 92.1 116.4 50.3 13.4 19.9 32.7 44.7 43.5 43.0 50.7 46.9 51.4 50.4 73.5 44.3 CAGR 20052015 18.6% 25.4% 22.2% 0.1% 0.25% 20052016 1,000 800 711.5 600 400 303.1 282.8 355.2 524.9 429.7 458.9 387.9 383.3 273.1 200 74.0 128.1 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 A B C 74.0 22.8 31.1 20.1 128.1 48.6 50.4 29.1 303.1 125.7 116.6 60.8 282.8 132.6 105.7 44.5 355.2 177.5 122.5 55.2 387.9 194.1 133.2 60.6 429.7 227.9 141.2 60.6 383.3 215.8 116.5 51.0 458.9 260.7 138.2 60.0 524.9 299.5 159.2 66.2 711.5 385.3 237.6 88.6 273.1 159.9 78.1 35.1 CAGR A B C 20052015 32.7% 22.6% 16.0% 25.4% 72

20052016 70,000 60,000 50,000 40,000 30,000 52,163 43,331 35,307 34,417 34,302 34,297 31,030 30,515 26,594 20,000 10,000 16,754 9,038 16,331 A B C 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 9,038 16,754 43,331 35,307 31,030 34,417 34,302 26,594 30,515 34,297 52,163 16,331 4,791 8,720 21,834 18,766 16,164 17,605 18,360 15,233 16,818 18,557 26,866 9,231 2,999 5,961 16,352 12,814 11,001 12,472 12,074 8,618 10,240 11,805 18,976 5,298 1,248 2,073 5,145 3,727 3,865 4,340 3,868 2,743 3,457 3,935 6,321 1,802 CAGR A B C 20052015 18.8% 20.3% 17.6% 19.2% 20122015 2012 2013 2014 2015 A 57.3% 55.1% 54.1% 51.5% B 32.4% 33.6% 34.4% 36.4% C 10.3% 11.3% 11.5% 12.1% A 2012152,330 2015268,660 B 86,180 189,760 32.4% 36.4% B 20062015 % 80 70 60 50 40 30 20 10 0 0.3 0.262 0.259 0.240 0.238 0.213 0.221 0.218 0.224 0.25 0.199 0.193 0.2 0.15 0.1 0.05 40.0 72.6 56.1 45.8 43.5 36.6 27.6 29.7 31.2 37.9 0 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 73

2016 6 30582530 3616 2015 82.0% 2015 70 12.0% 2015 2015 8 10 20 10 1 45 1 20062015 300,000 200 250,000 200,000 111.6 145.3 150 150,000 85.8 100 100,000 50,000 20.6 41.8 17.2 40.2 58.5 50.2 58.8 50 0 80,348 110,043 113,823 138,772 132,101 135,201 139,375 150,545 181,593 241,948 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 0 2006 2011 2005201580,348 74

241,948CAGR 11.7% 206 1,453.1 CAGR 21.6% 20082015 100% 80% 60% 40% 20% 0% 54.0% 55.0% 57.0% 58.0% 42.0% 45.0% 48.0% 38.4% 39.2% 44.3% 33.7% 38.2% 26.9% 25.8% 21.5% 17.4% 5.1% 6.3% 6.9% 6.8% 8.2% 9.3% 11.6% 6.6% 2008 2009 2010 2011 2012 2013 2014 2015 10912 500 6 20052015 2015 2,613 2012 H 50% 2015 79.5% 20052015 CAGR 14.0% 75

20052016 6 500 400 300 200 100 H 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 6 165.0 332.1 290.4 65.8 247.9 448.8 258.5 88.9 165.8 230.4 261.3 42.4 137.2 290.0 74.8 29.5 114.2 138.5 51.9 63.8 89.7 119.6 207.7 22.9 1.0 2.8 49.6 0.0 8.0 6.3 5.9 2.0 3.2 8.2 3.7 8.7 26.8 39.3 166.1 36.3 125.7 304.1 200.7 23.1 72.9 102.6 49.9 10.8 CAGR H 20052015 4.2% 14.0% 6.4% 4.7% 2015143 2015 30 15 2015 272015 14 9 70%20132014 9.3% 91,332.0 2014 20% 20146.5% 26,054.5 20052015 14,000 12,000 12,770.30 12,259.00 11,416.70 10,000 8,000 6,000 4,000 2,000 0 8,246.00 9,133.20 6,841.60 8,358.40 6,510.60 8,397.42 5,824.00 5,762.00 5,274.60 4,134.40 3,707.40 4,712.30 4,625.40 3,242.20 3,627.20 3,738.40 2,652.50 2,375.40 2,144.10 1,481.90 1,798.30 1,332.00 2,085.60 2,216.20 2,134.80 2,971.40 3,637.10 3,058.30 3,861.59 1,098.10 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 CAGR 20052015 13.40% 14.63% 14.23% 76

2014 3 (OMD)2014 12(OMD-D)OMD OMD OMD 2003 2014 2014 12(i) (ii) 1986 77

60% 2015 70% 78

(A) 1 10 79

(a) (b) 16 (a) (b) 1 2 3 4 5 6 7 8 9 10 80

1 4 2 1 6 4 5 9 81

129 (a) (b) (c) (d) 82

129(2) (a) 129(2)(a) (b) (i) (ii) (c) 116 117 119 (i) (ii) (d) 116 117 (e) 119 83

1 2 4 569 1 (a) (b) 10,000,000 (c) 5,000,000 2 (a) (b) 5,000,000 84

4 (a) 4 (b) 5,000,000 5 (a) 5 (b) 5,000,000 6 (a) 6 (b) 10,000,000 (c) 5,000,000 9 (a) 9 (b) 5,000,000 (a) (b) (a) (i) 1 2 500,000 (ii) 45 69 100,000 85

(iii) 1 2 456 9(i) (ii) 3,000,000 (b) 5% (i) (ii) (iii) 571H 10(1) 8 571I 86

571Q 571O 615 130 571P 156(1) 87

4 569 10 56 138(2) 1 2 4 5 6 9 4,740 1 2 4 5 6 9 1,790 1 2 4 5 6 9 4,740 571AI 571S 88

399 7 131 (i) (ii) (iii) 89

(iv) (v) (vi) 405 455 575 (C) (a) (b) 90

(B) 163163A (a) (b) (c) 91

2014 3 26 2017 2 11 23 92

(i) (ii) (iii) (i) (ii)(iii) 16 (iv)(v) (i) (ii)(iii)(iv) (i) (ii) (iii) 12 (iv) (v) 93

(i) (ii) (iii)(iv) (i) 60 (ii) 94

(i) (ii) (iii) (i) (ii) (iii) (iv) (v) (vi) (vii) 95

(i) (ii) (iii) (iv) 21 (i) (ii) (iii) (iv) 96

(I) (a) 18 7 (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) 18(3) 18 97

18 (b) 19 (i) (ii) (iii) 19 (c) 21 (d) 22 (i) (ii) (iii) 98

2 2 22 (e) 24 60% (i) 500,000 (ii) 5 (f) 25 (i) (ii) 48% 99

60% (i) (ii) (iii) (iv) (g) 26 (h) 27 (i) 1 2 24 25 (i)(ii) 100

(iii) (iv) (v)(vi) 1.0 (j) 29 18 19 26 27 29 3229 100,000 32 (k) (II) 101

(III) (a) (b) (c) (d) (i) (ii) 102

537 7019 3(3) 500,000 526 486 104

58 58(1) (i) (ii) 6A 6A 6A FATCA FATCA 2010 3 FATCA 105

30.0% 2019 2014 11 13 FATCA (a) (b) 2015 3 31 2014(c) FATCA FATCA2014 6 30 FATCA 2014 7 1 2015 6 5 2 (i)(ii) FATCA (iii) 2 FATCA 106

2015 7 21 2011 7 100,000,000 (i) (ii)(iii) (iv) (v) 2011 7 2011 100,000,000 2012 1 4 2 4 9 2013 1 6 5 2014 500,000,000 107

2015 30,000,000,000 2016 288,584,157.9 2,911,241,815.75 100% 2011 7 20 1,800,000,000 100% 1 4 2012 1 18 50,000,000 100% 2 2012 8 16 20,000,000 100% 1 6 2011 10 31 20,000,000 100% 4 5 9 2013 10 28 210,000 100% 2014 5 29 20,000,000 100% 2015 4 21 1,000,000 100% 108

2011 7 20 50,000,000100% 2012 2013 2014 2015 201670,000,000 150,000,000 300,000,000 1,300,000,000 1,800,000,000 1 42012 2015 12 18 2012 1 18 20,000,000100% 2014 2015 30,000,000 50,000,000 22012 2015 12 18 2012 8 16 10,000100% 2012 2013 10,000,000 20,000,000 1 6 2013 2015 12 18 109

2011 10 31 10,000,000100% 2012 20,000,0004 9 2012 2015 12 18 2013 10 28 10,000100% 2014 210,000 2015 12 18 2014 5 29 1,000,000100% 2016 20,000,000 2015 12 18 2015 4 21 1,000,000100% 2015 12 18 110

100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 111

2016 12 31 3 31 2014 2015 1,255 5,105 220 2,230,760 7,630,462 1,000,340 2,113,201 7,398,223 940,940 2016 9 27 2015 112

2015 12 18 2015 12 18 489,990,000 2015 11 25 2016 1 29 2016 4 28 2015 11 2 2015 12 30 113

ES 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 114

2016 4 21 199,999,999.01 2016 4 22 1.01 27.3% 5.15% Dragon Power 2016 4 21 159,999,999.41 2016 4 21 1.01 27.3% 4.12% Money Space 2016 4 21 99,999,999.00 2016 4 22 1.01 27.3% 2.57% Fusion International 2016 4 21 79,999,999.20 2016 4 22 1.01 27.3% 2.06% Sushine 2016 4 21 49,999,999.50 2016 4 20 1.01 27.3% 1.29% 2016 4 21 29,999,999.70 2016 4 19 1.01 27.3% 0.77% 2016 4 19 12,999,999.87 2016 4 19 1.01 27.3% 0.33% Teda Holdings 2016 4 21 6,999,999.93 2016 4 18 1.01 27.3% 0.18% 2016 4 22 2016 4 26 507.6 132.2 11.23(7) 115

Chen JiaquanYang Zhiying70% 30% Dragon Power Dragon Power(i) 3339 Lonking Holdings LimitedLi San Yim50%Li 55.73%(ii)Ngai Ngan Ying50% Money Space Money Space Jiang JinzhiTang Hua65% 35% Fusion International Fusion International Qiu Yufeng Sushine Sushine(i)Choi Lim Chi 40% (ii)zhong Shan 20% (iii)cui Weizhen20% (iv) Zhao He14% (v)li Binfeng4%(vi) Hui Min2% 116

Li To Li To 8166 Teda Holdings Teda HoldingsLi Lei Li Lei 117

(a) (i) (ii) (iii) (iv) (b) (c) 118

(d) (c) (i) (ii) (a) (c) (e) Money Space2016 4 21 Money Space Money Space 25% Money Space (5) 119

HKEx-GL29-12 HKEx-GL43-12 HKEx-GL44-12 2016 4 26 279,800,000 ES ES2016 4 26ICV ICV Intelligence Creation Trust 277,029,703 ES ES 633,663,362 2016 4 261,485,148,514 9.60% ES ICV Intelligence Creation TrustES ES ES ES 120

101 ES 2016 4 26 1%ES ES ES 9,000,000 3.22 0.31 7,900,000 2.82 0.27 9,000,000 3.22 0.31 7,900,000 2.82 0.27 7,000,000 2.50 0.24 7,000,000 2.50 0.24 5,000,000 1.79 0.17 4,000,000 1.43 0.14 5,600,000 2.00 0.19 5,000,000 1.79 0.17 2,000,000 0.71 0.07 400,000 0.14 0.01 3,000,000 1.07 0.10 2 2016 4 26 ES ES1.00ES 1.01 121

Intelligence Creation Trust 2016 1 27Intelligence Creation International Limited Equity Trustee LimitedES ES ICVICV ES ES ESES Intelligence Creation Trust ES Intelligence Creation Trust ESES ESES ES ICV Intelligence Creation Trust ES ES ES Intelligence Creation TrustES ES ES 20% ICV ES ES80% ES 80% ICV ES ES ES ES ES ES ES ESES ES 122

ES ES ES ES ESES ES (a)(b) (c) (d) ES ES 1,499,999,999.14 1,485,148,514 2016 4 26 123

ES quity rustee imited The Intelligence Creation International Employee Share Trust 100% 100% ICV 100% 100% 9.60% 21.96% 68.44% 100% 100% 100% 100% 100% CISI Investment Limited 100% CISI Investment Limited 2016 5 11 124

Equity Trustee Limited The Intelligence Creation International Employee Share Trust 100% 100% 100% 100% 25% 7.20% 16.47% 51.33% 100% 100% 100% 100% 100% CISI Investment Limited 100% CISI Investment Limited 2016 5 11 125

601377 1994 2015(i)125 16985(ii)125 1686 1.5%20 興證 2012 興證 B 126

1 42 1 6 459 2015 12 2015 12 31238 2016 7 31759.5 18 2012 2016 3 31 120 57 20142015 12 31 120.0364.3203.6% 20142015 12 312016 3 31 45.3 175.2 23.9 127

37.7% 48.1% 30.0% 20142015 12 31 2016 3 31 10.0 127.0 52.98.3% 34.9% 66.3% 2012 2012 20142015 12 31 17,927.095,634.8 0.49 1.6 201445.32015 175.2 2014 12 3160 2015 12 31373 2014 12 318,099 2015 12 3115,424 2,108 4,358 2014 12 31411.72015 12 31 2,421.32014 12 31157.52015 12 31282.3 70%201410.02015 127.0 817.11,664.0 2014 0.82015 5.5 2014512.220152,471.9 128

11 2016 7 31759.5 興證 201516 199420 20 20 興證興證 2012 129

18 10 130

131

20142015 12 312016 3 31 96.2% 94.9% 83.9% 2016 3 31 90% (i) (ii) (iii) 132

133

20% 40% 134

30% 2015 12 135

12 31 3 31 2014 2015 2015 2016 % % % % 45.3 37.7 175.2 48.1 20.5 38.2 23.9 30.0 24.0 20.0 115.6 31.7 10.6 19.7 17.5 22.0 21.3 17.7 59.6 16.4 10.0 18.5 5.8 7.3 0.6 0.7 10.0 8.3 127.0 34.9 9.7 18.1 52.9 66.3 8.1 6.7 107.1 29.4 7.1 13.2 47.8 59.9 1.9 1.6 19.9 5.5 2.6 4.9 5.1 6.4 20.1 16.8 25.6 7.0 1.6 2.9 1.4 1.8 18.1 15.1 21.0 5.8 0.3 0.5 0.4 0.5 2.4 0.7 1.0 1.3 2.0 1.7 2.2 0.6 1.3 2.4 1.2 1.0 7.1 1.9 0.9 1.7 1.5 1.9 0.8 0.7 5.5 1.5 0.8 1.4 1.0 1.3 0.4 0.3 1.5 0.4 0.2 0.3 0.5 0.6 43.4 36.2 29.4 8.1 21.0 39.1 43.2 36.0 28.4 7.8 20.8 38.7 0.2 0.2 1.0 0.3 0.2 0.4 120.0 100.0 364.3 100.0 53.8 100.0 79.8 100.0 136

1 42 2014 12 312015 12 312016 3 3113 2424 1 2014 12 312015 12 31 2016 3 31 34353 137

20142015 12 312016 3 31 133,392 37.9 7.1 0.3% 21.7% 29.6% 20142015 12 312016 3 3145.3 175.2 23.9 37.7% 48.1% 30.0% 138

2016 3 31 2015 12 CBBC 12 31 2016 2014 2015 3 31 15,510.1 16.4 88,998.4 85.4 11,471.9 13.5 1 498.6 0.6 4,509.4 4.5 1,064.4 1.0 2 1,918.3 3.7 2,127.0 4.3 538.2 1.3 17,927.0 20.7 95,634.8 94.2 13,074.5 15.8 1. B 2. 139

(a) (b) (CLICK TRADE XT) 24 12 31 2016 2014 2015 3 31 265,713 12.3 845,113 31.2 87,260 3.3 147,674 4.8 575,096 22.3 27,982 0.7 26,091 0.6 71,287 2.2 12,017 0.3 45,820 3.3 97,269 3.9 26,624 1.4 485,298 21.0 1,588,765 59.6 153,883 5.7 140

2016 12 31 3 31 2014 2015 17,927.0 95,634.8 13,074.5 20.7 94.2 15.8 (%) 0.12 0.10 0.12 (%) 0.14 0.09 0.10 (%) 0.12 0.10 0.12 485,298 1,588,765 153,883 21.0 59.6 5.7 43.3 37.5 37.6 3.6 21.4 2.4 45.3 175.2 23.9 141

2015 12 31 2014 2016 3 31 16,87016,283 587 2,046 113 12 31 2016 2014 2015 3 31 2,004 7,537 4,067 13,899 1,926 14,685 28 108 133 402 99 501 2,032 7,645 4,200 14,301 2,025 15,186 69 432 144 1,060 120 1,598 7 22 14 63 14 86 76 454 158 1,123 134 1,684 2,108 8,099 4,358 15,424 2,159 16,870 142

12 31 2014 2015 2016 3 31 (%) (%) (%) (%) (%) (%) 281 13.3 1,729 21.3 998 22.9 4,217 27.3 429 19.9 5,292 31.4 717 34.0 2,482 30.7 1,137 26.1 3,886 25.2 594 27.5 4,019 23.8 1,110 52.7 3,888 48.0 2,223 51.0 7,321 47.5 1,136 52.6 7,559 44.8 2,108 100 8,099 100 4,358 100 15,424 100 2,159 100 16,870 100 12 31 2014 2015 (%) (%) 30 382 18.1 1,194 27.4 10 30 484 22.9 1,167 26.8 10 1,242 59.0 1,997 45.8 20142015 12 312016 3 31 21.1% 13.6% 4.2% 45.1% 31.7% 14.7% 2012 B 143

20142015 12 31 2016 3 31 91.5% 63.4% 48.3% 2012 2014 1 40% 144

1 4 20142015 12 312016 3 31 1,9646,8227,2149112,170 1,18112 12 31 2016 2014 2015 3 31 411.7 2,421.3 2,484.6 1,543.5 8,940.8 8,639.6 (%) 1 26.7 27.1 28.8 (%) 2 17.5 26.7 25.7 34.6 28.8 30.5 (1) 20142015 12 31 2016 3 31 (2) 2015 12 31 2014 12 31 145

12 31 2016 2014 2015 3 31 411.7 2,421.3 2,484.6 204.5 1,622.0 2,686.9 1.5 2.9 3.4 411.7 2,421.3 2,803.5 92.9 586.0 2,484.6 20142015 12 31 20142015 12 31 2016 3 312016 3 31 2015 12 31 2015 20142015 12 312016 3 31 21.1% 8.6% 9.5% 58.0% 25.2% 24.5% 24 III IV 146

20142015 12 31 2016 3 317910 7891 20142015 12 31 2016 3 31 20142015 12 31 2016 3 312.0 2015 12 31 2016 3 31 296.3 1314.8 2 2014 12 31 20142015 12 31 2016 3 31 8 1213 12 31 2016 2014 2015 3 31 157.5 282.3 264.6 720.0 1,963.6 1,881.5 (%) 2 21.9 14.4 14.1 38.3 241.6 271.0 15.2 26.7 27.7 12.1 66.5 13.9 19.0 14.1 14.8 (%) 3 4 157.5 319.7 281.8 150.5 264.6 1.9 19.9 5.1 (1) 20142015 12 31 20142015 12 31 2016 3 312016 3 31 2014 2 2014 1 31 (2) 20142015 12 31 2016 3 31 (3) 147

(4) 2014 66.5% 2015 12 31 2016 3 31 12 31 3 31 2014 (%) 2015 (%) 2016 (%) 50 70.0 1 44.4 150.0 1 53.2 150.0 1 56.7 30 50 10 30 70.0 3 44.4 97.5 6 34.5 65.0 4 24.6 10 17.5 4 11.2 34.8 5 12.3 49.6 8 18.7 157.5 8 100 282.3 12 100 264.6 13 100 2014 2015 1 1 157.5 12 31 165.5 390.0 12 31 (8.0) (265.2) 12 31 157.5 282.3 2016 1 1 282.3 3 31 2.0 3 31 (19.7) 3 31 264.6 148

12 31 3 31 2014 (%) 2015 (%) 2016 (%) 150.5 7 95.6 282.3 12 100 262.6 12 99.2 7.0 1 4.4 2.0 1 0.8 157.5 8 100 282.3 12 100 264.6 13 100 20142015 12 312016 3 31 36.6% 34.3% 60.1% 93.4% 67.9% 88.8%2016 3 31 150 30 30 2016 3 31 79.4%2016 3 31 8.6% 101.4% 140.0%2016 3 31(a) 390(b) 171,690 (c) 42 2016 56 150 15 10 149

2016 78 2016 3 31 30 302016 8 262016 9 7150 8.1% 2016 9 12 10% 70% 2016 3 31 (%) (%) 50 70 174 22.9 30 40 166 21.8 10 25 421 55.3 761 100 150

12 31 2016 2014 2015 3 31 1 2 3 0% 111.7% 0% 140.3% 0% 186.6% 0% 117.2% 0% 162.2% 0% 211.3% 11.8% 28.8% 33.5% (1) 50,000 2014 2015 12 31 2016 3 31 1.7 6.2 4.40.4% 0.3% 0.2% (2) 50,000 (3) 50,000 151

20142015 12 312016 3 31 100% 2015 12 31 2016 3 31 2015 20142015 12 31 2016 3 31 1% 2% 6% 21 20142015 12 312016 3 31 31.6 179.7 89.6 12 31 2014 2015 2016 3 31 % % % 1,317.5 85.4 8,182.1 91.5 8,102.1 93.8 226.1 14.6 700.1 7.8 537.5 6.2 58.6 0.7 1,543.5 100.0 8,940.8 100.0 8,639.6 100.0 152

12 31 2014 2015 2016 3 31 % % % 30.1 1.9 148.6 1.7 169.5 2.0 100 201.4 13.1 2,878.2 32.4 3,447.9 39.8 60100 263.5 17.1 958.7 10.8 322.2 3.7 3060 373.3 24.2 1,744.8 19.6 1,748.8 20.2 1030 352.5 22.8 1,617.5 18.2 1,643.8 19.0 10 96.8 6.3 834.3 9.5 770.0 8.9 226.1 14.6 700.1 7.9 537.5 6.2 1,543.5 100.0 8,882.2 100.0 8,639.6 100.0 12 31 2014 2015 2016 3 31 % % % 365.0 88.7 2,178.7 90.0 2,222.8 89.5 46.7 11.3 223.6 9.2 246.4 9.9 14.8 0.6 4.2 0.2 15.4 0.6 411.7 100.0 2,421.3 100.0 2,484.6 100.0 153

10% 70% 90% 154

12 31 2016 2014 2015 3 31 1 2 3 8.7% 50.2% 8.4% 120.4% 8.5% 202.2% 8.3% 213.9% 4.8% 360.9% 8.3% 212.5% 39.4% 43.9% 88.9% (1) (2) (3) 20142015 12 312016 3 31 18 155

12 31 2014 2015 2016 3 31 % % % 720.0 100 1,918.3 97.7 1,849.8 98.3 28.9 1.5 28.8 1.5 16.4 0.8 2.9 0.2 720.0 100.0 1,963.6 100.0 1,881.5 100.0 12 31 2014 2015 2016 3 31 % % % 100 36.6 5.1 1,782.3 92.9 1,752.2 94.7 60100 247.8 34.4 1.6 0.1 4.0 0.2 3060 352.9 49.0 70.8 3.7 50.3 2.7 1030 70.9 9.9 52.2 2.7 4.1 0.2 10 11.8 1.6 11.4 0.6 39.2 2.1 720.0 100 1,918.3 100 1,849.8 100 156

12 31 2014 2015 2016 3 31 % % % 157.5 100.0 242.7 86.0 236.7 89.5 21.5 7.6 21.4 8.1 15.1 5.3 1.5 0.6 3.0 1.1 3.0 1.1 2.0 0.8 157.5 100.0 282.3 100.0 264.6 100.0 20142015 12 31 2016 3 31 3% 5.25% 8.25% 20142015 12 312016 3 31 4.7% 6.8% 7.4%6.3% 7.2% 7.5% 157

12 31 2016 3 31 2014 2015 % % % 8.1 80.7 107.1 84.3 47.8 90.3 1.9 19.3 19.9 15.7 5.1 9.7 10.0 100 127.0 100 52.9 100 158

(a) 200,000 (b) (a) 140%85% 159

(b) 20142015 12 312016 3 3111218 20142015 12 312016 3 31 20.1 25.6 1.4 16.8% 7.0% 1.8% 160

6 2016 3 31 1 12 31 2016 3 31 2014 2015 % % % 18.1 90.0 21.0 82.0 0.4 29.6 2.4 9.4 1.0 70.4 2.0 10.0 2.2 8.6 20.1 100 25.6 100 1.4 100 2015 14 27 2016 606.3 2015 6.0 161

2015 1,394.7 2015 HTSC 329.8 2015 2.0 2015 116.6 2014 3.2 2014 1.2 2014 0.1 2014 4.4 2014 7.4 2014 192.0 2014 3.9 2014 2014 300.0 (1) (2) 2015 12 31 2016 3 312.4 1.0 162

2016 4 11 20142015 12 312016 3 31 2.0 2.2 2012 2016 3 31351,650.6 20142015 12 312016 3 31 808,536 5.5 1.0 2012 2016 3 31 201320152015IS China Strategy Balanced 163

Fund CIS Dynamic Growth Fund SP CIS Excellent Select Fund SP2016 3 31 300.2 1 1.5% 20% 2013 2016 3 3111 RQFII1.5% 30%2016 3 31 1,350.4 2016 3 3110 20142015 12 31 2016 3 31369,000 1.5 462,342 20142015 12 31 AA AA+ 5 7 5 5 5.67% 20142015 12 31 FVTPL43.4 29.443.2 28.4 0.2 1.0 20142015 12 31 6.9% 4.4% 2016 3 31 2015 11 164

12 31 2014 2015 FVTPL 29.7 12.9 FVTPL 2.1 FVTPL 6.3 21.8 FVTPL 7.4 (7.4) 43.4 29.4 2016 3 31 12 31 2014 2015 2016 3 31 (%) (%) (%) FVTPL 577.2 99.6 2.4 0.4 579.6 100 2015 112016 3 31 2015 12 312016 3 31 165

2016 12 31 3 31 2014 2015 (%) (%) 6.9 4.3 (%) 3.9 17.5 6.9 4.4 FVTPL 2015 11 2016 3 312016 3 31 12 31 2014 2015 2016 3 31 % % % AA 429.3 92.6 AA+ 34.2 7.4 463.5 100 (1) 2015 112016 3 31 2015 12 312016 3 31 (2) 10.7997 166

BBB- 5 BBB+ 60% 15% 10% 5% 167

168

5% 10% 5% 1% 1.5% 50% 100% 100% 169

1% 1.5% 2016 2016 8 31 304.62016 8 31 4.3%2016 8 31 2016 8 31 % AAA A- 177.6 58.3 BBB+ BBB- 55.4 18.2 BB+ 71.6 23.5 304.6 100.0 2016 8 31 % 43.7 14.3 165.2 54.3 95.7 31.4 304.6 100.0 170

2016 8 31 % 176.1 57.8 63.0 20.7 54.7 17.9 10.8 3.5 304.6 100.0 2016 8 31 12.5 2015 12 14 5 2016 3 3145 2015 12 31 2016 3 31 44 5 2016 3 31 0.6 171

19.04(1)(e)(iii) 19.04(8) (i) (ii) 17.15 25.0% 100.0% 2016 3 31 2453 44 172

20142015 12 312016 3 31 20142015 12 31 2016 3 318.3% 6.7% 9.8%25.3% 21.1% 19.6% 5% 20142015 12 312016 3 31 2015 82.0% 2015 70 12.0% ) 173

B VMware 20142015 12 312016 3 31 4.4 17.9 3.7 xyzq.com.hk B. 2. 174

2016 3 31129 2016 3 31 6 44 2 5 3 13 6 12 9 6 9 14 129 2016 3 3153 4 175

8.01(2) 2016 3 31 15% 32L 6(2) 342(1)(b)3 34(2) 25,019 1 30 19932 2017 7 162017 8 14 4,625 2016 8 312016 8 312017 7 72017 7 312018 5 42018 5 7 20142015 12 312016 3 31 7.5 19.3 4.9 176

(a) 1 2 456 9 (b) 01938 (c) 1050 (d) 01938 (e) HKATS IND (f) DCASS CIND (g) B01938 (h) B01938 (i) HKATS IND (j) DCASS CIND 5 1 8 5 2 1 1 5 2 8 177

2016 3 31 1 2 4 569 15 2016 3 31 2 1 4 5 6 9 10 6 5 2 3 3 2016 3 31 2 1 4 5 6 9 101 48 18 5 6 2016 2 1112 2017 2 12 178

2013 2012 10 2012 20132013 2013 7 112013 8 8 5 2013 12 18 11.1(a) 179

(a) (b) (c) (d) (a) (b) (c) (d) (e) (f) 180

(i) (ii)(iii) (iv) 2012 Wang Luning Lam Wing YiuWang Luning 13 Lam Wing Yiu 14 (i) (ii) (iii) (iv) 181

2016 3 3115 (i) (ii) (iii) (iv) (v)(vi) 2016 3 31 10 2016 3 31 Lam Wing Yiu Lam 14Lam 2000 7University of Wollongong 2001 7University of New South Wales 2013 122014 2Lam 182

2012 92013 12Lam2004 12 2012 8Lam 2001 92003 7 Lam 2007 10 2008 4 183

184

185

186

187

188

III IV 189

14 190

(a) 24 (b) 3.0(c) 5.0%10 191

90% 192

193

Wang Luning 194

Qian Jin Qian Wang Luning Qian Qian 2013 42016 4 Qian 2005 9 2001 9 Solvay Brussels School1999 7 2004 11 Qian Qian Jin 195

15% 10% 10% 5% 196

50% 5% 10% 197

FATCA FATCA FATCA FATCA 198

FATCA FATCA 199

200

IT 2010 3 16 IT IT (a) (b) (c) (d) (e) (f) IT IT 201

2015 12 (i) (ii) (iii) 202

(iv) (v) (vi) 2016 45 203

30% 1. 2. 3. 204

4. (i) 2016 6 6 (ii) 2016 9 27 205

2014 12 31 880 6.5 2014 12 31 5.4% 2015 12 31 741 9.7 2015 12 31 2.7% 2016 3 3166 0.7 2016 3 31 0.8% 20.4% 15.4% 15.7% 5.0 7.3 1.04.2% 2.0% 1.3% 206

(iii) 832 3 8 1 2 3 207

1 2 3 1. 2. 3. 208

11.04 209

2015 12 31 2016 3 31 288.8341.2 7,327.9 8,658.6 833.2984.5 1% 2015 12 31 2016 3 31 398.3 3,716 950.6 2.22% 3.89% 7.27% 318 417 2016 9 28 5% 210

30 60 30 (i) 30% (ii) (i) (ii) 211

212

2016 6 6 1 213

RQFII 2016 9 271 RQFII RQFII RQFII RQFII RQFII [2013]14 <> RQFII RQFII RQFII RQFII2 214

RQFII 20.74(1) RQFII 2016 9 27 2016 1 12018 12 31 6% 6%6% 215

2015 12 31 2016 3 31 2.2 7.6 1.0 2018 12 31 8.2 10.2 12.1 20162015 20162016 (i) (ii) 2017201824.4% 18.6% 0.1 201620172018 12 31 0.5 0.6 0.5201620172018 12 31326,000 469,000 618,000 5%10,000,000 216

20.103 20.33 20.34 20.32 20.49 20.50 20.51 20.53 20.54 20.69 20.53 20.54 (i) (ii) 217

832 3 55 2011 7 5 2016 6 1 46 2012 8 29 2016 6 1 46 2011 7 5 2015 7 21 36 2012 1 1 2016 6 1 218

39 2016 3 23 2016 6 1 65 2016 7 27 2016 7 27 47 2016 7 27 2016 7 27 47 2016 7 27 2016 7 27 219

55 2016 6 1 25 1994 41999 11 1999 12 2011 7 2010 4 2008 52015 7 03303 1983 7 2007 4 46 2016 6 1 24 1992 91995 71996 7 1996 72004 8 2004 82005 11 2005 12 220

1992 72001 7 2008 9 46 2015 7 21 2016 6 1 2016 6 8 23 1992 112001 1 2001 12001 11 2001 112004 11 2004 112007 10 2007 102011 7 2011 7 2010 5 36 2016 6 12016 6 8 8 2008 3 2010 82011 12 2012 12015 5 221

2015 52016 9 5 2006 3 39 2016 6 12016 6 8 10 2006 10 2013 82016 3 2016 32016 9 5 1998 6 2003 62006 7 65 2016 7 27 36 2009 1 1993 8 222

2011 2 11 Fo rtune International 2011 2 11 Certified Public Accountants (Hong Kong) Limited 47 2016 7 27 16 2002 12004 10 1990 7 1996 8 1999 5 223

2014 3 14 47 2016 7 272004 6 2015 10 1990 72001 6 2009 6 (i) (ii) 17.50(2)1A 41(1) (i)xv(ii) 17.50(2)(h) (v) 224

38 2016 2016 3 23 3 23 45 2011 2011 12 12 12 12 54 2015 2015 2 4 2 4 35 2012 11 19 2012 11 19 46 2015 2015 9 1 9 1 225

46 2012 10 3 2012 10 3 48 2015 7 28 2015 7 28 44 2014 6 1 2014 6 1 38 7 2013 6 2009 5 CEBM Group 2001 7 2007 12 226

45 20 2005 122011 12 1993 6 Dundee Institute of Technology 1995 11 54 13 2009 22014 11 1985 6 Ele Company Limited 2007 7 27 35 82008 22012 11 227

2003 7 47 10 2012 82015 8 2011 72012 6 1992 5 2010 6 46 15 2011 82012 8 2002 62011 7 1994 61998 1 2011 6 48 15 2007 12008 4 2008 42013 8 228

1992 11 44 11 2007 62014 5 2010 5 12 229

20142015 12 312016 3 31 4,844,450 8,942,012 2,150,277 20142015 12 312016 3 31 9,519,549 21,995,879 5,235,281 20142015 12 31 2016 3 31 2016 12 31 5,555,457.16 3 C.3.3 5.28 230

3 B.1.25.34 3 A.5.2 231

6A.19 6A.23 (a) (b) (c) (d) 17.11 18.03 232

1,975,148,514 68.44% 1 1,975,148,514 68.44% 2 1,975,148,514 68.44% Intelligence Creation 277,029,703 9.60% International Limited 3 Equity Trustee Limited 4 277,029,703 9.60% ICV 5 277,029,703 9.60% 198,019,801 6.86% ApexTrade Holdings Limited 198,019,801 6.86% Chen Jiaquan 6 198,019,801 6.86% Yang Zhiying 7 198,019,801 6.86% Dragon Power 158,415,841 5.49% Li San Yim 8 158,415,841 5.49% Ngai Ngan Ying 8 158,415,841 5.49% 1. 2. 3. Intelligence Creation International Limited Intelligence Creation Trust 4. Equity Trustee LimitedIntelligence Creation TrustICV 5. ICVESIntelligence Creation TrustIntelligence Creation Trust 6. Chen JiaquanApexTrade Holdings Limited70% ApexTrade Holdings Limited 233

7. Yang Zhiying Chen JiaquanYang Zhiying Chen Jiaquan 8. Li San Yim Ngai Ngan YingDragon Power50% XV 2 3 10% 2,053,281,644 51.33% 1 2,053,281,644 51.33% 2 2,053,281,644 51.33% Intelligence Creation 287,988,473 7.20% International Limited 3 Equity Trustee Limited 4 287,988,473 7.20% ICV 5 287,988,473 7.20% 205,853,089 5.15% ApexTrade Holdings Limited 205,853,089 5.15% Chen Jiaquan 6 205,853,089 5.15% Yang Zhiying 7 205,853,089 5.15% 8 303,500,000 7.59% 8 303,500,000 7.59% 234

1. 2. 3. Intelligence Creation International Limited Intelligence Creation Trust 4. Equity Trustee LimitedIntelligence Creation TrustICV 5. ICVESIntelligence Creation TrustIntelligence Creation Trust 6. Chen JiaquanApexTrade Holdings Limited70% ApexTrade Holdings Limited 7. Yang Zhiying Chen JiaquanYang Zhiying Chen Jiaquan 8. 303,500,000 XV 2 3 10% 235

1.18 1.285 1.39 658.0 668.5 679.0 2,000 1% 0.0027%0.005% 1.18 1.285 1.39 557,626,000 520,230,000488,486,00055.7% 52.0% 48.8% 13.9% 13.0% 12.2% 2016 10 19 236

1. 100,000,000 2,000 100,000,000 10% 2.5% 5,000 60116673% 18.2% 20.3% 2. 150 2,0001.18 1.285 1.39 127,118,000116,730,000107,912,000 12.7% 11.7% 10.8% 3.2% 2.9% 2.7% 237

2011 Zhang Wei 3. QDII QDII 390 2,0001.18 1.285 1.39 QDII330,508,000 303,500,000280,574,000 33.1% 30.4% 28.1% 8.3% 7.6% 7.0% (1) (2) (3) (4) 238

239

20,000,000,000 0.1 2,000,000,000 2,885,841,579 288,584,157.9 114,158,421 11,415,842.1 1,000,000,000 100,000,000 4,000,000,000 400,000,000 11.23(7) 25% 240

(i) 20% (ii) (i) (ii) (iii) 2016 7 27 241

10% (i) (ii) (iii) 2016 7 27 242

興證 B 2015 12 243

20142015 12 31 120.0 364.3 203.6%2014 2015 12 31 18.8 50.5 169.0% 20152016 3 31 53.8 79.8 48.2%20152016 3 31 4.9 5.8 17.5% 2015 7 21 2015 1 1 2 244

2016 6 30 582 245

(i)(ii) (iii) A 4 5 246

12 31 3 31 2014 2015 2015 2016 120,001,758 364,324,168 53,815,010 79,766,999 4,365,712 3,865,371 644,239 957,221 (16,682,557) (45,843,172) (7,211,573) (12,965,744) (12,976,346) (79,996,504) (6,900,500) (12,586,570) (36,377,417) (100,009,268) (19,866,317) (25,322,229) (37,460,628) (85,253,840) (18,607,532) (21,658,267) (1,598,329) (2,871,675) 2,248,537 (7,419,313) 3,025,178 2,258,976 23,119,059 48,069,113 4,898,505 7,578,711 (4,347,723) 2,434,920 34,973 (1,782,237) 18,771,336 50,504,033 4,933,478 5,796,474 (i) (ii) (iii) (iv)(v)2015 12 20142015 12 31 2015 3 312016 3 31 120.0 364.3 53.8 79.8 203.6% 48.2% 12 31 3 31 2014 2015 2015 2016 45,292,039 37.7 175,164,396 48.1 20,537,634 38.2 23,915,615 30.0 9,985,060 8.3 127,030,188 34.9 9,725,528 18.1 52,932,543 66.3 20,120,146 16.8 25,615,792 7.0 1,572,677 2.9 1,420,000 1.8 1,177,536 1.0 7,068,319 1.9 939,673 1.7 1,498,841 1.9 43,426,977 36.2 29,445,473 8.1 21,039,498 39.1 120,001,758 100.0 364,324,168 100.0 53,815,010 100.0 79,766,999 100.0 247

2015 3 312016 3 31 2015 3 3153.82016 3 31 79.8 26.048.2% 43.2 21.0 20142015 2014 12 31 120.02015 12 31 364.3 244.3203.6% 20142015(i) 129.9(ii) 117.0 12 31 3 31 2014 2015 2015 2016 % % 23,957,212 115,595,417 382.5 10,588,110 17,519,367 65.5 21,334,827 59,568,979 179.2 9,949,524 5,784,648 (41.9) 611,600 45,292,039 175,164,396 286.7 20,537,634 23,915,615 16.4 2015 3 312016 3 31 2015 3 3120.5 2016 3 3123.9 20152016 3 31 2015 3 3110.62016 3 31 17.5 248

20152016 3 31 2015 3 31 10.02016 3 315.8 2015 12 14 5 20142015 201445.32015175.2 20142015 201424.02015 115.6i)2014695 20151,056 ii)2015 3 43 2,108 4,358 20140.12%20150.10% 2014179 2015956 20152015 20142015 201421.32015 249

59.6 (i) (ii)201576 158 12 31 3 31 2014 2015 2015 2016 % % 8,060,224 107,108,132 1,228.8 7,104,258 47,800,427 572.8 1,924,836 19,922,056 935.0 2,621,270 5,132,116 95.8 9,985,060 127,030,188 1,172.2 9,725,528 52,932,543 444.3 2015 3 312016 3 31 2015 3 319.7 2016 3 3152.9 2015 3 317.1 2016 3 3147.8(i) 2015 3 31 615.82016 3 312,686.9 (ii) (iii) 2015 3 312.6 2016 3 315.1 250

20142015 2014 12 31 10.0 2015 12 31 127.0 20148.12015107.1 (i) 2015 (ii)(iii) 2014204.5 20151,622.0(iv) 20141,960 20157,265 2014 4.7%20156.8%20142015 20141.9201519.9 20146.3%2015 7.2%20142015 2014 2015 12 312.8% 2.0% 251

12 31 3 31 2014 2015 2015 2016 % % 18,098,206 20,997,217 16.0 266,037 420,000 57.9 2,400,000 1,000,000 2,021,940 2,218,575 9.7 1,306,640 (100.0) 20,120,146 25,615,792 27.3 1,572,677 1,420,000 (9.7) 2015 3 312016 3 31 2015 3 311.6 2016 3 311.4 2016 3 31 1.0 20142015 2014 12 31 20.1 2015 12 31 25.6(i) (ii) 2015 20142015 201418.1201521.0 68 659 2015 2014 2015 2.4 252

12 31 3 31 2014 2015 2015 2016 % % 808,536 5,534,168 584.5 758,673 1,036,499 36.6 369,000 1,534,151 315.8 181,000 462,342 155.4 1,177,536 7,068,319 500.3 939,673 1,498,841 59.5 2015 3 312016 3 31 2015 3 310.9 2016 3 311.5 20152016 3 31 20150.82016 1.0 2016 3 31 2015 3 310.2 2016 3 310.52016 3 31 20142015 2014 12 31 1.2 2015 12 31 7.1 20142015 2014 0.820155.5 2014817.120151,664.0 20140.420151.5 (i) 2014 5(ii)2015 253

12 31 3 31 2014 2015 2015 2016 % % FVTPL 29,682,335 12,902,976 (56.5) 8,817,354 (100.0) FVTPL 2,063,592 FVTPL 6,358,528 21,865,019 243.9 19,267,081 (100.0) FVTPL 7,386,114 (7,386,114) (7,044,937) (100.0) 43,426,977 29,445,473 (32.2) 21,039,498 (100.0) 2014 2015 12 3120152016 3 31 43.4 29.4 21.0 2015 3 312016 3 31 2015 3 31 21.02016 3 31 2015 11 2016 3 31 20142015 201443.4201529.4 2014 12 31 6.9%2015 12 31 4.4%2015 5 FVTPL 201429.7201512.9 2015 11 254

7.421.9 FVTPL 2014 15.5 12 31 3 31 2014 2015 2015 2016 % % 2,415,552 3,277,888 35.7 603,027 886,738 47.0 1,950,160 587,483 (69.9) 41,212 70,483 71.0 4,365,712 3,865,371 (11.5) 644,239 957,221 48.6 20142015 12 3120152016 3 31 4.4 3.9 0.6 1.0 20142015 12 31 16.7 45.8 20152016 3 31 7.2 13.0 2015 3 312016 3 31 2015 3 317.22016 3 3113.0 5.879.8% 255

20142015 2014 12 31 16.72015 12 31 45.8 29.1174.8% 2014 2015 12 31 2.8% 2.0% 2014 2015 2014 12 31 986.52015 12 312,416.1 12 31 3 31 2014 2015 2015 2016 % % 133,392 37,937,918 28,340.9 1,613,026 7,071,169 338.4 10,997,746 25,050,666 127.8 4,610,384 3,286,938 (28.7) 1,845,208 17,007,920 821.7 677,090 2,228,463 229.1 12,976,346 79,996,504 516.5 6,900,500 12,586,570 82.4 2015 3 312016 3 31 2015 3 316.9 2016 3 3112.6 2015 3 311.62016 3 317.1 2016 3 312015 3 31 256

20142015 2014 12 31 13.0 2015 12 31 80.0 2015 (i) 2015 40 37.8(ii) 14.1 2014 12 31 36.42015 12 31 100.0 63.6174.9% 2015 3 31 19.92016 3 3125.3 2015 3 312016 3 31 5.52016 3 31 2015 20142015 20142015 63.6 (i) (ii) 2014 12 3189 2015 12 311252014 257

12 31 3 31 2014 2015 2015 2016 % % 7,464,424 19,293,397 158.5 4,593,682 4,916,972 7.0 3,462,040 13,307,105 284.4 3,029,605 2,609,486 (13.9) 1,349,571 7,367,028 445.9 203,650 978,018 380.2 2,975,275 6,681,403 124.6 1,509,380 1,876,654 24.3 922,637 4,548,724 393.0 870,862 1,134,691 30.3 1,988,844 5,578,564 180.5 1,419,478 930,584 (34.4) 3,005,646 4,852,121 61.4 515,236 725,221 40.8 1,474,051 3,734,758 153.4 1,017,482 676,276 (33.5) 834,477 734,711 (12.0) 115,938 149,438 28.9 467,594 1,086,110 132.3 415,583 370,972 652,344 75.8 160,447 249,702 55.6 314,150 895,300 185.0 268,580 69,090 (74.3) 3,402,609 3,664,708 7.7 767,175 669,687 (12.7) 2,658,242 2,965,789 11.6 350,061 181,764 (48.1) 1,145,522 2,189,874 91.2 547,469 586,829 7.2 2,816,343 5,624,574 7,701,902 36.9 3,238,487 2,671,929 (17.5) 37,460,628 85,253,840 127.6 18,607,532 21,658,267 16.4 20142015 12 31 19.9% 22.6% 20152016 3 31 24.7% 22.7% 2015 3 312016 3 31 2015 3 3118.6 2016 3 3121.7 2.8 258

20142015 2014 12 31 37.52015 12 31 85.3 (i) 2014 11.8 (ii) 9.8 (iii)6.0 (iv) 3.7 (v) 3.6(vi) 3.6 12 31 3 31 2014 2015 2015 2016 2,248,537 11,082,861 3,025,178 2,249,526 (18,501,752) (422) 9,450 2,248,537 (7,419,313) 3,025,178 2,258,976 2015 3 312016 3 31 2015 3 313.02016 3 31 2.22016 3 31 20142015 8.8 2015 18.5 259

2015 11100% 2014 12 3118.5 (i) (ii) 16.5% 20142014 (iii) [2009]472009 1 2347 QFII 10%2014 11 17 [2009]79 79 79QFII RQFII 2014 11 17 20142015 12 3120152016 3 31 4.3 (2.4) (34,973) 1.8 2015 3 312016 3 31 2015 3 3134,9732016 3 311.8 34,973 RQFII 260

20142015 2014 12 31 4.3 2015 12 312.4 20142015 12 31 18.8% (5.1%) 2015 2.4 2015 RQFII RQFII 3.4 13 2015 3 312016 3 31 2015 3 314.92016 3 31 5.817.5% 2015 3 319.2%2016 3 31 7.3%(i)(ii) (iii)2.9 20142015 2014 12 31 18.82015 12 31 50.5169.0% 2014 12 31 103.5 2015 12 31 312.7202.1% 203.6% 2014 12 31 15.6%2015 12 31 13.9%(i)2015 (ii) 2015100% 18.5 261

12 31 3 31 2014 2015 2015 2016 % % % % 23.0 28.3 31.0 11.8 37.3 35.8 37.1 40.7 35.6 36.3 45.8 (82.9) 57.4 54.2 47.0 (28.2) 35.1 (22.4) 64.6 FVTPL 36 2015 3 312016 3 31 2015 3 3131.0% 2016 3 3111.8%2015 3 31 6.92016 3 3112.6 2015 3 3137.1% 2016 3 3140.7% 2015 3 31615.8 2016 3 312,686.9 2015 3 3145.8% 2016 3 31(82.9%) 2015 3 3147.0% 2016 3 31(28.2%)2015 36 2015 3 3164.6% 2016 3 31 2015 112016 3 31 262

20142015 2014 12 31 23.0%2015 12 31 28.3%2015 2015 20142015 12 31 2014 12 31 57.4% 2015 12 31 54.2%2015 36 2014 12 31 35.1% 2015 12 31 (22.4%) 18.5 12 2015 2015 12 31238.0 263

12 31 3 31 2014 2015 2015 2016 45,378,623 127,378,668 15,576,005 23,661,701 (1,063,036,606) (1,339,419,052) (1,786,919,479) 35,837,372 (13,971,988) (8,753,516) (1,728,262) 1,353,651 1,162,138,290 1,383,007,928 1,817,679,455 (39,765,821) 85,129,696 34,835,360 29,031,714 (2,574,798) (291,551) (286,728) 118,348,564 203,186,709 203,186,709 238,022,069 203,186,709 238,022,069 231,931,695 235,447,271 2014 12 31411.72015 12 312,421.3 26.7% 27.1% 264

20142015 12 31 2016 7 31973.5 4,848.9 5,826.4 20142015 12 31 2014 12 31 1,063.0 45.4(i) 597.0(ii) 2014 460.4 2015 12 31 1,339.4 127.4(i) 2015 2,031.4(ii) 2014 1,215.2(i) 1,230.1(ii) FVTPL 579.5 2015 3 311,786.9 2016 3 3135.8 2014 12 31 14.0 12.2 1.8 265

2015 12 31 8.8 4.1 0.9 2015 3 311.7 2016 3 311.4 2014 12 31 1,162.1 1,116.5190.0 130.0 2015 12 31 1,383.0 4,625.03,195.4 2015 3 311,817.7 2,335.2 2016 3 3139.8 1,490.2 266

12 31 2016 2016 2014 2015 3 31 7 31 652,010,795 2,683,432,603 2,870,780,337 3,327,879,882 150,500,000 282,300,000 262,600,000 289,800,000 FVTPL 579,594,969 86,280,187 48,378,266 12,385,409 14,332,209 3,617,047 29,032,757 11,384,185 11,630,289 48,814,055 3,804,021 2,373,400 6,605,800 440,374,374 1,655,617,525 1,970,678,195 2,029,597,335 203,186,709 238,022,069 235,447,271 759,538,661 2,103,077,870 4,886,945,812 5,367,841,701 6,552,132,967 713,120,824 1,943,190,294 2,436,750,492 2,391,183,737 12,532,875 57,285,281 60,132,943 53,605,081 3,570,568 149,650 2,233,159 5,752,416 986,500,000 2,416,068,466 2,389,454,855 3,538,575,478 1,715,724,267 4,416,693,691 4,888,571,449 5,989,116,712 387,353,603 470,252,121 479,270,252 563,016,255 FVTPL 267

2014 12 312015 12 312016 3 312016 7 31 387.4 470.3 479.3 563.0 2014 12 31387.42015 12 31 470.3 (i)2015 2,031.4 (ii)2015 1,215.2(i) 1,230.1(ii)1,429.6 2015 12 31 470.32016 3 31479.3 (i)2016 3 31 187.3 (ii)2016 3 31 315.1 493.6 2016 3 31479.32016 7 31563.0 (i)2016 7 31 457.1 (ii) 2016 4 524.11,149.1 268

12 31 2016 2014 2015 3 31 65,542,856 33,762,232 213,816,394 11,670,164 48,528,276 38,760,215 411,743,535 2,421,317,090 2,484,616,544 6,711,407 16,295,234 10,563,651 12,635,861 495,667,962 2,519,902,832 2,760,392,665 155,767,164 153,094,406 107,454,850 346,640 7,941,669 1,500,000 229,029 2,493,696 1,432,822 652,010,795 2,683,432,603 2,870,780,337 T+2 2014 12 312015 12 312016 3 31 11.7 48.5 38.820142015 12 31 2016 3 31 269

12 31 2016 2014 2015 3 31 0 30 738,093 12,741,118 1,508,315 30 124,844 2,245,194 2,046,602 862,937 14,986,312 3,554,917 651,147,858 2,668,446,291 2,867,225,420 652,010,795 2,683,432,603 2,870,780,337 2015 12 3112.7 30 270

20142015 12 312016 3 31 12 31 2016 2014 2015 3 31 411.7 2,421.3 2,484.6 1,543.5 8,940.8 8,639.6 (%) 26.7 27.1 28.8 20142015 12 312016 3 31 2015 12 31 2014 12 31 1. 2. 20142015 12 312016 3 31 238.0 642.3 731.9 20142015 12 31 2016 3 31 271

20142015 12 31 2016 3 31 21 272

12 31 2016 2014 2015 3 31 157,500,000 282,300,000 264,600,000 150,500,000 282,300,000 262,600,000 7,000,000 2,000,000 157,500,000 282,300,000 264,600,000 2014157.5 2015282.32016 3 31264.6 20147 7 2014 2015 2016 3 31 2.0 20142015 12 31 2016 3 31 720.0 1,963.6 1,881.5 FVTPL 20142015 12 31FVTPL579.6 2015 511 2016 3 31 2016 6 30234.9 273

20142015 12 312016 3 31 48.4 12.4 14.3 20142015 12 31 2016 3 31 29.0 11.4 11.6 2014 29.021.7 577.2 2015 11.41.6 2016 3 31 2.4 2.0 RQFII RQFII 1.0 RQFII 2.0 RQFII 1 RQFII RQFII 2.0 2014 12 31440.42015 12 311,655.6 2016 3 311,970.7 274

20142015 12 312016 3 31 203.2 238.0 235.4 12 31 2016 2014 2015 3 31 14,316,346 59,539,994 3,787,689 23,800,501 1,386,583 500,715,080 1,492,222,004 1,873,001,131 504,502,769 1,530,338,851 1,933,927,708 199,161,764 412,851,443 502,822,784 9,456,291 713,120,824 1,943,190,294 2,436,750,492 T+2 275

20149.2 201555.1 45.9496.3% 2016 3 31 60.1 2011 7 2014 1 171.9 20152014 12 31 18.8 2015 12 31 50.52015 12 312.6 2016 3 313.2 276

12 31 2016 2016 2014 2015 3 31 7 31 986,500,000 2,416,068,466 2,389,454,855 3,538,575,478 20142015 12 31 2016 3 311,960.0 7,265.0 8,177.5 986.5 2,416.1 2,398.5 2014 2015 12 31 2016 3 31 650.0 2,000.0 2,000.0 20142015 12 31 2016 3 311,060.0 2,560.0 3,160.0 20142015 12 31 2016 3 31 1,060.0 1,535.0 3,165.0 2014 2015 12 31 2016 3 3150.0 394.1 285.0 306.1 1,679.1 1,929.7 2014 2015 12 31 2016 3 31500.0 1,030.0 1,200.0 20142015 12 31 2016 3 31792.0 792.0 20142015 12 31 2016 3 31550.0 1,554.1 1,505.0 2016 7 312016 3 312,389.5 3,538.6 2016 7 319,365.0 277

20142015 12 312016 3 31 HIBOR+1.9% HIBOR+3.3% HIBOR+1.04% HIBOR+2.7% 0.9% HIBOR+2.65% 20142015 12 31 2016 3 31 2.8% 2.0% 1.9% 2016 7 31 608.6 2,230.0 700.0 2016 7 31 2016 7 31 2016 7 31 278

12 31 2016 2014 2015 3 31 17,755,746 20,839,533 23,251,097 31,584,770 11,346,632 7,315,680 49,340,516 32,186,165 30,566,777 12 31 2016 2014 2015 3 31 12,192,503 4,098,533 79,530 1,779,485 850,962 10,040 13,971,988 4,949,495 89,570 20142015 12 312016 3 31 14.0 4.9 89,570 2016 13.2 279

2016 7 31 34 12 31 2014 2015 2016 3 31 (8) (1) 15.6% 13.9% 7.3% (2) 4.5% 10.2% 4.6% (3) 0.9% 1.0% 0.4% 12 31 2016 2014 2015 3 31 (4) 1.2 1.1 1.1 (5) 1.2 1.1 1.1 (6) 234.5% 485.9% 474.0% (7) 186.2% 438.0% 427.3% (1) 100% (2) 100% (3) 100% 280

(4) (5) (6) 100% (7) 100% (8) 2016 3 31 2016 3 31 2016 12 31 20142015 12 31 (9) 2016 42,419,799,995 2,395,841,579 7 2014 12 31 15.6% 2015 12 31 13.9% (i)2015 (ii)2015100% 18.5 2014 12 31 4.5%2015 12 31 10.2% 2016 3 31(i) (ii)(iii) 2.9 281

20142015 12 310.9% 1.0% 2016 3 31 (i) (ii)(iii) 2.9 2014 12 312015 12 312016 3 31 1.2 1.1 1.1 2014 12 31234.5%2015 12 31485.9% 2014 12 312015 12 311,960.0 7,265.0 986.5 2,416.1 2016 3 31 474.0% 2014 12 31186.2%2015 12 31 438.0% 2014 12 312015 12 31 1,960.0 7,265.0986.5 2,416.1 2016 3 31 427.3% 282

17.15 17.21 2015 7 212016 3 31 4,775,870 1.2851.18 1.39 46.229.3 283

16.9 1.6 2015 12 31 2016 12 31 284

1.18 1.285 1.39 1,135.8 1,238.8 1,341.8 1,309.5 1,427.9 1,546.4 1.285 40% 495.5 36% 4% 285

20% 248.0 10% 124.0 8% 99.1 8% 99.1 4% 49.1 10% 124.0 286

206.1 237.0 2018 12 31 287

2016 12 31 2017 6 30 2017 12 31 2018 6 30 2018 12 31 99.1 99.1 99.1 99.1 99.1 495.5 49.6 49.6 49.6 49.6 49.6 248.0 24.8 24.8 24.8 24.8 24.8 124.0 14.9 34.7 29.7 19.8 99.1 14.9 34.7 29.7 19.8 99.1 7.3 17.2 14.8 9.8 49.1 24.8 24.8 24.8 24.8 24.8 124.0 235.4 284.9 272.5 247.7 198.3 1,238.8 288

289

100,000,000 (a) (b) 290

(a) (i) (ii) (iii) (iv) (v) (vi) 291

(vii) (viii) (ix) (x) (xi) (xii) (xiii) 292

(b) (i) (ii) (iii) (iv) (v) (vi) 293

(vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) (xv) (xvi) (xvii) 294

(a) (b) (c) (d) 17.29 13.16A(1) (a) 295

(b) (a) (a) 13.18(1) (b) (a) 296

(b) (c) (a) (b) (d) (a) (b) (c) (a) (b) (c) (a) (b) (c) (a) (b) (c) 297

13.15(5)(a) (i) (a) (b) (c) (a) (b) (d) (a) (b) (c) (a) (b) (c) (d) (ii) (i)(a) (b) (c) 298

(iii) (i)(a) (b) (c) (iv) (i) 13.18(1) (ii) 299

6A.07 6A.07 30 150,000,000 15% 2.5% 1.285 1.18 1.39 46.2 300

301

100,000,000 S 900,000,000 1,000,000,000 25% 27.7% 100,000,000 10% 2.5% 302

5 5 50,000,000 303

(i)15 50(ii)50 100 (iii)100 300,000,000(i) 400,000,000 (ii) 500,000,000(iii) 30% 40% 50% 1.39 1.0% 0.0027%0.005% 2,000 2,808.02 1.39 304

900,000,000 90% 22.5% S 305

30 150,000,00015% 3.61% 30 306

(i) (ii) (iii)(i) (ii) (iv) (v) (vi) (ii) (iii) (iv) (v) 2016 11 4 30 307

150,000,000 15% 13.16A 13.15(5)(a) (a) (b) 308

2016 10 12 2016 10 17 1.391.18 1.39 1.0% 0.0027%0.005% 1.39 www.xyzq.com.hkwww.hkexnews.hk 309

10% 11. 310

2016 10 30 30 2016 10 17 www.xyzq.com.hkwww.hkexnews.hk 13. 155 2016 10 20 2016 10 20 2,0008407 311

1. www.hkeipo.hk 2. 18 S (i) (ii) 312

3. www.hkeipo.hk 2016 9 30 2016 10 4 2016 10 5 (i) 1 30 199 32 313

189 22 110-116 6 4-6 C 255 23 2302 683-685 5 30 2 5 504 8 B113 284 9 902-903 39 1101 150-160 9 901 903-904 314

199 35 50 10 12 10 1005B-06A 181 27 189 29-30 189 7 33 24 100 28-29 183 19 1908 315

(ii) 1 3 136 213 471 55 L1 112-125 18-24 1 4 20 833G04 77 G1 G2 84A-84B 252A 252B 253 316

2016 9 302016 10 5 8 1 2016 9 30 2016 10 3 2016 10 4 2016 10 5 2016 10 5 4. (i) (ii) (iii) (iv) 317

(v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (i) (ii) S S 902(h)(3) (xiii) (xiv) (xv) 318

(xvi) (xvii) (xviii) (xix)(i) (ii) 5. www.hkeipo.hk 319

2016 9 302016 10 5 www.hkeipo.hk 24 2016 10 5 40 40 342E 6. 2979-7888 (https://ip.ccass.com) 320

8 1 (i) (ii) 321

40 322

2,000 2,000 323

2016 9 30 (1) 2016 10 3 (1) 2016 10 4 (1) 2016 10 5 (1) (1) 2016 9 302016 10 5 24 2016 10 5 40 40342E 324

7. (i) (ii) 2016 10 5 8. 325

9. 2,000 2,000 www.hkeipo.hk 10. 2016 10 5 326

2016 10 5 11. 2016 10 19 www.xyzq.com.hkwww.hkexnews.hk 2016 10 19 www.xyzq.com.hkwww.hkexnews.hk 2016 10 192016 10 25 24 www.tricor.com.hk/ipo/result 2016 10 19 2016 10 24 852-3691-8488 2016 10 19 2016 10 21 327

12. (i) 40 342E (ii) (iii) 328

(iv) 50% 13. 1.39 2016 10 19 329

14. (i) (ii) 2016 10 19 330

(i) 1,000,000 2016 10 19 183 22 1,000,000 2016 10 19 (ii) 1,000,000 1,000,0002016 10 19 2016 10 19 331

2016 10 19 (iii) 1,000,000 2016 10 19 183 22 1,000,000 2016 10 19 (iv) 332

2016 10 19 2016 10 19 2016 10 19 2016 10 19 2016 10 19 333

15. 334

Deloitte Touche Tohmatsu 35/F, One Pacific Place 88 Queensway Hong Kong 2015 12 31 2016 3 31 2016 9 30 2015 7 21 2015 12 18 12 31 12 31 2016 2014 2015 3 31 % % % % 1,800,000,000 100 100 100 100 2011 7 20 I-1

12 31 2016 2014 2015 3 31 % % % % 50,000,000 100 100 100 100 2012 1 18 20,000,000 100 100 100 100 2012 8 16 20,000,000 100 100 100 100 2011 10 31 210,000 100 100 100 100 2013 10 28 20,000,000 100 100 100 100 2014 5 29 1,000,000 100 100 100 2015 4 21 CISI Investment Limited 2,500,000 100 2016 5 11 I-2

12 31 2016 12 31 2016 2014 2015 3 31 2014 2015 3 31 % % % % IS China Strategy Balanced Fund ISSBF a 2012 8 7 5,000,000 100 100 100 100 100 100 100 100 CIS Investment Fund Segregated Portfolio Company IS RMB Fixed Income Fund Segregated Portfolio ISRFIF b 2013 11 14 466,926,070 100 100 100 CIS Investment Fund Segregated Portfolio Company CIS Dynamic Growth Fund Segregated Portfolio CISDF c 2015 6 17 1,000,000 100 100 100 100 100 100 (a) ISSBF 2015 4 30 ISSBF 2015 4 30ISSBF ISSBF2015 4 30 ISSBFISSBF 98%ISSBF100% 2% ISSBF 2015 5 20ISSBFISSBF 2% ISSBF2015 5 20 ISSBF (b) ISRFIF 2015 11 2 ISRFIF 2015 11 2ISRFIF ISRFIF2015 11 2 ISRFIF ISRFIF 2015 11 12 (c) CISDF 2016 2 26 CISDF 2016 2 26 2016 2 26 CISDF I-3

20142015 12 31 ISSBF ISRFIF2014 12 31 Deloitte & Touche CISDF 2015 A 4 3.340 A 2 A 2 2014 12 312015 12 312016 3 31 2015 12 312016 3 31 I-4

2015 3 31 2015 3 2410 2015 3 2015 3 2015 3 2015 3 I-5

(A) 12 31 3 31 2014 2015 2015 2016 8 120,001,758 364,324,168 53,815,010 79,766,999 8 4,365,712 3,865,371 644,239 957,221 9 (16,682,557) (45,843,172) (7,211,573) (12,965,744) 10 (12,976,346) (79,996,504) (6,900,500) (12,586,570) 11 (36,377,417) (100,009,268) (19,866,317) (25,322,229) (37,460,628) (85,253,840) (18,607,532) (21,658,267) (1,598,329) (2,871,675) 12 2,248,537 (7,419,313) 3,025,178 2,258,976 12 23,119,059 48,069,113 4,898,505 7,578,711 13 (4,347,723) 2,434,920 34,973 (1,782,237) 18,771,336 50,504,033 4,933,478 5,796,474 (18,443,580) (58,172) 1,872,990 100% 18,501,752 327,756 68,947,613 6,806,468 5,796,474 14 0.0399 0.0991 0.0097 0.0114 I-6

12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 15 12,754,057 10,170,765 8,370,491 5,688,507 4,816,343 16 2,821,380 3,019,998 2,780,336 1,392,415 1,242,961 17 1,408,150,163 1,408,150,163 18 7,000,000 2,000,000 19 4,527,796 9,717,842 6,503,361 20 7,251,542 6,585,008 6,923,236 6,259,322 6,599,763 34,354,775 29,493,613 26,577,424 1,421,490,407 1,420,809,230 21 652,010,795 2,683,432,603 2,870,780,337 1,100,000 1,100,000 18 150,500,000 282,300,000 262,600,000 22 579,594,969 19 48,378,266 12,385,409 14,332,209 20 29,032,757 11,384,185 11,630,289 4,332,645 5,216,638 23 3,804,021 2,373,400 831,104,021 891,397,675 24 440,374,374 1,655,617,525 1,970,678,195 24 203,186,709 238,022,069 235,447,271 74,343,613 23,074,411 2,103,077,870 4,886,945,812 5,367,841,701 910,880,279 920,788,724 25 713,120,824 1,943,190,294 2,436,750,492 26 12,532,875 57,285,281 60,132,943 44,012,866 48,516,704 23 988,650 1,896,167 3,570,568 149,650 2,233,159 1,841,782 28 986,500,000 2,416,068,466 2,389,454,855 1,792,000,000 1,792,000,000 1,715,724,267 4,416,693,691 4,888,571,449 1,837,001,516 1,844,254,653 387,353,603 470,252,121 479,270,252 (926,121,237) (923,465,929) 873,961 480,361 873,961 480,361 27 1,030,468 1,615,788 1,314,516 779,771 645,249 420,677,910 497,255,985 504,052,799 493,715,438 496,217,691 29 1,000 49,000,000 1,000 49,000,000 (18,443,580) 30 (53,109,270) (2,605,237) 3,191,237 2,273,617 4,775,870 492,230,760 8,419,401 9,419,741 31 491,440,821 442,441,821 491,440,821 442,441,821 420,677,910 497,255,985 504,052,799 493,715,438 496,217,691 I-7

a b c 2014 1 1 b(i) 300,000,000 (71,880,606) 228,119,394 b(ii) 190,000,000 190,000,000 b(iii) 2,230,760 2,230,760 18,771,336 18,771,336 (18,443,580) (18,443,580) (18,443,580) 18,771,336 327,756 2014 12 31 492,230,760 (18,443,580) (53,109,270) 420,677,910 b(iii) 7,630,462 7,630,462 1,000 (1,000) 491,440,821 (491,440,821) 50,504,033 50,504,033 18,443,580 18,443,580 18,443,580 50,504,033 68,947,613 2015 12 31 1,000 491,440,821 8,419,401 (2,605,237) 497,255,985 b(iii) 1,000,340 1,000,340 a(i)(ii) 48,999,000 (48,999,000) 5,796,474 5,796,474 5,796,474 5,796,474 2016 3 31 49,000,000 442,441,821 9,419,741 3,191,237 504,052,799 2014 12 31 492,230,760 (18,443,580) (53,109,270) 420,677,910 b(iii) 1,796,100 1,796,100 4,933,478 4,933,478 1,872,990 1,872,990 1,872,990 4,933,478 6,806,468 2015 3 31 494,026,860 (16,570,590) (48,175,792) 429,280,478 I-8

(a) (i) 2015 12 312(d) 2(d) 489,990,000 0.1 (ii) 2016 1 22 489,990,000 0.1 (iii) 2016 3 31 2(d) 0.1 489,990,000 (b) (i) (ii) 2014 2013 11 25 (iii) 2014 12 312015 12 312015 3 312016 3 31 2 2014 12 312015 12 312015 3 312016 3 31 2,230,760 7,630,462 1,796,100 1,000,340 2014 12 312015 12 312015 3 31 2016 3 31 (c) ISRFIF (d) 2016 3 31 I-9

12 31 3 31 2014 2015 2015 2016 23,119,059 48,069,113 4,898,505 7,578,711 16,682,557 45,843,172 7,211,573 12,965,744 2,975,275 6,681,403 1,509,380 1,876,654 422 (9,450) 370,972 652,344 160,447 249,702 18,501,752 2 2,230,760 7,630,462 1,796,100 1,000,340 45,378,623 127,378,668 15,576,005 23,661,701 (50,673,029) 30,802,811 43,725,148 1,267,681 (34,407,407) 18,315,106 12,139,988 (584,332) (597,006,577) 579,536,797 (18,169,178) (460,407,741) (2,031,421,808) (2,111,567,073) (187,347,734) (157,500,000) (124,800,000) (18,500,000) 17,700,000 (103,556,229) (1,215,243,151) (138,520,473) (315,060,670) 287,420,583 1,230,069,470 424,363,628 493,560,198 7,715,171 45,469,772 1,977,715 3,034,128 873,961 2,054,761 (393,600) (1,063,036,606) (1,339,018,374) (1,786,919,479) 35,837,372 (400,678) (1,063,036,606) (1,339,419,052) (1,786,919,479) 35,837,372 (12,192,503) (4,098,533) (1,653,742) (79,530) 12,600 (1,779,485) (850,962) (74,520) (10,040) 1,430,621 (3,804,021) (13,971,988) (8,753,516) (1,728,262) 1,353,651 I-10

12 31 3 31 2014 2015 2015 2016 190,000,000 (14,361,710) (46,560,538) (7,366,119) (13,152,210) 1,116,495,000 4,625,000,000 2,335,237,206 1,463,586,389 (129,995,000) (3,195,431,534) (510,191,632) (1,490,200,000) 1,162,138,290 1,383,007,928 1,817,679,455 (39,765,821) 85,129,696 34,835,360 29,031,714 (2,574,798) (291,551) (286,728) 118,348,564 203,186,709 203,186,709 238,022,069 203,186,709 238,022,069 231,931,695 235,447,271 24 203,186,709 238,022,069 231,931,695 235,447,271 18,838,803 161,206,200 33,015,398 54,226,874 2,063,592 I-11

1. 2015 7 21 100% 19932 2. (a) 2015 12 18 (b) 2015 7 20 1,000100% (c) 2015 7 211,000100% (d) 2015 12 18 489,990,000 489,990,000 489,990,000 2015 12 18 100%2015 12 312016 1 22489,990,000 0.10 2014 12 312015 12 312016 3 31 I-12

2014 12 312015 12 312015 3 312016 3 31 2,230,760 7,630,462 1,796,100 1,000,3402014 12 312015 12 31 2015 3 312016 3 31 3. 2016 1 1 9 2 15 2 16 3 7 1 12 1 10 28 4 15 15 2 1 2017 1 1 2 2018 1 1 3 2019 1 1 4 9 2009 9 2010 92013 2014 9 ab 9 39 I-13

9 9 39 39 9 12 12 12 39 9 9 939 15 15 1518 11 15 I-14

15 15 15 15 15 16 16 17 16 2016 3 311230,345,000 16 4. 17 36 I-15

10 (1) (2) 39 I-16

(i) (ii) (iii) (iv) (v) (vi) I-17

I-18

7 I-19

I-20

I-21

5. 18 21 20142015 12 312016 3 31 69,079,000 39,245,000 42,148,000 27 6. 28 I-22

7. 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 579,594,969 1,476,899,212 4,867,609,648 5,347,528,728 906,547,634 915,572,086 1,702,919,373 4,361,480,528 4,828,712,305 1,794,290,425 1,795,109,397 I-23

2015 12 312016 3 31 2014 12 31 7 2015 12 31 2016 3 31 2 100 2016 12 31 3 31 2014 2015 100 (18,834) 11,120 3,530 100 21,230 686 (757) I-24

2015 12 31 2016 3 31 100 (7,452) (1,862) 100 8,055 1,905 12 31 3 31 2014 2015 2014 2015 2016 2016 229,044,250 558,491,255 259,029,081 563,529,859 830,964,193 837,349,227 33,805,190 110,755,350 706,602,088 125,218,827 159,483,299 172,611,081 12 31 3 31 2015 2015 2016 2016 2,363,200 2,373,400 5% 5% 5% 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 2,416 604 548 99 99 30,746 I-25

2014 12 312015 12 312016 3 31 2% 2014 12 31 11,544,0002015 12 312016 3 31 20142015 12 31 2016 3 31 21 2014 12 312015 12 312016 3 31 72% 33% 40% 2014 12 312015 12 31 2016 3 31125,000,000 210,000,000 210,000,000 I-26

2014 12 31 AA+ 7.37% AA 92.63% 100.00% 2014 12 312015 12 312016 3 31 1 2014 12 312015 12 312016 3 31 986,500,000 1,624,068,466 1,597,454,8552015 12 312016 3 31 1,000,000,000 I-27

1 1 1 2014 12 31 0.01% 713,126,767 713,126,767 713,120,824 2.84% 988,820,847 988,820,847 988,820,847 977,702 997,702 997,702 2015 12 31 0.01% 1,943,206,487 1,943,206,487 1,943,190,294 1.97% 1,625,671,947 798,388,800 2,424,060,747 2,417,671,947 618,287 618,287 618,287 2016 3 31 0.01% 2,436,770,798 2,436,770,798 2,436,750,492 1.94% 1,598,871,870 796,646,400 2,395,518,270 2,390,871,870 1,089,943 1,089,943 1,089,943 1 1 1 2015 12 31 988,650 988,650 988,650 1.9% 1,001,301,775 798,388,800 1,799,690,575 1,793,301,775 2016 3 31 1,896,167 1,896,167 1,896,167 1.9% 1,001,213,230 796,646,400 1,797,859,630 1,793,213,230 I-28

20142015 12 312016 3 31 2014 12 31 2,368,400 577,226,569 2015 12 312016 3 31 I-29

8. 12 31 3 31 2014 2015 2015 2016 (a) 23,957,212 115,595,417 10,588,110 17,519,367 21,334,827 59,568,979 9,949,524 5,784,648 45,292,039 175,164,396 20,537,634 23,304,015 (b) 8,060,224 107,108,132 7,104,258 47,800,427 1,924,836 19,922,056 2,621,270 5,132,116 9,985,060 127,030,188 9,725,528 52,932,543 (c) 18,098,206 20,997,217 266,037 420,000 2,021,940 2,218,575 1,306,640 2,400,000 1,000,000 20,120,146 25,615,792 1,572,677 1,420,000 (d) 808,536 5,534,168 758,673 1,036,499 369,000 1,534,151 181,000 462,342 1,177,536 7,068,319 939,673 1,498,841 (e) 611,600 (f) 29,682,335 12,902,976 8,817,354 2,063,592 6,358,528 21,865,019 19,267,081 (7,386,114) (7,386,114) 7,386,114 341,177 43,426,977 29,445,473 21,039,498 120,001,758 364,324,168 53,815,010 79,766,999 I-30

12 31 3 31 2014 2015 2015 2016 2,415,552 3,277,888 603,027 886,738 1,950,160 587,483 41,212 70,483 4,365,712 3,865,371 644,239 957,221 9. 12 31 3 31 2014 2015 2015 2016 16,550,815 45,720,474 7,185,255 12,929,044 129,331 122,172 26,318 36,700 2,411 526 16,682,557 45,843,172 7,211,573 12,965,744 10. 12 31 3 31 2014 2015 2015 2016 133,392 37,937,918 1,613,026 7,071,169 10,997,746 25,050,666 4,610,384 3,286,938 1,845,208 17,007,920 677,090 2,228,463 12,976,346 79,996,504 6,900,500 12,586,570 I-31

11. 12 31 3 31 2014 2015 2015 2016 35,305,570 97,968,697 19,201,667 24,537,550 615,895 1,324,552 282,657 401,559 455,952 716,019 381,993 383,120 36,377,417 100,009,268 19,866,317 25,322,229 35 12. 12 31 3 31 2014 2015 2015 2016 834,477 734,711 115,938 149,438 467,594 1,086,110 415,582 7,464,424 19,293,397 4,593,682 4,916,972 370,972 652,344 160,447 249,702 2,975,275 6,681,403 1,509,380 1,876,654 1,474,051 3,734,758 1,017,482 676,276 3,462,040 13,307,105 3,029,605 2,609,486 2,658,242 2,965,789 350,061 181,764 (2,248,537) 7,419,313 (3,025,178) (2,258,976) (2,248,537) (11,082,861) (3,025,178) (2,249,526) 18,501,752 422 (9,450) 3,005,646 4,852,121 515,236 725,221 2015 12 31100%ISRFIF 2014 12 31 I-32

13. 12 31 3 31 2014 2015 2015 2016 3,570,568 252,012 124,958 2,208,467 3,570,568 376,970 2,208,467 (3,421,902) (119,520) 24,692 (124,958) (3,397,210) (119,520) (124,958) 3,570,568 (3,020,240) (119,520) 2,083,509 27 777,155 585,320 84,547 (301,272) 4,347,723 (2,434,920) (34,973) 1,782,237 2009 1 23 [2009]47 47 QFII 10%2014 11 17 [2014]79 79QFII RQFII 2014 11 17 2014 11 17 2014 12 31 RQFIIISRFIF 10%2015 ISRFIF ISRFIFISRFIF 2015 12 31 16.5% I-33

12 31 3 31 2014 2015 2015 2016 23,119,059 48,069,113 4,898,505 7,578,711 (16.5%) 3,814,645 7,931,403 808,253 1,250,488 (2,092,886) (1,442,204) (1,146,949) 2,594,138 9,089,538 2,636,574 1,991,139 (2,030,167) (10,046,504) (4,052,037) (1,113,996) 3,989,992 2,668,888 2,061,592 963,333 (1,878,395) (7,591,488) (222,886) (484,301) (3,397,210) (119,520) (49,604) 352,657 (824,426) 4,347,723 (2,434,920) (34,973) 1,782,237 14. 12 31 3 31 2014 2015 2015 2016 18,771,336 50,504,033 4,933,478 5,796,474 2014 1 1 470,022,668 509,383,471 509,383,471 509,383,471 20142015 12 3120152016 3 31 I-34

15. 2014 1 1 3,656,730 769,307 13,544 5,665,259 10,104,840 5,478,928 14,746 6,698,829 12,192,503 2014 12 31 9,135,658 769,307 28,290 12,364,088 22,297,343 (8,443) (8,443) 76,780 33,800 3,987,953 4,098,533 2015 12 31 9,212,438 769,307 62,090 16,343,598 26,387,433 79,530 79,530 (63,000) (63,000) 2016 3 31 9,212,438 769,307 62,090 16,360,128 26,403,963 2014 1 1 (2,539,395) (144,707) (5,512) (3,878,397) (6,568,011) (1,117,335) (91,393) (2,944) (1,763,603) (2,975,275) 2014 12 31 (3,656,730) (236,100) (8,456) (5,642,000) (9,543,286) 8,021 8,021 (2,199,249) (91,337) (9,675) (4,381,142) (6,681,403) 2015 12 31 (5,855,979) (327,437) (18,131) (10,015,121) (16,216,668) 59,850 59,850 (559,411) (22,834) (3,376) (1,291,033) (1,876,654) 2016 3 31 (6,415,390) (350,271) (21,507) (11,246,304) (18,033,472) 2014 12 31 5,478,928 533,207 19,834 6,722,088 12,754,057 2015 12 31 3,356,459 441,870 43,959 6,328,477 10,170,765 2016 3 31 2,797,048 419,036 40,583 5,113,824 8,370,491 I-35

3,542,929 449,481 21,309 1,979,742 5,993,461 2015 12 31 3,542,929 449,481 21,309 1,979,742 5,993,461 48,930 48,930 (63,000) (63,000) 2016 3 31 3,542,929 449,481 21,309 1,965,672 5,979,391 (186,470) (7,611) (727) (110,146) (304,954) 2015 12 31 (186,470) (7,611) (727) (110,146) (304,954) 59,850 59,850 (559,411) (22,834) (2,179) (333,520) (917,944) 2016 3 31 (745,881) (30,445) (2,906) (383,816) (1,163,048) 2015 12 31 3,356,459 441,870 20,582 1,869,596 5,688,507 2016 3 31 2,797,048 419,036 18,403 1,581,856 4,816,343 12.5% 20% 50% I-36

16. 2014 1 1 1,081,640 1,000,000 2,081,640 1,779,485 1,779,485 2014 12 31 2,861,125 1,000,000 3,861,125 850,962 850,962 2015 12 31 3,712,087 1,000,000 4,712,087 10,040 10,040 2016 3 31 3,722,127 1,000,000 4,722,127 2014 1 1 (668,773) (668,773) (370,972) (370,972) 2014 12 31 (1,039,745) (1,039,745) (652,344) (652,344) 2015 12 31 (1,692,089) (1,692,089) (249,702) (249,702) 2016 3 31 (1,941,791) (1,941,791) 2014 12 31 1,821,380 1,000,000 2,821,380 2015 12 31 2,019,998 1,000,000 3,019,998 2016 3 31 1,780,336 1,000,000 2,780,336 I-37

1,445,486 2015 12 31 1,445,486 10,040 2016 3 31 1,455,526 (53,071) 2015 12 31 (53,071) (159,494) 2016 3 31 (212,565) 2015 12 31 1,392,415 2016 3 31 1,242,961 3 17. 2015 12 31 2016 3 31 1,408,150,163 1,408,150,163 2 1,408,150,163 ISSBF 2015 4 30 ISRFIF 2015 11 2 CISDF 2016 2 26 100 2016 3 31 38 I-38

18. 12 31 2014 2015 2016 3 31 157,500,000 282,300,000 264,600,000 150,500,000 282,300,000 262,600,000 7,000,000 2,000,000 157,500,000 282,300,000 264,600,000 12 31 2014 2015 2016 3 31 157,500,000 282,300,000 264,600,000 12 31 2016 2014 2015 3 31 2014 12 315.25% 7.5% 2015 12 31 6.25% 8.25% 2016 3 316% 8.25% 150,500,000 282,300,000 262,600,000 2014 3 312016 3 315.25% 7,000,000 2,000,000 157,500,000 282,300,000 264,600,000 2014 12 312015 12 312016 3 31157,500,000 282,300,000 262,600,000 720,012,224 1,963,626,561 1,881,513,115 20142015 12 312016 3 31 2016 3 31 2,000,000 I-39

19. 37 12 2014 37 20. 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 7,836,509 6,585,008 6,923,236 6,259,322 6,599,763 23,827,334 4,433,430 3,649,525 306,409 1,249,768 397,409 1,403,018 4,620,456 6,644,346 6,730,996 3,935,236 3,813,620 36,284,299 17,969,193 18,553,525 10,591,967 11,816,401 29,032,757 11,384,185 11,630,289 4,332,645 5,216,638 7,251,542 6,585,008 6,923,236 6,259,322 6,599,763 36,284,299 17,969,193 18,553,525 10,591,967 11,816,401 I-40

21. 12 31 2014 2015 2016 3 31 65,542,856 33,762,232 213,816,394 11,670,164 48,528,276 38,760,215 411,743,535 2,421,317,090 2,484,616,544 6,711,407 16,295,234 10,563,651 12,635,861 495,667,962 2,519,902,832 2,760,392,665 13,287,834 18,641,515 13,715,817 142,479,330 134,452,891 93,739,033 155,767,164 153,094,406 107,454,850 346,640 7,941,669 1,500,000 229,029 2,493,696 1,432,822 652,010,795 2,683,432,603 2,870,780,337 20142015 12 312016 3 31 862,937 14,986,312 3,554,917 20142015 12 312016 3 3110,807,227 33,541,964 35,205,298 2014 12 312015 12 312016 3 31 3% 2014 12 312015 12 312016 3 31 1,543,520,000 8,940,763,000 8,639,645,000 2014 12 312015 12 312016 3 3199% 98% 94% I-41

28 2014 12 312015 12 312016 3 31 12 31 2016 2014 2015 3 31 0 30 738,093 12,741,118 1,508,315 30 124,844 2,245,194 2,046,602 862,937 14,986,312 3,554,917 651,147,858 2,668,446,291 2,867,225,420 652,010,795 2,683,432,603 2,870,780,337 20142015 12 312016 3 31 72% 33% 40%20142015 12 312016 3 31 297,553,000 806,858,000 992,372,000 941,854,000 3,293,961,000 3,754,980,000 I-42

12 31 2016 2014 2015 3 31 31 346,640 4,254,045 31 60 2,187,624 61 90 91 180 1,500,000 1,500,000 346,640 7,941,669 1,500,000 12 31 2016 2014 2015 3 31 31 229,029 720,084 507,933 31 60 255,897 281,380 61 90 329,209 245,004 91 180 655,181 398,505 180 533,325 229,029 2,493,696 1,432,822 37 7 2015 12 312016 3 311,100,000 22. 2014 12 31 577,226,569 2,368,400 579,594,969 2015 12 312015 12 312016 3 31 I-43

23. 12 31 2016 2014 2015 3 31 3,804,021 2,373,400 2015 12 31 2016 3 31 3,804,021 3,804,021 2015 2016 12 31 3 31 1 3,804,021 3,804,021 2,373,400 3,804,021 3 545,000,000 595,000,000 621,923,108 625,000,000 2 282,300,000 292,000,000 264,600,000 284,300,000 1 493,239 760,000 1 416,702 1,060,000 1 1,018,677 1,018,677 1 572,549 572,549 831,104,021 891,397,675 1 923,367 1 988,650 972,800 988,650 1,896,167 I-44

1. 2. 3. 2015 12 312016 3 31 545,000,000 615,000,000 2015 12 312016 3 316,923,108 24. 2014 12 31118,210,578 102,585,4652015 12 31 412,219,366 87,702,8202016 3 31 741,938,275 103,789,7202015 12 312016 3 31 25. 12 31 2016 2014 2015 3 31 14,316,346 59,539,994 3,787,689 23,800,501 1,386,583 500,715,080 1,492,222,004 1,873,001,131 504,502,769 1,530,338,851 1,933,927,708 199,161,764 412,851,443 502,822,784 9,456,291 713,120,824 1,943,190,294 2,436,750,492 I-45

21 2014 12 31 30 26. 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 a 9,234,326 55,063,513 57,625,985 42,711,091 47,303,474 b 2,320,847 1,603,481 1,417,015 1,301,775 1,213,230 977,702 618,287 1,089,943 12,532,875 57,285,281 60,132,943 44,012,866 48,516,704 (a) (b) I-46

27. 2014 1 1 253,313 13 777,155 2014 12 31 1,030,468 13 585,320 779,771 2015 12 31 1,615,788 779,771 13 (301,272) (134,522) 2016 3 31 1,314,516 645,249 2014 12 312015 12 312016 3 31 69,079,000 39,245,000 42,148,000 28. 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 986,500,000 2,416,068,466 2,389,454,855 1,792,000,000 1,792,000,000 986,500,000 1,624,068,466 1,597,454,855 1,000,000,000 1,000,000,000 792,000,000 792,000,000 792,000,000 792,000,000 986,500,000 2,416,068,466 2,389,454,855 1,792,000,000 1,792,000,000 20142015 12 312016 3 31 HIBOR+1.9% HIBOR+3.3% HIBOR+1.04% HIBOR+2.7% 0.9% HIBOR+2.65%2015 12 312016 3 31 HIBOR+1.04% HIBOR+2.3% HIBOR+2.3% HIBOR+2.65% I-47

20142015 12 31 2016 3 311,960,000,000 7,265,000,000 8,177,500,000 986,500,000 2,416,068,466 2,389,454,855 20142015 12 312016 3 31650,000,000 2,000,000,000 2,000,000,000 20142015 12 312016 3 31 1,060,000,000 2,560,000,000 3,160,000,000 20142015 12 312016 3 31 1,060,000,000 1,535,000,000 3,165,000,000 20142015 12 312016 3 3150,000,000 394,068,466 284,954,855 306,146,000 1,679,079,500 1,929,683,500 20142015 12 312016 3 31 500,000,000 1,030,000,000 1,200,000,000 20142015 12 312016 3 31 792,000,000 792,000,000 20142015 12 312016 3 31 550,000,000 1,554,068,066 1,504,954,855 2015 12 312016 3 315,500,000,000 5,500,000,000 1,792,000,000 1,792,000,000 2015 12 312016 3 31 1,000,000,000 792,000,0002015 12 31 2016 3 312,000,000,0002015 12 312016 3 311,000,000,000 29. 2015 7 212014 12 31 2015 12 31 2016 3 31 0.10 (a) 10,000 1,000 (b) 489,990,000 48,999,000 2015 12 312016 3 31 490,000,000 49,000,000 (c) 10,000 1,000 2015 12 31 10,000 1,000 (d) 489,990,000 48,999,000 2016 3 31 490,000,000 49,000,000 I-48

(a) (b) (c) (d) 2015 7 211,000 10,000 0.1 2015 12 18 1,000 49,000,000 490,000,000 0.1 2015 7 21 10,000 0.1 2016 1 22 489,990,000 0.1 30. 2,273,617 2015 12 31 2,273,617 2,502,253 2016 3 31 4,775,870 31. 2015 12 312(d) 489,990,000 0.12016 1 22 489,990,000 0.1 2016 3 31 2(d) 489,990,000 0.1 32. 12 31 2016 2015 2016 2014 2015 3 31 12 31 3 31 17,755,746 20,839,533 23,251,097 20,839,533 23,251,097 31,584,770 11,346,632 7,315,680 11,346,632 7,315,680 49,340,516 32,186,165 30,566,777 32,186,165 30,566,777 I-49

33. (a) # 5 2014 12 31 1 2 4 1,682,759 364,000 1,187,500 3,234,259 2 3 4 887,891 222,300 500,000 1,610,191 2,570,650 586,300 1,687,500 4,844,450 # 5 2015 12 31 1 2 4 1,782,100 492,000 2,870,000 5,144,100 2 3 4 1,239,512 218,400 2,340,000 3,797,912 3,021,612 710,400 5,210,000 8,942,012 # 5 2015 3 31 1 2 4 494,687 123,000 462,842 1,080,529 2 3 4 290,347 54,600 382,028 726,975 785,034 177,600 844,870 1,807,504 I-50

# 5 2016 3 31 1 2 4 413,084 123,000 675,757 1,211,841 2 3 4 326,068 54,600 557,768 938,436 739,152 177,600 1,233,525 2,150,277 # 1. 2015 7 21 2. 3. 2016 6 1 4. 5. 2016 6 1 20142015 12 3120152016 3 31 2016 7 27 20142015 12 3120152016 3 31 I-51

(b) 20142015 12 3120152016 3 31 20142015 12 3120152016 3 31 12 31 3 31 2014 2015 2015 2016 5,078,290 5,997,367 1,496,867 1,602,000 1,140,000 7,004,000 1,190,165 1,469,504 67,000 52,500 9,000 13,500 6,285,290 13,053,867 2,696,032 3,085,004 12 31 3 31 2014 2015 2015 2016 1,000,000 2 2 1,000,001 1,500,000 2 1 1 1,500,001 2,000,000 1 2,000,001 2,500,000 1 3,500,001 4,000,000 2 5,500,001 6,000,000 1 I-52

34. (a) 33(a) 12 31 3 31 2014 2015 2015 2016 6,026,000 20,709,629 4,211,551 5,967,735 60,750 102,000 18,000 31,500 (b) 2ISRFIF (c) 39 35. 1,250 1,5002014 6 1 11 I-53

36. 8 4 I-54

2014 12 31 45,292,039 9,985,060 20,120,146 1,177,536 76,574,781 43,426,977 43,426,977 39,360 10,325,609 (10,364,969) 45,331,399 9,985,060 20,120,146 11,503,145 43,426,977 (10,364,969) 120,001,758 120,001,758 10,404,829 3,727,595 7,167,659 6,597,069 15,226,411 43,123,563 (20,004,504) 23,119,059 1,326,843 28,420 17,070 1,372,333 1,602,942 2,975,275 355,598 355,598 15,374 370,972 1,745,623 9,985,060 2,565 1,269 30,339,937 42,074,454 8,493 42,082,947 131,742 1,990,783 14,544,687 16,667,212 15,345 16,682,557 I-55

2015 12 31 175,164,396 127,030,188 25,615,792 7,068,319 334,878,695 29,445,473 29,445,473 5,633,995 (5,633,995) 175,164,396 127,030,188 25,615,792 12,702,314 29,445,473 (5,633,995) 364,324,168 364,324,168 49,578,718 45,420,958 9,300,573 6,886,655 (6,588,246) 104,598,658 (56,529,545) 48,069,113 3,265,121 8,265 12,397 3,285,783 3,395,620 6,681,403 132,861 167 133,028 519,316 652,344 2,684,515 127,030,232 3,421 2,526 13,480,135 143,200,829 10,223 143,211,052 665,733 60,208,187 7,798,359 (22,829,107) 45,843,172 I-56

2015 3 31 20,537,634 9,725,528 1,572,677 939,673 32,775,512 21,039,498 21,039,498 2,991,359 (2,991,359) 20,537,634 9,725,528 1,572,677 3,931,032 21,039,498 (2,991,359) 53,815,010 53,815,010 6,358,764 3,608,294 720,152 1,846,754 13,583,889 26,117,853 (21,219,348) 4,898,505 765,479 2,066 2,846 770,391 738,989 1,509,380 37,220 37,220 123,227 160,447 432,314 9,725,528 8 8,987,778 19,145,628 281 19,145,909 26,318 3,482,901 4,165,349 (462,995) 7,211,573 I-57

2016 3 31 23,915,615 52,932,543 1,420,000 1,498,841 79,766,999 186,750 (186,750) 23,915,615 52,932,543 1,606,750 1,498,841 (186,750) 79,766,999 79,766,999 2,825,720 21,567,975 (1,331,589) (422,435) 22,639,671 (15,060,960) 7,578,711 951,184 2,066 5,461 958,711 917,943 1,876,654 90,083 125 90,208 159,494 249,702 886,478 52,932,543 53,819,021 260 53,819,281 237,807 23,867,279 (11,139,342) 12,965,744 I-58

20142015 12 312015 3 312016 3 31 ISRFIF 43,210,000 28,383,000 20,841,000 10% 12 31 3 31 2014 2015 2015 2016 () A 1 9,946,871 3 5,713,801 3 B 2 8,280,000 3 3 3 C 1 3 3 3 7,835,963 1 2 3 10% 2015 12 31 10% 37. I-59

2014 12 31 662,030,609 (166,362,647) 495,667,962 (65,938,200) (352,541,237) 77,188,525 670,865,416 (166,362,647) 504,502,769 (65,938,200) 438,564,569 2015 12 31 2,733,264,516 (213,361,684) 2,519,902,832 (108,225,175) (2,298,428,648) 113,249,009 I-60

1,743,700,535 (213,361,684) 1,530,338,851 (108,225,175) (12,406,003) 1,409,707,673 2016 3 31 3,201,318,171 (440,925,506) 2,760,392,665 (163,793,765) (2,263,876,948) 332,721,952 2,374,853,214 (440,925,506) 1,933,927,708 (163,793,765) 1,770,133,943 I-61

38. 12 2015 12 31 2016 3 311,142,267 273,268 2015 12 312016 3 31 1,142,267 273,2682015 12 312016 3 31 328 3002014 12 31 39. (b)(iii)20142015 12 31 2015 3 312016 3 31 2,230,760 7,630,462 1,796,100 1,000,340 I-62

(B) 2016 12 31 4,571,000 (C) 2016 3 31 1. 2016 4 26 1,499,999,999 1,485,148,514 1.01 0.1 2. 2016 4 26 2016 4 26639,999,996 633,663,362 1.01 0.1 3. 2015 12 31 2016 4 26 279,800,000 277,029,7031.01 ES ES(i) (ii) ES 4. 2016 7 2717,114,158,421 0.1 288,584,1582,000,000,000 2016 7 27 114,158,421 I-63

(D) 2016 3 31 2016 9 30 I-64

A. 7.31 2016 3 31 2016 3 31 2016 3 31 2016 3 31 1 2 3 1.39 501,272 1,346,308 1,847,580 1.22 1.18 501,272 1,140,245 1,641,517 1.09 II-1

1. 2016 3 312016 3 31 504,052,7992016 3 31 2,780,336 2. 1.39 1.18 1,000,000,000 2016 3 314,470,004 3. (2) 1,509,383,471 2016 3 31 490,000,000 19,383,471 (4)2016 3 31 1,000,000,000 4. 2016 3 31 2016 3 31 2016 4 262,395,841,579B B 2016 4 262,419,799,995 2,395,841,579 2016 3 31 (i) 1.39 4,267,380 1.07 1.18 4,061,318 1.02 (i) 2016 3 31 490,000,000 2016 4 26 2,395,841,579 1,000,000,000 114,158,4214,000,000,000 II-2

B. 2016 9 30 A2016 3 31 II-1 II-2 2016 3 312016 3 31 2015 12 31 2016 3 31 7.31 7 II-3

1 7.31(7) 3420 7.31 7 2016 3 31 II-4

(a) (b) (c) 7.31(1) 2016 9 30 II-5

2015 7 21 1. (a) (b) 2. 2016 7 27 (a) (i) (ii) III-1

(iii) (a) (b) (c) (d) (e) (f) (g)(h) (iv) III-2

30 (v) (vi) III-3

(vii) 20% 20% 14 14 20% III-4

(b) (i) III-5

(aa) (bb) (cc) (dd) (ee) (ff) (gg) (hh) (ii) III-6

(iii) (iv) III-7

(v) III-8

(vi) (vii) (viii) III-9

(aa) (bb) (cc) (dd) (i) (ii) (ee) (c) III-10

(d) (e) (i) 15 (ii) (a) (b) III-11

(A) (B) (C) (iii) 15 (iv) 21 14 III-12

(i) (ii) 95% (v) (vi) III-13

(f) 21 21 III-14

21 (g) (i) (ii) (iii) (aa) (bb) III-15

20% (h) III-16

(i) 3(f) (j) (i) (ii) (k) III-17

3. 2015 7 21 (a) (b) (i) (ii) (iii) 37 (iv) (v) III-18

(e) (f) Foss v. Harbottle (g) III-20

(h) (i) (ii)(iii) 2013 (i) (j) 20116 (i) (ii) (aa) (bb) 20116(3) 2016 6 7 III-21

(k) (l) (m) (n) 2013 (o) 60 (p) (i) (ii)(iii) III-22

(i) (ii) (q) 75% III-23

(r) 90% (s) III-24

A. 1. 2015 7 21 2015 9 1116 19932 2. (a) 1,000.00 10,000 0.10 (b) 2015 12 18489,990,000 1,000.00 49,000,000 (c) 2016 4 262,395,841,579 49,000,000 288,584,157.9 (d) 4,000,000,00016,000,000,000 (e) 2016 7 27 IV-1

(f) 3. 2016 7 27 2016 7 27 (a) (b) 17,114,158,421 0.1 288,584,157.9 2,000,000,000 (c) 30 (i) (ii) (iii) 11,415,842.1 114,158,421 2016 7 27 IV-2

(d) 20% (i) (ii) (iii) (e) 10% (i) (ii) (iii) IV-3

(f) (d) (e) 10% 4. 5. 6. (a) (i) 2016 7 27 IV-4

10% (ii) (iii) (b) (c) 4,000,000,000 400,000,000 IV-5

(d) (e) 26 25% IV-6

B. 1. (a) Dragon Power 2016 4 21 (b) Teda Holdings 2016 4 21 (c) Sushine2016 4 21 (d) 2016 4 19 (e) 2016 4 21 (f) Money Space 2016 4 21 (g) 2016 4 21 IV-7

(h) Fusion International 2016 4 21 (i) 2016 6 6 (j) 2016 9 28 (k) 2016 9 28 (l) Zhang Wei 2016 9 28 (m) 2016 9 26 (n) 2. xyzq.com.hk 2018 4 8 IV-8

303533616 2015 9 11 2025 9 10 36 303533607 2015 9 11 2025 9 10 36 303533599 2015 9 11 2025 9 10 36 303533580 2015 9 11 2025 9 10 36 302210859 2012 4 2 2022 4 1 36 IV-9

C. 1. (a) XV XV7 8 352 (i) 9,000,000 0.23% 7,900,000 0.20% 9,000,000 0.23% 7,900,000 0.20% 7,000,000 0.18% IV-10

(b) XV2 3 10% 2,053,281,644 51.33% 1 2,053,281,644 51.33% 2 2,053,281,644 51.33% Intelligence Creation International Limited 3 287,988,473 7.20% Equity Trustee 287,988,473 7.20% Limited 4 ICV 5 287,988,473 7.20% 205,853,089 5.15% ApexTrade Holdings Limited 205,853,089 5.15% Chen Jiaquan 6 205,853,089 5.15% Yang Zhiying 7 205,853,089 5.15% 303,500,000 7.59% 8 8 303,500,000 7.59% IV-11

5. 34 6. (a) (b) (c) (d) XV2 3 10% (e) XV7 8 352 IV-13

(f) 5% D. E. 1. 2. 6A.07 6 3. 39,537.5 4. IV-14

5. 1 6 6 6. 7. 44A 44B 8. (a) (b) IV-15

14 15 13 (i) (ii) (iii) 2014 2015 12 312016 3 31 (iv) 20142015 12 312016 3 31 (v) (vi) (vii) (viii) (ix) (x) C.2. V-1