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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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
31
B CAGR CBBC 1 FATCA 1 FATCA 32
120(1) 121(1) NAV QDII QFII 126 RQFII T+2 33
34
35
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
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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
44
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
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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
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55
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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
(C) (a) (b) (c) 103
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