2016 中 期 報 告

02 03 06 11 14 52 66 72 73 78 87 88 89

2016H 02 2016 2016

03 2016H A 1.00 H 1.00 Haitong Bank, S.A

2016H 04 665

05 2016H IPO QFII 2016 1 12016 6 30 RQFII 571

2016H 06 Haitong Securities Co., Ltd. Haitong Securities 11,501,700,000.00 11,501,700,000.00 77,271,950,670.24 85,521,155,141.81 1. [2001]3 2. [2001]819 3. [2001]306 4. [2002]090 5. [2002]076 6. (SC201014) 7. [2005]079 8. [2005]173 9. [2006]3 10. [2007]86 11. (2007.08) 12. [2008]146 13. [2008]22 14. [2008]479[2010]122 15. [2008]421 16. [2009]302 17. [2009]1 18. [2010]315

07 2016H 19. [2010]372 20. (2011.08) 21. [2010]070 22. [2011]237 23. [2011]512[2011]37 24. [2011]1821 25. [2011]585 26. [2012]686 27. [2012]825 28. [2012]113 29. [2012]561 30. (SC201307) 31. [2013]407[2014]1551 32. [2013]180 33. [2013]741 34. 00132029 35. 2013[2013]204 36. [2013]959 37. [2013]1643 38. 39. [2014]358 40. T004 41. [2014]4 42. [2014]321 43. [2015]153 44. 50ETF[2015]214 45. [2015]20 46. NO.G02008 47. [2015]1204 48. [2015]461 49. [2015]120 50. [2015]115

2016H 08 51. 52. CQC16T10005R0M/3100 53. A 689 12200001 689 12200001 8621-23219000 8621-23219000 8621-63410627 8621-63410627 huangzh@htsec.com sunt@htsec.com 689 200001 689 200001 http://www.htsec.com haitong@htsec.com http://www.sse.com.cn 189 21

09 2016H http://www.sse.com.cn http://www.hkexnews.hk 68912 A 600837 / H 6837 / 689 http://www.sse.com.cn 2016 8 169131000013220921X6310000000016182

2016H 10 61 4 8835 A H

11 2016H 2016 1-6 2015 1-6 19,922,694 30,077,568-33.76% 5,494,816 13,952,861-60.62% 4,264,300 10,154,714-58.01% -14,127,751-48,574,390 0.37 1.03-64.08% 0.37 1.02-63.73% (%) 3.91 12.97-9.06 2016 2015 06 30 12 31 542,331,929 576,448,892-5.92% 426,383,429 459,521,221-7.21% 110,309,039 129,026,336-14.51% 105,086,847 107,694,545-2.42% 11,501,700 11,501,700 0.00% 9.14 9.36-2.35% (%) (1) 73.16 73.87-0.71 1 =

2016H 12 40.00 70.00 100.00 130.00 160.00 190.00 220.00 250.00 280.00 310.00 0.00 15.00 30.00 45.00 60.00 75.00 90.00 105.00 0.00% 2.00% 4.00% 6.00% 8.00% 10.00% 12.00% 14.00% 30.00% 35.00% 40.00% 45.00% 50.00% 55.00% 60.00% 65.00% 70.00% 75.00% 0.00 1,000.00 2,000.00 3,000.00 4,000.00 5,000.00 6,000.00 7,000.00 2016 17% 33.76% 58.01% 2016

13 2016H 2016 1-62015 1-6 2016 6 302015 12 31 2016 6 30772.72855.2182.49 2016 2015 06 30 12 31 77,271,951 85,521,155 97,609,606 101,119,681 1,209.16% 1,269.37% 79.16% 84.57% 52.00% 44.59% 65.69% 52.72% 51.46% 46.93% 53.09% 68.63%

2016H 14 2016 FICCPE IT 2016 2020 2016 65,423 1,051 199.2342.64 3.91% 2016

15 2016H 8,173,445 5,361,736 34.40% -48.39% -37.80% 11.17 624,578 423,002 32.27% -63.65% -56.71% 10.86 3,242,543 2,402,247 25.91% -40.48% 23.55% 38.40 899,341 310,568 65.47% -5.81% 2.78% 2.88 530,555 43,086 93.64% 91.18% 20.97% 5.43 1,577,054 1,011,598 35.86% 23.08% 11.28% 6.81 3,472,290 3,081,217 12.17% 1.59% 100.29% 43.65

2016H 16 1 99 8566.04% 1,095 PB 2016 6PB1,136 33% QFII/RQFII 7.67% 1.7710.8%8.63% 201628.1251.2%

17 2016H 811,125 15 7 255 9 47833 19.7%33 28.63.8%2016 6 1805% 20165.8910.7% 3007.15 FICC 20168.4015.3%

2016H 18 6,01838%976 3,7178% 1,72711% PE168 27%309.4 20162.023.7% 12 6.92 IPO89 20164.979.0% 98.940% 393 14.9%PPP 140 1801% 20165.6510.3%

19 2016H IPO 20164.237.7%

2016H 20 2 (1) 2016199.23101.55 33.76%2016 17% 32%6 62.2031.22%45.36% 2016 85.2642.79%5.40% 26.4913.30%65.18% 2016 25.2812.69%21.89%

21 2016H 2016 1-6 2015 1-6 6,220,221 31.22% 11,384,597 37.85% -5,164,376-45.36% 8,525,752 42.79% 9,012,845 29.97% -487,093-5.40% 2,648,726 13.30% 7,606,183 25.29% -4,957,457-65.18% 2,527,995 12.69% 2,073,943 6.89% 454,052 21.89% 19,922,694 100.00% 30,077,568 100.00% -10,154,874-33.76% (2) 2016 145.6010.64% 29.8421.55% 7.1055.88% 2016 38.1012.44%

2016H 22 2016 2016 2015 1-6 1-6 2,984,063 3,803,985-819,922-21.55% 6,505,068 5,801,783 703,285 12.12% 710,194 1,609,779-899,585-55.88% 366,128 584,405-218,277-37.35% 184,289 141,937 42,352 29.84% 3,810,286 4,351,649-541,363-12.44% 14,560,028 16,293,538-1,733,510-10.64% 3 2016 5,592 2016 1-6 5,100 492 5,592

23 2016H 4 201645.63 (1) 141.28 186.33 520.74 264.65 40.99 115.66 (2) 102.80 (3) 198.44 199.02

2016H 24 5 (1) (2) 2015 2 920152015 A2015H [2015]811 2015 5H 2015 5 2919.17 H17.18 329.34327.47 2013 3 26 2013 5 27 2012 2013 9 25 [2013]1220 230 1202013 11 27 72.623.523.9 1102014 7 16 56.545.58.0

25 2016H 2013 3 26 2013 5 27 2012 2014 10 28 2014 1526 2014 42014 11 20 200 2015 5 1380

2016H 26 2014 12 19 2015 2 9 20152015AH 200% 350 1502015 4 85 3 2002015 6 123 15025 503 [2014]1551 [2015]77 2016 3 20 90

27 2016H 113 [2016]886 2016 5200 41503 550 14020 H 2015 5 15 17.18 1,048,141,220 2015 5 15 1,048,141,220 H 2015 5 29 17.18 868,837,600 2015 5 29 868,837,600 2013 11 25 6.05% 72.6 2013 12 16 72.6 2016 11 23 2013 11 25 6.15% 23.5 2013 12 16 23.5 2018 11 22 2013 11 25 6.18% 23.9 2013 12 16 23.9 2023 11 23 2014 7 14 5.25% 56.5 2014 8 13 56.5 2017 7 12 2014 7 14 5.45% 45.5 2014 8 13 45.5 2019 7 11 2014 7 14 5.85% 8 2014 8 13 8 2024 7 11 2014 12 2 4.65% 50 2014 12 19 50 2015 11 30 2014 12 22 5.85% 25 2015 3 10 25 2015 3 19 2015 5 13 5.00% 80 2015 7 2 80 2016 5 10 2015 4 8 5.50% 150 2015 5 11 150 2018 4 4 2020 4 6 * 2015 6 12 5.30% 150 2015 8 26 150 2017 6 9 2018 6 8 * 2015 6 12 5.38% 50 2015 8 26 50 2018 6 8 2020 6 10 * 2016 3 8 2.45% 20 2016 3 10 20 2016 6 3 2016 5 18 3.60% 150 2016 6 15 150 2019 5 15 2020 5 14 * 2016 5 18 3.80% 50 2016 6 15 50 2021 5 13 *

2016H 28 (3) FICC PE IT

29 2016H 1 2016 65,4235.92%4,264 7.21% 27.91% 21.61% 11.93%11.30% 0.24% 2016 6 30 2015 12 31 112,872,347 102,682,965 10,189,382 9.92% 19,558,607 3.61% 17,472,135 3.03% 2,086,472 11.94% 37,978,244 7.00% 33,445,224 5.80% 4,533,020 13.55% 6,213,460 1.15% 4,668,075 0.81% 1,545,385 33.11% 3,181,111 0.59% 7,774,533 1.35% -4,593,422-59.08% 6,887,081 1.27% 5,136,607 0.89% 1,750,474 34.08% 21,215,565 3.91% 17,223,078 2.99% 3,992,487 23.18% 1,294,964 0.24% 1,317,178 0.23% -22,214-1.69% 5,663,485 1.04% 5,648,299 0.98% 15,186 0.27% 2,874,034 0.53% 2,516,143 0.44% 357,891 14.22% 3,797,086 0.70% 3,757,597 0.65% 39,489 1.05% 429,459,582 473,765,927-44,306,345-9.35% 141,451,077 26.08% 163,191,220 28.31% -21,740,143-13.32% 9,947,914 1.83% 15,747,116 2.73% -5,799,202-36.83% 85,769,831 15.82% 102,665,873 17.81% -16,896,042-16.46% 64,716,558 11.93% 76,324,967 13.24% -11,608,409-15.21% 9,057,863 1.67% 6,263,868 1.09% 2,793,995 44.60% 61,291,360 11.30% 60,245,770 10.45% 1,045,590 1.74% 11,734,709 2.16% 9,921,752 1.72% 1,812,957 18.27% 13,018,488 2.40% 11,045,127 1.92% 1,973,361 17.87% 6,204,059 1.14% 5,275,772 0.92% 928,287 17.60% 4,878,488 0.90% 3,428,166 0.59% 1,450,322 42.31% 13,484,357 2.49% 13,524,326 2.35% -39,969-0.30% 542,331,929 576,448,892-34,116,963-5.92%

2016H 30 2016 6 30 2015 12 31 290,356,946 336,022,549-45,665,603-13.59% 110,309,039 25.87% 129,026,336 28.08% -18,717,297-14.51% 43,705,619 10.25% 90,951,854 19.79% -47,246,235-51.95% 42,611,002 9.99% 31,284,497 6.81% 11,326,505 36.20% 3,100,378 0.73% 1,512,362 0.33% 1,588,016 105.00% 33,104,372 7.76% 24,837,241 5.41% 8,267,131 33.29% 4,911,394 1.15% 3,718,116 0.81% 1,193,278 32.09% 19,728,820 4.63% 15,504,612 3.37% 4,224,208 27.24% 18,202,075 4.27% 22,336,951 4.86% -4,134,876-18.51% 10,242,032 2.40% 10,793,748 2.35% -551,716-5.11% 139,102,636 137,743,378 1,359,258 0.99% 136,026,483 123,498,672 12,527,811 10.14% 104,624,559 24.54% 89,805,660 19.54% 14,818,899 16.50% 11,262,834 2.64% 9,330,007 2.03% 1,932,827 20.72% 2,797,328 0.66% 7,624,682 1.66% -4,827,354-63.31% 4,941,912 1.16% 6,188,371 1.35% -1,246,459-20.14% 6,050,429 1.42% 5,747,990 1.25% 302,439 5.26% 426,383,429 459,521,221-33,137,792-7.21% 115,948,500 116,927,671-979,171-0.84% *

31 2016H 2016 6 1,1299.92% 2016 61,391 1,37714 0.99% 1 2016 2 2016 2016

2016H 32 2016 6 301,869 2016 6 2016 6 30 2015 12 31 114,866,591 100,599,408 53,873,836 40,614,504 18,202,075 22,336,951 186,942,502 163,550,863 34 35 39 2016 6 30711 1,391 2016 6 30

33 2016H 1 2016 2009-20152016 6 30 2 3 2016 6 30 329 2903930 12 2016 6 30900

2016H 34 4 201639% 5 9 FTU 6 27

35 2016H 1 68.8751.3717.50 34.08% 2 (%) 1 511880 2,476,765.05 24,456,494.00 2,478,910.23 1.86 102,770.64 2 010213 02(13) 2,026,084.53 21,000,000.00 2,103,990.00 1.58 16,590.00 3 HFT001 1,356,316.94 1,536,526,880.82 1,408,637.83 1.06 73,897.28 QDII1 4 ICBC 1,149,865.42 1,480,000.00 1,192,796.04 0.90 60,117.56 Preference Shares (USD) 5 270014 B 1,145,921.33 1,164,806,901.40 1,164,806.90 0.88 129,722.75 6 511820 B 1,086,235.57 10,866,526.00 1,086,522.20 0.82 7 000543 B 1,000,000.00 1,000,000,000.00 1,000,000.00 0.75 3,130.35 8 001374 1,000,000.00 1,007,910,360.44 1,007,910.36 0.76 7,910.36 B 9 091005 B 1,000,000.00 1,000,000,000.00 1,000,000.00 0.75 10 100028 B 1,000,000.00 1,000,000,000.00 1,000,000.00 0.75 119,609,646.70 119,650,111.29 89.90 1,568,897.76-1,044,568.50 132,850,835.55 133,093,684.87 100.00 918,468.20 1 2 3 4

2016H 36 3 (%) 002517 782,851.30 9.97 1,518,974.06 651,099.25 601211 352,710.91 0.40 540,816.00 73,922.07 17,632.00 600958 161,789.00 0.42 442,943.50 262,650.62-87,218.50 601398 371,644.10 0.02 360,283.80-11,360.30 002550 373,270.81 2.64 281,726.57 2,533.51-91,544.24 601318 278,280.00 0.04 247,669.20-30,610.80 601988 200,500.00 0.02 160,500.00 8,750.00-40,000.00 603399 109,999.99 2.90 156,736.74 22,691.75 832168 141,480.00 0.44 141,480.00 982.50 600004 138,000.00 0.87 122,600.00-15,400.00 2,606,895.43 2,880,259.00 198,138.07-650,198.47 5,517,421.54 6,853,988.87 546,976.77-234,909.31 1 2

37 2016H 4 92,907.38 27.775% 27.775% 563,507.83 91,379.75-12,987.59 67,000.00 51.00% 51.00% 76,500.00 31,346.66-1,396.96 63,650.00 67.00% 67.00% 63,650.00 11,249.02-976.39 1,369,191.78 66.667% 66.667% 1,369,191.78 84,210.49 3,798.29 7,406,814.50 100.00% 100.00% 7,406,814.50 407,205.79-134,149.59 7,650,000.00 100.00% 100.00% 7,650,000.00 379,843.60 81,036.87 3,500,000.00 100.00% 100.00% 3,500,000.00 271,181.48-89,803.98 1,200,000.00 100.00% 100.00% 1,200,000.00-73,221.16-9,545.94 21,349,563.65 21,829,664.11 1,203,195.62-164,025.28 1 2 3 213.502015

2016H 38 5 6 (1) 1.551% 2016 6 30 12.42 8.71 20162.56 0.61 (2) 327.775% 2016 6 3040.14 20.67 201611.85 3.60 (3) 167% 2016 6 301.78 1.36 2016 0.46 0.17 (4) 1366.667% 2016 6 30215.29 24.5 201621.46 1.26 (5) 88.50100% 2016 6 302,086.16 112.36201658.85 8.1460.91% 100%100% (6) 76.50100% 2016 6 30141.30 103.3120166.14 3.80

39 2016H (7) 35100% 2016 6 3072.29 44.19 20163.06 2.71 (8) 12 100% 2016 6 30215.86 21.9920160.45-0.73 (9) 5.3360.91% 2016 6 301,096.1 212201624.58.1 (10) 34.29 100% 2016 6 30 393.48 71.04201615.21 4.38 (11) Haitong Bank, S.A.4.26269100% 2016 6 30 47.124.90 20160.63-0.20 7 1

2016H 40 (1)

41 2016H (2) A 2016 12 6 2016 13,536.59 2,638.302016 6 302,929.61 17.22%17.88% 17.92% (ivix) 2016 127.95%2016 6 30 18.58%33.53%

2016H 42 B 2016SLF MLF 2016 34 119.040.21% DV01 C 2016 6 30

43 2016H (3)

2016H 44 (4) 6 30 2016

45 2016H 200 2 (1) 2016 6 279.47% 224.58% 308.59% 2016 6 30 1.25%238% (2) 20160.3% 2016

2016H 46 2016 2.4220152.842016 2015 6 194.57 ETF (3) (4)

47 2016H 3 (1) (2) (3) (4) (5)

2016H 48 (6) (7) (8) (9) IT OA

49 2016H (10) 2015201511,501,700,000 0.4510 4.505,175,765,000.00A 8,092,131,180A3,641,459,031.00H 3,409,568,820H1,818,514,328.52 2015 20152016 7 2016

2016H 50 1. 4HaiTong XuYu International Limited Haitong International Strategic Investment Europe Limted Haitong International New Energy VIII LimitedHaitong International New Energy IX Limited (1) HaiTong XuYu International Limited 2016 2 35 0HaiTong XuYu International Limited (2) Haitong International Strategic Investment Europe Limted 2016 1 55 1Haitong International Strategic Investment Europe Limited

51 2016H (3) 2 1 Haitong International New Energy VIII Limited2016 1 11512 Haitong International New Energy IX Limited2016 1 11 51 2. 30

2016H 52 2002 8 23 102012 8 22 2014 2015 6 8 10 212,924,4392016 6 30 18,000,0002016 2014 12 19 10 217,248,5662016 6 30 7,865,5062016 2014 5 275 5097,321,500 2015 1 19 28 85,980,375 0.4552 8%

53 2016H 20152016 1 BE 2016 (%) 7,541,255.70 0.93% 615,399.61 0.01% 3,830,701.06 0.04% 322,577.96 0.01% 3,903,817.00 0.10% 2 2016 (%) 370.35 0.00%

2016H 54 3 2016 (%) 16,436,733.26 2.03% 16,933.14 0.00% 33,390,580.31 0.85% 39,355.75 0.00% 9,031.06 0.00% 7,560.07 0.00% 148,795,676.00 0.82%

55 2016H 0 148,795,676 148,795,676 0 148,795,676 148,795,676

2016H 56 1 2 (A) 7,156,987,146 (B) 27,197,640,491 (A+B) 27,197,640,491 (%) 25.88 (C) 70%(D) 10,263,569,801 50%(E) (C+D+E) 10,263,569,801 1. 2015 2 92015 2015AH 50% 2015 6 5 1) 2016 5 18Haitong International Finance Holdings 2015 Limited12021 1.6%2)2016 5 26 Haitong International Finance Holdings 2015 Limited1.220211.6%

57 2016H 2. 2016 3 30 2016 5 262015 70% 50% 10% 2016 5 31 Haitong Investment Ireland Public Limited Company7.5 Novo Banco, S.A. NBBanco Espírito Santo de Investimento, S.A. Haitong Bank, S.A7.5 NB 8 5 NB NB NBNB 2015 9 7 Banco Espírito Santo de Investimento, S.A.Haitong Bank, S.A NB 7.53 2016 5 31 Haitong Investment Ireland Public Limited Company 7.5 5 3. Haitong International Finance Holdings 2015 Limited6.72020 3.5%

2016H 58 4. 2013 109 Haitong International Finance Holdings Limited 2013 5. 2013 6 9 [2013]145 888 58,438,8222016 6 30 1 7.3750430,986,312.25 233,586,933.872016 6 30 1 7.37501,722,703,637.29 SPV 6,052,780,0002016 6 30 1 0.85467 5,173,129,483 58,927,138,5002016 6 30 1 0.8546750,363,257,462 3

59 2016H 2016 2016 5% 5% H2012 4 27 A.2.1 2016 7 29 3.05

2016H 60 1223 221 114 <>< > 2016 7 29 <> <> 2016 6 30132 65 7 2016 7 29 2016

61 2016H 2016 6 30125 7 E

2016H 62 1. [2015]121 2016 8 169131000013220921X6 310000000016182

63 2016H 2. (1) 2015 8 242015011 2015 8 25 2015 9 10 2015 73 HOMS 2015 9 11 2015 (2) 2015 11 26 153122 2015 11 27 2015 11 28 2015 11 29

2016H 64 3. (1) 2.2 Haitong International Finance Holdings 2015 Limited 2016 5 2.2 (2) 8,000 2016 5 8,000 (3) 2016 1 2016 432016 3 2016125+N 2016 412 3+32016 5 12 3+22016 62016 6 4. (1) 2016 42016 1.2 3 (2) 2016 5 1 12

65 2016H 5. (1) 2000 2016 51100 (2) 2016 3 22 (3) 3,0002016 7 7 2 5 6. (1) 2016 3 302016 2016 3 31 2016 4 22

2016H 66 1 2 3 4 295,821A 295,366 H 455

67 2016H (%) -460,810 3,408,692,373 29.64 0 0 402,150,000 3.50 0 210,000,000 0 400,709,623 3.48 0 23,462,413 385,715,584 3.35 0-251,721 334,281,551 2.91 0 0 322,162,086 2.80 0 0 235,247,280 2.05 0 0 214,471,652 1.86 0 0 160,829,853 1.40 0 7,375,241 159,108,941 1.38 0

2016H 68 3,408,692,373 3,408,692,373 402,150,000 402,150,000 400,709,623 400,709,623 385,715,584 385,715,584 334,281,551 334,281,551 322,162,086 322,162,086 235,247,280 235,247,280 214,471,652 214,471,652 160,829,853 160,829,853 159,108,941 159,108,941 1 H 2 H A 3 A 4

69 2016H 10 5% H 2016 6 30 XV23 336 3 A 4 H (%) (%) 1. A 1 402,150,000 3.50 4.97 2. A 1 400,709,623 3.48 4.95 3. Maunakai Capital Partners H 283,894,000 2.46 8.32 (Hong Kong) Limited 4. BSA Strategic Fund I H 283,844,000 2.46 8.32 5. Insight Capital Management H 223,415,200 1.94 6.55 (Hong Kong) Limited 6. Insight Phoenix Fund H 223,415,200 1.94 6.55 7. H 2 248,000,000 2.15 7.27 8. H 2 248,000,000 2.15 7.27 9. Vogel Holding Group Limited H 2 248,000,000 2.15 7.27 10. BlackRock, Inc. H 198,351,871 1.72 5.81 H 666,400 0.00 0.01

2016H 70 1 (www.hkexnews.hk) 482,686,582 A416,420,568 A336 2 248,000,000 3 (i)(ii) (iii)(iv) 4 (i)(ii) (iii)(iv) 2016 6 30 336

71 2016H 2016 6 30 XV XV7 8 352 1 A 2 H (%) (%) 1. H 1,000,000 0.01 0.03 1 (i)(ii) (iii)(iv) 2 (i)(ii) (iii)(iv)

2016H 72

73 2016H 2015 2016 6 12 2015 2016 7 11 1 2015 12 11 2016 6 12

2016H 74 2016 3 30 2016 5 262015 2016 6 20 2016 6 12 2016 6 30132 6 5 2016 7 29 3.05

75 2016H 2 2016 3 30 2016 5 26 2015 2016 7 11 2016 6 30127 5 3 2016 4 22 IT 2016 7 29

2016H 76 2016 1 16 30 2016 6 2016 6 2016 7 2016 4(HK0680) (HK0250) 2016 5 13.51B 19A.54 19A.55

77 2016H 9,435 5,376 4,059 2016

2016H 78 1301 122280 2013 2013 11 25 1302 122281 2013 2013 11 25 1303 122282 2013 2013 11 25 2013 1304 122311 2014 7 14 1305 122312 2014 2013 7 14 1306 122313 2014 2013 7 14 2016 11 25 2018 11 25 2023 11 25 2017 7 14 2019 7 14 2024 7 14 72.6 6.05% 23.5 6.15% 23.9 6.18% 56.5 5.25% 45.5 5.45% 8 5.85% 1 2

79 2016H 1. 2014 12 19 2015 2 9 2015 2015A2015H 200% 3501502015 4 85 32002015 6 123 1502550 3 2015 4 8 5.50% 150 2015 5 11 150 2015 6 12 5.30% 150 2015 8 26 150 2015 6 12 5.38% 50 2015 8 26 50

2016H 80 2. 2013 3 26 2013 5 27 2012 60% 2016 3 8 2090 2016 3 8 2.45% 20 2016 3 10 20 3. 2014 12 19 2015 2 9 2015 2015A2015H 200% 2016 5 18 200 4 1503 550

81 2016H 2016 5 18 3.60% 150 2016 6 15 150 2016 5 18 3.80% 50 2016 6 15 50 4822 23 010-60838888 760 8 2013 2013 1. 2013 [2013]1220 2013 11 27 1202013 11 20

2016H 82 2013 11 27 [2013] 114129 [2013] 114130[2013] 114107120 2. 2013 [2013]1220 2014 7 16 1102014 7 10 2014 7 16 [2014] 113875[2014] 113874[2014] 113873 110 CCXR 1997 8 2007 9

83 2016H [2007]223 2015 4 242015 [2015]048049AAA 2016 4 272016 [2016]045048AAA 2016 [2016]G215 AAA

2016H 84 2013 20152013 2015 2016 4 292016 4 29 (%) 1.83 1.61 14.29% 1.83 1.61 14.29% 73.16% 73.87% -0.96% 100% 100% 1-6 (%) EBITDA 1.89 2.63-28.14% 100% 100% =+++++ + +++++ +++ ++ + +++

85 2016H =+++++ + +++++ +++ ++ + +++ 4 1. 2016 4 820152016-008 2. 2016 5 132014 2016-015 3. 2016 6 1220152016-022 4. 2016 6 72016 2016-024 763,8812,423 6063,275

2016H 86

87 2016H 2016

2016H 88

89 2016H 0 0 8 1. 1 2016 1 14 6-7 2 2016 1 25 3 2016 3 11 26 2 1 4 2016 3 15 393 5 2016 4 11 40 6 2016 5 6 41 302 7 2016 6 21 695 8 2016 6 24 239 6 1 101 102 103 104,2 201 202

2016H 90 2. 1 2016 6 [2016]54 2 2016 7 [2016]65 2016B BBB 2016 8 29

91 2016H 92174 2016 6 30 34 34 2410 34 2016 8 29

2016H 92 2016 6 30 6 30 2016 2015 4 6,220,221 11,384,597 5 8,525,752 9,012,845 6 2,648,726 7,606,183 17,394,699 28,003,625 7 2,527,995 2,073,943 19,922,694 30,077,568 8 (184,289) (141,937) (2,984,063) (3,803,985) (366,128) (584,405) 9 (710,194) (1,609,779) 10 (6,505,068) (5,801,783) (3,810,286) (4,351,649) (14,560,028) (16,293,538) 132,150 168,831 11 5,494,816 13,952,861 12 (829,107) (3,024,206) 4,665,709 10,928,655 4,264,300 10,154,714 401,409 773,941 4,665,709 10,928,655 13 0.37 1.03 13 0.37 1.02

93 2016H 2016 6 30 6 30 2016 2015 4,665,709 10,928,655 (1,749,225) 1,794,264 (555,919) (425,726) 527,405 (329,662) (26,967) 18,177 (1,804,706) 1,057,053 188,699 (2,153) (1,616,007) 1,054,900 3,049,702 11,983,555 2,591,713 11,173,816 457,989 809,739 3,049,702 11,983,555 100 174

2016H 94 2016 6 30 2016 6 30 2015 12 31 14 1,294,964 1,317,178 18,657 19,254 15 3,797,086 3,757,597 442,244 449,286 16 6,887,081 5,136,607 17 19,558,607 17,472,135 18 37,978,244 33,445,224 19 6,213,460 4,668,075 20 79,429 77,747 45 2,874,034 2,516,143 21 5,663,485 5,648,299 22 21,215,565 17,223,078 23 3,181,111 7,774,533 24 2,700,058 2,282,857 25 740,706 710,007 27 227,616 184,945 112,872,347 102,682,965 28 64,716,558 76,324,967 29 9,057,863 6,263,868 17 11,734,709 9,921,752 30 5,603,907 3,154,363 18 13,018,488 11,045,127 19 13,484,357 13,524,326 20 4,986 21 1,523,778 1,676,977 22 61,291,360 60,245,770 31 386,286 184,334 23 85,769,831 102,665,873 43 4,878,488 3,428,166 24 6,204,059 5,275,772 32 9,947,914 15,747,116 33 196,182 834,885 33 194,725 276,425 25 141,451,077 163,191,220 429,459,582 473,765,927 542,331,929 576,448,892

95 2016H 2016 6 30 2016 6 30 2015 12 31 34 42,611,002 31,284,497 111,430 2,668 35 18,202,075 22,336,951 36 3,100,378 1,512,362 37 110,309,039 129,026,336 38 3,238,603 2,098,115 39 10,242,032 10,793,748 40 19,728,820 15,504,612 41 48,391 60,611 1,043,791 3,895,438 42 33,104,372 24,837,241 43 4,911,394 3,718,116 44 43,705,619 90,951,854 290,356,946 336,022,549 139,102,636 137,743,378 251,974,983 240,426,343

2016H 96 2016 6 30 2016 6 30 2015 12 31 47 11,501,700 11,501,700 56,352,103 56,375,749 (637,435) 1,054,746 (531,707) (551,301) 14,000,010 13,993,667 24,402,176 25,319,984 105,086,847 107,694,545 10,861,653 9,233,126 115,948,500 116,927,671 45 708,293 665,909 39 104,624,559 89,805,660 34 11,262,834 9,330,007 46 2,701,628 2,336,208 44 2,797,328 7,624,682 42 4,941,912 6,188,371 38 1,216,655 721,044 442,500 433,514 36 6,050,429 5,747,990 40 1,280,345 645,287 136,026,483 123,498,672 251,974,983 240,426,343 92174 2016 8 29 100 174

97 2016H 2016 6 30 (a) 2016 1 1 11,501,700 56,375,749 1,054,746 (551,301) 13,993,667 25,319,984 107,694,545 9,208,309 24,817 9,233,126 116,927,671 4,264,300 4,264,300 401,409 401,409 4,665,709 (1,692,181) 19,594 (1,672,587) 56,580 56,580 (1,616,007) (1,692,181) 19,594 4,264,300 2,591,713 457,989 457,989 3,049,702 88,581 88,581 88,581 1,209,506 1,209,506 1,209,506 6,343 (6,343) 50 (5,175,765) (5,175,765) (5,175,765) 50 (144,083) (144,083) (144,083) 18,062 18,062 18,062 (23,646) (23,646) (1,528) (1,528) (25,174) 2016 6 30 11,501,700 56,352,103 (637,435) (531,707) 14,000,010 24,402,176 105,086,847 10,818,774 42,879 10,861,653 115,948,500 2015 1 1 9,584,721 32,383,596 407,434 (361,545) 9,792,774 16,557,451 68,364,431 3,894,370 5,402 3,899,772 72,264,203 10,154,714 10,154,714 773,941 773,941 10,928,655 1,018,794 308 1,019,102 35,798 35,798 1,054,900 1,018,794 308 10,154,714 11,173,816 809,739 809,739 11,983,555 1,916,979 23,958,225 25,875,204 25,875,204 (b) 32,268 32,268 4,287,470 4,287,470 4,319,738 141,500 141,500 141,500 (55,202) (55,202) (55,202) (32,355) (32,355) (50,357) (50,357) (82,712) 5,796 (5,796) 50 (2,875,425) (2,875,425) (2,875,425) 50 (99,030) (99,030) (99,030) 9,006 9,006 9,006 2015 6 30 11,501,700 56,341,734 1,426,228 (361,237) 9,798,570 23,830,944 102,537,939 8,928,490 14,408 8,942,898 111,480,837 (a) (b) (i)(ii) 100 174

2016H 98 2016 6 30 6 30 2016 2015 5,494,816 13,952,861 6,505,068 5,801,783 (132,150) (168,831) 184,289 141,937 353,181 543,570 (659,489) (452,305) 1,000 5,436 18,062 9,006 (3,647) (99,314) 148,522 (342,986) (1,219,238) (602,883) 29,037 10,719,451 18,788,274 (1,345,488) (2,023,646) 138,013 1,636,099 756,451 11,565,913 (77,861,827) (3,803,984) (4,218,447) (5,093,880) (15,282,243) (201,952) 2,000,000 18,251,493 (9,580,852) 241,455 (421,487) 22,960,529 (106,278,262) (4,098,804) (3,431,896) (17,657,024) 108,338,885 8,213,950 5,670,999 (52,073,589) 45,598,491 1,890,455 (5,790,000) (12,220) (993) (7,913,132) (44,493,004) (3,468,856) (1,462,368) (2,745,763) (2,619,018) (14,127,751) (48,574,390)

99 2016H 2016 6 30 6 30 2016 2015 260,242 75,995 (249,985) (172,468) 13,294 425 (1,887,450) (551,257) 11,603 423,935 7,469 249,848 (7,912,885) (2,075,879) 54 (137,589) (521,884) (593,482) (10,279,596) (2,780,472) (107,348) (2,881,656) (25,174) (82,712) H 25,972,690 75,243 2,948,029 55,391,526 140,093,569 19,294,440 14,679,402 (4,699,583) (1,335,443) 67,578 (55,202) (50,084,821) (73,577,986) (68,265) 19,844,283 105,760,004 (4,563,064) 54,405,142 51,744,586 24,339,194 174,702 345,584 26 47,356,224 79,089,920 (7,445,346) (3,954,461)

2016H 100 2016 6 30 1. 19881994 9 2001 12 2002 1 2007 67 2012 4 27H 689 2. 16 34 2015 2016 1 1 11 1 1638 1641 27 10 1228 2012-2014 2015 12 31

101 2016H 2016 6 30 3. 2016 6 30 2015 4. 6 30 2016 2015 3,513,674 8,696,597 425,703 280,634 655,780 405,615 975,178 747,049 631,804 1,239,782 373 723 17,709 14,197 6,220,221 11,384,597 5. 6 30 2016 2015 1,775,603 1,396,613 218,817 1,086,131 950,529 2,951,712 4,399,808 2,458,215 2,210,795 35,274 55,100 8,525,752 9,012,845 33,859 201573,003

2016H 102 2016 6 30 6. 6 30 2016 2015 1,219,238 602,883 523,242 3,640,955 220,299 2,798,784 11,829 685,947 551,732 2,648,726 7,606,183 7. 6 30 2016 2015 385,296 194,883 5,484 4,704 (148,522) 342,986 2,285,737 1,531,370 2,527,995 2,073,943 8. 6 30 2016 2015 136,958 114,251 597 603 46,482 26,831 252 252 184,289 141,937

103 2016H 2016 6 30 9. 6 30 2016 2015 662,786 1,572,646 47,408 37,133 710,194 1,609,779 10. 6 30 2016 2015 1,457,654 882,208 70,621 80,519 1,782,323 2,466,714 153,817 185,436 3,007 202,472 2,929,505 1,869,200 108,141 115,234 6,505,068 5,801,783 2,924 201519,169 11. 6 30 2016 2015 29,037 40,143 199,375 287,149 42,496 133,907 55,803 59,603 15,364 62,911 1,000 5,436 193,987 156,396

2016H 104 2016 6 30 12. 6 30 2016 2015 461,011 2,449,233 143,628 340,116 604,639 2,789,349 (12,067) (2,877) 65 (12,067) (2,812) 236,535 237,669 829,107 3,024,206 25% 16.5%

105 2016H 2016 6 30 13. 6 30 2016 2015 4,264,300 10,154,714 i 1,015 8,361 i ii (5,467) (76,934) 4,259,848 10,086,141 11,501,700 9,904,218 0.37 1.03 0.37 1.02 (i) 2013 7 182013 10 102014 11 4 7.762.3211.6439 (ii) 2015 1 1685,980,375 2016 6 3050% 2016

2016H 106 2016 6 30 14. 2016 1 1 1,102,905 769,008 944,170 173,747 176,198 25,364 3,191,392 4,484 14,702 67,801 2,609 12,249 12,588 114,433 (27,049) (1,932) (8,634) (37,615) 7,251 674 (7,925) 909 1,797 2,116 35 3,131 103 8,091 2016 6 30 1,108,298 792,758 987,038 174,459 183,618 30,130 3,276,301 2016 1 1 359,925 610,319 651,948 111,233 110,407 1,843,832 16,128 32,898 67,555 8,474 11,903 136,958 (24,914) (1,833) (7,281) (34,028) 9 630 1,177 31 2,346 4,193 2016 6 30 376,062 643,847 695,766 117,905 117,375 1,950,955 2016 1 1 2016 6 30 30,382 30,382 2016 6 30 701,854 148,911 291,272 56,554 66,243 30,130 1,294,964

107 2016H 2016 6 30 14. 2015 1 1 1,094,502 680,891 818,426 171,367 143,758 27,943 2,936,887 4,537 43,087 16,888 25,497 2,573 92,582 3,730 33,206 126,727 18,514 14,188 50,978 247,343 (63) (4,320) (63,586) (16,328) (8,781) (93,078) 13,034 43,150 (56,184) 199 3,110 2,565 194 1,536 54 7,658 2015 12 31 1,102,905 769,008 944,170 173,747 176,198 25,364 3,191,392 2015 1 1 327,908 542,042 618,295 108,412 99,703 1,696,360 32,030 66,985 95,455 18,421 18,111 231,002 (32) (63,424) (15,739) (7,766) (86,961) 19 1,292 1,622 139 359 3,431 2015 12 31 359,925 610,319 651,948 111,233 110,407 1,843,832 2015 1 1 2015 12 31 30,382 30,382 2015 12 31 712,598 158,689 292,222 62,514 65,791 25,364 1,317,178

2016H 108 2016 6 30 15. 2016 6 30 2015 12 31 3,757,597 2,600,616 524,224 456,510 39,489 176,247 3,797,086 3,757,597 16. 2016 6 30 2015 12 31 3,571,278 3,362,989 560,586 712,604 2,716,655 1,063,956 38,562 (2,942) 6,887,081 5,136,607

109 2016H 2016 6 30 16. Haitong-AC Asian Special Opportunities Fund Harveston Asset Management Pte. Ltd Haitong Special Opportunities Fund I S.P. Haitong China Select Investment Fund S.P. Haitong Multi-Tranche Investment Fund II S.P. Haitong Freedom Multi-Tranche Bond Fund Haitong High Yield Bond Multi-Tranche Fund S.P. Trinitus Asset Management Limited

2016H 110 2016 6 30 16. Diamond Head Capital International, Ltd Class E Coporgest, SA Salgar Investments Fundo Espírito Santo IBERIA I MCO2 Sociedade gestora de Fundos de Investimento Mobiliário, S.A.

111 2016H 2016 6 30 17. 2016 6 30 2015 12 31 36,249,969 31,779,770 (3,940,827) (3,578,301) 32,309,142 28,201,469 (1,015,826) (807,582) 31,293,316 27,393,887 11,734,709 9,921,752 19,558,607 17,472,135 31,293,316 27,393,887 1 13,590,475 12,113,019 11,560,347 10,258,688 1 2 10,568,293 9,419,387 8,583,385 7,616,923 2 3 7,042,002 6,276,448 6,468,544 5,740,207 3 5,049,199 4,500,288 5,167,494 4,585,651 36,249,969 32,309,142 31,779,770 28,201,469 (3,940,827) (3,578,301) 32,309,142 32,309,142 28,201,469 28,201,469 (1,015,826) (1,015,826) (807,582) (807,582) 31,293,316 31,293,316 27,393,887 27,393,887

2016H 112 2016 6 30 17. 2016 6 30 2015 12 31 (%) (%) 13,913,473 38.38 13,516,248 42.53 6,841,850 18.87 6,507,240 20.48 4,662,314 12.86 5,033,923 15.84 4,222,483 11.65 1,825,687 5.74 1,102,404 3.04 1,563,042 4.92 822,987 2.27 947,483 2.98 1,152,460 3.18 759,626 2.39 1,170,451 3.23 611,620 1.92 1,683,163 4.64 402,654 1.27 678,384 1.88 612,247 1.93 36,249,969 100.00 31,779,770 100.00 (3,940,827) (3,578,301) 32,309,142 28,201,469 (1,015,826) (807,582) 31,293,316 27,393,887 2016 6 30 2015 12 31 125,571 682,011 807,582 56,299 269,598 325,897 87,867 111,508 199,375 235,800 412,908 648,708 8,869 8,869 21,143 21,143 (187,671) (495) (188,166) 213,438 802,388 1,015,826 125,571 682,011 807,582

113 2016H 2016 6 30 18. 2016 6 30 2015 12 31 9,738,369 4,139,703 11,482,284 8,283,949 6,396,165 5,778,489 iii 23,379,914 26,288,210 50,996,732 44,490,351 7,047 6,204 9,572,570 6,843,896 41,417,115 37,640,251 50,996,732 44,490,351 ii 5,797,719 3,786,437 i 5,684,565 4,497,512 11,482,284 8,283,949 13,018,488 11,045,127 37,978,244 33,445,224 50,996,732 44,490,351

2016H 114 2016 6 30 18. i ii 2016 6 302015 12 312,904,249 3,252,221 iii 2014 11 2821 26%2017 11 272014 12 5 5 2017 12 5 2014 12 5 5 2016 6 30 2015 7 62015 9 1 150 44.57 2016 6 302015 12 31 7,769 12,262 8,533,716 12,528,548 37

115 2016H 2016 6 30 19. 2016 6 30 2015 12 31 1,702,589 2,425,390 11,940,282 10,270,891 3,624,052 3,448,861 1,670,630 1,145,727 760,264 901,532 19,697,817 18,192,401 13,484,357 13,524,326 6,213,460 4,668,075 19,697,817 18,192,401 20. 2016 6 30 2015 12 31 79,429 82,733 4,986 79,429 77,747 79,429 82,733 2016 6 3079,429 2015 12 3182,733 2016 6 304.1% 20154.1% 9.75%

2016H 116 2016 6 30 21. 2016 6 30 2015 12 31 9,191,236 9,637,493 (28,394) (27,565) (1,975,579) (2,284,652) 7,187,263 7,325,276 1,523,778 1,676,977 5,663,485 5,648,299 7,187,263 7,325,276 2016 6 302015 12 31 2016 6 30 2015 12 31 9,188,269 9,634,718 2,967 2,775 (2,003,973) (2,312,217) (28,394) (27,565) (1,975,579) (2,284,652) 7,187,263 7,325,276 2016 6 302015 12 31 2016 6 30 2015 12 31 3 1,956,212 1,543,097 3 12 393,194 1,289,517 1 5 2,046,032 2,281,965 5 4,795,798 4,522,914 (2,003,973) (2,312,217) 7,187,263 7,325,276

117 2016H 2016 6 30 21. 2016 6 30 2015 12 31 2,312,217 2,302,755 40,143 29,839 7,914 (473,091) (20,321) (4,779) 124,704 (3,191) 2,003,973 2,312,217 2016 6 30 3,694,782 (1,975,579) 5,493,487 (28,379) 9,188,269 (2,003,958) 7,184,311 2,967 (15) 2,967 (15) 2,952 3,694,782 (1,975,579) 5,496,454 (28,394) 9,191,236 (2,003,973) 7,187,263 2016 6 30 2016 6 30 2015 12 31 8,260,526 8,718,060 845,835 825,835 84,875 93,598 9,191,236 9,637,493

2016H 118 2016 6 30 21. 2016 6 302015 12 31 30.06.2016 40,787 (408) 11,717 (78) 473,565 (149,021) 931,272 (4,671) 187,058 (85,176) 1,749,720 (8,871) 278,849 (138,557) 270,987 (1,396) 280,837 (44,178) 1,359,476 (6,817) 397,619 (146,914) 391,159 (2,018) 137,355 (98,362) 88,071 (440) 78,653 (2,671) 101,042 (510) 1,581,964 (1,165,230) 235,164 (1,769) 238,095 (145,062) 357,846 (1,824) 3,694,782 (1,975,579) 5,496,454 (28,394) 31.12.2015 39,331 (394) 11,272 (73) 395,795 (135,439) 1,037,012 (5,159) 183,415 (80,815) 1,703,803 (8,582) 356,426 (133,591) 232,169 (1,172) 343,939 (41,694) 1,314,788 (6,593) 343,722 (129,753) 460,091 (2,356) 447,200 (358,269) 50,153 (251) 68,291 (696) 90,985 (466) 1,669,571 (1,263,414) 289,028 (1,441) 308,854 (140,587) 291,648 (1,472) 4,156,544 (2,284,652) 5,480,949 (27,565)

119 2016H 2016 6 30 22. 2016 6 30 2015 12 31 50,658,435 50,798,437 17,091,045 9,137,971 1,731 923 14,950,000 17,670,000 (194,286) (138,483) 82,506,925 77,468,848 50,754,978 50,857,926 16,996,233 9,079,405 14,950,000 17,670,000 (194,286) (138,483) 82,506,925 77,468,848 61,291,360 60,245,770 21,215,565 17,223,078 82,506,925 77,468,848 2016 6 30180,731,134 2015 12 31 215,037,612

2016H 120 2016 6 30 23. 2016 6 30 2015 12 31 49,710,068 40,260,638 13,085,932 17,786,575 21,194,739 48,573,634 4,960,203 3,819,559 88,950,942 110,440,406 2,644,963 2,728,274 28,549,154 36,269,398 iii 57,756,825 71,442,734 88,950,942 110,440,406 85,769,831 102,665,873 ii 3,181,111 7,774,533 88,950,942 110,440,406 (i) (ii) 42 2016 6 3015,611 2015 12 3129,149

121 2016H 2016 6 30 24. 2016 6 30 2015 12 31 342,983 442,017 114,435 173,740 1,634 1,565 1,282 1,257 460,334 618,579 1,792,914 1,492,788 750,343 479,161 566,366 266,437 2,489,764 2,118,844 630 329 3,995 2,658 586 575 2,530,625 2,033,056 8,135,223 6,393,848 41,239 137,104 47,508 112,233 39,402 40,709 16,840 10,845 5,377 5,270 35,834 67,873 299 293 122,061 171,875 308,560 546,202 8,904,117 7,558,629 6,204,059 5,275,772 2,700,058 2,282,857 8,904,117 7,558,629

2016H 122 2016 6 30 25. 2016 6 30 2015 12 31 47,275,937 51,834,566 i 94,915,846 112,066,661 142,191,783 163,901,227 ii (740,706) (710,007) 141,451,077 163,191,220 (i) 37 (ii)

123 2016H 2016 6 30 26. 2016 6 30 2015 12 31 47,275,937 51,834,566 (1,660,140) (1,901,595) 194,725 276,425 1,545,702 1,535,190 47,356,224 51,744,586 27. 2016 6 30 2015 12 31 26,986 52,765 14,753 15,004 185,877 117,176 227,616 184,945

2016H 124 2016 6 30 28. 2016 6 30 2015 12 31 64,893,653 76,459,449 (177,095) (134,482) 64,716,558 76,324,967 64,716,558 76,324,967 64,716,558 76,324,967 2016 6 30 2015 12 31 134,482 115,221 42,496 19,261 117 177,095 134,482 2016 6 302015 12 31 231,169,155281,073,316 2016 6 302015 12 31 8,533,716 12,528,548

125 2016H 2016 6 30 29. 2016 6 30 2015 12 31 1,653,667 855,720 5,758,152 4,667,907 1,947 7,419 484,070 491,511 322,447 899,982 248,378 9,120,265 6,270,935 (62,402) (7,067) 9,057,863 6,263,868 2016 6 30 2015 12 31 7,067 37,315 3,728 4,267 51,607 (34,515) 62,402 7,067

2016H 126 2016 6 30 29. 2016 6 30 2015 12 31 7,144,659 5,253,075 141,346 38,512 1,021,344 469,788 750,514 502,493 9,057,863 6,263,868 30. 2016 6 30 2015 12 31 4,299,005 2,292,693 22 2,681 ii 1,784,607 1,344,835 6,086,293 3,637,550 i (482,386) (483,187) 5,603,907 3,154,363

127 2016H 2016 6 30 30. 2016 6 30 2015 12 31 483,187 486,027 (800) (9,408) 6,568 (1) 482,386 483,187 (i) 2016 6 30550,000 2016 6 30 87,088 2015 12 3187,088 0 2015 12 310 (ii)

2016H 128 2016 6 30 31. 2016 6 30 2015 12 31 386,286 184,334 32. 2016 6 30 2015 12 31 1,545,702 1,535,190 8,402,212 14,211,926 9,947,914 15,747,116 33. 2016 6 30 2015 12 31 184,013 832,047 12,169 2,838 196,182 834,885 194,725 276,425 390,907 1,111,310 2016 6 30 196,182 12,169

129 2016H 2016 6 30 34. 2016 6 30 2015 12 31 13,413,153 11,837,110 17,372,093 15,370,705 21,379,828 12,416,410 1,708,762 990,279 53,873,836 40,614,504 34,792,981 24,253,520 7,818,021 7,030,977 42,611,002 31,284,497 11,262,834 9,330,007 53,873,836 40,614,504 2016 6 306.63 2015 12 316.49 2016 6 3070.67 2015 12 3158.02 2016 6 30 182.39 2015 12 31165.48 2016 6 3024.27 2015 12 3123.92 19.57 2015 12 3118.82 2016 6 30 150.25 2015 12 31 158.692016 6 30 251.84 2015 12 31214.52 2016 6 30 15.38 2015 12 31 15.08 18.972015 12 31 17.01 2016 6 3012.01 2015 12 31 11.77 16.782015 12 31 16.71 0.8% 4.75% 2.45% 6.8%

2016H 130 2016 6 30 35. 2016 6 30 2015 12 31 8,000,000 18,202,075 14,336,951 18,202,075 22,336,951 [2014]285 2.50% 10.00% 36. 2016 6 30 2015 12 31 7,850,807 7,260,352 1,300,000 9,150,807 7,260,352 3,100,378 1,512,362 6,050,429 5,747,990 9,150,807 7,260,352

131 2016H 2016 6 30 37. 2016 6 302015 12 31 8,533,716 12,528,548 38. 2016 6 30 2015 12 31 139,366 64,987 4,289,110 2,743,832 4,510 1,348 22,272 8,992 4,455,258 2,819,159 3,238,603 2,098,115 1,216,655 721,044 4,455,258 2,819,159

2016H 132 2016 6 30 39. 2016 6 30 2015 12 31 i 116,116 112,592 ii, iii, iv 75,742,833 52,896,037 v 35,875,663 35,851,697 vi 1,989,667 1,092,972 vii 1,142,312 10,646,110 114,866,591 100,599,408 10,242,032 10,793,748 104,624,559 89,805,660 114,866,591 100,599,408 (i) 20132014 10.088.62 11.649.95 1.25%5 2016 6 302015 12 31 2015 3 18 2015 6 8 2015 10 270.20.17 201320143.102.65 5.174.33 201420152013201410.06 8.60 10.278.78 2016 6 302013 2014

133 2016H 2016 6 30 39. (ii) 2014 9 11Haitong International Finance 2014 Limited6 38.962014 9 4 11 2014 2015 1 29Haitong International Finance 2015 Limited7 45.462015 1 22 23 29 2014 5 302014 9 18Unican Limited 5163 2014 11 184 3 2015 7 2Unican Limited10 3 2016 1 194 3 3.6% 2016 6 36 5 (3+2)3 4.07% 2013 10 29Haitong International Finance Holdings Limited 958.44 5 Haitong International Finance Holdings Limited 2015 4 21Haitong International Finance Holdings 2015 Limited 6.743.55

2016H 134 2016 6 30 39. (ii) 2016 5 18Haitong International Finance Holdings 2015 Limited 17.385 2016 5 26Haitong International Finance Holdings 2015 Limited 1.28.855 2015 5 152 5.9%3 2015 12 320 53146 54.25%33.9% (iii) 2013 11 251203 51072.623.5 23.936.05% 56.15% 10 6.18% 2014 7 141103 51056.545.58 35.25% 55.45% 10 5.85% 2016 5 182004 5150504 3.60%353.80% (iv) 2016 6 30 10.428.92015 12 31 2.341.9623.119.74 2015 12 3122.2818.66 1.75% 5.28% 2016 0.272.02 20151.16 8.2

135 2016H 2016 6 30 39. (v) 2015 4 81505.5% 53 2015 6 12200150 5.30%505.38% 2017 6 122018 6 12 2016 6 302151,586 CMS 20032033 2015 12 155 4.94%6 2015 11 9 10 4.95%5 (vi) 2015 5 713.62 2015 12 31 0.14 2016 4 2212 0.65% (vii) [2014]285 3.2% 6.0%13 25

2016H 136 2016 6 30 40. 2016 6 30 2015 12 31 i 3,816,537 4,738,366 607,412 910,824 5,206,698 7,536 315,501 257,237 940,236 1,522,701 3,213,081 1,798,608 514,980 445,104 2,565,404 3,505,681 777,063 755,041 557,090 338,401 540,952 644,875 ii 1,850,288 1,329,448 21,009,165 16,149,899 19,728,820 15,504,612 i 1,280,345 645,287 21,009,165 16,149,899 (i) 300,437 2015 12 31300,612260,912 (ii)

137 2016H 2016 6 30 41. 2016 6 30 2015 12 31 60,611 2,493 9,855 60,611 (22,075) (2,493) 48,391 60,611 42. 2016 6 30 2015 12 31 i 25,663,363 19,005,988 iii 6,921,821 6,975,411 ii 5,461,100 5,044,213 38,046,284 31,025,612 33,104,372 24,837,241 iii 4,941,912 6,188,371 38,046,284 31,025,612

2016H 138 2016 6 30 42. (i) (ii) 2016 6 30 (iii) 2016 6 30 2016 6 304,941,912 2015 12 316,188,2716.25.29 2117.94

139 2016H 2016 6 30 43. 2016 6 30 2015 12 31 i ii iii 3,445,623 2,522,339 2,288,424 2,257,776 iv 20,023 226,873 12,783 236,348 849,598 410,859 202,780 213,480 505,449 v 467,269 109,887 387,988 59,967 v 402 282 466,780 440,407 4,236 17,949 5,576 34,282 63,698 981,566 79,508 624,012 4,878,488 4,911,394 3,428,166 3,718,116 (i) 2016 6 302015 12 31 2016 6 30 85,608 1,245 2015 12 31 88,541 30

2016H 140 2016 6 30 43. (ii) 2016 6 302015 12 31 2016 6 30 TF1609 3,959,396 (43,763) 3,959,396 (43,763) 43,763 2015 12 31 T1603 60,033 (83) T1603 1,979,088 (23,200) TF1603 1,577,969 (11,559) 3,617,090 (34,842) 34,842

141 2016H 2016 6 30 43. (iii) 2016 6 30 2016 6 30 25,545,0002015 12 3121,311,000 2016 6 30 66,396,449 2015 12 3169,109,989 2016 6 30 25,545,000 (5,796) 66,396,449 3,445,623 (2,522,339) 91,941,449 3,445,623 (2,528,135) 5,796 3,445,623 (2,522,339) 2015 12 31 21,311,000 (5,265) 69,109,989 2,288,424 (2,257,776) 90,420,989 2,288,424 (2,263,041) 5,265 2,288,424 (2,257,776)

2016H 142 2016 6 30 43. (iv) 2016 6 301,061,684 2015 12 31 1,136,450 (v) 2016 6 302015 12 31 375,015,392 252,358,93615,304 13,90568,366,730 3,262,423372,686 341,9262016 6 30 2015 12 31195,540 90,750 402282 44. 2016 6 30 2015 12 31 998,382 34,134,837 29,633,244 12,368,110 67,944,910 46,502,947 98,576,536 6,895,873 6,787,085 13,183,062 22,846,158 26,424,012 68,943,293 46,502,947 98,576,536 43,705,619 90,951,854 2,797,328 7,624,682 46,502,947 98,576,536 2016 6 301,022,074 31,004,698 2015 12 318,254,843 31 17,376 2015 12 3141,575

143 2016H 2016 6 30 44. 2016 6 302015 12 31 2016 6 30 34,780,023 2,578,353 281,735 6,094,347 6,682,612 629,922 1,229,177 52,276,169 30,131,254 2,258,729 250,000 5,661,080 6,184,921 1,000,000 1,016,963 46,502,947 4,648,769 319,624 31,735 433,267 497,691 (370,078) 212,214 5,773,222 2015 12 31 28,012,009 1,572,939 1,449,929 44,642,636 25,185,376 1,430,089 952,193 103,245,171 26,056,249 1,366,519 1,380,297 43,260,391 24,290,719 1,270,000 952,361 98,576,536 1,955,760 206,420 69,632 1,382,245 894,657 160,089 (168) 4,668,635

2016H 144 2016 6 30 45. 2016 6 30 2015 12 31 2,874,034 2,516,143 (708,293) (665,909) 2,165,741 1,850,234 2015 1 1 (532,526) (9,689) (685) 258,830 (160,548) 107,374 141,463 4,401 (191,380) 59,853 52,431 56,663 584,292 104,100 857,339 318,949 (6,947) 8,387 704,558 9,534 32,474 264,808 8,657 1,340,420 (162,378) (162,378) (597) 501 (21) 12 6,065 273 6,233 2015 12 31 (213,577) (17,233) 67,555 1,016,320 (256,750) 139,860 996,628 117,431 1,850,234 190,402 543 (202,972) (214,422) (29,045) (118,286) 77,815 59,430 (236,535) 527,405 527,405 89 (346) 1,369 1,320 1,315 18,463 2,427 24,637 2016 6 30 (23,086) (17,036) (134,048) 803,218 242,925 21,574 1,092,906 179,288 2,165,741

145 2016H 2016 6 30 46. 2016 6 30 2015 12 31 2,686,542 2,278,606 15,086 57,602 2,701,628 2,336,208 47. A H 1.0 2015 1 1 8,092,131 8,092,131 1,492,590 1,492,590 9,584,721 9,584,721 1,916,979 1,916,979 1,916,979 1,916,979 2015 12 31 2016 1 1 8,092,131 8,092,131 3,409,569 3,409,569 11,501,700 11,501,700 2016 6 30 8,092,131 8,092,131 3,409,569 3,409,569 11,501,700 11,501,700 2015 2015A2015H [2015]8112015 H 2015 5 152015 5 2917.18 H 1,048,141 868,8381 25,875,204 1,916,97924,071,378

2016H 146 2016 6 30 48. 1 10 2016 6 302015 12 31 2016 6 30 2015 12 31 1 338,183 271,120 25 547,940 374,264 5 55,565 16,444 941,688 661,828 1 10 2016 6 30 2015 12 31 1 13,385 14,460 25 29,040 30,663 5 6,070 9,338 48,495 54,461 49. 2016 6 30 2015 12 31 38,131 56,739

2016 6 30 2016H 147 50. 2016 2015 6 30 12 31 5,319,848 3,458,461 2015201420152014 0.450.255,175,7652,875,425 51. 16 BE 10% 10% 10% 10% 10% 10% 10% 10% 10% (ASIA) 10% 10%

2016H 148 2016 6 30 51. 6 30 2016 2015 10,500 10,000 9,659 9,960 30,034 30,460 2,940 2,940 276 i 11,445 15,553 ii 32,959 22,756 i) BE (ASIA) ii) 6 30 2016 2015 (9) (9) (521) (311) (615) (981)

149 2016H 2016 6 30 51. 2016 6 30 2015 12 31 764 38,000 29,684 3,831 7,390 277 91,199 (323) (629) (30,003) (310,783) (155,228) (80,000) (189,000) (8) (477) 6 30 2016 2015 29,132 14,422 1,516 1,785 30,648 16,207

2016H 150 2016 6 30 52. 2016 6 30 2015 6 30 2016 6 30 7,516,515 476,782 1,412,341 851,479 496,943 2,071,050 1,174,010 3,395,579 17,394,699 17,394,699 714,347 141,959 53,411 47,910 33,612 1,125,315 2,116,554 (2,116,554) (57,417) 5,837 1,776,791 (48) 323,077 403,044 76,711 2,527,995 2,527,995 8,173,445 624,578 3,242,543 899,341 530,555 3,519,442 1,577,054 3,472,290 22,039,248 (2,116,554) 19,922,694 (5,361,736) (423,002) (2,402,247) (310,568) (43,086) (3,918,643) (1,011,598) (3,081,217) (16,552,097) 1,992,069 (14,560,028) 2,811,709 201,576 840,296 588,773 487,469 (399,201) 565,456 391,073 5,487,151 (124,485) 5,362,666 9,326 91,380 31,444 132,150 132,150 2,811,709 201,576 840,296 588,773 496,795 (307,821) 565,456 422,517 5,619,301 (124,485) 5,494,816

151 2016H 2016 6 30 52. 2015 6 30 15,056,742 1,574,174 4,204,311 949,625 270,878 1,594,043 973,456 3,380,396 28,003,625 28,003,625 765,623 132,694 4,383 6,640 1,625,986 55,516 2,590,842 (2,590,842) 14,178 11,155 1,243,151 800 514,874 307,901 (18,116) 2,073,943 2,073,943 15,836,543 1,718,023 5,447,462 954,808 277,518 3,734,903 1,281,357 3,417,796 32,668,410 (2,590,842) 30,077,568 (8,619,667) (977,028) (1,944,430) (302,171) (35,618) (4,220,811) (909,082) (1,538,369) (18,547,176) 2,253,638 (16,293,538) 7,216,876 740,995 3,503,032 652,637 241,900 (485,908) 372,275 1,879,427 14,121,234 (337,204) 13,784,030 2,911 137,547 28,373 168,831 168,831 7,216,876 740,995 3,503,032 652,637 244,811 (348,361) 372,275 1,907,800 14,290,065 (337,204) 13,952,861 10%

2016H 152 2016 6 30 53. A-3BBB 2016 6 30 2015 12 312016 6 30

153 2016H 2016 6 30 53. 2016 6 302015 12 31

2016H 154 2016 6 30 53.

155 2016H 2016 6 30 53. 2010 10% 10% 6 30 2016 2015 10% 621,065 510,988 10% (621,065) (510,988) 10% 218,237 46,744 10% (218,237) (46,744)

2016H 156 2016 6 30 53. 50 50 2016 6 302015 6 30109,622 155,055 2016 6 302016 6 3017,246 18,220

157 2016H 2016 6 30 53. 2016 6 30 99% 10

2016H 158 2016 6 30 53.

159 2016H 2016 6 30 53. / 2016 6 30 2015 12 31 / 1) 3,611 5,956 54,051 1,992 2) 463,658 333,937 103,931 57,975 3) 466,780 440,407 849,598 4) 410,859 213,480 202,780 505,449 5) 3,513,557 ( 3,521,854 ( 2,373,508 ( 2,916,070 ( 6) 402 282 7) 20,023 12,783 226,873 236,348

2016H 160 2016 6 30 53. / 2016 6 30 2015 12 31 / 8) 31,706,610 3,834,668 36,573,118 1,335,018 6,639,182 3,408,403 9) 2,425,707 2,411,747 834,068 851,596 3,181,111 4,780,120 128,962 151,102 141,480 141,480 797,487 24,527 26,627

161 2016H 2016 6 30 53. / 2016 6 30 2015 12 31 / 10) 34,330,473 24,018,184 2,640,670 788,606 5,501,897 685,548 534,914 528,269 11) 11,512,770 37,986,083 6,166,323 5,540,985 149,502 147,724 12), 1,746,998 2,033,108 21,038,762 23,979,015

2016H 162 2016 6 30 53. / 2016 6 30 2015 12 31 / 13) 2,904,249 3,252,221. 14) 19,188,025 16,882,364 15) 3,213,205 1,786,451 3,795,713 2,740,731 1,209,011 694,474 1,917,097 3,540,206 16) 5,461,100 5,044,213 17) 2,341,152 2,309,195

163 2016H 2016 6 30 53. 2016 6 30 836,509 15,455 2,284,849 3,136,813 1,488,101 851,165 443,021 2,782,287 76,617 47,096 123,713 122,600 28,399 150,999 46,710 46,710 68,237 24,541 92,778 196,853 24,182 221,035 368 101,229 101,597 36,774 75,200 111,974 24,583 24,583 61,500 61,500 750,766 3,195,895 515,182 4,461,843 2,229,342 2,229,342 721,450 2,306,002 19,732 3,047,184 80,340 6,166,323 149,502 6,396,165 20,603,117 2,341,152 22,944,269 8,310 8,310 427,335 427,335 6,639,182 33,774,911 5,954,344 46,368,437

2016H 164 2016 6 30 53. 2016 6 30 1,423,781 629,615 3,181,111 5,234,507 2,650,831 612,437 3,263,268 438,896 652,481 1,091,377 2,753 2,306 5,059 3,085 20,712 23,797 6,385 1,188 7,573 291,309 1,369 292,678 739,239 17,874 757,113 563,103 20,391 583,494 67,574 4,938 72,512 70,084 6,561 76,645 129,973 64,475 194,448 2,299 31,142 33,441 766 766 46,203 111,133 157,336 207,210 207,210 1,555 1,083,153 1,084,708 5,010,391 18,755,531 23,765,922 9,338,751 2,542,696 11,881,447 1,030,453 13,032,246 14,062,699 9,681,969 11,512,770 21,194,739 1,602,079 1,602,079 3,213,205 144,919 3,358,124 3,611 4,874,877 4,878,488 34,923,426 55,724,893 3,181,111 93,829,430 41,562,608 89,499,804 9,135,455 140,197,867 5,956 4,905,438 4,911,394 3,834,668 21,828,695 25,663,363 10,465,824 1,917,097 12,382,921 3,840,624 37,199,957 1,917,097 42,957,678 37,721,984 52,299,847 7,218,358 97,240,189

165 2016H 2016 6 30 53. 2015 12 31 81,548 14,806 1,588,914 1,685,268 158,871 141,480 1,579,456 1,879,807 45 710 57,290 58,045 35,936 35,936 26,236 26,236 354 304 658 13,822 75,200 26,648 115,670 24,096 24,096 138,450 138,450 868,193 685,548 510,935 2,064,676 1,318,524 1,318,524 739,169 17,334 756,503 89,781 5,540,985 147,724 5,778,490 23,957,275 2,309,195 26,266,470 21,740 21,740 3,408,403 30,498,130 6,264,036 40,170,569

2016H 166 2016 6 30 53. 2015 12 31 2,103,770 838,126 4,780,120 7,722,016 4,883,125 1,459,431 6,342,556 1,179,109 694,591 1,873,700 62,694 7,630 70,324 8,026 21,122 29,148 4,410 4,410 258,125 1,316 259,441 207,953 7,911 215,864 721,686 13,407 735,093 34,307 7,332 41,639 213,408 13,905 227,313 14,183 62,798 76,981 3,721 23,970 27,691 13,520 13,520 4,225 111,804 116,029 30,850 30,850 4,410,619 16,154,991 20,565,610 10,946,301 3,835,369 14,781,670 885,535 4,027,824 4,913,359 10,587,551 37,986,083 48,573,634 1,768,412 1,768,412 1,786,451 264,696 2,051,147 54,051 3,374,115 3,428,166 38,413,620 70,674,833 4,780,120 113,868,573 41,822,023 101,172,963 11,044,156 154,039,142 1,992 3,716,124 3,718,116 1,335,018 17,670,970 19,005,988 8,479,418 3,540,206 12,019,624 1,337,010 29,866,512 3,540,206 34,743,728 40,485,013 71,306,451 7,503,950 119,295,414

167 2016H 2016 6 30 53. 2016 6 30 2016 1 1 1,588,914 57,290 1,579,456 53,188 147,724 528,269 2,309,195 6,264,036 570 108,400 56,998 26,227 192,195 (62,775) (476,205) (17,666) (32,339) (4,865) (593,850) 758,140 (10,194) (660,230) 9,888 1,778 (18,014) 10,596 91,964 (1) (1) 2016 6 30 2,284,849 47,096 443,021 153,810 149,502 534,914 2,341,152 5,954,344 2016 1 1 4,780,120 4,780,120 (1,599,009) (1,599,009) 2016 6 30 3,181,111 3,181,111 2016 1 1 3,540,206 3,540,206 (1,623,109) (1,623,109) 2016 6 30 1,917,097 1,917,097

2016H 168 2016 6 30 53. 2015 12 31 2015 1 1 494,131 94,470 2,097,725 2,686,326 1,128,540 55,677 637,994 17,666 150,984 168,249 2,159,110 4,274 62,652 201,921 909,758 1,178,605 (479,225) (94,470) (367,877) (941,572) 445,468 1,613 937,188 (27,130) (54,197) (164,596) 125,760 1,264,106 (82,539) (82,539) 2015 12 31 1,588,914 57,290 1,579,456 53,188 147,724 528,269 2,309,195 6,264,036 2015 1 1 1,759,338 1,759,338 3,020,782 3,020,782 2015 12 31 4,780,120 4,780,120 2015 1 1 519,424 519,424 3,020,782 3,020,782 2015 12 31 3,540,206 3,540,206

169 2016H 2016 6 30 53. 1. 2. 3. 4. 2008( )[2013]37 2013 2014 3 18 1. 100% 1 2. 40% 2 3. 8% 3 4. 20% 4 5. 100%5 6. 500%6

2016H 170 2016 6 30 53. 2016 6 302015 12 31 2016 6 30 2015 12 31 77,271,951 85,521,155 1 1209.16% 1269.37% 2 79.16% 84.57% 3 52.00% 44.59% 4 65.69% 52.72% 5 51.46% 46.93% 6 53.09% 68.63% 54. (%) Haitong International Holdings (UK) Limited Japaninvest Group plc 2015 3 31 100 148,779 2015 9 7 100 2,692,492 2,841,271 Haitong International Holdings (UK) LimitedJapaninvest Group plc 2015 3 31Haitong International (BVI) Limited Haitong BVI Japaninvest Group plc Japaninvest 100% 2,878,200148,779 Japaninvest 2015 3 22015 3 26 Japaninvest Japaninvest

171 2016H 2016 6 30 54. 148,779 1.58 1,794 40,337 5,605 7,150 820 11,189 24,764 66,895 (26,800) (450) (7,971) (35,221) 31,674

2016H 172 2016 6 30 54. 148,779 (31,674) 117,105 Japaninvest 2015 Japaninvest 148,779 (11,189) 137,590 2015 3 312015 6 30Japaninvest 2.21Japaninvest 19.87 2015 9 7 Nova BancoBESI 379,0002,692,483 2015 9 8 2,692,483 31

173 2016H 2016 6 30 54. 1,105,813 380,865 104 3,512 394,536 4,987,623 2,715,400 8,073,645 3,051,017 760,908 25,575 90,788 110,571 187,676 140,120 857,658 1,320,572 461,286 63,032 24,730,701 434,065 415,280 4,544,887 2,177,961 4,787,759 3,803,504 3,559,792 150,375 319 497,197 1,174,796 594,324 22,140,259 2,590,442

2016H 174 2016 6 30 54. 2,692,483 26,506 278,572 (2,590,442) 407,119 2,692,483 (394,640) 2,297,843 2015 9 7 2015 6 30