海通证券
Welcome to Haitong Securities!

Contact Us

Tel: 63411000
Email: haitong@htsec.com
Company Address: No. 689, Guangdong Road, Shanghai, China
Zip Code: 200001
海通证券
Directors
Supervisors
Other Senior Management

Members of Board of the Directors(11)


Members of the Supervisory Committee(8)


Other Senior Management(11)


Mr. Zhou Jie (周傑)|

Chairman of the Board,Executive Director

Born in 1967, a holder of master’s degree of engineering. Mr. Zhou has served as the Chairman of the Board since 28 October 2016, the secretary of CPC party committee of the Company since July 2016. Mr. Zhou has concurrently served as the director of the assets and liabilities allocation committee of the Company. From February 1992 to June 1996, Mr. Zhou served in the investment banking department of Shanghai International Securities Co., Ltd. (上海萬國證券有限公司). From June 1996 to December 2001, Mr. Zhou served, successively, as the manager of investment department, the vice general manager, and the chairman of the board of directors and the general manager of Shanghai SIIC Asset Operation Co., Ltd. (上海上實資產經營有限公司). From December 2001 to April 2003, he was the director and general manager of SIIC Medical Science and Technology (Group) Limited (上海實業醫藥科技(集團)有限公司). From January 2002 to July 2016, he acted, successively, as the executive director and the vice chief executive officer, the executive director and the executive vice president, the vice chairman of the board of directors and chief executive officer of Shanghai Industrial Holdings Limited (上海實業控股有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0363). From August 2004 to July 2016, he served, successively, as the chief planning officer, the executive director and vice president, the executive director and executive vice president, and the president and deputy secretary of CPC party committee of SIIC Shanghai (Holding) Co., Ltd. (上海上實(集團)有限公司). From March 2010 to May 2012, he was the chairman of the supervisory committee of Shanghai Pharmaceuticals Holding Co., Ltd. (上海醫藥集團股份有限公司, listed on the SSE under the stock code of 601607; listed on the Hong Kong Stock Exchange under the stock code of 02607), of which he was the chairman of the board of directors and the secretary of CPC party committee from June 2012 to June 2013 and from May 2016 to July 2016. Mr. Zhou has been a non-executive director of Semiconductor Manufacturing International Corporation (中芯國際集成電路製造有限公司, listed on the Hong Kong Stock Exchange under the stock code of 00981) since January 2009. Mr. Zhou has been a supervisor, the chairman of the remuneration committee of Shanghai Stock Exchange, and the president of Shanghai Securities Association (上海市證券同業公會) since 2016; the representative of Shanghai People’s Congress; the vice chairman of Shanghai Financial Association (上海金融業聯合會), the president of Shanghai Association of Financial Planners (上海金融理財師協會), and an arbitrator of Shanghai Arbitration Commission (上海仲裁委員會) since 2017.

Mr. Qu Qiuping (瞿秋平) |

Executive Director,General Manager

Born in 1961, a holder of master’s degree in economics, a senior accountant. Mr. Qu has served as an executive Director, the general manager and the deputy secretary of CPC party committee of the Company since 25 June 2014. Mr. Qu has also served as the director of international business committee, the director of proprietary investment decision committee, and the vice director of assets and liabilities allocation committee of the Company. He was the accountant, deputy section chief, Youth League secretary of Nanshi District Office of the People’s Bank of China Shanghai (中國人民銀行上海市南市區辦事處) from September 1980 to December 1983; the deputy section chief and section chief of Nanshi District Office of the Industrial and Commercial Bank of China Shanghai (中國工商銀行上海市南市區辦事處) from January 1984 to September 1992; the vice president of Nanshi Sub-branch of the Industrial and Commercial Bank of China Shanghai Branch (中國工商銀行上海市分行南市支行) from September 1992 to November 1995; the deputy head of the accounting and cashier department of the Industrial and Commercial Bank of China Shanghai Branch (中國工商銀行上海市分行) from November 1995 to December 1996 (He was in charge of the party and political work of Shanghai Jiading Sub branch of the Industrial and Commercial Bank of China (中國工商銀行上海市嘉定支行) from December 1995 to December 1996); the president and deputy secretary of CPC party committee of Shanghai Baoshan Sub-branch of the Industrial and Commercial Bank of China from December 1996 to March 1999; the head of the accounting and clearing department of the Industrial and Commercial Bank of China Shanghai Branch from March 1999 to December 1999; the assistant to the president of the Industrial and Commercial Bank of China Shanghai Branch from December 1999 to June 2000; the vice president of the Industrial and Commercial Bank of China Shanghai Branch from June 2000 to February 2005 (he was a visiting scholar at University of Pennsylvania from September 2002 to September 2003); the vice president of the Industrial and Commercial Bank of China Jiangsu Branch (中國工商銀行江蘇省分行) from February 2005 to September 2008; the deputy secretary of CPC party committee and the vice chairman of the board of directors of Bank of Shanghai (上海銀行) from September 2008 to November 2008; the president, deputy secretary of CPC party committee and the vice chairman of the board of directors of Bank of Shanghai from November 2008 to December 2010; the head of the Work Coordination Department of the Dispatched Offices of the CSRC (中國證監會派出機構工作協調部) from December 2010 to August 2012; and the head of the Department of Unlisted Public Company Supervision of the CSRC (中國證監會非上市公眾公司監管部) from August 2012 to April 2014. Mr. Qu has been a member of Expert Committee of the Finance Research Centre of Counselors’ Office of the State Council (國務院參事室金融研究中心) since October 2016, the director of the Shenzhen Stock Exchange since April 2017, a member of the Chinese People’s Political Consultative Conference Shanghai Committee since December 2017, a member of the Standing Committee of the Shanghai Municipal Committee of the Chinese People’s Political Consultative Conference since January 2021, vice president of the Securities Association of China (中國證券業協會) since June 2017, the chairman of the Supervisory Committee of the Listed Companies Association of Shanghai (上海上市公司協會) since June 2018, and the chairman of the MA Financing Committee of the China Association of Listed Companies (中國上市公司協會併購融資專業委員會) since October 2018. Mr. Qu has been the chairman of the board of directors of Haitong International Holdings Limited (海通國際控股有限公司), the chairman of the board of directors, a non-executive director, the chairman of the nomination committee and the strategic development committee, and a member of remuneration committee of Haitong International Securities Group Limited (海通國際證券集團有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0665) since February 2018.

Mr. Ren Peng (任澎)|

Executive Director,Deputy General Manager

Born in 1962, a holder of master’s degree in business and administration, an economist, joined the Company in March 1996 and has been the deputy general manager since November 1997 and is mainly in charge of investment banking business and finance leasing business. Mr. Ren has been an executive director of the Company since 18 June 2019, and also served as the director of investment banking committee and a member of assets and liabilities allocation committee. Mr. Ren served in several managerial positions in the Xihu Office of the Industrial and Commercial Bank of China (中國工商銀行) from June 1982 to February 1988 and served in various positions in the Hangzhou Branch of the Bank of Communications (中國交通銀行) from March 1988 to March 1996, including head of saving business and manager of securities department. In addition, Mr. Ren was manager of Hangzhou business department of Haitong Securities Company Limited from March 1996 to November 1997. Mr. Ren was a director of Haitong Capital Investment Co., Ltd. (海通開元投資有限公司) from October 2008 to August 2011. Mr. Ren served as the chairman of the board of directors of Haitong UniTrust International Leasing Corporation (海通恒信國際租賃有限公司) from June 2014 to May 2017; the chairman of board of directors of Haitong UniFortune International Leasing Co., Ltd. (海通恒運國際租賃有限公司) from July 2014 to March 2018; the chairman of the board of directors of Haitong UniTrust Finance Leasing Corporation (Shanghai) (海通恒信融資租賃(上海)有限公司) from November 2014 to August 2018; and the chairman of the board of directors of Haitong Unitrust International Financial Leasing Co., Ltd. (海通恒信國際融資租賃股份有限公司) (formerly known as “Haitong UniTrust International Leasing Co., Ltd” (海通恒信國際租賃股份有限公司, listed on the Hong Kong Stock Exchange under the stock code of 01905)) from May 2017 to May 2020. Mr. Ren has been a director of China-Belgium Direct Equity Investment Fund (中國-比利時直接股權投資基金) since March 2011, a non-executive director of Haitong Unitrust International Financial Leasing Co., Ltd. since May 2020, the chairman of the board of Haitong UT Capital Group Co., Limited (海通恒信金融集團有限公司) since June 2014, and a director of Haitong International Holdings Limited (海通國際控股有限公司) since July 2014.

Mr. Tu Xuanxuan (屠旋旋) |

Non-executive Director

Born in 1973, a holder of bachelor’s degree in economics, an economist, has been a non-executive director of the Company since 18 June 2019. He has served as a general manager of the asset management division of Shanghai Guosheng (Group) Co., Ltd. (上海國盛(集團)有限公司) since March 2020, and chairman of the board of directors of Shanghai Zhenghao Asset Management Company (上海正浩資產管理有限公司) since March 2017. Mr. Tu worked in the Bank of China, Shanghai Branch from July 1993 to March 2001 and in Shanghai Office of China Orient Asset Management Corporation (中國東方資產管理公司) from March 2001 to October 2004. He was in charge of the operation of the Asset Management Department of Shanghai Dasheng Assets Co., Ltd. (上海大盛資產有限公司) from October 2004 to September 2009, and was the deputy director of the Asset Management Centre of Shanghai Guosheng (Group) Co., Ltd. from September 2009 to October 2012. Mr. Tu served successively as the assistant to the president, a member of CPC party committee and the vice president of Shanghai Guosheng Group Assets Co., Ltd. (上海國盛集團資產有限公司) from June 2012 to January 2019 (during which he served as the deputy director (on temporary position) of the Intellectual Property Department of State-owned Assets Supervision and Administration Commission of Shanghai Municipal Government (上海市國資委) from July 2014 to July 2015), a deputy general manager (in charge of operations) of the asset management division of Shanghai Guosheng (Group) Co., Ltd. from January 2019 to March 2020. Mr. Tu served as a director of Dongxing Securities Co., Ltd. (東興證券股份有限公司) (listed on the Shanghai Stock Exchange under the stock code of 601198) from August 2007 to June 2020. Mr. Tu has been a director of Arcplus Group PLC (華東建築集團股份有限公司) (listed on the SSE under the stock code of 600629) since September 2020.

Mr. Zhou Donghui (周東輝) |

Non-executive Director

Born in 1969, a holder of a bachelor’s degree in accounting, a senior accountant, has been a non-executive director of the Company since 18 June 2020. He has been the general manager of Shanghai Haiyan Investment Management Company Limited (上海海煙投資管理有限公司) since July 2015. Mr. Zhou served as an officer of the finance section and deputy section chief of fund and price section of the finance and price department of Shanghai Tobacco (Group) Company (上海煙草(集團)公司) from July 1991 to September 2000. Mr. Zhou was also the deputy manager and manager of finance department of China Tobacco Shanghai Import Export Co., Ltd. (中國煙草上海進出口有限責任公司) from September 2000 to September 2008 and was deputy director of investment management division of Shanghai Tobacco (Group) Company from September 2008 to April 2011. Mr. Zhou served as the deputy director of finance department of Shanghai Tobacco Group Co., Ltd. (上海煙草集團有限責任公司) from April 2011 to February 2015, and the executive deputy director of the investment department of Shanghai Tobacco Group Co., Ltd. (上海煙草集團有限責任公司) and the executive deputy general manager of Shanghai Haiyan Investment Management Company Limited from February 2015 to July 2015. Mr. Zhou has been a non-executive director of Orient Securities Company Limited (東方證券股份有限公司, listed on the SSE under the stock code of 600958; listed on the Hong Kong Stock Exchange under the stock code of 03958) since May 2020, a non-executive director of China Pacific Insurance (Group) Co., Ltd. (中國太平洋保險(集團)股份有限公司, listed on the SSE under the stock code of 601601; listed on the Hong Kong Stock Exchange under the stock code of 02601) since January 2021.

Ms. Yu Liping (余莉萍) |

Non-executive Director

Born in 1962, a holder of MBA degree, a senior accountant, has served as a non-executive director of the Company since 8 June 2015 and as the vice president of Bright Food (Group) Co., Ltd. (光明食品(集團)有限公司) since August 2010. Ms. Yu served in several positions in Shanghai Light Industry Bureau (上海輕工業局) and Shanghai Light Industry Company (Group) (上海輕工控股(集團)公司) from August 1996 to April 2006, including deputy chief of finance department, manager of finance department and vice chief accountant. She was a member of CPC party committee, vice president and chief financial officer of Shanghai Yimin Food Plant No.1 (Group) Co., Ltd. (上海益民食品一廠(集團)有限公司) from August 2006 to August 2008. Ms. Yu served as the chief financial officer of Shanghai Guangdian (Group) Co., Ltd. (上海廣電(集團)有限公司) from August 2008 to August 2010. Ms. Yu served as the chairman of supervisory committee of Shanghai Yimin Food Group (上海益民食品集團) from March 2015 to May 2017, and the chairman of supervisory committee of NGS Supermarket (Group) Co., Ltd. (農工商超市(集團)有限公司) from September 2013 to September 2018. Ms. Yu was the legal representative of Shanghai Light Industry Company (Group) (上海輕工控股(集團)公司) from March 2014 to February 2019. Ms. Yu was the chairman of supervisory committee of Bright Food Group Finance Co., Ltd. (光明食品集團財務有限公司) from September 2014 to July 2019. Ms. Yu has been a director of Shanghai Hongqiao International Commodity Import, Sales and Exhibition Co., Ltd. (上海虹橋國際進口商品展銷有限公司) since November 2018.

Mr. Xu Jianguo (許建國) |

Non-executive Director

Born in 1964, a holder of master of professional accountancy degree, a senior accountant, has served as a non-executive Director of the Company since 18 October 2016. He has been the head of the financial budget department of Shanghai Electric (Group) Corporation (上海電氣(集團)總公司) since April 2013, the chairman of the board of directors of Shanghai Haiya Industrial Co., Ltd. (上海亥雅實業有限公司) since March 2019, and the chairman of the board of directors of Shanghai Kaihai Industrial Co., Ltd. (上海開亥實業有限公司) since June 2019. Mr. Xu worked in the finance department and audit office of Shanghai Cable Works (上海電纜廠) from July 1984 to December 2001, inspection office of Shanghai Electric (Group) Corporation from January 2002 to March 2004 and the assets and finance department of Shanghai Electric Assets Management Company Limited (上海電氣資產管理有限公司) from April 2004 to September 2005, respectively. He served as an assistant to the financial manager of the first management department of Shanghai Electric Assets Management Company Limited from September 2005 to August 2008 during which period he also served as the chief financial officer of Shanghai Li Da Heavy Industrial Manufacturing Limited (上海力達重工製造有限公司) from March 2006 to August 2008. From August 2008 to December 2009, Mr. Xu was the deputy head of the assets and finance department of Shanghai Electric Assets Management Company Limited. From December 2009 to April 2013, he served as the deputy head of the financial budget department of Shanghai Electric (Group) Corporation. Mr. Xu served as the chairman of the supervisory committee of Shanghai Prime Machinery Co., Ltd. (上海集優機械股份有限公司, listed on the Hong Kong Stock Exchange under the stock code of 02345) from May 2016 to June 2019, and a non-executive director of Orient Securities Company Limited (東方證券股份有限公司, listed on the SSE under the stock code of 600958; listed on the Hong Kong Stock Exchange under the stock code of 03958) from November 2016 to March 2021. Mr. Xu has been a director of Shanghai Electric Group Finance Co., Ltd. (上海電氣集團財務有限責任公司) since April 2013, a director of Shanghai Life Insurance Company Ltd. (上海人壽保險股份有限公司) since March 2015. Mr. Xu has also served as a director of Shanghai Micro Electronics Equipment Co., Ltd. (上海微電子裝備股份有限公司) since June 2016, the chairman of the supervisory committee of Shanghai Highly (Group) Co., Ltd. (上海海立(集團)股份有限公司, listed on the SSE under the stock code of 600619) since December 2017, a director of Shanghai Electric Group Hong Kong Limited (上海電氣集團香港有限公司) since November 2019, a director of Tianjin Pipe (Group) Corporation (天津鋼管集團股份有限公司) since March 2020, and a director of Shanghai Electric (Group) Corporation Heng Lian Enterprise Development Limited (上海電氣集團恒聯企業發展有限公司) since June 2020.

Mr. Zhang Ming (張鳴) |

Independent Non-executive Director

Born in 1958, a holder of doctor’s degree in economics, a professor, doctoral supervisor and senior researcher, has served as an independent non-executive Director of the Company since 12 June 2016. He currently lectures at the School of Accountancy of Shanghai University of Finance and Economics (上海財經大學會計學院). Mr. Zhang has lectured in Shanghai University of Finance and Economics since graduation from this university in 1983 and has been the director of the teaching office, the deputy director and then the deputy head of the School of Accountancy. He is now a professor and doctoral supervisor in the same university. Mr. Zhang servedas an independent non-executive director of Wuxi Commercial Mansion Grand Orient Co., Ltd. (無錫商業大廈大東方股份有限公司, listed on the SSE under the stock code of 600327) from May 2015 to November 2020. Mr. Zhang has been an independent non-executive director of Shanghai Pudong Development Bank Co., Ltd. (上海浦東發展銀行股份有限公司, listed on the SSE under the stock code of 600000) since May 2016, an independent nonexecutive director of Wuxi Zhenhua Automobile Parts Co., Ltd. (無錫市振華汽車部件股份有限公司) since May 2018, an independent non-executive director of National Silicon Industry Group Co., Ltd. (上海硅產業集團股份有限公司) since March 2019, and a director of Shanghai Shensi Enterprise Development Co., Ltd. (上海申絲企業發展有限公司) since November 2019.

Mr. Lam Lee G. (林家禮) |

Independent Non-executive Director

Born in 1959, a holder of Ph.D degree in philosophy, a Solicitor (formerly a barrister-at-law) of the High Court of Hong Kong, a Fellow of the Hong Kong Institute of Arbitrators and the Hong Kong Institute of Directors, an Honorary Fellow of CPA Australia, a Fellow of CMA Australia, and an Honorary Fellow of the University of Hong Kong School of Professional and Continuing Education, has served as an independent non-executive Director of the Company since 6 April 2017, an non-executive Chairman of Greater China and ASEAN Region of Macquarie Infrastructure and Real Assets since May 2015. Dr. Lam has over 30 years of experience in transnational enterprise management, strategy consulting, corporate governance, direct investment, investment banking and fund management across the telecommunicationsmediatechnology, consumer markethealthcare, infrastructurereal estates, energyresources and financial services sectors. Dr. Lam previously held a number of posts including General Manager of Hong Kong Telecom, a member of the Senior Management of CP Group in Thailand and ChairmanDirectorChief Executive Officer of several companies affiliated to the group, Managing Director of BOC International and Vice Chairman and COO of Investment Banking Division of BOC International, Executive Director of Singapore Technologies Telemedia (a member of Temasek Holdings, a sovereign fund of Singapore), and Chairman of Hong Kong Vietnam Cambodia Laos Myanmar Thailand Region and Senior Adviser of Asian Region of Macquarie Capital. Dr. Lam is currently an Independent Non-executive Director of Aurum Pacific (China) Group Limited (Stock Code: 8148), CSI Properties Limited (Stock Code: 497), Elife Holdings Limited (Stock Code: 223), Greenland Hong Kong Holdings Limited (Stockcode: 337), Hang Pin Living Technology Company Limited (formerly known as Hua Long Jin Kong Company Limited, Stock Code: 1682), Kidsland International Holdings Limited (Stock Code: 2122), Mei Ah Entertainment Group Limited (Stock Code: 391), and Vongroup Limited (Stock Code: 318). He is a Non-executive Director of China LNG Group Limited (Stock Code: 931), National Arts Entertainment and Culture Group Limited (Stock Code: 8228), Sunwah Kingsway Capital Holdings Limited (Stock Code: 188), Tianda Pharmaceuticals Limited (Stock Code: 455) and Mingfa Group (International) Company Limited (Stock Code: 846, re-designated from independent non-executive director on 23 April 2020) and the shares of all of which are listed on the Stock Exchange. Dr. Lam is also an Independent Non-executive Director of Asia-Pacific Strategic Investments Limited (fka: China Real Estate Grp Ltd. with Stock code: 5RA), Beverly JCG Limited (fka: JCG Investment Holdings Ltd. with Stock code: VFP), Thomson Medical Group Limited (Stock Code: A50), Top Global Limited (Stock code: BHO), and Alset International Limited (fka: Singapore eDevelopment Limited with Stock code: 40V, re-designated from non-executive director on 1 July 2020) all of which are listed companies on the Singapore Exchange. Dr. Lam is Independent Non-executive Director of Sunwah International Limited (Stock code: SWH), whose shares are listed on the Toronto Stock Exchange, AustChina Holdings Limited (Stock code: AUH), whose shares are listed on the Australian Securities Exchange and TMC Life Sciences Berhad (Stock code: 0101), whose shares are listed on the Bursa Malaysia, and Non-executive Director of Jade Road Investments Limited (stock code: JADE, fka: Adamas Finance Asia Limited), whose shares are listed on the London Securities Exchange. Dr. Lam served as a nonexecutive director of China Shandong Hi-Speed Financial Group Limited from November 2017 to May 2020. Dr. Lam served as an independent nonexecutive director of Huarong Investment Stock Corporation Limited (a listed company on the Stock Exchange with stock code: 2277) from September 2017 to December 2020.

Mr. Zhu Hongchao (朱洪超) |

Independent Non-executive Director

Born in 1959, a holder of master’s degree in law, a senior lawyer, has been an independent non-executive Director of the Company since 18 June 2019. He has served as the director and senior partner of Shanghai United Law Firm (上海市聯合律師事務所) since June 1986. Mr. Zhu currently serves as an arbitrator of China International Economic and Trade Arbitration Commission, Shanghai International Economic and Trade Arbitration Commission (Shanghai International Arbitration Centre) and Shanghai Arbitration Commission, the vice president of the Procedure Law Studies at the Shanghai Law Society, a mediator of Shanghai Commercial Mediation Centre, and a part-time professor of Shanghai University Law School, East China University of Political Science and Law and Shanghai University of Political Science and Law. Mr. Zhu was selected as one of Shanghai Leading Talents (上海市領軍人才), is entitled to the special government allowance of the State Council, and is a member of the legal experts of CPC Shanghai Committee (中共上海市委法律專家庫). Mr. Zhu served as a lawyer at Shanghai First Law Firm (上海市第一律師事務所) from July 1983 to June 1986. Mr. Zhu served as the deputy president of the third, fourth, fifth and sixth session of All China Lawyers Association, the president of the sixth session of Shanghai Bar Association and the chief supervisor of the seventh session of Shanghai Bar Association and a representative member of the 13th and 14th Shanghai Municipal People’s Congress from 1994 to 2018, an independent director of Shanghai No.1 Pharmacy Co., Ltd. (上海第一醫藥股份有限公司, listed on the SSE under the stock code of 600833) from September 2012 to June 2018, an independent director of Wonders Information Co. Ltd. (萬達信息股份有限公司, listed on the SZSE under the stock code of 300168) from December 2013 to October 2019, an independent non-executive director of Chiho Environmental Group Limited (齊合環保集團有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0976) from April 2018 to February 2020. Mr. Zhu has served as an independent director of Jupai Holdings Limited (鉅派投資有限公司, listed on NYSE under the stock code of JP) since June 2015; an independent director of Leju Holdings Limited (樂居控股有限公司, listed on NYSE under the stock code of LEJU) since March 2017, and an independent non-executive director of E-House (China) Enterprise Holdings Limited (易居(中國)企業控股有限公司, listed on the Hong Kong Stock Exchange under the stock code of 2048) since July 2018; an independent director of Shanghai Hysea Industrial Communications Co., Ltd. (上海海希工業通訊股份有限公司) since July 2020; a director of Shanghai Research Institute of Building Sciences Group Co., Ltd. (上海建科集團股份有限公司) since November 2020; and an independent non-executive director of Sansheng Holdings (Group) Co. Ltd. (三盛控股(集團)有限公司, listed on the Hong Kong Stock Exchange under the stock code of 2183) since February 2021.

Mr. Zhou Yu (周宇) |

Independent Non-executive Director

Born in 1959, a holder of doctor’s degree in economics, a researcher and a doctoral supervisor. He is an expert entitled to the special government allowance of the State Council and an executive director of China Association of World Economic Research (中國世界經濟學會). He has been an independent non-executive Director of the Company since 18 June 2019; he is currently a researcher of Shanghai Academy of Social Sciences. Mr. Zhou served as a teacher of the Finance Department at Xinjiang University of Finance and Economics (新疆財經學院) from August 1982 to March 1992, among which, he served as a guest research fellow at Osaka University of Commerce (大阪商業大學) from April 1990 to March 1992. He pursued a master’s degree and a doctor’s degree at the Department of Economics of Osaka City University (大阪市立大學) from April 1992 to March 2000, served as a guest research fellow at the Graduate School of Economics of Osaka City University from April 2000 to November 2000, served in various positions at the Institute of World Economy of Shanghai Academy of Social Sciences including assistant researcher, associate researcher, deputy director of the Finance Research Institution from December 2000 to October 2008, among which, he served as a post-doctoral fellow of economic theory at Shanghai Academy of Social Sciences (上海社會科學院) from January 2001 to December 2002; the director of the International Finance Research Institution of the Institute of World Economy of Shanghai Academy of Social Sciences (上海社會科學院世界經濟研究所國際金融研究室) and the director of the International Finance Monetary Research Centre of Shanghai Academy of Social Sciences (上海社會科學院國際金融貨幣研究中心) from October 2008 to December 2020.

Mr. Zhao Yonggang (趙永剛)|

Vice Chairman of the Supervisory Committee, Employee Representative Supervisor

Born in 1972, a holder of bachelor’s degree in economics, an economist. He has been serving as the deputy secretary of CPC Party Committee of the Company since May 2021. Mr. Zhao worked in Shapingba Sub-branch of Chongqing Branch of China Pacific Insurance Company 中國太平洋保險公司 from July 1995 to March 2000, where he served successively as a salesman, deputy manager of the business department and manager of the business department. He worked in Chongqing Branch of China Pacific Life Insurance Co., Ltd. 中國太平洋人壽保險股份有限公司 from March 2000 to September 2001, during which he consecutively served as the section chief of the human resources department, the person-in-charge of the human resources department and the deputy manager of the human resources department in charge of operation. He served as the deputy secretary of the Youth League Committee in charge of operation and secretary of the Youth League Committee of China Pacific Life Insurance Co., Ltd. from September 2001 to February 2006. Mr. Zhao served as a member of CPC Party Committee and the deputy general manager of Guizhou Branch of China Pacific Life Insurance Co., Ltd. from February 2006 to March 2008. Mr. Zhao served as the deputy head of the department of the Party and masses affairs, deputy director of the office of CPC Party Committee, secretary of the Youth League Committee, general manager of the staff work department and director of the party affair department of China Pacific Insurance Group Co., Ltd. 中國太平洋保險集團股份有限公司 from March 2008 to July 2011. Mr. Zhao served as the director of the strategic transformation office of China Pacific Life Insurance Co., Ltd. from July 2011 to December 2011. He served as the secretary of CPC Party Committee and general manager of Heilongjiang Branch of China Pacific Life Insurance Co., Ltd. from November 2011 to October 2014; the secretary of CPC Party Committee of Henan Branch of China Pacific Life Insurance Co., Ltd. from October 2014 to December 2016; the general manager of Henan Branch of China Pacific Life Insurance Co.,Ltd. from October 2014 to July 2016; a member of CPC Party Committee of China Pacific Life Insurance Co., Ltd. from May 2016 to January 2018; the chairman of the trade union of China Pacific Life Insurance Co., Ltd. from August 2016 to September 2018, the head of the organization department of the CPC Party Committee and the general manager of human resources department of China Pacific Life Insurance Co., Ltd. from December 2016 to January 2018; and the human resources director of China Pacific Life Insurance Co., Ltd. from March 2017 to February 2018. From August 2016 to March 2019, Mr. Zhao served as the chairman of the trade union of China Pacific Insurance Group Co., Ltd.; and he served as the head of the organization department of the CPC Party Committee of China Pacific Insurance Group Co., Ltd. from January 2018 to April 2020; a member of CPC Party Committee of China Pacific Insurance Group Co., Ltd. from January 2018 to May 2021; and the vice president of China Pacific Insurance Group Co., Ltd. from October 2018 to May 2021.

Mr. Shi Xu (侍旭) |

Employee Representative Supervisor

Born in 1972, a holder of master’s degree in management, an accountant, has served as an employee representative Supervisor of the Company since 18 June 2019. He has served as a general manager of the audit department of the Company since December 2019. Mr. Shi served in the following various positions in the Company since July 1999, including: project assistant, deputy manager of the off-site audit department and manager of the off-site audit department when working in the audit department from July 1999 to November 2007; manager of the fourth audit department of the risk control headquarters from November 2007 to June 2009; manager of the fourth on-site audit department of the risk control headquarters from June 2009 to March 2011; manager of the fourth on-site audit department of the audit department from March 2011 to March 2014; manager of the fourth audit department of the audit department from March 2014 to November 2014; assistant to general manager of the audit department from November 2014 to March 2018; and deputy general manager of the audit department from March 2018 to December 2019. Mr. Shi served as a supervisor of Liaoning Haitong New Energy Low-carbon Industry Equity Investment Fund Limited (遼寧海通新能源低碳產業股權投資基金有限公司) from December 2016 to November 2019, and a supervisor of Fullgoal Fund Management Co., Ltd. (富國基金管理有限公司) from November 2016 to October 2020. He has served as a supervisor of Haitong Auspicate Capital Management Co., Ltd. (海通新創投資管理有限公司) since December 2016, and a director of Haitong Capital Investment Co., Ltd. (海通開元投資有限公司) since July 2019.

Mr. Wu Xiangyang (武向陽) |

Employee Representative Supervisor

Born in 1966, a holder of master’s degree in law, an economist, has served as an employee representative Supervisor of the Company since 18 June 2019. He has been the deputy general manager of the compliance and legal department of the Company since March 2020. Mr. Wu served as a teacher at Huibu Middle School in Fengxin County, Jiangxi Province (江西奉新縣會埠中學) from July 1985 to September 1987, and an officer of the Publicity Department of the CPC party committee and secretary of the general Communist Youth League branch of electric department at Nanchang Aerospace College (南昌航空學院) from July 1991 to September 1995. He pursued his master’s degree in the economic law department of East China University of Political Science and Law (華東政法學院) from September 1995 to July 1998 and obtained a master’s degree in law when graduated. Mr. Wu served as the asset administrator of the legal affairs office of Bank of Communications Shanghai Branch (交通銀行上海分行) from August 1998 to April 2000. Mr. Wu has served in the following various positions in the Company since January 2001, including: project manager of the investment banking headquarter from January 2001 to September 2002; legal counsel of the general manager office from September 2002 to July 2007; deputy manager of the legal affairs department of the office of general manager from July 2007 to January 2008; deputy manager of the legal compliance department of the compliance office from January 2008 to November 2008; manager of the legal compliance department of the compliance department from November 2008 to March 2010; manager of the compliance inspection department of the compliance department from March 2010 to March 2011; manager of the compliance inspection department of the compliance and risk management headquarters from March 2011 to March 2014; manager of the compliance review department of the compliance and risk management headquarters from March 2014 to August 2015; and assistant to general manager of the compliance and risk management headquarters from August 2015 to May 2017. He has worked in the compliance and legal department since May 2017 and served as an assistant to the general manager in the compliance and legal department of the Company from March 2018 to March 2020. He has served as the chairman of the supervisory committee of Haitong Futures Co., Ltd. (海通期貨有限公司) since July 2019 and a director of Shanghai Weitai Properties Management Co., Ltd. (上海惟泰置業管理有限公司) since March 2020.

Mr. Ruan Feng(阮峰)|

Supervisor

Born in 1968, is a holder of bachelor’s degree in accounting and is recognized as an accountant, has served as a Supervisor of the Company since 20 October 2020. Mr. Ruan has been the deputy general manager of the audit department (formerly the audit and supervision department) of Shanghai Guosheng (Group) Co., Ltd. (上海國盛(集團)有限公司) since May 2019. Mr. Ruan worked at Shanghai Municipal Audit Bureau (上海市審計局) from August 1994 to May 2019 and served as a clerk of the audit division in the commercial grain trade commission; a clerk, the deputy section chief and the section chief of the audit division in the economic and trade commission; and the section chief of the second administrative audit division. Mr. Ruan has been a supervisor of Shanghai Cultural Industry Development Investment Fund Management Co., Ltd.(上海文化產業發展投資基金管理有限公司) since February 2020.

Mr. Li Zhenghao(李爭浩)|

Supervisor

Born in 1975, a holder of a bachelor’s degree, a senior management and an executive master’s degree in business administration, and a senior accountant, has served as a Supervisor of the Company since 18 June 2020. He has been the general manager of the Finance Department of Shenergy Group Company Limited (申能(集團)有限公司) since June 2019. Mr. Li served as an accountant, a loan officer and a senior account manager of Shanghai Pudong Development Bank Co., Ltd. (上海浦東發展銀行股份有限公司, listed on the SSE under the stock code of 60000) from July 1997 to January 2003. Mr. Li worked at Siping Road Sub branch of Shanghai Pudong Development Bank from February 2003 to March 2007, serving as the president. Mr. Li worked at Shenergy Group Finance Co., Ltd. (申能集團財務有限公司) from April 2007 to April 2017, successively serving as an assistant manager of finance department, a deputy manager, manager of accounting and settlement department, manager of planning and finance department, and director of operations. Mr. Li served as the deputy manager of the finance department at Shenergy Group Company Limited (申能(集團)有限公司) from May 2017 to May 2019. Mr. Li served as a supervisor of Shenergy Group Finance Co., Ltd. (申能集團財務有限公司) from February 2010 to April 2017. Mr. Li served as a council member of Shanghai Payment Clearing Association (上海市支付清算協會) from May 2015 to April 2017. Mr. Li has been a director of Shanghai Gas Company Limited (上海燃氣有限公司) since June 2019, a director of Shenergy Company Limited (申能股份有限公司, listed on the SSE under the stock code of 600642) since July 2020. Mr. Li has been the chairman of the supervisory committee of Shanghai Shenxin Environmental Protection Co., Ltd. (上海申欣環保有限公司) since June 2019 and served as a supervisor of Shanghai ICY Capital Co., Ltd. (上海申能誠毅股權投資有限公司) from June 2019 to November 2020.

Mr. Cao Yijian(曹奕劍)|

Supervisor

Born in 1976, a holder of master’s degree in science, an economist, has served as a Supervisor of the Company since 18 June 2019. He has served as the general manager of the investment development department of Shanghai Jiushi (Group) Co., Ltd. (上海久事(集團)有限公司) since April 2018. He served as a staff member of Shanghai Huipu Technology Investment Company Limited (上海匯浦科技投資有限公司) from March 2001 to February 2003 and a staff member of Shanghai Qiangsheng Holding Co., Ltd. (上海強生控股股份有限公司, listed on the SSE under the stock code of 600662) from February 2003 to July 2003. He served as the manager of the asset management department of Shanghai Huipu Technology Investment Company Limited from July 2003 to July 2007 and a staff member of the asset operation department at Shanghai Qiangsheng Group Co., Ltd. (上海強生集團有限公司) from August 2007 to November 2008. He also worked as an assistant to the manager of the asset operation department of Shanghai Qiangsheng Group Co., Ltd. from November 2008 to June 2009 and the deputy manager of the asset operation department of Shanghai Qiangsheng Group Co., Ltd. from June 2009 to April 2012. He then served as the manager of the asset operation department of Shanghai Qiangsheng Group Co., Ltd. from April 2012 to June 2013 and the manager of the asset operation department at Shanghai Jiushi Properties Co., Ltd. (上海久事置業有限公司) from June 2013 to May 2015. He worked at the investment development department of Shanghai Jiu Shi Company (上海久事公司) from May 2015 to October 2015, serving as the deputy general manager. He was the deputy general manager of the investment development department of Shanghai Jiushi (Group) Co., Ltd. from October 2015 to April 2018. Mr. Cao has been a director of Shanghai Public Traffic Card Co., Ltd. (上海公共交通卡股份有限公司) since April 2018, a supervisor of Shanghai Pudong Development Bank Co., Ltd. (上海浦東發展銀行股份有限公司, listed on the SSE under the stock code of 600000) and an executive director and the general manager of Shanghai Jiushi Investment Management Co., Ltd. (上海久事投資管理有限公司) since December 2019. Mr. Cao served as a director of Shenergy Company Limited (申能股份有限公司, listed on the SSE under the stock code of 600642) from May 2019 to July 2020, and a director of Shanghai Qiangsheng Holding Co., Ltd. from October 2018 to June 2020.

Mr. Dong Xiaochun (董小春) |

Supervisor

Born in 1964, is a holder of MBA degree and is recognized as a senior accountant, has served as a Supervisor of the Company since 20 October 2020. Mr. Dong has been the chief financial officer of Shanghai Bailian Group Co., Ltd. (上海百聯集團股份有限公司) (a company listed on the SSE, Stock code: 600827) since May 2020, the secretary to the board of directors and a director of Shanghai Bailian Group Co., Ltd. since June 2020. Mr. Dong worked in Shanghai Hualian Commercial Building (上海華聯商廈) as the deputy section chief of finance section from September 1983 to September 1992. He served as the chief financial officer and the secretary to the board of directors of Hualian Supermarket Co., Ltd. (華聯超市股份有限公司) from October 1992 to August 2004, the chief financial officer of the department store division of Shanghai Bailian Group Ltd. (上海百聯集團有限公司) from August 2004 to April 2006, the secretary to the board of directors and the chief financial officer of Shanghai Bailian Group Co., Ltd. from April 2006 to September 2011, a director of Shanghai Bailian Group Co., Ltd. from April 2010 to April 2011, the secretary to the board of directors and the chief financial officer of Shanghai Friendship Group Incorporated Company (上海友誼集團股份有限公司) from September 2011 to August 2014, and the secretary to the board of directors and the chief financial officer of Shanghai Bailian Group Co., Ltd. from August 2014 to June 2015, the chief financial officer of Bailian Financial Services Co., Ltd. (百聯金融服務有限公司, formerly known as Bailian E-Commerce Co., Ltd. (百聯電子商務有限公司)) from June 2015 to May 2020. He has been the director of Lianhua Supermarket Holdings Co., Ltd. (聯華超市股份有限公司) (a company listed on the Hong Kong Stock Exchange, Stock Code: 0980) since June 2020. Mr. Dong was a Supervisor of the Company from July 2007 to July 2015.

Ms. Dai Li (戴麗)|

Supervisor

Born in 1973, a holder of master’s degree in law, a mid-level economist, has been serving as a Supervisor of the Company since 18 June 2019. She has served as the head of the asset operation department of Shanghai United Media Group (上海報業集團) since June 2018. Ms. Dai worked as a teaching assistant intern at Nanyang Institute of Technology (南陽理工學院) from July 1995 to August 1996, a clerk at Nanyang Customs (南陽海關) from August 1996 to August 2000, a legal counsel, head of investment and deputy-director level propagandist of Wenhui Xinmin United Press Group (文匯新民聯合報業集團) from July 2002 to October 2013, the deputy directorlevel cadre and the deputy director of the asset operation department of Shanghai United Media Group from October 2013 to June 2018. Ms. Dai has served as a director of Shanghai DongJie Advertising Media Co., Ltd. (上海東傑廣告傳媒有限公司) since June 2016, a director of Shanghai Evening News Media Co., Ltd. (上海新聞晚報傳媒有限公司) since November 2017 and the executive director and legal representative of Shanghai Shenjiang Service Guide Post Co., Ltd. (上海申江服務導報社有限公司) since January 2019.

Mr. Pei Changjiang (裴長江) |

Deputy General Manager

Born in 1965, a holder of master’s degree in economics, joined the Company in August 2013. Since then, he has been serving as the deputy general manager of the Company. Mr. Pei has served as a vice director of the financial products committee of the Company since March 2021. From July 1993 to July 1996, Mr. Pei successively held various positions in Shanghai International Securities Co., Ltd., (上海萬國證券公司) including research fellow of research department, and assistant to the general manager, general manager of Zhabei Business Department. From August 1996 to October 2002, he served as the general manager of Zhabei Business Department, deputy general manager of Zhejiang Management Headquarters and the deputy general manager of Brokerage Headquarters of Shenyin Wanguo Securities Co., Ltd. (申銀萬國證券公司). From October 2002 to August 2013, he successively served as investment director of Fortune Trust Investment Co., Ltd. (華寶信託投資有限責任公司) and a director and general manager of Fortune SGAM Fund Management Co., Ltd. (華寶興業基金管理有限公司). Mr. Pei has been a director of Fullgoal Fund Management Co., Ltd. (富國基金管理有限公司) since August 2014, the chairman of the board of directors of Fullgoal Fund Management Co., Ltd. since March 2019, the chairman of the board of directors of Shanghai Haitong Securities Asset Management Company Ltd. (上海海通證券資產管理有限公司) since November 2014, the chairman of the board of directors of Haitong Futures Corporation (海通期貨有限公司) from September 2015 to March 2016, and the chairman of the board of directors of Haitong Futures Co., Ltd. (海通期貨股份有限公司) since March 2016.

Mr. Mao Yuxing (毛宇星) |

Deputy General Manager and Chief Information Officer

Born in 1971, a holder of doctor’s degree in science and a post-doctoral degree in management, a senior engineer (professor level), has served as the chief information executive officer (now renamed as the “chief information officer”) and director of IT management committee of the Company since September 2016, Deputy General Manager of the Company since February 2019. From August 1993 to September 2001, Mr. Mao successively held various positions in Information Technology Department of Shanghai branch of the Industrial and Commercial Bank of China (中國工商銀行) including the programmer, deputy section chief, section chief and deputy director. From September 2001 to November 2011, he worked in Data Centre (Shanghai) of the Industrial and Commercial Bank of China, served as the assistant to the general manager (deputy department director level and department director level) and a member of CPC party committee from September 2001 to December 2004, served as the deputy general manager and a member of CPC party committee from December 2004 to November 2011. From November 2011 to April 2016, he served as the deputy general manager of Information Technology Department of the Industrial and Commercial Bank of China. Mr. Mao is currently the vice chairman of the “Shanghai Informatization” Council and the vice chairman of the Shanghai Financial Technology Industry Alliance (上海金融科技產業聯盟).

Mr. Wang Jianye (王建業) |

Chief Compliance Officer (enjoying the Company’s Deputy General Manager level benefits)

Born in 1960, a holder of master’s degree, a senior economist, joined the Company in August 1994 and has been the chief compliance officer since July 2010 and he is also a member of the assets and liabilities allocation committee. Mr. Wang has served as a member of the financial products committee of the Company since March 2021. Mr. Wang is also the deputy director of Compliance Management Committee of the Securities Association of China (中國證券業協會合規管理委員會), the deputy director of Compliance and Self-discipline Supervision Committee of Shanghai Securities Association (上海市證券同業公會合規與自律監察專業委員會) and the vice president of Shanghai Corporate Counsel Association (上海市企業法律顧問協會). Mr. Wang successively served as the deputy section chief level clerk, trainee deputy director and deputy director of education division of PBOC (中國人民銀行) Inner Mongolia Branch from August 1984 to August 1990, deputy director of Financial Administration Division of PBOC Inner Mongolia Branch from August 1990 to May 1992, deputy general manager of the securities department of Inner Mongolia Securities Company (內蒙古自治區證券公司) from May 1992 to March 1993 and deputy general manager of the same company from March 1993 to July 1994. Mr. Wang previously served in various positions in the Company including head of trading department from August 1994 to March 1996, deputy general manager of business management headquarters from March 1996 to September 1998, and general manager of integrated business management headquarters from September 1998 to August 2004. Mr. Wang was assistant to general manager of the Company from June 2001 to February 2011, and was concurrently serving as general manager of brokerage business headquarters from March 2005 to June 2006 and general manager of risk control headquarters from October 2008 to March 2011, and was successively in charge of integrated business management headquarters, brokerage business headquarters, IT department, brokerage operations centre, sales and transactions headquarters, customer asset management department and risk control department. Mr. Wang served as the general manager of Compliance and Legal Department of the Company from March 2017 to December 2019 and the chief risk officer (entitled to the Company’s deputy general manager level benefits) from May 2011 to March 2017.

Mr. Chen Chunqian (陳春錢) |

assistant to the General Manger (enjoying the Company’s Deputy General Manager level benefits)

Born in 1963, a holder of doctor’s degree in economics, joined the Company in October 1997 and has been the assistant to General Manager since March 2012, responsible for the brokerage business of the Company. Mr. Chen is also the director of the brokerage committee, the deputy director of IT management committee, and a member of the assets and liabilities allocation committee. He has been entitled to the Company’s deputy general manager level benefits since February 2017. Mr. Chen has served as a deputy director of the financial products committee since March 2021. He is also the deputy director of Financing Securities Business Committee under the Securities Association of China (中國證券業協會融資融券業務委員會), the deputy director of Securities Conflict Resolution Committee of Shanghai Securities Association (上海市證券同業公會證券糾紛調解專業委員會) and vice president of Association of Shanghai Internet Financial Industry. Mr. Chen also served in various positions in the Company, including the head of business department of Shenzhen Branch from October 1997 to January 1998, the deputy general manager of international business department from January 1998 to March 2000, the deputy general manager of Shenzhen Branch from March 2000 to December 2000, the general manager of investment management department (Shenzhen) from December 2000 to May 2006, the general manager of sales and trading headquarters from May 2006 to February 2013 and the general manager of the institutional department during the period from November 2007 to March 2009. Mr. Chen has been a director of E-Capital Transfer Co., Ltd. (證通股份有限公司) since January 2015.

Mr. Zhang Xiangyang (張向陽) |

assistant to the General Manger (enjoying the Company’s Deputy General Manager level benefits)

Born in 1965, a holder of bachelor’s degree in engineering, a senior economist, joined the Company in May 1996 and has been the assistant to the General Manager since December 2014 and the director of the PE and industrial capital investment committee of the Company since March 2013. He has been entitled to the Company’s deputy general manager level benefits since January 2021. Mr. Zhang previously worked in Xinhua Bookstore in Taiyuan from December 1983 to April 1988, in Shanxi Radio TV University (山西廣播電視大學) from April 1988 to December 1991, and in the Bank of Communications Taiyuan Branch (交通銀行太原分行) from December 1991 to May 1996. Mr. Zhang served in various positions in the Company, including deputy general manager (in charge of operations) and general manager of Taiyuan business department from May 1996 to April 2002, deputy general manager and general manager of integrated business management headquarters from April 2002 to May 2006, general manager of risk control headquarters from May 2006 to October 2008, a director, general manager and the director of the investment decision committee of Haitong Capital Investment Co., Ltd. (海通開元投資有限公司) from October 2008 to November 2012, a director of Haitong Creative Capital Management Co., Ltd. (海通創意資本管理有限公司) from June 2012 to August 2015, the chairman of the board of directors of Haitong Innovative Capital Management Co., Limited (海通創新資本管理有限公司) from November 2011 to July 2015, the chairman of the board of directors of Haitong Creative Capital Management Co., Ltd. (海通創意資本管理有限公司) from August 2015 to March 2016, a director of Haitong New Energy Equity Investment Management Co., Ltd. (海通新能源股權投資管理有限公司) from July 2013 to May 2016, and the chairman of the board of directors of Haitong New Energy Equity Investment Management Co., Ltd. from July 2015 to May 2016. Mr. Zhang has been the chairman of the board of directors and the director of the investment decision committee of Haitong Capital Investment Co., Ltd. since November 2012, a director of Haitong Creative Private Equity Fund Management Co., Ltd. (海通創意私募基金管理有限公司, formerly known as “Haitong Creative Capital Management Co., Ltd.”) since March 2016, the chairman of the board of directors of Haitong MA Capital Management (Shanghai) Co., Ltd. (海通併購資本管理(上海)有限公司) since June 2016, and a director of Haitong-Fortis Private Equity Fund Management Co., Ltd. (海富產業投資基金管理有限公司) since March 2018. Mr. Zhang currently serves as the director of Investment Business Committee under the Securities Association of China (中國證券業協會投資業務委員會) and the vice president of PE Association of Shanghai (上海股權投資協會).

Mr. Li Jianguo (李建國) |

assistant to the General Manger

Born in 1963, a holder of doctor’s degree in economics, joined the Company in 1998, and has been the assistant to the general manager of the Company since 2008. Mr. Li served as a general manager of Henan Securities Co., Ltd. (河南省證券有限公司) from 1992 to 1998, a deputy general manager of Haitong Securities Co., Ltd. from 1998 to 1999, a vice chairman of the board of directors and general manager of Fullgoal Fund Management Co., Ltd. (富國基金管理有限公司) from May 1999 to August 2008. Mr. Li served as the chairman of the board of directors of Haitong International Holdings Limited (海通國際控股有限公司) from October 2008 to August 2010. He has been the vice chairman of Haitong International Holdings Limited since August 2010, an executive director of Haitong International Securities Group Limited (海通國際證券集團有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0665) since January 2010 and vice chairman of the board of Haitong International Securities Group Limited since March 2010.

Mr. Lin Yong (林湧) |

assistant to the General Manger

Born in 1969, a holder of doctor’s degree in economics, joined the Company in December 1996 and has been the assistant to the General Manager since December 2014. He is also the deputy director of the investment banking committee and a member of the international business committee. Mr. Lin served in various positions in the Company, including serving in investment banking department from December 1996 to July 2003 as (amongst others) the deputy general manager, and as the deputy general manager (in charge of operations) from January 2001 to July 2003, the deputy general manager of the fixed income department from July 2003 to May 2004. Mr. Lin successively served as the deputy general manager (in charge of operations) and the general manager of the investment bank department (Shanghai) from May 2004 to July 2007. Mr. Lin has been the general manager of Haitong International Holdings Limited (海通國際控股有限公司) since July 2007 and a director of Haitong International Holdings Limited since August 2007. He has been an executive director of Haitong International Securities Group Limited (海通國際證券集團有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0665) since December 2009, an executive director and the joint chief executive officer of Haitong International Securities Group Limited from March 2010 to March 2011. Mr. Lin has been an executive director, the vice chairman of the board of directors, managing director and chief executive officer of Haitong International Securities Group Limited since April 2011, a nonexecutive director of Haitong Bank S.A. since June 2016, and the chairman of the board of directors of Haitong Bank S.A. since October 2017.

Mr. Jiang Chengjun (姜诚君) |

assistant to the General Manger and the Secretary to the Board

Born in 1968, a holder of master’s degree in economics, an economist, has been the assistant to the general manager and the secretary to the Board of the Company since 29 March 2017, the joint company secretary and joint authorised representative of the Company since 5 April 2017, and the general manager of investment banking headquarter of the Company since April 2017. He has concurrently served as the deputy director of the investment banking committee and a member of the assets and liabilities allocation committee. Mr. Jiang was a cadre of Xiamen ITG Group Co., Ltd. (廈門國貿集團股份有限公司) from July 1993 to July 1994; a deputy manager of finance and securities department, a manager of investment management and development department, an assistant to general manager, a secretary to the board of directors and a deputy general manager of Xiamen Guotai Enterprises Co., Ltd. (廈門國泰企業股份有限公司) from July 1994 to August 2000; a deputy general manager in the investment banking department of the Company from August 2000 to July 2007; a deputy general manager (in charge of operations) in the investment banking department of the Company from July 2007 to April 2009; and the general manager of investment banking department of the Company from April 2009 to April 2017.

Mr. Du Hongbo (杜洪波) |

Chief Risk Officer

Born in 1963, a holder of bachelor’s degree in engineering, an engineer, has been the Chief Risk Officer of the Company since May 2017. He is also a member of the assets and liabilities allocation committee, the IT Management committee, and the proprietary trading decision committee. Mr. Du has served as a member of the financial products committee of the Company since March 2021 and a member of the risk management committee of the Securities Association of China since January 2018. Mr. Du worked at Wuhan Computer Application Institute (武漢市電子計算機應用開發研究所) from August 1984 to December 1990, Wuhan Branch of Stone Group Corp. (四通集團武漢分公司) from December 1990 to August 1992, Wuhan Software Research Centre (武漢軟件研究中心) from August 1992 to August 1996, the information technology centre of Guotai Junan Securities Co., Ltd. (國泰君安證券股份有限公司) from August 1996 to March 2002. Mr. Du was the assistant to the general manager of the website management department of the Company from March 2002 to May 2005, the assistant to the general manager of the brokerage business headquarters of the Company from May 2003 to May 2005, the deputy general manager of integrated business management headquarters of the Company from May 2005 to May 2006. He worked at the risk control headquarters of the Company from May 2006 to March 2011, successively serving as the deputy general manager and the deputy general manager (with benefits as a general manager). He was the general manager of the compliance and risk management headquarters of the Company from March 2011 to January 2013, the general manager of OTC department of the Company from January 2013 to February 2014, the general manager of securities finance department of the Company from February 2014 to March 2017, and the general manager of the Risk Management Department of the Company from March 2017 to July 2020. Mr. Du was an Employee Representative Supervisor of the Company from 16 May 2011 to 30 December 2014.

Mr. Pan Guangtao (潘光韜) |

assistant to the General Manger

Born in 1971, a holder of MBA degree, an engineer and an assistant economist, has been the assistant to the general manager of the Company since May 2017 and the general manager of the Equity Investment Trading Department of the Company since March 2013. He has concurrently served as the deputy director of the proprietary trading decision committee and a member of the assets and liabilities allocation committee. Mr. Pan worked as the head of IT at IT Department of Brokerage Headquarter of Shenyin Wanguo Securities Co., Ltd. (申銀萬國證券公司) from July 1994 to July 1998. He worked at First Securities Investment Department of Securities Investment Headquarter of Shenyin Wanguo Securities Co., Ltd. from July 1998 to July 2002, successively serving as the assistant to manager, deputy manager. Mr. Pan worked as the assistant to general manager of Second Trading Department of the Company from August 2002 to June 2003. He worked at Trading Headquarter from July 2003 to August 2004, successively serving as the assistant to general manager, the deputy general manager. He worked as the deputy general manager of Investment Management Department from August 2004 to August 2006. He worked at Securities Investment Department from August 2006 to March 2013, successively serving as the deputy general manager, deputy general manager (in charge of operations). He has been a non-executive director of Haitong Bank S.A. since November 2015 and a director of Haitong Innovation Securities Investment Co., Ltd. (海通創新證券投資有限公司) since May 2019.

Mr. Zhang Xinjun(張信軍) |

Chief Financial Officer

Born in 1975, a holder of master’s degree in management, an accountant, joined the Company in July 2001 and has been the chief financial officer of the Company since 27 March 2018. He has concurrently served as a member of the assets and liabilities allocation committee. Mr. Zhang worked at the Finance and Accounting Department of the Company from July 2001 to June 2007, serving in various positions including a clerk, the deputy manager and the manager of asset management department. He has worked at Haitong International Holdings Limited (海通國際控股有限公司) since July 2007, and has been the head of finance from July 2007 to February 2009, the chief financial officer since March 2009. Mr. Zhang served as the chief financial officer of Haitong International Securities Group Limited (海通國際證券集團有限公司, listed on the Hong Kong Stock Exchange under the stock code of 0665) from March 2010 to March 2018. He has been a non-executive director, a member of the audit committee and strategic development committee of Haitong International Securities Group Limited since March 2018, a non-executive director of Haitong Bank S.A. since January 2018, a director of Fullgoal Fund Management Co., Ltd. since February 2019, and a director of Haitong Investment Ireland PLC (海通投資愛爾蘭公眾有限公司) since February 2020.

海通证券

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