1
Executive Directors
(2 individual)
Mr. ZHANG Youjun

Secretary to the Party Committee of the Company, an executive Director and the Chairman of the Company. Mr. ZHANG joined the Company upon its establishment in 1995, and was appointed as an executive Director and the Chairman of the Company on 19 January 2016. Mr. ZHANG previously served as an associate manager, a deputy President, the President, a Director of the Company, the general manager of Changsheng Fund, the general manager and the chairman of CSC Financial, a director of the board office of CITIC Group, the chairman of CSI. Mr. Zhang also serves as an assistant to the general manager of CITIC Group, CITIC Limited and CITIC Corporation Limited, the vice chairman of CITIC Financial Holdings, the chairman of ChinaAMC. Mr. ZHANG obtained a bachelor's degree in economics from Renmin University of China in 1987 and a master's degree in economics from Central University of Finance and Economics in 1990.

Mr. ZOU Yingguang

Deputy secretary to the Party Committee of the Company, an executive Director, the President and an executive member of the Company. Mr. ZOU joined the Company in 2017, and was appointed as an executive Director of the Company on 12 December 2024. Mr. ZOU previously worked as a customer manager of the institutional client department of the South Haidian Road Branch, Beijing and a senior business director of the bond business department of Huaxia Securities, an assistant to the general manager of the bonds business department and the head of the fixed income department, a member of the Executive Committee of CSC Financial, the head of the fixed income department, an executive member and a member of the Party Committee of the Company, and a member of the Party Committee, an executive director, a member of the executive committee, and the chief financial officer of CSC Financial. Mr. ZOU obtained a bachelor's degree in medicine from Capital Medical University in 1994, a master's degree in economics from Central University of Finance and Economics in 2000 and a master's degree in business administration from China Europe International Business School in 2012.

2
Non-executive Director
(4 individuals)
Mr. ZHANG Lin

Non-executive Director of the Company. Mr. ZHANG was appointed as a non- executive Director of the Company on 30 December 2022. Mr. ZHANG previously served in the Ministry of Finance as a senior staff member at China Enterprise Division of Finance Department of Gansu Province, a senior staff member, principal staff member, deputy director of the Commissioner's Office of the Ministry of Finance in Gansu Province, a member of the Party members group and the assistant inspector of the Commissioner's Office of the Ministry of Finance in Gansu Province, a member of the Party members group, the deputy inspector and leader of the Commissioner's Office of the Ministry of Finance in Ningxia Province, the secretary of the Party members group and chief inspector of the Commissioner's Office of the Ministry of Finance in Shaanxi Province, the secretary of the Party members group and director of Shaanxi Regulatory Bureau. Mr. ZHANG also serves as a non-executive director of CITIC Group, CITIC Limited and CITIC Corporation Limited and a director of CITIC Financial Holdings. Mr. ZHANG graduated from Lanzhou University in 2002.

Ms. FU Linfang

Non-executive Director of the Company. Ms. FU was appointed as a non-executive Director of the Company on 13 April 2022. Ms. FU previously served as deputy director, project manager, senior project manager and director of Business Division II of the Integrated Planning Department of CITIC Corporation (中信公司) (later renamed as the Strategy and Planning Department and Strategic Development Department of CITIC Group) and division director of the Secretariat of the Strategic Investment Committee, the assistant to the general manager of the Strategic Development Department and concurrently the head of the Secretariat of the Strategic Investment Committee of CITIC Group, and a director of CITIC Finance and CITIC Industrial. Ms. FU also serves as the deputy general manager of the strategy and investment management of CITIC Group, Ltd. and a director of CITIC Construction. Ms. FU obtained a bachelor's degree in economics from Tianjin University of Commerce in 1997, a master's degree in management from Nankai University in 2000, and a master's degree in business administration (MBA) from the University of Bath in the United Kingdom in 2006.

Mr. ZHAO Xianxin

Non-executive Director of the Company. Mr. ZHAO was appointed as a non- executive Director of the Company on 13 April 2022. Mr. Zhao previously served as staff member of ICBC Fujian Branch, deputy division director and division director of Asset and Liability Management Department of BOC Head Office, the general manager of the Risk Policy Management Department and the director of the Basel Agreement Office of SPD Bank, the deputy director-general of the Monetary Policy Bureau II and the deputy director-general of the Macro-Prudential Policy Bureau of the People's Bank of China, and the deputy general manager of Risk Compliance Department of CITIC Group. Mr. ZHAO also serves as general manager of Risk Compliance Department of CITIC Financial Holdings. Mr. ZHAO obtained a bachelor's degree in science from Nanjing University in 1992, a master's degree in economics from Renmin University of China in 1995, and a doctor's degree in economics from Peking University in 2000.

Mr. WANG Shuhui

Non-executive Director of the Company. Mr. WANG was appointed as a non- executive Director of the Company on 23 June 2020. Mr. WANG previously served as the business manager of the securities issuance consultancy department, the deputy manager of the research and development department, secretary to the board of directors and vice president of Guangzhou Securities, office general manager and general manager of the development department of Yuexiu Group, an assistant to general manager, director and deputy general manager of Yuexiu Group and Hong Kong Yuexiu. Mr. WANG also serves as the chairman of Yuexiu Capital, Guangzhou Yuexiu Capital, Yuexiu Industrial Investment. Mr. WANG is a director of Yuexiu Industrial Investment Fund. Mr. WANG obtained a bachelor's degree in economics from Southwestern University of Finance and Economics in 1993 and a master's degree in economics from Jinan University in 2000.

3
Independent non-executive
Directors (3 individuals)
Mr.Li Qing

Independent non-executive Director of the Company. Mr. LI was appointed as an independent non-executive Director of the Company on 29 June 2021. Mr. LI previously served as an assistant professor, associate professor and tenured professor of the City University of Hong Kong, Mr. LI was the founding director of the Multimedia-software Engineering Research Center (MERC) of the City University of Hong Kong, set up and served as the manager of the Mobile Information Management Division at the CityU R&D Center in Zhuhai, established and served as the general manager and the chairman of Zhuhai Faster Software Technology Ltd. Mr. LI also serves as a chair professor and the Department Head of the Department of Computing of the Hong Kong Polytechnic University. Mr. LI obtained a bachelor' s degree in engineering from Hunan University in 1982, and obtained a master's degree in computer science and a doctor's degree in computer science from the University of Southern California in the United States of America in 1985 and 1988, respectively.

Mr. SHI Qingchun

Independent non-executive Director of the Company. Mr. SHI was appointed as an independent non-executive Director of the Company on 13 April 2022. Mr. SHI also serves as an associate professor of the School of Management of Lanzhou University and an editorial board member of the magazine “Western China Quality Education”. Mr. SHI graduated from Lanzhou University of Finance and Economics in 2002, majoring in accounting, obtained a master's degree in management from Lanzhou University in 2006, majoring in business management, and a doctor's degree in management from Xi'an Jiaotong University in 2011.

Mr. ZHANG Jianhua

Independent non-executive Director of the Company. Mr. ZHANG was appointed as an independent non-executive Director of the Company on 30 December 2022. Mr. ZHANG previously served as the senior staff member and principal staff member of the Trust Company Management Division of the Financial Management Bureau of the People's Bank of China, principal staff member, a deputy division director and division director of the Financial Lease Company Supervision Division of the Non-bank Financial Institutions Supervision Department, a division director of the Supervision Division III of the Non-bank Financial Institutions Supervision Bureau, a division director of the Fiscal and Taxation Research Division of the Research Bureau, a deputy director-general of the Financial Stability Bureau, director-general of the Research Bureau, secretary to the Party Committee and president of the Hangzhou Central Sub-branch (currently known as the Zhejiang Branch) and concurrently director-general of the State Administration of Foreign Exchange Zhejiang Branch, the deputy secretary to the Party Committee, director and president of BRCB, and deputy secretary to the Party Committee, director and president of HXB. Mr. Zhang is an expert entitled to the government special allowance of the State Council, also serves as the researcher, adjunct professor and doctoral supervisor of the Tsinghua University PBC School of Finance and the director of Research Center for Financial Development and Regtech of Tsinghua University PBC School of Finance, as well as the editor-in-chief of the Tsinghua Financial Review, an independent director of Capital Securities and Hunan Sanxiang Bank, and Counselor of the People's Bank of China. Mr. ZHANG obtained a bachelor's degree in engineering from Tsinghua University in 1987, graduated from the postgraduate program of the Research Institute of the People's Bank of China in 1989, and obtained a doctor's degree in management from Tsinghua University in 2003.

4
Supervisors (5 individuals)
Mr. ZHANG Changyi

Deputy secretary to the Party Committee, chairman of the Supervisory Committee and chairman of the labor union of the Company. Mr. ZHANG joined the Company in 2018 and was appointed as chairman of the Supervisory Committee on 23 June 2020. Mr. ZHANG previously served as an officer, staff member and senior staff member of the education department of the Ministry of Construction, principal staff and assistant researcher of the general office of the Ministry of Construction, the second secretary (deputy division director level), deputy division director, the first secretary and deputy division director (division director level) of the second secretary bureau of the General Office of the State Council and secretary of division director level, secretary of deputy director-general level, secretary of director-general level in the General Office of the State Council. Mr. ZHANG also serves as the chairman of GoldStone Zexin. Mr.ZHANG obtained a bachelor's degree in engineering from Northwest Institute of Construction Engineering in 1989 and obtained a master's degree in engineering from Harbin University of Civil Engineering and Architecture in 1999.

Mr. GUO Zhao

Supervisor of the Company. Mr. GUO was appointed as a Supervisor of the Company on 26 September 1999. Mr. GUO previously served as the deputy chief accountant of Nanjing International Container Handling Co., Ltd., as the secretary to the board of directors, director, vice president of Nanjing High-Tech, and as director and general manager of Cuccess Pharmaceutical. Mr. GUO obtained the accountant certificate in September 1993, which was granted by the Professional Accreditation Committee of the PRC Ministry of Transport. Mr. GUO obtained a college diploma in 1988 from Wuhan River Transportation College, and completed the postgraduate program at Nanjing University in 2002.

Mr. RAO Geping

Supervisor of the Company. Mr. RAO was appointed as a Supervisor of the Company on 19 January 2016 and formally took office on 23 March 2016. Mr. RAO was a professor at Peking University Law School, a member of 12th CPPCC National Committee, a member of the Hong Kong Special Administrative Region Basic Law Committee of the Standing Committee of the National People's Congress, the executive vice-chairman of Chinese Society of International Law, the vice chairman of Chinese Association of Hong Kong & Macao Studies, an independent supervisor of TravelSky Technology, an independent non-executive Director of the Company and an independent non-executive director of Yangguang Xinye. Mr. RAO is also the honorary chairman of the Academy of Hong Kong and Macao Studies in Peking University and the vice chairman of Chinese Judicial Studies Association (中華司法研究會). Mr. RAO obtained a master's degree in law from Peking University in 1982 and was a visiting scholar at the University of Washington, New York University, and Max Planck Institute of International Law.

Ms. NIU Xuekun

Employee representative Supervisor and the chief officer of the Planning and Finance Department of the Company. Ms. NIU joined the Company in 2000 and previously served as the accountant of Shenzhen Property Management Co., Ltd., and senior manager, vice president and senior vice president of the Planning and Finance Department of the Company. Ms. NIU also serves as a supervisor of CITIC Securities Investment, GoldStone Zexin and Guangzheng Lingxiu Investment. Ms. NIU obtained a bachelor's degree in economics and a master's degree in management from Dongbei University of Finance & Economics in 1996 and 1999, respectively. Ms. NIU obtained the qualification of Chinese CPA in 2002, the qualification of senior accountant in 2015, and the qualification of principal accountant (正高級會計師) in 2023.

Mr. YANG Liqiang

Employee representative Supervisor, and the principal and executive general manager of the digital development center of the Wealth Management Committee of the Company. Mr. YANG joined the Company in 2009 and previously served as the senior engineer of Shenzhen Kingdom Sci-Tech Co., Ltd., the vice president, senior vice president, director of the Information and Technology Center of the Company. Mr. YANG obtained a bachelor's degree in engineering from Sichuan University in 2001.

5
Senior Officers (15 individuals)
Mr.ZOU Yingguang

(Please see his biography as set out in “Executive Directors”)

Mr.SHI Benliang

A member of the Party Committee, an executive member, a chairman of the Wealth Management Committee and the head of Strategic Customer Department of the Company. Mr. SHI joined the Company in 2000, and previously served as accounting supervisor of the Asset Management Business, co-head and head of the Planning and Finance Department and Chief Financial Officer of the Company. Mr. SHI also serves as the director of CSI, CLSA B.V., CLSA Limited, ChinaAMC, CITIC Securities Shandong and CITIC Securities South China, and an executive director, general manager, legal representative of Jin Tong Securities, and the chairman of CITICPE. He currently also serves as the vice chairman of the seventh Securities Brokerage and Wealth Management Professional Committee of the Securities Association of China, the vice chairman of the Banking Accounting Society of China and the vice chairman of the Council of Shenzhen Wealth Management Association. Mr. SHI obtained a bachelor's degree in economics from Shanghai University of Finance and Economics in 1997 and a master's degree in economics from Nankai University in 2000.

Mr. ZHANG Hao

A member of the Party Committee, Chief Financial Officer, an Executive Member of the Company. Mr. ZHANG joined the Company in 1997 and previously served as head of the B-share Business Department of Shanghai Trust Investment Corporation of China Construction Bank as well as deputy general manager of the Shanghai B-share Business Department of the Company, general manager of the Shanghai Fuxing Middle Road Securities Outlet, general manager of the Shanghai Huaihai Middle Road Securities Outlet, deputy general manager of the Shanghai Management Headquarter, general manager of Shanghai Branch, chief marketing officer of the Company, and secretary to the Party Committee and chairman of CITIC Futures. Mr. ZHANG also serves as a director of CITIC Securities AM, vice chairman of the seventh session of Talent Development Professional Committee of Securities Association of China and a member of the risk committee of China Financial Futures Exchange. Mr. ZHANG was awarded the title of “Skilled Young Worker of SOEs” in 2001. Mr. ZHANG obtained a bachelor's degree in engineering from Shanghai Jiao Tong University in 1991 and an MBA from Shanghai Jiao Tong University in 2001.

Mr. ZHU Yexin

A member of the Party Committee, an executive member and head of the Research Department of the Company. Mr. ZHU joined the Company in 2008 and previously served as the project manager, deputy head and head of the Equipment Manufacturing Industry Team under the Investment Banking Management Committee (hereinafter referred to as the Investment Banking Committee), the head of the Industrial and Advanced Manufacturing Industry Team (formally known as the Equipment Manufacturing Industry Team) under the Investment Banking Committee, a member of the Investment Banking Committee, a member of the Party Committee of Investment Bank and the head of the Strategy & Planning Department of the Company. Mr. ZHU is also a member of the Strategic Development Committee of the 6th Council of SSE. Mr. ZHU obtained a bachelor's degree in engineering from Shanghai Jiao Tong University in 2005, and a master's degree in management from Shanghai Jiao Tong University in 2008.

Mr. WANG Junfeng

Board secretary, the deputy secretary of the Disciplinary Inspection Committee, the director of the Party-Masses Affairs Department and the head of the President's Office of the Company. Mr. WANG joined the Company in 1999 and previously served as an officer of the headquarter of the People's Bank of China, deputy general manager of the Brokerage Management Department of the Company, and business coordination supervisor of the President's Office. Mr. WANG also serves as the secretary to the board of CITIC Securities AM, a member of the third session of Council of the China Association for Listed Companies and vice chairman of the seventh session of the development strategy, reputation and brand maintenance profession committee of Securities Association of China. Mr. WANG obtained a bachelor's degree in economics from Zhengzhou University in 1990 and a master's degree in economics from Research Institute of the People's Bank of China (中國人民銀行總行金融研究所) (currently known as the PBC School of Finance, Tsinghua University) in 1997.

Mr. LI Jiong

Chief Treasurer of the Company, the head of the Treasury Department of the Company. Mr. LI joined the Company in 1996 and previously served as the manager of International Cooperation Office of the Information Center of China International Trust and Investment Corporation Company (the predecessor of CITIC Group), manager of the Development Department of CITIC International Cooperation Company, manager of the Bonds Department and deputy general manager of the Capital Operation Department (later renamed as the Treasury Department) as well as the head and financial director of the Prime Service Business Line and director of CSI. Mr. LI also serves as the chief financial officer of CITIC Securities AM and secretary to the Party Committee of CITIC Futures. Mr. LI obtained a bachelor's degree in economics from the University of International Business and Economics in 1992 and a MBA from Tsinghua University in 2000.

Mr.ZHONG Fei

Chief compliance officer and the head of the Audit Department of the Company. Mr. ZHONG joined the Company in 2000. Mr. ZHONG previously served as an auditor of Deloitte Touche Tohmatsu, an auditor, audit director, deputy head (in charge of work) and the head of the Audit Department, co-head of the Financial Planning Department of the Company, Co-CFO, head of the Treasury Department and CFO of CLSA. Mr. ZHONG also serves as the chief compliance officer of Jintong Securities and CITIC Securities AM, as well as the supervisor of CITIC Futures. Mr. ZHONG obtained a bachelor's degree in economics from the University of International Business and Economics in 1998, and a master's degree in business administration from The Chinese University of Hong Kong in 2011. Mr. ZHONG was qualified as a CPA in the PRC in 2001.

Mr. YANG Haicheng

Chief risk officer and the head of the Risk Management Department of the Company. Mr. YANG joined the Company in 2006, previously served as a derivative researcher at Haitong Securities Institution, the product development manager of the derivative business line, the investment manager and senior investment manager of the transaction and derivative department, the sales and structural director and deputy head of the equity derivatives business line, and the deputy head of the prime service business line of the Company. Mr. YANG also serves as chief risk officer of Jintong Securities and CITIC Securities AM, a member of the 7th Risk Management Professional Committee of the Securities Association of China and a member of the Risk Management Committee of the 6th Council of SSE. Mr. YANG also serves as a member of the risk management committee of the Securities Association of China. Mr. YANG obtained a bachelor's degree in science from Peking University in 2000, and a doctor's degree in science from the Graduate School of the Chinese Academy of Sciences in 2005.

Mr. YU Xinli

Chief information officer and the head of the Information Technology Center of the Company. Mr. YU joined the Company in 1999 and previously served as project manager for system development of the financial products development group, a researcher in system development of the Research Department, deputy head of the Research Department, the head of the Operations Management Department of the Brokerage Business Development and the chairman of the Management Committee (later renamed as the “Wealth Management Committee”, hereinafter referred to as the BBDM Committee), the head of the Market Research Department of the BBDM Committee and the head of the Research Department of the Company. Mr. YU also serves as an executive director and deputy secretary-general of the China Society for Finance and Banking. Mr. YU obtained a bachelor's degree in engineering from the Beihang University in 1996, a master's degree in engineering from the Graduate School of the Chinese Academy of Sciences in 2011, and an executive master's degree in business administration from Tsinghua University in 2017.

Mr. SUN Yi

A member of the senior management, secretary of the Investment Banking Party Committee and chairman of the Investment Banking Committee of the Company. Mr. SUN joined the Company in 1998, previously served as the deputy general manager of the Investment Banking Department of the Company, managing director of CSI, head of the Operations Department, head of Equity Capital Market Department and head of the transport industry team under the Investment Banking Committee, as well as the deputy general manager of ChinaAMC and concurrently served as the general manager of China Capital Management, a member of Investment Banking Committee and the head of Financial and Technology Industry Department and the head of Mergers and Acquisitions Business Line under the Investment Banking Committee, vice chairman and co-chairman of the Investment Banking Committee. Mr. SUN also serves as a director of CITIC Securities (Hong Kong) and CLSA Capital Markets Limited. Mr. SUN obtained a bachelor's degree in economics from Jiangxi University of Finance and Economics in 1993 and a master's degree in economics from Xiamen University in 1996.

Mr. XUE Jirui

Executive member of the Company. Mr. XUE joined the Company in 2000 and previously served as a manager of the financial products development group, researcher of the Research Department, head of the product development group of the trading and derivatives business line, the head of the Equity Derivatives Business Line, the head of the Prime Service Business Line and the head of Equity Investment Department. Mr. XUE also serves as a director of ChinaAMC. Mr. XUE obtained a bachelor's degree, a master's degree and a doctor's degree in economics from Renmin University of China in 1997, 2000 and 2006, respectively.

Mr. YANG Bing

Executive member of the Company. Mr. YANG joined the Company in 1999, and previously served in the Company as an assistant trader of the Trading Department, trader of the Fixed Income Department as well as investment manager, investment supervisor and head of the asset management business, as well as a director of ChinaAMC. Mr. YANG also serves as secretary and chairman to the Party Committee of CITIC Securities AM, a member of the 7th Asset Management Professional Committee of Securities Association of China, director of Asset Management Association of China and director of Beijing Asset Management Association. Mr. YANG obtained a bachelor's degree in engineering from Nanchang University in 1993 and a master's degree in economics from Nanjing University in 1999.

Mr. LI Yongjin

Executive member of the Company. Mr. LI joined the Company in 1998 and previously worked as a staff of the International Business Department of ABC's Dalian Branch, former department manager of Dalian Outlet of Shenyin & Wanguo, assistant to general manager, deputy general manager and general manager of Dalian Securities Outlet of the Company, senior vice president and director of the Brokerage Management Department of the Company, general manager of CITIC Securities (Zhejiang) Co., Ltd and the Zhejiang Branch Office, a director of ChinaAMC, chairman of the Wealth Management Committee of the Company, a director of CITIC Futures, CITIC Securities Shandong and CITIC Securities South China, an executive director and general manager of Jin Tong Securities, as well as an executive director of CITICS Securities Investment Services (中信証券投服) . Mr. LI obtained a bachelor's degree and a master's degree in economics from Dongbei University of Finance and Economics in 1992 and 2000, respectively.

Mr. LI Chunbo

Executive member of the Company. Mr. LI joined the Company in 2001 and previously served as an analyst of the Research Consulting Department of the Company (later renamed as the Research Department), chief analyst of the Research Department, as well as the head of the Research Department and the Equity Sales & Trading Department. Mr. LI also serves as a chairman and chief executive officer of CSI (中信證券國際), and the director of CLSA B.V. and CLSA Limited (中信里昂證券). Mr. LI obtained a bachelor's degree in engineering and a master's degree in management from Tsinghua University in 1998 and 2001, respectively.

Mr. GAO Yuxiang

Member of the senior management and chief equity investment officer of the Company. Mr. GAO joined the Company in 2004 and previously served as the deputy head of the real estate and construction materials industry team, the transport industry team and the infrastructure and real estate industry team under the Investment Banking Management Committee of the Company, member of Investment Banking Management Committee and the head of the infrastructure and real estate industry team, vice chairman of the Investment Banking Management Committee and head of the infrastructure and modern service industry group. Mr. GAO previously served as an executive director of Xinjiang Equity Trading Center, a director of Zhongzheng International, and a director of Bona Film. Mr. GAO obtained a college degree in financial accounting from Qingdao Radio and Television University in 1990, a bachelor's degree in economics from Peking University in 1995, and a doctor's degree in economics from Beijing Jiaotong University in 2004. Mr. GAO obtained the qualification of technical specialty of senior economist in 2006.