HAITONGSEC：2019AnnualReport.pdf

1、2019Annual ReportHAITONG SECURITIES CO.,LTD.海通證券股份有限公司 Annual Report 2019 年度報告CONTENTSSection I DEFINITIONS AND MATERIAL RISK WARNINGS 4Section II COMPANY PROFILE AND KEY FINANCIAL INDICATORS 8Section III SUMMARY OF THE COMPANYS BUSINESS 25Section IV REPORT OF THE BOARD OF DIRECTORS 33Section V SIGN

2、IFICANT EVENTS 85Section VI CHANGES IN ORDINARY SHARES AND PARTICULARS ABOUT SHAREHOLDERS 123Section VII PREFERENCE SHARES 134Section VIII DIRECTORS,SUPERVISORS,SENIOR MANAGEMENT AND EMPLOYEES 135Section IX CORPORATE GOVERNANCE 191Section X CORPORATE BONDS 233Section XI FINANCIAL REPORT 242Section X

3、II DOCUMENTS AVAILABLE FOR INSPECTION 243Section XIII INFORMATION DISCLOSURES OF SECURITIES COMPANY 244HAITONG SECURITIES CO.,LTD.|Annual Report 2019(H Share)IMPORTANT NOTICE2 The Board,the Supervisory Committee,Directors,Supervisors and senior management of the Company warrant the truthfulness,accu

4、racy and completeness of contents of this annual report(the“Report”)and that there is no false representation,misleading statement contained herein or material omission from this Report,for which they will assume joint and several liabilities.This Report was considered and approved at the seventh me

5、eting of the seventh session of the Board.All the Directors of the Company attended the Board meeting.None of the Directors or Supervisors has made any objection to this Report.Deloitte Touche Tohmatsu(Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu Certified Public Accountants LLP(Special Gen

6、eral Partnership)have audited the annual financial reports of the Company prepared in accordance with PRC GAAP and IFRS respectively,and issued a standard and unqualified audit report of the Company.All financial data in this Report are denominated in RMB unless otherwise indicated.Mr.Zhou Jie,Chair