Guosen Securities Co., Ltd.

Guosen Securities Co., Ltd. is a prominent securities brokerage firm based in Shenzhen, China, established on June 30, 1994. The company was listed on the Shenzhen Stock Exchange in December 2014 and has since developed a substantial presence across the country, with registered capital of RMB 9.612 billion. Guosen Securities operates through 57 branches and 185 securities operation outlets in 118 cities and regions, and it has several wholly-owned subsidiaries as well as minority stakes in various financial institutions. The company offers a comprehensive range of financial services, including brokerage and wealth management, investment banking, investment and trading, asset management, and capital intermediary services. Its brokerage and wealth management services cater to both individual and institutional clients, while its investment banking division provides equity and debt underwriting, M&A advisory, and other financial services. Guosen Securities is recognized for its market-oriented capabilities and integrated service offerings, positioning itself as a key player in the capital market services sector in China.

Guosen Securities has prominent market-oriented capabilities and integrated service capabilities, standard corporate governance and prudent operational decision-making framework, structured and strict internal control and risk management system, effective assessment and remuneration system, and first-class supporting capability to comprehensive operations. Over the recent decade, the Company has maintained an ROE above the average of the top 10 brokers with the largest net assets in China，and has been at the forefront of the industry in terms of each of the core indicators, namely net assets, net capital, operating revenue and net income. As one of the first 8 securities firms to be included in a pilot innovation program, the Company has leading product and service innovation capabilities in the industry.