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  1.     BOARD OF DIRECTORS   According to the articles of association of our company, the Board comprises 11 directors. The term of service for directors is three years, and directors are permitted to be re-elected. Independent non-executive directors may not serve for more than six consecutive years. Responsibilities of the Board include but are not limited to (i) executing shareholders’ resolutions and reporting shareholders’ meeting; (ii) making decision on operation plan, financial, capital and investment plan; (iii) determining internal management structure setting down fundamental management rules; (iv) appointing and discharging members of senior management, determining directors’ remuneration and distribution plan; and (v) taking responsibilities pursuant to relevant laws, regulations and the articles of association of our company.   Directors   Mr. JIAN Mingjun (菅明军), born in March 1963, has been the chairman of the Board and the executive director since August 2012, and has been the secretary of the party committee since November 2014. Mr. Jian joined our company in December 2007 as the deputy party secretary of our company, and served as our executive director and president from October 2008 to August 2012. Before joining our company, he used to be the vice chief officer of the planning office of our company during the period from October 2000 to October 2002. Mr. Jian has over 30 years experience in finance industry and served in various positions in governmental departments and institutions. Mr. Jian served in Comprehensive Plan Office of Ministry of Finance of the PRC (中国财政部综合计划司) from August 1985 to January 1987. Mr. Jian then served in Finance Department of Henan Province (河南省财政厅) from January 1987 to May 1997. Mr. Jian served as the standing vice president of ASIA (group) Accounting Firm (亚太会计集团) from May 1997 to June 2000. Mr. Jian was the director of General Office of Finance Department of Henan Province during the period from June 2000 to October 2000 and the period from October 2002 to December 2002. Mr. Jian was the chairman of State-owned Enterprises Supervisory Committee of the Henan Government (河南省政府省管国有企业监事会) from December 2002 to December 2007.   Mr. Jian is currently an alternate member of CPC Henan Provincial Committee(中共河南省委候补委员), a member of the standing committee of Henan Provincial Peoples Congress (河南省人民代表大会), a member of the Investment Bank Professional Committee under the Securities Association of China (中国证券业协会投资银行专业委员会), and the president of the Securities and Futures Association of Henan (河南省证券期货业协会). Mr. Jian was granted the honour title of model worker of Henan by Henan Government in April 2014 and was awarded as People of 2013 Henan Economic in January 2014. He was also chosen as the “Most Influential Enterprise Leader in Central China” for five consecutive years from 2009 by mainstream media in Henan. Mr. Jian was chosen as the “Most Influential Listed Company Leader” under 2015 China Securities Golden Bauhinia Awards by Ta Kung Pao and other media in Hong Kong in November 2015.   Mr. Jian graduated from Zhongnan University of Economics and Law (formerly known as Zhongnan University of Finance and Economics) (中南财经政法大学,前称中南财经大学) with a bachelors degree of economics majoring in public finance in July 1985. Mr. Jian was admitted exceptionally by Research Institute for Fiscal Science, Ministry of Finance (财政部财政科学研究所) to study public finance in September 1997 and obtained a doctoral degree of economics in July 2000. Mr. Jian has obtained senior accountant qualification granted by the Henan Government in July 2000 and the Provincial Excellent Expert granted by CPC Henan Province Committee (中共河南省委) and the Henan Government in May 2002 and the State Council Expert for Special Allowance granted by the State Council of the PRC in April 2015.     Mr. Wang Lixin (王立新), born in October 1966, has been a non-executive director of our company since September 2014. Mr. Wang has been the deputy general manager of Bohai Fund Management since June 2013. Mr. Wang held the positions of vice president of Beijing Representative Office at BOC International Holdings Limited, executive director and managing director of BOCI Securities Limited, and managing director of BOC International Holdings Limited between June 1998 and June 2013.   Mr. Wang graduated from Peking University with a bachelor’s degree in economics in July 1986 and obtained a master’s degree in economics from Peking University in January 1989.     Mr. ZHANG Qiang (张强), born in September 1963, has been a non-executive director of the company since August 2012.Mr. Zhang served as the deputy general manager of medium factory of Anyang Iron & Steel Co., Ltd. (安阳钢铁股份有限U乐国际) (the shares of which are listed on the Shanghai Stock Exchange, stock code is 600569) from August 1983 to March 2002, and the deputy general manager of the third steel mill of Anyang Iron & Steel Co., Ltd. from March 2002 to August 2005. Mr. Zhang worked in Anyang Iron& Steel Group as the deputy director of the planning department from August 2005 to April 2008 and has been the deputy division director of the strategy investment department of Anyang Iron & Steel Co., Ltd. since April 2008.   Mr. Zhang graduated from Northeastern University (formerly known as Northeastern Engineering College) (东北大学,前称东北工学院) majoring in pressurized metal process in July 1983. Mr. Zhang obtained the professional qualification of senior engineer from the Henan Government in December 1996.     Mr. ZHANG Xiaoqi (张笑齐), born in November 1985, has been a non-executive director of the company since September 2012. Mr. Zhang has been the deputy general manager of Beijing Maoyuan Capital Investment Management Co., Ltd since March 2014. Mr. Zhang was a researcher at the Shenzhen Stock Exchange Securities Information Co., Ltd. from December 2009 to August 2012, and served as a project manager of Beijing Maoyuan Capital Investment Management Co., Ltd. from September 2012 to February 2014, has been the vice general manager of Central China International Investment Company Limited from December 2015 to July 2016, and Mr. Zhang has been the general manager of Central China International Investment Company Limited since August 2016.   Mr. Zhang graduated from the Business School of University of Toronto, receiving a bachelor’s degree in commerce and majoring in commerce and finance and accounting (commerce and finance).     Mr. YU Zeyang (于泽阳), born in October 1969, has been a non-executive director of our company since November 2014. Mr. Yu has been the head of capital operation of China Pingmei Shenma Energy & Chemical Group Co., Ltd. (中国平煤神马能源化工集团有限责任U乐国际), general manager of Henan Zhongping Investment Co., Ltd. (河南中平投资有限U乐国际), supervisor of Pingdingshan Tianan Coal Mining Co., Ltd. (平顶山天安煤业股份有限U乐国际) (the shares of which are listed on the Shanghai Stock Exchange, stock code is 601666) and director of Henan Xindaxin Materials Co., Ltd. (河南新大新材料股份有限U乐国际) (the shares of which are listed on the Shenzhen Stock Exchange, stock code is 300080). During February 2005 to January 2011, Mr. Yu served as deputy head of secretariat of the board of directors of Pingdingshan Coal (Group) Co., Ltd. (平顶山煤业(集团)有限责任U乐国际), deputy chief of office of the board of directors of and deputy head of secretariat of general office of Pingdingshan Coal (Group) Co., Ltd. (平顶山煤业(集团)有限责任U乐国际), and head of secretariat of general office of China Pingmei Shenma Energy & Chemical Group Co., Ltd. (中国平煤神马能源化工集团有限责任U乐国际).   Mr. Yu graduated from Henan Polytechnic University (formerly known as Jiaozuo Mining institute) (河南工业大学,前称焦作矿业学院) with a bachelors degree in mining engineering in July 1992. He is currently a senior accountant.     Mr. YUAN Dejun (苑德军), born in December 1950, has been an independent non-executive director of our company since August 2012. Mr. Yuan taught in Harbin Finance University (formerly known as Harbin Finance Institution) (哈尔滨金融学院,前称哈尔滨金融高等专科学校) as an associate professor from September 1982 to January 1995, and taught in Tianjin University of Finance & Economics (天津财经大学) as a professor from February 1995 to October 2000. Mr. Yuan used to be the senior economist of China Galaxy Securities Co., Ltd. (中国银河证券股份有限U乐国际) (the shares of which are listed on the Hong Kong Stock Exchange, stock code is 6881) from November 2000 to January 2012. Mr. Yuan has been an independent non-executive director of Ningxia Qinglong Pipes Industry Co., Ltd. (宁夏青龙管业股份有限U乐国际) (the shares of which are listed on the Shenzhen Stock Exchange, stock code is 002457) since January 2014.   Mr. Yuan obtained his bachelors degree majoring in finance from Jilin University of Finance and Economics (formerly known as Jilin College of Finance and Economics) (吉林财经大学,前称吉林财经学院) in July 1982. He studied in Japans Nomura Securities Companies and Nomura Research Institute (日本野村证券U乐国际及野村综合研究所) and obtained an on-job graduation certificate in November 1985. Mr. Yuan obtained a doctoral degree of economics majoring in applied economics from Graduate School of Chinese Academy of Social Sciences (中国社会科学院研究生院) in June 2000.     Mr. YUEN Chi Wai (袁志伟), born in November 1975, has been an independent non-executive director of our company since June 2014. Mr. Yuen is experienced in auditing, corporate internal control and financial and risk management. Mr. Yuen used to work as an auditor in Charles Mar Fan & Co. (香港马炎璋会计师行) from February 1998 to April 2000, and an auditor in Arthur Andersen (安达信会计师事务所) from May 2000 to June 2002. Mr. Yuen worked in PricewaterhouseCoopers (Hong Kong) from July 2002 to August 2005 served consecutively as an auditor; and worked in Beijing branch and Shenzhen branch of PricewaterhouseCoopers from August 2005 to December 2009 served consecutively as an auditor. Mr. Yuen served as the chief financial officer and company secretary of Bolina Holding Co., Ltd. (航标控股有限U乐国际) (the shares of which are listed on the Hong Kong Stock Exchange, stock code is 1190) from May 2011 to May 2015  and has been its executive assistant from May 2015 to October 2015. Mr. Yuen also has been the managing director of Venture Executive Services Limited since August 2014.   Mr. Yuen graduated from the University of New South Wales with a bachelor’s degree majoring in commerce in April 1998. He was admitted as a fellow member of the Hong Kong Institute of Certified Public Accountants in March 2013 and a fellow member of Certified Public Accountants of Australia in July 2014.      Mr. NING Jincheng (宁金成), born in July 1956, has been an independent non-executive director of our company since March 2015. Mr. Ning is currently a professor of the law faculty, doctoral tutor and a university researcher of Zhengzhou University. Mr. Ning has worked in the areas of legal education and research and administrative management and accumulated extensive experiences in the legal sector after graduated from Zhengzhou University with a bachelor’s degree in economics in June 1982. Mr. Ning also obtained a PhD degree in law (civil law and business law) from Macau University of Science and Technology in January 2005 and completed the training course for senior management of listed companies organized by the Shenzhen Stock Exchange in August 2012. Mr. Ning has been an independent director of Zhengzhou Coal Industry and Electric Power Co., Ltd. (the shares of which are listed on the Shenzhen Stock Exchange, stock code is 600121) since June 2014.   Mr. YU Xugang (于绪刚), born in June, 1968, has been an independent non-executive director of our company since December 2015. Mr. Yu was a partner at Beijing Dacheng Law Offices, LLP from August 2001 to December 2003 and a senior partner at Beijing Dacheng Law Offices, LLP from January 2004 to the present. Mr. Yu acted as an assistant judge at Baoding City Intermediate People's Court, Hebei Province from August 1990 to July 1995 and an independent director of Inner Mongolia Baotou Steel Union Co Ltd (the shares of which are listed on the Shanghai Stock Exchange, Stock Code is 600010), from August 2009 to August 2015.   Mr. Yu obtained a bachelor's degree in law from the China University of Political Science and Law in July 1990, a master's degree in law from the Peking University in July 1998 and a doctoral degree in law from the Peking University in July 2001.        
  2. SUPERVISORY COMMITTEE   The Supervisory Committee comprises nine members. The term of service for each supervisor is three years, and supervisors are permitted to be re-elected. The responsibilities of the Supervisory Committee include but are not limited to (i) reviewing and verifying financial reports and profit distribution plans prepared by the Board and monitoring our financial activities; (ii) appointing certified public accountants and practicing auditors to re-examine our company’s financial information when necessary; (iii) requesting the directors, the president and members of the senior management of our company to rectify any actions which prejudice against the interests of our company; and (iv) exercising other powers, functions and duties as conferred by the articles of association of our company.   Supervisors   Mr. LU Zhili (鲁智礼), born in November 1966, has been the chairman of the supervisory committee of our company since September 2015. Mr. Lu joined our company since its incorporation in November 2002 and served as vice president from November 2002 to March 2013, and the standing vice president of our company from March 2013 to September 2015. Mr. Lu has been the director of Central China Futures since March 2008. Before joining our company, Mr. Lu worked consecutively as the manager of the securities issuance department, assistant to the general manager and chairman of the research department of Henan Securities from September 1992 to November 2002.   Mr. Lu obtained a bachelor’s degree majoring in physics from Henan Normal University in July 1989. He obtained a master’s degree in economics majoring in national economics from Shanghai University of Finance and Economics in February 2001. The government of Henan province granted the qualification of senior economist to Mr. Lu in March 2002.   Mr. WANG Jinchang (王金昌), born in January 1974, has been a shareholder representative supervisor of our company since September 2015. Mr. Wang worked in Zhengzhou Trust Investment Company from July 1997 to June 2001; Henan Province Construction Investment Company from June 2001 to August 2004; worked as chief accountant of Henan Xuchang Xinlong Mining Co., Ltd. from August 2004 to February 2006; supervisor of the developmental planning department of Henan Province Construction Investment Company from February 2006 to October 2007; deputy supervisor of developmental planning department of Henan Investment Group from October 2007 to June 2008; deputy general manager and financial controller of Henan Ancai Hi-Tech Co., Ltd. (the shares of which are listed on the Shanghai Stock Exchange, stock code is 600207) from June 2008 to April 2010; director of general manager’s office of Henan Investment Group from April 2010 to July 2010 and since then, Mr. Wang worked as supervisor of the department of disciplinary supervision of Henan Investment Group.   Mr. Wang graduated from Henan University of Economics and Law (formerly known as Henan College of Finance and Economics), and was awarded a bachelor’s degree majoring in finance in June 1997. He graduated from Wuhan University with a master’s degree majoring in finance in December 2005. He graduated from Central South University, majoring in management science and engineering in January 2014, and received a doctoral degree in management science in June 2014. Mr. Wang was granted the qualification of senior accountant by the government of Henan province in November 2005.   Mr. YAN Changkuan (闫长宽), born in December 1963, has been a shareholder representative supervisor of our company since June 2006. Mr. Yan served as the assistant to the director of finance department and the deputy director of finance department of Anyang Iron & Steel Group from March 1996 to March 2002. He was the secretary to the board of directors and the head of the securities department of Anyang Iron & Steel Co., Ltd. (the shares of which are listed on the Shanghai Stock Exchange, stock code is 600569) from April 2002 to April 2006. Mr. Yan served as the director of the finance department of Anyang Iron & Steel Group from May 2006 to August 2011 and a director of the board of Anyang Iron & Steel Co., Ltd. from November 2009 to November 2012. Mr. Yan was the director of the finance department and the chief accountant of Anyang Iron & Steel Group from August 2011 to December 2013, and since then, Mr. Yan has served as the chief accountant of Anyang Iron & Steel Group.   Mr. Yan graduated from Henan Industrial School (formerly known as Henan Metallurgy Industrial School) majoring in industrial accounting in July 1982. Mr. Yan graduated from Party School of Henan Province majoring in economic management in December 1996. Mr. Yan obtained senior accountant qualification and senior accountant of professor class qualification granted by the government of Henan province in December 1997 and September 2012, respectively.   Mr. XIE Junsheng (谢俊生), born in March 1967, has been a shareholder representative supervisor of our company since October 2016. Mr. Xie served financial and economics related duties of the Inspection Section of the Treasury Bureau of Anyang City (安阳市财政局监察科) from September 1989 to June 1994. He worked as the deputy manager for Anyang City Treasury and Securities Company (安阳市财政证券U乐国际) from July 1994 to December 2002 and the deputy general manager in Anyang Economic Technology Development Co., Ltd. (安阳市经济技术开发U乐国际) from December 2002 to October 2010. He has been the deputy general manager of Anyang Economic Development Group Co., Ltd. (安阳经济开发集团有限U乐国际) since October 2010.   Mr. Xie graduated from the department of agricultural economics of the Zhongnan University of Economics and Law (中南财经政法大学) (formerly known as the Zhongnan University of Economics (中南财经大学)) majoring in agricultural economics and obtained a bachelors degree in economics in July 1989. Mr. Xie was granted the qualification of senior accountant by the government of Henan province in April 2002.   Ms. XIANG Siying (项思英), born in March 1963, has been an independent supervisor of our company since September 2015. Ms. Xiang has served as officer of the general office of the rural management and administration and the foreign economic office in the Ministry of Agriculture of China from September 1988 to July 1991, investment analyst of the International Finance Corporation China Office from May 1993 to August 1996, investment officer in the East Asia and Pacific Branch and Global Manufacturing and Consumer Service Branch of International Finance Corporation in Washington D.C. from August 1996 to March 2004, the executive general manager of the direct investment division and the investment banking division of China International Finance Corporation from March 2004 to June 2010, executive director of CDH Investments from June 2010 to March 2016 and advisor of CDH Investments since March 2016.   Ms. Xiang graduated from China Agricultural University (formerly known as Beijing Agricultural University) with a bachelor’s degree in agriculture in July 1986. Ms. Xiang graduated from Zhongnan University of Economics and Law (formerly known as Zhongnan University of Finance and Economics) as a postgraduate majoring in finance in July 1988. She obtained a master’s degree in economics from the Research Institute for Fiscal Science, Ministry of Finance of China in June 1989 and received a master’s degree in business administration from London Business School in July 1999.   Mr. XIA Xiaoning (夏晓宁), born in April 1960, has been an independent supervisor of the company since May 2016. Mr Xia has been the senior consultant to Vision Finance Group Limited since September 2012, and the independent non-executive director of China Medical & HealthCare Group Limited (which shares are listed on the Hong Kong Stock Exchange, stock code: 383) since December 2016. From March 1989 to March 1995, Mr. Xia served for Asian Development Bank with his last position as investment officer. From April 1995 to September 2008, he worked for AIF Capital Limited (“AIF”), and his last position with AIF was senior partner/managing director. From December 2008 to September 2012, he was the CEO of CITP Advisors (Hong Kong) Limited.   Mr. Xia graduated from the Department of Electrical Engineering of Harbin Institute of Technology with a bachelor’s degree of electric engineering majoring in electric measurement control and instrument in January 1982.   Ms. WANG Jing (王静), born in August 1968, has been an employee representative supervisor of our company since September 2015. Ms. Wang worked as officer in the Zhengzhou Branch of Peoples Bank of China (郑州市人民银行) (now known as Zhengzhou central Sub-branch of the Peoples Bank of China (中国人民银行郑州中心支行)) from April 1990 to April 1992; deputy general manager and general manager of the branch of Henan Securities Co., Ltd. (河南证券有限责任U乐国际) (Henan Securities) from April 1992 to November 2002; general manager of the branch of our company from November 2002 to March 2013; departmental general manager of Customer Service Headquarter of our company from March 2013 to March 2015; departmental general manager of the Brokerage Business Headquarter from March 2015 to August 2017, since then, Ms. Wang works as general manager of Sanmenxia Branch Office of our company.   Ms. Wang graduated from HeNan Radio & Television University in November 1991, majoring in auditing. Ms. Wang also graduated from Party School of Henan Province (河南省委党校) in April 1997, majoring in economics management.   Mr. HAN Junyang (韩军阳), born in January 1970, has been an employee representative supervisor of our company since September 2015. Mr. Han worked as department manager of the Computer Division in Shenzhen branch of Henan Securities from July 1993 to May 1997; deputy manager of the administrative region branch of Henan Securities from May 1997 to September 1999; department head of Computer Centre of Henan Securities from September 1999 to November 2002; deputy general manager of Information Technology Headquarter of our company from November 2002 to August 2003; worked in the Brokerage Business Headquarter from August 2003 to March 2005; general manager of Hangzhou branch of our company from March 2005 to December 2008; departmental manager of Information Technology Headquarter from December 2008 to August 2017, and since then, Mr. Han works as departmental general manager of the Brokerage Business Headquarter and the Internet Finance Headquarter of our company.     Mr. Han graduated from Zhengzhou University in July 1993, and was awarded a bachelor’s degree in computer and application.   Ms. ZHANG Lu(张露), born in March 1969, has been serving as the general manager of the Head Office of Integrated Management of Investment Banking of the Company since March 2017. Ms. Zhang was an officer and then deputy general manager in the Jingliu Road Securities Business Office* (經六路證券營業部) of Henan Securities Co., Ltd.* (河南證券有限責任U乐国际) from May 1993 to November 2002. She worked as an officer and the deputy general manager in the Head Office of Compliance Management (Legal affairs) of the Company from November 2002 to December 2013. She served as a deputy principal and principal in the Office of the Board of the Company from December 2013 to March 2017. She concurrently served as the chairman of the supervisory committee of Central China Blue Ocean Investment Management Company Limited* (中州藍海投資管理有限U乐国际) since March 2015.   Ms. Zhang graduated from Zhengzhou University in June 1996 with a bachelor’s degree in law specialising in Economic Law, and obtained a master’s degree in law specialising in Civil and Commercial Law from Zhengzhou University in June 2008.      
  3. SENIOR MANAGEMENT   Mr. ZHU Jianmin (朱建民), born in February 1963, has been a vice president of our company since August 2007. Mr. Zhu joined our company since its incorporation in November 2002 and served consecutively as the director of president’s office, general manager of the brokerage department, and assistant to the president from November 2002 to August 2007. Prior to that, Mr. Zhu served as the chief officer of the planning office of our company from January 2001 to November 2002. Before joining our company, Mr. Zhu worked in Henan Securities and served consecutively as the deputy manager of the issuance department, manager of Funiu Road Branch, director of Beijing office, manager of the brokerage management department, and general manager of the operation department of Shangqiu branch from October 1993 to January 2001. Mr. Zhu is currently a member of the Professional Committee of Securities Brokerage of SAC and the executive vice president of the Securities and Futures Association of Henan Province.   Mr. Zhu obtained a bachelor’s degree majoring in thermal power from Xi’an Jiaotong University (西安交通大学) in July 1984. In July 2010, Mr. Zhu obtained an Executive MBA degree from Fudan University (复旦大学). The Henan government granted the qualification of senior economist to Mr. Zhu in May 2003.     Ms. ZHU Junhong (朱军红), born in July 1969, has been a vice president, chief financial officer and chief accountant of our company since August 2012. Ms. Zhu joined our company since its incorporation in November 2002, and served consecutively as assistant to the president, principal officer of finance department and chief accountant and chief financial officer from November 2002 to August 2012. Before joining our company, Ms. Zhu worked in Henan Finance and Securities Company (河南财政证券U乐国际) as the chief accounting officer, deputy manager and manager of planning and finance department, the chief accountant and the general manager of the planning and finance department from November 1993 to November 2002. Ms. Zhu is currently a member of the Financial Accounting and Risk Control Committee of the SAC.   Ms. Zhu obtained a bachelor’s degree of economics majoring in public finance from Henan University of Economics and Law (formerly known as Henan Institute of Finance) (河南财经政法大学,前称河南财经学院) in November 1991. Thereafter she obtained an Executive MBA degree from Fudan University in June 2011. The Henan government granted Ms. Zhu the qualification of senior accountant of professor class in March 2012.     Mr. XU Haijun (徐海军), born in August 1970, has been the secretariat to the Board of our company since July 2014, and has been a vice president of our company since September 2016. Mr. Xu joined our company since its incorporation in November 2002, and served consecutively as the general manager of Shangqiu branch, general manager of Sanmenxia branch, general manager of the IT department, general manager of the legal and compliance department, director of the Board office and chief compliance officer from November 2002 to December 2015. Before joining our company, Mr. Xu worked in Henan Securities as the manager of the IT department of Shanghai business department, deputy manager of Zhengzhou Huayuan Road branch, manager of Zijinshan branch, assistant to general manager and general manager of the Shenzhen branch consecutively from July 1993 to December 2000.   Mr. Xu obtained a bachelor’s degree of engineering majoring in computer and applications from Zhengzhou University (郑州大学) in June 1993. The Ministry of Electronics Industry of the PRC granted the qualification of senior programmer of computer applications to Mr. Xu in October 1996. He also passed the Exam on Compliance Management Capability of Securities Companies (证券U乐国际合规管理人员胜任能力考试) in October 2008.     Ms. XIE Xuezhu (谢雪竹), born in April 1970, has been the chief compliance officer of our company since December 2015, and has been a vice president of our company since September 2016. Ms. Xie joined our company since its incorporation in November 2002 and served consecutively as the director of the supervision office, deputy manager of the brokerage department, general manager of Zhengzhou Shangcheng Road branch, director of the general office, secretariat to the Board, director of the Board office, chief risk officer and general manager of the legal and compliance department from November 2002 to December 2015. Ms. Xie has been a supervisor of Ashmore-CCSC Fund Management since January 2013, director of ZDKY Venture Capital since April 2013, and chairman of the supervisory committee of ZZKY Venture Capital since November 2013. Before joining our company, Ms. Xie worked in Henan Finance and Securities Company from July 1993 to November 2002, where she served consecutively as a trader and the secretary to the general manager.   Ms. Xie obtained a bachelor’s degree of economics majoring in public finance and specialised management of state-owned assets from Jiangxi University of Finance (formerly known as Jiangxi Finance College) (江西财经大学,前称江西财经学院) in July 1993, and a master’s degree of economics majoring in political economics from Renmin University of China in January 2007. The Office of Personnel of Henan Province (河南省人事厅) granted the qualification of corporate legal consultant to Ms. Xie in October 2000. She also passed the Exam on Compliance Management Capability of Securities Companies (证券U乐国际合规管理人员胜任能力考试) in May 2015.     Mr. ZHAO Lifeng (赵丽峰), born in February 1972, has been the vice president of our company since August 2012. Mr. Zhao joined our company in May 2004 and served consecutively as the deputy general manager and general manager of the investment banking department, employee representative Supervisor and assistant to the president and general manager of the investment banking department of our company from May 2004 to August 2012. Before he joined our company, from July 1997 to April 2004 Mr. Zhao worked in the CITIC Securities Co., Ltd. and served consecutively as senior manager of investment banking department (Nanjing), assistant to general manager and project leader of investment banking department.   Mr. Zhao obtained a Bachelor of Economics degree majoring in investment economic management from Wuhan University (武汉大学) in July 1993 and a Master of Economics degree majoring in finance from Peking University in January 2003, and a Master of Business Administration (International) degree from the University of Hong Kong in December 2006. The SAC granted the professional qualification of sponsor representative to Mr. Zhao in April 2004.       Mr. ZHU Qiben (朱启本), born in July 1964, has been the chief risk officer since December 2015. Mr. Zhu joined our company since its incorporation in November 2002 and served consecutively as the vice general manager and the general manager of the human resources management department, assistant to the President, director of the supervision office and chief audit officer from November 2002 to December 2015. Before he joined our company, Mr. Zhu was the project manager of the investment banking department and the assistant to director of general office of Henan Securities from July 1998 to November 2002.   Mr. Zhu obtained his bachelor’s degree of science majoring in mathematics from Henan University (河南大学) in July 1988 and obtained his master’s degree of economics majoring in industrial economics and enterprise management from Sichuan Academy of Science (四川省社会科学院) in July 1998.      
  4. Mr. XU Haijun, serves as one of the joint company secretaries of our Company. Please

    see his biography under the sub-section headed “Senior Management” for further details.

    Ms. KWONG Yin Ping, Yvonne (鄺燕萍), aged 58, one of the joint company secretaries

    of our Company. Ms. Kwong obtained a higher diploma in company secretaryship and

    administration from Hong Kong Polytechnic (香港理工學院) in November 1979 and a bachelor

    of arts in accountancy from the Hong Kong Polytechnic University (香港理工大學) in November

    1997. She works as vice president in a professional corporate services company which is engaged

    in providing secretarial and compliance services for listed companies. She is also a fellow of the

    Hong Kong Institute of Chartered Secretaries and the Institute of Chartered Secretaries and

    Administrators of the United Kingdom. She has extensive experience in providing company

    secretarial services for numerous private and listed companies. She serves as company secretary

    of the companies listed in the Hong Kong Stock Exchange, including Chengdu Putian

    Telecommunications Cable Company Limited (Stock code: 1202) and HC International, Inc.

    (Stock Code: 8292), and joint company secretary of China Tianrui Group Cement Company

    Limited (Stock Code: 1252), IGG Inc (Stock Code: 8002), Hengshi Mining Investments Limited

    (Stock Code: 1370) and Qinhuangdao Port Co., Ltd. (Stock Code: 3369).

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