Guotai Junan Securities : Announcement on the Key Financial Information for September 2019

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.

GUOTAI JUNAN SECURITIES CO., LTD.

國泰君安証券股份有限公司

(A joint stock limited company incorporated in the People's Republic of China

with limited liability)

(Stock Code: 02611)

Announcement on the Key Financial Information for September 2019

This announcement is made by Guotai Junan Securities Co., Ltd. (the "Company") pursuant to the Inside Information Provisions (as defined under the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the "Listing Rules")) under Part XIVA of the Securities and Futures Ordinance (Cap. 571, Laws of Hong Kong) and Rule 13.09(2) of the Listing Rules.

Pursuant to the requirements of the Rules on Strengthening the Supervision and Administration of Listed Securities Companies 《( 關於加強上市證券公司監管的規定》) (as amended in 2010)

promulgated by the China Securities Regulatory Commission, the key financial information of the Company for September 2019 prepared in accordance with the China Accounting Standards for Business Enterprises is hereby disclosed.

Your attention is drawn to the following:

1. Scope of disclosure: including the Company and its two securities subsidiaries, namely, Shanghai Securities Co., Ltd. ("Shanghai Securities") and Guotai Junan Securities Asset Management Co., Ltd. ("Guotai Junan Asset Management");
2. The figures disclosed are unaudited and unconsolidated, and the finalized figures shall be those disclosed in the periodic reports of the Company.

1

Table of Key Financial Information for September 2019 of the Company, Shanghai Securities and Guotai Junan Asset Management (unaudited)

Unit: RMB in ten thousands

				As at
	September 2019		30 September 2019
Name of Company	Operating Revenue		Net Profit	Net Asset
The Company	126,593.90		50,198.31	12,463,216.82
Shanghai Securities	9,200.76		1,503.22	723,873.66
Guotai Junan Asset Management	18,042.51		4,102.82	489,246.29

By order of the Board

Guotai Junan Securities Co., Ltd.

WANG Song

Vice Chairman

Shanghai, the PRC

14 October 2019

As at the date of this announcement, the executive directors of the Company are Mr. WANG Song and Mr. YU Jian; the non-executive directors of the Company are Mr. FU Fan, Ms. GUAN Wei, Mr. ZHOU Lei, Mr. ZHONG Maojun, Mr. WANG Wenjie, Mr. LIN Facheng and Mr. ZHOU Hao; and the independent non-executive directors of the Company are Mr. XIA Dawei, Mr. SHI Derong, Mr. CHEN Guogang, Mr. LING Tao, Mr. JIN Qingjun and Mr. Lee Conway Kong Wai.

2