Orient Securities : THE THIRD QUARTERLY REPORT FOR THE YEAR 2019

Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited and Hong Kong Securities Clearing Company 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.

(A joint stock company incorporated in the People's Republic of China with limited liability under the Chinese corporate name "東方證券股份有限公司" and carrying on business

in Hong Kong as "東方證券" (in Chinese) and "DFZQ" (in English))

(Stock Code: 03958)

THE THIRD QUARTERLY REPORT FOR THE YEAR 2019

The board (the "Board") of directors (the "Directors") of 東方證券股份有限公司 (the "Company") is pleased to announce the unaudited results of the Company and its subsidiaries for the third quarter ended September 30, 2019, prepared in accordance with General Accepted Accounting Principles of the People's Republic of China. This announcement is made pursuant to the Inside Information Provisions (as defined in The Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the "Hong Kong Stock Exchange") (the "Listing Rules")) under Part XIVA of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) and Rules 13.09(2) and 13.10B of the Listing Rules.

This announcement contains the Chinese original version and English translation of the "The Third Quarterly Report for the Year 2019 of Orient Securities Company Limited" as published on the website of the Shanghai Stock Exchange, and is provided for your reference only. In case of discrepancy between the Chinese version and the English version, the Chinese version shall prevail.

By order of the Board of Directors

PAN Xinjun

Chairman

Shanghai, PRC

October 30, 2019

As at the date of this announcement, the Board of Directors comprises Mr. PAN Xinjun and Mr. JIN Wenzhong as executive Directors; Mr. LIU Wei, Mr. WU Junhao, Mr. CHEN Bin, Mr. LI Xiang, Ms. XIA Jinghan, Mr. XU Jianguo and Mr. DU Weihua as non-executive Directors; and Mr. XU Guoxiang, Mr. TAO Xiuming, Mr. WEI Anning, Mr. XU Zhiming and Mr. JIN Qinglu as independent non-executive Directors.

- 1 -

Orient Securities Company Limited

The Third Quarterly Report for the Year 2019

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CONTENTS
I.	IMPORTANT NOTICE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	4
II.	COMPANY PROFILE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	5
III.	MATERIAL EVENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	9
IV.	APPENDICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .	12

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1. IMPORTANT NOTICE
2. 1. The Board, the supervisory committee of the Company and its Directors, supervisors and senior management warrant that the information contained herein is true, accurate and complete and there are no false representations, misleading statements contained in or material omissions from this quarterly report, for which they will assume joint and several liabilities.
   2. Information of the absent Director.

Name of	Position of	Reason for
absent Director	absent Director	being absent	Name of proxy
Wu Junhao	Non-executive	official affairs	Liu Wei
	Director
Li Xiang	Non-executive	official affairs	Pan Xinjun
	Director

This report has been considered and approved at the 15th meeting of the fourth session of the Board and the tenth meeting of the fourth session of the supervisory committee of the Company. Mr. Wu Junhao and Mr. Li Xiang, both being non-executive Directors, were unable to attend the Board meeting in person due to official affairs, and had appointed Mr. Liu Wei, a non-executive Director, and Mr. Pan Xinjun, an executive Director, respectively, to vote on their behalves. No objection from the Directors or supervisors of the Company was raised to this report.

1. The person-in-charge of the Company, Mr. Pan Xinjun, the accounting chief, Mr. Zhang Jianhui and person-in-charge of the accounting department (head of the accounting department), Mr. You Wenjie, warrant the truthfulness, accuracy and completeness of the financial statements set out in this quarterly report.
2. This third quarterly report of the Company was unaudited.

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1. COMPANY PROFILE

2.1	Key financial information
			Unit: Yuan Currency: RMB
				Increase/decrease
				recorded at the end
				of this reporting period
				as compared with
		At the end of	At the end of	the end of
		this reporting period	the previous year	the previous year (%)
	Total assets	255,474,924,123.33	226,869,672,192.01	12.61
	Net assets attributable to the
	shareholders of the Company	53,267,863,724.44	51,739,478,771.67	2.95
			From the beginning
			of the previous year
		From the beginning	to the end	Increase/decrease
		of the year to the end	of the reporting period	as compared with
		of this reporting period	of the previous year	the corresponding period
		(January - September)	(January - September)	of the previous year (%)
	Net cash flows from operating activities	12,286,006,071.57	7,782,866,397.90	57.86
			From the beginning
			of the previous year
		From the beginning	to the end	Increase/decrease
		of the year to the end	of the reporting period	as compared with
		of this reporting period	of the previous year	the corresponding period
		(January - September)	(January - September)	of the previous year (%)
	Operating income	13,607,480,201.38	6,565,693,526.21	107.25
	Net profit attributable to the
	shareholders of the Company	1,741,410,722.22	903,852,606.34	92.67
	Net profit attributable to the
	shareholders of the Company
	after deducting non-recurring
	profit or loss	1,670,962,223.75	834,440,004.99	100.25
	Weighted average returns on			Increased by
	net assets (%)	3.31	1.74	1.57 percentage points
	Basic earnings per share (RMB/Share)	0.25	0.13	92.31
	Diluted earnings per share
	(RMB/Share)	N/A	N/A	N/A

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Non-recurring items and amounts
✓Applicable □Not Applicable
		Unit: Yuan Currency: RMB
		From the beginning
		of the year
	Amounts for	to the end
	this period	of this reporting period
Items	(July - September)	(January - September)	Remarks
Gains or losses from disposals of	-325,004.00	-1,472,433.57
non-current assets
Government grants recognized in	1,744,313.80	142,470,186.39	Financial support
current profit or loss, excluding
those closely related to
the Company's normal operations
and granted on an ongoing basis
under the State's policies
according to certain quota of
amount or volume
Other non-operating income and	-1,842,625.64	-47,066,421.52
expenses except items above
Effect of non-controlling interests
(after tax)
Effect of income tax	105,828.95	-23,482,832.83
Total	-317,486.89	70,448,498.47

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2.2 The table below sets out the total number of shareholders, and the shareholding of the top ten shareholders and the top ten shareholders of circulating shares (or shareholders not subject to restriction on sales) as at the end of the reporting period

						Unit: Share
Total number of shareholders (accounts)						141,581
	Shareholding of the top ten shareholders
	Number of
	shares held
	as at the end of		Number of
	the reporting	Percentage	restricted			Nature of
Name of shareholders (Full name)	period	(%)	shares held	Pledged or frozen	shareholders
				Status of	Number of
				shares	shares
Shenergy (Group) Company Limited	1,767,522,422	25.27	230,000,000	Nil	-	State-owned
						legal person
Hong Kong Securities Clearing Company	1,026,967,580	14.68	-	Nil	-	Foreign legal
Nominees Limited						person
Shanghai Haiyan Investment Management	345,486,596	4.94	59,215,263	Nil	-	State-owned
Company Limited						legal person
Shanghai United Media Group	242,977,306	3.47	-	Nil	-	State-owned
						legal person
China Securities Finance Corporation	209,110,425	2.99	-	Nil	-	Unknown
Limited
Zheneng Capital Holdings Limited	208,700,000	2.98	-	Nil	-	State-owned
( 浙能資本控股有限公司)						legal person
Shanghai Electric (Group) Corporation	181,367,059	2.59	-	Nil	-	State-owned
						legal person
China Post Group Corporation	178,743,236	2.56	-	Nil	-	State-owned
						legal person
Shanghai Jinqiao Export Processing Zone	138,661,386	1.98	-	Nil	-	Domestic non-
Development Co., Ltd.						state-owned
( 上海金橋出口加工區開發股份						legal person
有限公司)
Shanghai Construction Group Co., Ltd.	133,523,008	1.91	-	Nil	-	State-owned
						legal person

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			Unit: Share
Shareholding of the top ten shareholders of non-restricted shares
	Number of
	circulating
	non-restricted
Name of shareholders	shares held	Type and number of shares
		Type	Number
Shenergy (Group) Company Limited	1,537,522,422	RMB ordinary	1,537,522,422
		shares
Hong Kong Securities Clearing Company	1,026,967,580	Overseas listed	1,026,967,580
Nominees Limited		foreign shares
Shanghai Haiyan Investment Management	286,271,333	RMB ordinary	286,271,333
Company Limited		shares
Shanghai United Media Group	242,977,306	RMB ordinary	242,977,306
		shares
China Securities Finance Corporation Limited	209,110,425	RMB ordinary	209,110,425
		shares
Zheneng Capital Holdings Limited	208,700,000	RMB ordinary	208,700,000
( 浙能資本控股有限公司)		shares
Shanghai Electric (Group) Corporation	181,367,059	RMB ordinary	181,367,059
		shares
China Post Group Corporation	178,743,236	RMB ordinary	178,743,236
		shares
Shanghai Jinqiao Export Processing	138,661,386	RMB ordinary	138,661,386
Zone Development Co., Ltd.		shares
( 上海金橋出口加工區開發股份
有限公司)
Shanghai Construction Group Co., Ltd.	133,523,008	RMB ordinary	133,523,008
		shares
Related party relationship or parties acting		N/A
in concert among above shareholders

2.3 The table below sets out the total number of preferred shareholders, and shareholding of top ten preferred shareholders and top ten preferred shareholders not subject to restriction on sales as at the end of the reporting period

□Applicable ✓Not Applicable

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1. MATERIAL EVENTS

3.1 Material changes in major accounting statement items and financial indicators of the Company and the reasons for such changes

✓Applicable □Not Applicable

			Unit: Yuan Currency: RMB
			Increase/
Items	September 30, 2019	December 31, 2018	Decrease (%)	Reasons
Clearing settlement funds	12,382,558,071.73	9,354,271,913.15	32.37	Mainly due to increase in
				clearing settlement funds
				held on behalf of
				customers
Derivative financial assets	1,152,352,988.37	318,489,770.02	261.82	Increase in the assets
				arising from change
				in the fair value of
				derivatives
Deposits with exchanges and	1,366,716,031.68	1,025,365,312.99	33.29	Mainly due to increase in
financial institutions				futures deposits with
				exchanges and financial
				institutions
Receivables	1,109,875,942.99	668,408,173.00	66.05	Mainly due to increase in
				settlement receivables
Investment properties	27,248,931.93	0.00	N/A	New property for rent
				during the current period
Right-of-use assets	811,559,238.82	0.00	N/A	New item of New Standards
				on Leases
Transactional financial liabilities	10,834,554,237.36	6,834,381,107.58	58.53	Mainly due to increase in
				scale of short selling
				precious metal
Derivative financial liabilities	2,524,765,532.82	905,808,582.67	178.73	Mainly due to increase in
				commodity options
Taxes payable	208,057,662.52	512,215,891.61	-59.38	Mainly due to the decrease
				in the payable corporate
				income tax

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			Unit: Yuan Currency: RMB
			Increase/
Items	September 30, 2019	December 31, 2018	Decrease (%)	Reasons
Payables	768,461,090.77	411,623,883.69	86.69	Mainly due to increase in
				settlement payables
Contract liabilities	414,302,564.65	134,896,905.67	207.13	Increase in advance
				receivables of
				subsidiaries
Lease liabilities	796,665,640.57	0.00	N/A	New item of New Standards
				on Leases
Other liabilities	2,023,404,117.37	933,459,911.25	116.76	Mainly due to newly added
				payables to subsidiaries
				for shareholding
				acquisition during
				the current period
Other comprehensive income	312,649,729.45	-198,814,876.12	N/A	Mainly due to increase in
				changes in the fair value
				of other equity
				investment
Non-controlling interests	45,943,804.17	532,973,568.46	-91.38	Due to proposed acquisition
				of non-controlling
				interests of subsidiaries

- 10 -

			Unit: Yuan Currency: RMB
	January - September	January - September	Increase/
Items	2019	2018	Decrease (%)	Reasons
Gains from changes in fair value	1,054,307,774.97	-1,912,341,712.23	N/A	Mainly due to increase in
				changes in the fair value
				of transactional financial
				assets
Other business income	6,574,628,469.28	1,903,608,734.90	245.38	Increase in sales income
				from subsidiaries' bulk
				commodity trading
Gains from disposal of assets	-159,453.79	-20,225.15	N/A	Increase in losses from
				disposal of fixed assets
Credit impairment loss	932,909,204.82	95,936,163.22	872.43	Increase in impairment
				provision for
				collateralized stock
				repurchase business
Other business cost	6,561,038,914.13	1,874,891,037.07	249.94	Increase of cost of
				sales of bulk commodity
				by subsidiaries
Non-operating expenses	49,629,368.16	24,208,109.90	105.01	Increase in donations
Income tax expenses	287,919,897.18	44,524,214.04	546.66	Increase in taxable profit
Other comprehensive income after	486,339,810.85	-269,139,742.12	N/A	Mainly due to increase in
tax, net				fair value of other equity
				investment
Basic earnings per share (RMB/Share)	0.25	0.13	92.31	Due to increase of
				net profit

1. Analysis and description on the updates, impacts and solutions of material events
2. • Applicable ✓Not Applicable
3. Undertakings that have not yet been duly fulfilled during the reporting period
4. • Applicable ✓Not Applicable
5. Profit warning and explanation of expected accumulated net loss from the beginning of the year to the end of the next reporting period or material changes over the corresponding period of previous year
6. • Applicable ✓Not Applicable

Name of the Company	ORIENT SECURITIES COMPANY LIMITED
Legal representative	Pan Xinjun
Date	October 30, 2019

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IV. APPENDICES

4.1 Financial Statements

Consolidated Balance Sheet

September 30, 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED
Unit: Yuan	Currency: RMB Type of audit: Unaudited
Items	September 30, 2019	December 31, 2018
Assets:
Cash and bank balances	44,752,529,959.38	36,764,638,747.42
Of which: Deposits held on behalf of customers	26,271,356,382.88	24,261,678,724.08
Clearing settlement funds	12,382,558,071.73	9,354,271,913.15
Of which: Settlement funds held on behalf of customers	10,436,892,991.39	8,088,285,022.76
Precious metal
Placements to banks and other financial institutions
Advance to customers	11,560,179,481.95	10,276,754,601.78
Derivative financial assets	1,152,352,988.37	318,489,770.02
Deposits with exchanges and financial institutions	1,366,716,031.68	1,025,365,312.99
Receivables	1,109,875,942.99	668,408,173.00
Receivables financing
Contract assets
Financial assets acquired under resale agreements	23,643,147,326.44	28,168,583,870.31
Assets classified as held for sale
Financial investment:
Financial assets at fair value through profit or loss
Transactional financial assets	64,716,347,065.76	52,035,346,966.07
Debt investment	7,577,860,344.28	7,912,596,426.86
Available-for-sale financial assets
Other debt investment	67,062,729,573.24	62,209,435,525.79
Other equity investment	10,037,429,104.63	9,316,262,245.09
Held-to-maturity investments
Long-term equity investments	4,540,775,462.43	4,015,263,310.81
Investment properties	27,248,931.93
Fixed assets	2,027,925,112.55	2,087,594,008.99
Construction in progress	65,013,228.65	61,063,777.16
Right-of-use assets	811,559,238.82
Intangible assets	128,622,924.56	132,340,289.10
Goodwill	32,135,375.10	32,135,375.10
Deferred income tax assets	774,533,630.48	895,831,976.04
Other assets	1,705,384,328.36	1,595,289,902.33
Total assets	255,474,924,123.33	226,869,672,192.01

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Unit: Yuan	Currency: RMB Type of audit: Unaudited
Items	September 30, 2019	December 31, 2018
Liabilities:
Short-term borrowings	1,189,915,427.58	1,653,161,748.21
Short-term financial bills payable	15,179,315,139.92	12,411,606,074.75
Due to banks and other financial institutions	8,015,349,583.34	11,027,067,361.01
Transactional financial liabilities	10,834,554,237.36	6,834,381,107.58
Financial liabilities at fair value through profit or loss
Derivative financial liabilities	2,524,765,532.82	905,808,582.67
Financial assets sold under repurchase agreements	61,569,946,193.56	49,415,676,665.10
Account payable to brokerage clients	36,015,908,058.87	32,059,064,690.02
Funds payable to securities issuers
Accrued staff costs	1,186,768,599.44	1,249,288,730.97
Taxes payable	208,057,662.52	512,215,891.61
Payables	768,461,090.77	411,623,883.69
Contract liability	414,302,564.65	134,896,905.67
Held-for-sale liabilities
Provision
Long-term borrowings
Bonds payable	61,433,702,745.95	57,048,968,299.35
Of which: Preferred shares
Perpetual debts
Lease liabilities	796,665,640.57
Deferred income
Deferred income tax liabilities
Other liabilities	2,023,404,117.37	933,459,911.25
Total liabilities	202,161,116,594.72	174,597,219,851.88

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Unit: Yuan Currency: RMB Type of audit: Unaudited

Items

Equity of owners (or equity of shareholders):

Share capital

Other equity instruments Of which: Preferred shares

Perpetual debts Capital reserve

Less: Treasury shares

Other comprehensive income Surplus reserve

General risk reserve Undistributed profits

Total equity attributable to the owners (or shareholders) of the parent company

Non-controlling interests

Total equity of owners (or equity of shareholders) Total liabilities and equity of owners

(or equity of shareholders)

Legal representative:	Accounting chief:
Pan Xinjun	Zhang Jianhui

September 30, 2019

December 31, 2018

6,993,655,803.00 6,993,655,803.00

28,254,929,991.63 28,254,929,991.63

312,649,729.45 -198,814,876.12

3,085,378,480.26 3,085,378,480.26

7,166,346,140.78 7,061,605,129.67

7,454,903,579.32 6,542,724,243.23

53,267,863,724.44 51,739,478,771.67

45,943,804.17 532,973,568.46

53,313,807,528.61 52,272,452,340.13

255,474,924,123.33 226,869,672,192.01

Person-in-charge of the accounting department:

You Wenjie

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Balance Sheet of the Parent Company

September 30, 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED
Unit: Yuan	Currency: RMB Type of audit: Unaudited
Items	September 30, 2019	December 31, 2018
Assets:
Cash and bank balances	26,098,368,670.31	16,652,307,484.64
Of which: Deposits held on behalf of customers	15,958,973,297.96	11,324,485,108.23
Clearing settlement funds	6,782,832,495.34	5,108,806,687.60
Of which: Settlement funds held on behalf of customers	4,936,397,298.32	3,912,780,803.31
Precious metal
Placements to banks and other financial institutions
Advance to customers	11,274,042,555.10	9,915,282,089.18
Derivative financial assets	1,149,389,072.88	222,468,526.57
Deposits with exchanges and financial institutions	1,037,977,552.78	752,083,508.06
Receivables	419,109,833.72	209,564,768.28
Receivables financing
Contract assets
Financial assets acquired under resale agreements	22,857,058,657.42	27,450,130,811.96
Assets classified as held for sale
Financial investment:
Financial assets at fair value through profit or loss
Transactional financial assets	44,872,702,188.31	32,895,461,854.66
Debt investment	7,878,230,207.29	7,912,596,426.86
Available-for-sale financial assets
Other debt investment	67,062,729,573.24	62,209,435,525.79
Other equity investment	9,876,118,453.60	9,108,017,592.57
Held-to-maturity investments
Long-term equity investments	15,005,681,199.80	13,715,374,797.24
Investment properties	27,248,931.93
Fixed assets	1,992,914,051.84	2,055,793,612.36
Construction in progress	53,043,083.33	48,053,964.89
Right-of-use assets	579,315,203.03
Intangible assets	101,481,182.21	110,379,955.78
Goodwill	18,947,605.48	18,947,605.48
Deferred income tax assets	581,202,608.79	671,010,524.35
Other assets	260,284,315.01	366,922,127.68
Total assets	217,928,677,441.41	189,422,637,863.95

- 15 -

Unit: Yuan	Currency: RMB Type of audit: Unaudited
Items	September 30, 2019	December 31, 2018
Liabilities:
Short-term borrowings
Short-term financial bills payable	14,047,726,279.45	11,428,294,435.42
Due to banks and other financial institutions	8,015,349,583.34	11,027,067,361.01
Transactional financial liabilities	8,855,417,241.37	5,066,887,170.96
Financial liabilities at fair value through profit or loss
Derivative financial liabilities	2,524,557,877.93	901,170,158.36
Financial assets sold under repurchase agreements	57,209,607,478.87	45,284,204,709.08
Account payable to brokerage clients	20,195,051,839.42	14,850,110,625.95
Funds payable to securities issuers
Accrued staff costs	266,352,889.69	246,452,976.58
Taxes payable	15,419,641.88	91,390,202.26
Payables	55,285,417.35	17,314,375.70
Contract liability
Held-for-sale liabilities
Provision
Long-term borrowings
Bonds payable	56,133,009,179.86	51,969,954,687.20
Of which: Preferred shares
Perpetual debts
Deferred liabilities	567,333,710.25
Deferred income
Deferred income tax liabilities
Other liabilities	441,709,242.21	246,850,501.11
Total liabilities	168,326,820,381.62	141,129,697,203.63

- 16 -

Unit: Yuan	Currency: RMB Type of audit: Unaudited
Items	September 30, 2019	December 31, 2018

Equity of owners (or equity of shareholders):

Share capital		6,993,655,803.00	6,993,655,803.00
Other equity instruments
Of which: Preferred shares
Perpetual debts
Capital reserve		28,157,008,370.79	28,157,008,370.79
Less: treasury shares
Other comprehensive income		468,386,937.52	-40,911,922.62
Surplus reserve		3,085,378,480.26	3,085,378,480.26
General risk reserve		6,043,382,547.55	6,043,382,547.55
Undistributed profits		4,854,044,920.67	4,054,427,381.34
Total equity of owners (or equity of shareholders)	49,601,857,059.79	48,292,940,660.32
Total liabilities and equity of owners
(or equity of shareholders)		217,928,677,441.41	189,422,637,863.95
Legal representative:	Accounting chief:	Person-in-charge of the accounting department:
Pan Xinjun	Zhang Jianhui	You Wenjie

- 17 -

Consolidated Income Statement

January - September 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED

	Unit: Yuan Currency: RMB Type of audit: Unaudited
	Third quarter	Third quarter	First three quarters	First three quarters
	of 2019	of 2018	of 2019	of 2018
	(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
I. Total operating income	5,528,576,562.25	2,288,357,393.42	13,607,480,201.38	6,565,693,526.21
Net interest income	261,799,338.33	324,270,974.85	780,706,872.25	736,390,975.86
Of which: Interest income	1,573,070,691.52	1,675,310,559.78	4,652,886,909.26	4,905,629,120.63
Interest expense	1,311,271,353.19	1,351,039,584.93	3,872,180,037.01	4,169,238,144.77
Net fee and commission income	1,083,754,312.50	1,060,517,788.75	3,293,282,682.00	3,988,154,091.98
Of which: Net fee income from
brokerage business	377,564,688.22	282,623,325.54	1,155,332,538.02	1,022,284,845.49
Net fee income from
investment banking	189,429,364.84	208,424,289.34	718,124,566.19	783,954,467.65
Net fee income from
asset management business	500,835,439.33	467,566,401.70	1,334,619,024.59	1,971,034,108.50
Investment gains ("-" indicating losses)	723,104,655.14	510,949,989.41	1,933,436,049.09	1,875,175,027.45
Of which: Gains from investments
in associates and
joint ventures	86,598,701.54	130,323,961.70	415,887,654.55	634,497,067.05
Income generated from
the derecognition of
financial assets measured
at amortized cost
("-" indicating losses)
Net open hedge income
("-" indicating losses)
Other income	200,082.66		200,082.66
Gains from changes in fair value
("-" indicating losses)	297,533,507.82	-751,391,257.80	1,054,307,774.97	-1,912,341,712.23
Foreign exchange gains
("-" indicating losses)	-29,682,528.82	-8,692,543.75	-28,922,275.08	-25,273,366.60
Other business income	3,191,889,926.56	1,152,697,653.38	6,574,628,469.28	1,903,608,734.90
Gains from asset disposal
("-" indicating losses)	-22,731.94	4,788.58	-159,453.79	-20,225.15

- 18 -

		Unit: Yuan Currency: RMB Type of audit: Unaudited
		Third quarter	Third quarter	First three quarters	First three quarters
		of 2019	of 2018	of 2019	of 2018
		(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
II.	Total operating expenses	4,963,945,223.51	2,104,519,553.64	11,628,090,478.71	5,669,551,652.83
	Business tax and surcharges	15,003,594.70	13,237,114.40	47,947,584.63	56,259,255.16
	Business and administrative expenses	1,282,353,428.21	957,363,357.34	4,086,194,775.13	3,642,465,197.38
	Asset impairment loss
	Credit impairment loss	462,161,395.91	-3,043,684.54	932,909,204.82	95,936,163.22
	Other asset impairment loss
	Other business cost	3,204,426,804.69	1,136,962,766.44	6,561,038,914.13	1,874,891,037.07
III.	Operating profit ("-" indicating loss)	564,631,338.74	183,837,839.78	1,979,389,722.67	896,141,873.38
	Add: Non-operating income	2,837,325.47	-16,440,168.62	143,720,153.25	124,454,996.51
	Less: Non-operating expenses	3,237,909.37	4,333,705.31	49,629,368.16	24,208,109.90
IV.	Total profit ("-" indicating total loss)	564,230,754.84	163,063,965.85	2,073,480,507.76	996,388,759.99
	Less: Income tax expenses	32,614,111.02	-29,323,002.63	287,919,897.18	44,524,214.04
V.	Net profit ("-" indicating net loss)	531,616,643.82	192,386,968.48	1,785,560,610.58	951,864,545.95
	(i) Classified based on continuing
	operation	531,616,643.82	192,386,968.48	1,785,560,610.58	951,864,545.95
	1. Net profit from continuing
	operation ("-" indicating net loss)	531,616,643.82	192,386,968.48	1,785,560,610.58	951,864,545.95

1. 2. Net profit from discontinued operation ("-" indicating net loss)

2. Classified based on the nature of

ownership	531,616,643.82	192,386,968.48	1,785,560,610.58	951,864,545.95
1.	Net profit attributable to
	shareholders of the parent
	company ("-" indicating net loss)	531,794,815.98	188,263,684.38	1,741,410,722.22	903,852,606.34
2.	Profit or loss attributable to
	non-controlling interests
	("-" indicating net loss)	-178,172.16	4,123,284.10	44,149,888.36	48,011,939.61

- 19 -

	Unit: Yuan Currency: RMB Type of audit: Unaudited
	Third quarter	Third quarter	First three quarters	First three quarters
	of 2019	of 2018	of 2019	of 2018
	(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
VI. Other comprehensive income after tax, net	63,029,798.31	55,403,353.54	486,339,810.85	-269,139,742.12
Other comprehensive income
attributable to the owners of
the parent company after tax, net	63,029,798.31	55,403,353.54	486,339,810.85	-269,139,742.12
(i) Other comprehensive income that
cannot be reclassified to profit or loss	-183,380,946.45	40,963,613.38	112,434,939.02	-587,755,063.16

1. Re-measurementof amount of changes in defined benefit scheme
2. Other comprehensive income that cannot be transferred to profit or

loss under the equity method		25,818,857.71
3. Changes in fair value of other
equity instruments investment	-183,380,946.45	15,144,755.67	112,434,939.02	-587,755,063.16

4. Changes in the fair value of the Company's own credit risk

- 20 -

	Unit: Yuan Currency: RMB Type of audit: Unaudited
	Third quarter	Third quarter	First three quarters	First three quarters
	of 2019	of 2018	of 2019	of 2018
	(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
(ii) Other comprehensive income that will
be reclassified to profit and loss	246,410,744.76	14,439,740.16	373,904,871.83	318,615,321.04

1. Other comprehensive income that can be transferred to profit or loss

under the equity method	-8,086,161.77	-30,769,680.55	-8,953,041.23	-47,032,856.05
2. Changes in fair value of other
debt investments	230,612,918.91	27,197,436.50	354,663,099.38	338,291,301.27

1. Gains and losses from changes in fair value of available-for-sale financial assets
2. The amount of financial assets reclassified into other comprehensive income
3. Held-to-maturityinvestments reclassified as gains and losses on available-for-sale financial assets
4. Credit impairment provisions of

	other debt investment	345,788.69	3,339,979.97	4,546,205.28	656,643.96
7.	Cash flow hedge reserve
	(Effective portion of hedging
	gains and losses from cash flows)
8.	Exchange differences from
	translation of financial statements
	denominated in foreign currencies	23,538,198.93	14,672,004.24	23,648,608.40	26,700,231.86
9.	Others

Other comprehensive income after tax attributable to non-controlling interests, net

- 21 -

		Unit: Yuan Currency: RMB Type of audit: Unaudited
		Third quarter	Third quarter	First three quarters	First three quarters
		of 2019	of 2018	of 2019	of 2018
		(July -	(July -	(January -	(January -
Items		September)	September)	September)	September)
VII. Total comprehensive income	594,646,442.13	247,790,322.02	2,271,900,421.43	682,724,803.83
Total comprehensive income attributable to
owners of the parent company	594,824,614.29	243,667,037.92	2,227,750,533.07	634,712,864.22
Total comprehensive income attributable to
non-controlling interests	-178,172.16	4,123,284.10	44,149,888.36	48,011,939.61
VIII. Earnings per share:
(i)	Basic (in RMB)	0.08	0.03	0.25	0.13
(ii)	Diluted (in RMB)	N/A	N/A	N/A	N/A
Legal representative:	Accounting chief:	Person-in-charge of the accounting department:
	Pan Xinjun	Zhang Jianhui		You Wenjie

- 22 -

Income Statement of the Parent Company

January - September 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED

	Unit: Yuan Currency: RMB Type of audit: Unaudited
	Third quarter	Third quarter	First three quarters	First three quarters
	of 2019	of 2018	of 2019	of 2018
	(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
I. Total operating income	1,745,126,375.15	213,974,308.03	4,587,752,163.64	1,359,700,510.88
Net interest income	245,726,347.24	303,775,989.95	746,612,818.17	748,198,513.03
Of which: Interest income	1,446,159,945.45	1,565,326,638.42	4,302,423,339.21	4,577,168,468.81
Interest expense	1,200,433,598.21	1,261,550,648.47	3,555,810,521.04	3,828,969,955.78
Net fee and commission income	377,154,209.08	395,770,994.87	1,212,964,765.28	1,145,755,576.45
Of which: Net fee income from
brokerage business	301,964,158.24	209,229,767.83	957,485,210.00	817,440,319.28
Net fee income from
investment banking	87,194,057.38	115,565,932.37	270,448,970.54	262,705,442.62
Net fee income from
asset management
business
Investment gains ("-" indicating losses)	722,509,534.02	282,932,943.63	1,449,220,213.81	1,263,299,058.79
Of which: Gains from investments in
associates and
joint ventures	117,146,639.27	81,746,666.56	307,333,647.83	243,102,595.40
Income generated from
the derecognition of
financial assets measured
at amortized cost
("-" indicating losses)
Net open hedge income
("-" indicating losses)
Other income
Gains from changes in fair value
("-" indicating losses)	394,077,168.39	-781,651,283.23	1,164,354,230.53	-1,808,771,135.32
Foreign exchange gains
("-" indicating losses)	3,724,285.42	6,645,452.47	4,088,820.51	-8,751,937.78
Other business income	1,957,562.94	6,495,421.76	10,670,769.13	19,990,660.86
Gains from asset disposal
("-" indicating losses)	-22,731.94	4,788.58	-159,453.79	-20,225.15

- 23 -

		Unit: Yuan Currency: RMB Type of audit: Unaudited
		Third quarter	Third quarter	First three quarters	First three quarters
		of 2019	of 2018	of 2019	of 2018
		(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
II.	Total operating expenses	1,159,885,939.61	523,115,837.64	3,132,145,879.28	1,881,952,224.65
	Business tax and surcharges	10,772,528.02	8,911,321.92	36,309,994.60	40,158,468.02
	Business and administrative expenses	686,197,357.85	515,721,597.25	2,163,813,962.96	1,748,342,859.19
	Asset impairment loss
	Credit impairment loss	461,069,625.40	-1,517,081.53	926,332,061.30	93,450,897.44
	Other asset impairment loss
	Other business cost	1,846,428.34		5,689,860.42
III.	Operating profit ("-" indicating loss)	585,240,435.54	-309,141,529.61	1,455,606,284.36	-522,251,713.77
	Add: Non-operating income	272,416.87	1,844,417.28	30,966,133.14	54,376,946.96
	Less: Non-operating expenses	1,736,686.83	2,789,215.82	43,504,476.87	18,019,941.36
IV.	Total profit ("-" indicating total loss)	583,776,165.58	-310,086,328.15	1,443,067,940.63	-485,894,708.17
	Less: Income tax expenses	-45,136,132.37	-232,419,117.58	-72,663,597.54	-534,812,555.06
V.	Net profit ("-" indicating net loss)	628,912,297.95	-77,667,210.57	1,515,731,538.17	48,917,846.89
	(i) Net profit from continuing operation
	("-" indicating net loss)	628,912,297.95	-77,667,210.57	1,515,731,538.17	48,917,846.89

1. Net profit from discontinued operation ("-" indicating net loss)

VI. Other comprehensive income after tax, net	71,922,456.88	93,389,831.82	492,550,441.60	-168,980,827.33
(I) Other comprehensive income that
cannot be reclassified to profit or loss	-161,271,136.25	60,553,464.42	130,767,039.67	-510,888,910.13

1. Re-measurementof amount of changes in defined benefit scheme
2. Other comprehensive income that cannot be transferred to profit or loss under the equity method
3. Changes in fair value of other

equity instruments investment

-161,271,136.25

60,553,464.42

130,767,039.67

-510,888,910.13

4. Changes in the fair value of the Company's own credit risk

- 24 -

	Unit: Yuan Currency: RMB Type of audit: Unaudited
	Third quarter	Third quarter	First three quarters	First three quarters
	of 2019	of 2018	of 2019	of 2018
	(July -	(July -	(January -	(January -
Items	September)	September)	September)	September)
(II) Other comprehensive income that will
be reclassified to profit and loss	233,193,593.13	32,836,367.40	361,783,401.93	341,908,082.80

1. Other comprehensive income that can be transferred to profit or loss

under the equity method	2,234,885.53	2,298,950.93	2,574,097.27	2,960,137.57
2. Changes in fair value of other
debt investments	230,612,918.91	27,197,436.50	354,663,099.38	338,291,301.27

1. Gains and losses from changes in fair value of available-for-sale financial assets
2. The amount of financial assets reclassified into other comprehensive income
3. Held-to-maturityinvestments reclassified as gains and losses on available-for-sale financial assets
4. Credit impairment provisions of

other debt investment

345,788.69

3,339,979.97

4,546,205.28

656,643.96

1. Cash flow hedge reserve (Effective portion of hedging gains and losses from cash flows)
2. Exchange differences from translation of financial statements denominated in foreign currencies
3. Others

VII. Total comprehensive income	700,834,754.83	15,722,621.25	2,008,281,979.77	-120,062,980.44
VIII. Earnings per share:
(i)	Basic (in RMB)
(ii)	Diluted (in RMB)
Legal representative:	Accounting chief:	Person-in-charge of the accounting department:
	Pan Xinjun	Zhang Jianhui		You Wenjie

- 25 -

Consolidated Statement of Cash Flows

January - September 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED
Unit: Yuan	Currency: RMB Type of audit: Unaudited
	First three quarters	First three quarters
	of 2019	of 2018
	(January -	(January -
Items	September)	September)
I. Cash flows from operating activities:
Cash received from sale of commodities and
rendering of services
Net increase in amount due to other financial institutions
Cash received for interests, fees and commissions	5,902,070,923.77	7,010,942,449.56
Net decrease in financial assets held for transaction purposes		5,499,706,388.03
Net increase in transactional financial liabilities	3,130,112,296.28
Net increase in amount due to banks and
other financial institutions		-6,000,000,000.00
Net increase in cash from repurchase business	16,071,170,305.97	8,642,069,964.17
Net decrease in advances to customers		1,651,401,796.46
Net cash received from securities trading agency services	3,953,467,331.35	18,990,260.52
Cash received relating to other operating activities	8,989,892,381.07	4,757,578,322.56
Subtotal of cash inflows from operating activities	38,046,713,238.44	21,580,689,181.30
Net increase in financial assets held for transaction purposes	7,172,142,839.78
Net decrease in transactional financial liabilities		817,875,018.94
Net decrease in amount due to banks and
other financial institutions	3,000,000,000.00
Net increase in placements to banks and
other financial institutions
Net increase in advances to customers	1,304,004,003.01
Net increase in financial assets acquired under resale agreements
Net cash paid for securities trading agency services		264,032,557.89
Cash paid for interests, fees and commissions	2,009,512,179.40	1,959,389,284.41
Cash paid to and paid for staff	2,604,881,053.63	2,665,353,301.91
Taxes paid	971,350,768.83	1,049,637,276.33
Cash paid relating to other operating activities	8,698,816,322.22	7,041,535,343.92
Sub-total of cash outflows from operating activities	25,760,707,166.87	13,797,822,783.40
Net cash from operating activities	12,286,006,071.57	7,782,866,397.90

- 26 -

Unit: Yuan	Currency: RMB Type of audit: Unaudited
	First three quarters	First three quarters
	of 2019	of 2018
	(January -	(January -
Items	September)	September)
II. Cash flows from investing activities:
Cash received from disposal of investment	237,976,855.72	839,066,539.51
Cash received from investment gains	2,707,434,390.49	2,205,690,235.01
Net decrease in other transactional financial assets		1,163,861,942.03
Net decrease in other debt investment		-14,289,018,801.48
Net decrease in debt investment	283,872,162.63	-2,002,318,170.73
Net cash received from disposal of fixed assets,
intangible assets and other long-term assets
Net cash received from disposal of subsidiaries and
other operating units
Cash received relating to other investing activities	7,648,821.99	11,198,293.21
Sub-total of cash inflows from investing activities	3,236,932,230.83	-12,071,519,962.45
Cash paid for investments	596,905,000.00	540,105,395.30
Cash paid for purchase and construction of fixed assets,
intangible assets and other long-term assets	181,275,844.89	230,707,495.66
Net increase in other transactional financial assets	3,505,032,571.78
Net increase in other debt investment	4,361,299,492.49
Net increase in other equity investment	527,066,558.79
Net cash paid for acquisition of subsidiaries and
other operating units
Cash paid for other investing activities		5,400,000.00
Sub-total of cash outflows from investing activities	9,171,579,467.95	776,212,890.96
Net cash flows from investing activities	-5,934,647,237.12	-12,847,732,853.41
III.Cash flows from financing activities:
Cash received from investments		510,000.00
Of which: Cash received by subsidiaries from investments
from non-controlling shareholders		510,000.00
Cash received from borrowings	3,683,652,543.87	1,180,133,815.35
Cash received from issue of bonds	44,347,626,992.15	27,173,391,321.28
Cash received relating to other financing activities		1,116,560.00
Sub-total of cash inflows from financing activities	48,031,279,536.02	28,355,151,696.63
Cash repayment of debts	39,974,734,464.33	27,914,498,279.38
Cash paid for distribution of dividends, profits or
interest payment	3,255,457,857.18	3,995,516,502.07
Of which: Dividends and profits paid to
non-controlling interests by subsidiaries	14,169,890.57	13,705,698.15
Cash paid relating to other financing activities	104,563,061.10	1,470,000.00
Sub-total of cash outflows from financing activities	43,334,755,382.61	31,911,484,781.45
Net cash from financing activities	4,696,524,153.41	-3,556,333,084.82

- 27 -

		Unit: Yuan	Currency: RMB Type of audit: Unaudited
			First three quarters	First three quarters
			of 2019	of 2018
			(January -	(January -
Items			September)	September)
IV. Effect of foreign exchange rate changes on cash and cash
equivalents			-24,377,355.06	-922,889.82
V. Net increase in cash and cash equivalents		11,023,505,632.80	-8,622,122,430.15
Add: Balance of cash and cash equivalents
at the beginning of the period		46,079,670,480.45	51,237,277,440.17
VI. Balance of cash and cash equivalents at the end of the period	57,103,176,113.25	42,615,155,010.02
Legal representative:	Accounting chief:	Person-in-charge of the accounting department:
Pan Xinjun	Zhang Jianhui		You Wenjie

- 28 -

Cash Flow Statement of the Parent Company

January - September 2019

Prepared by: ORIENT SECURITIES COMPANY LIMITED
Unit: Yuan	Currency: RMB Type of audit: Unaudited
	First three quarters	First three quarters
	of 2019	of 2018
	(January -	(January -
Items	September)	September)
I. Cash flows from operating activities:
Cash received from sale of commodities and
rendering of services
Net increase in amount due to other financial institutions
Cash received for interests, fees and commissions	3,298,648,861.42	3,356,275,280.70
Net decrease in financial assets held for transaction purposes		2,090,974,627.92
Net increase in transactional financial liabilities	2,885,463,802.42
Net increase in amount due to banks and
other financial institutions		-6,000,000,000.00
Net increase in cash from repurchase business	15,950,515,650.33	11,076,499,614.82
Net decrease in advances to customers		1,679,562,829.02
Net cash received from securities trading agency services	5,344,941,213.47
Cash received relating to other operating activities	384,016,225.33	218,680,608.58
Subtotal of cash inflows from operating activities	27,863,585,752.97	12,421,992,961.04
Net increase in financial assets held for transaction purposes	6,978,712,248.49	817,875,018.94
Net increase in placements to banks and
other financial institutions
Net decrease in amount due to banks and
other financial institutions	3,000,000,000.00
Net increase in advances to customers	1,387,361,947.93
Net increase in financial assets acquired under
resale agreements
Net cash paid for securities trading agency services		292,801,929.13
Cash paid for interests, fees and commissions	1,682,835,293.70	1,794,816,904.45
Cash paid to and paid for staff	1,393,255,176.45	1,457,943,489.96
Taxes paid	341,277,028.25	113,019,416.80
Cash paid relating to other operating activities	594,141,872.24	1,181,585,324.64
Sub-total of cash outflows from operating activities	15,377,583,567.06	5,658,042,083.92
Net cash from operating activities	12,486,002,185.91	6,763,950,877.12

- 29 -

Unit: Yuan	Currency: RMB Type of audit: Unaudited
	First three quarters	First three quarters
	of 2019	of 2018
	(January -	(January -
Items	September)	September)
II. Cash flows from investing activities:
Cash received from disposal of investment
Cash received from investment gains	3,158,201,492.28	2,574,671,151.72
Net decrease in other transactional financial assets		820,014,662.37
Net decrease in other debt investment		-14,288,968,927.01
Net decrease in debt investment		-2,002,318,170.73
Net cash received from disposal of fixed assets,
intangible assets and other long-term assets
Cash received relating to other investing activities	4,974,345.64	1,686,640.47
Sub-total of cash inflows from investing activities	3,163,175,837.92	-12,894,914,643.18
Cash paid for investments	1,088,902,588.24	1,500,000,000.00
Cash paid for purchase and construction of fixed assets,
intangible assets and other long-term assets	123,630,294.07	190,685,308.64
Net increase in other transactional financial assets	3,506,032,571.78
Net increase in other debt investment	4,361,299,492.49
Net increase in other equity investment	549,082,358.64
Net increase in debt investment	16,127,837.37
Cash paid for other investing activities
Sub-total of cash outflows from investing activities	9,645,075,142.59	1,690,685,308.64
Net cash flows from investing activities	-6,481,899,304.67	-14,585,599,951.82
III.Cash flows from financing activities:
Cash received from investments
Cash received from borrowings	2,557,751,448.67
Cash received from issue of bonds	43,251,997,424.15	24,266,674,000.00
Cash received relating to other financing activities
Sub-total of cash inflows from financing activities	45,809,748,872.82	24,266,674,000.00
Cash repayment of debts	37,439,212,901.60	23,134,620,388.39
Cash paid for distribution of dividends, profits or
interest payment	3,198,472,878.05	3,702,573,552.62
Cash paid relating to other financing activities	47,141,005.16
Sub-total of cash outflows from financing activities	40,684,826,784.81	26,837,193,941.01
Net cash from financing activities	5,124,922,088.01	-2,570,519,941.01

- 30 -

		Unit: Yuan	Currency: RMB Type of audit: Unaudited
			First three quarters	First three quarters
			of 2019	of 2018
			(January -	(January -
Items			September)	September)
IV. Effect of foreign exchange rate changes on cash and cash
equivalents			1,338,820.51	-8,751,937.78
V. Net increase in cash and cash equivalents		11,130,363,789.76	-10,400,920,953.49
Add: Balance of cash and cash equivalents
at the beginning of the period		21,747,700,505.58	34,760,465,664.92
VI. Balance of cash and cash equivalents at the end of the period	32,878,064,295.34	24,359,544,711.43
Legal representative:	Accounting chief:	Person-in-charge of the accounting department:
Pan Xinjun	Zhang Jianhui		You Wenjie

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4.2 Adjustment made to relevant items of the financial statements of the beginning of the year when new standards were implemented due to implementing the New Standards on Financial Instruments, New Standards on Revenue and New Standards on Leases

✓Applicable □Not Applicable

	Consolidated Balance Sheet
		Unit: Yuan	Currency: RMB
Items	December 31, 2018	January 1, 2019	Adjustment
Assets:
Investment properties		4,700,781.99	4,700,781.99
Right-of-use assets		835,067,081.29	835,067,081.29
Other assets	1,595,289,902.33	1,571,434,554.31	-23,855,348.02
Total assets	226,869,672,192.01	227,685,584,707.27	815,912,515.26
Liabilities:
Lease liabilities		815,942,965.26	815,942,965.26
Other liabilities	933,459,911.25	933,429,461.25	-30,450.00
Total liabilities	174,597,219,851.88	175,413,132,367.14	815,912,515.26
Equity of owners
(or equity of shareholders):
Total liabilities and
equity of owners
(or equity of shareholders)	226,869,672,192.01	227,685,584,707.27	815,912,515.26

Description of adjustment of each item:

✓Applicable □Not Applicable

According to the requirements of Cai Kuai [2018] No. 35, the Company began to implement the New Standards on Leases on January 1, 2019. On the date of adoption of the New Standards on Leases, the Company made accounting treatments by way of "measuring leased liabilities at the present value discounted using the lessee's incremental borrowing rate at the date of initial adoption in which the amount was equal to the lease liabilities and necessary adjustments were made based on prepaid lease to measure right-of-use assets".

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Balance Sheet of the Parent Company
		Unit: Yuan	Currency: RMB
Items	December 31, 2018	January 1, 2019	Adjustment
Assets:
Investment properties		7,993,385.25	7,993,385.25
Right-of-use assets		623,738,871.07	623,738,871.07
Other assets	366,922,127.68	347,086,769.63	-19,835,358.05
Total assets	189,422,637,863.95	190,034,534,762.22	611,896,898.27
Liabilities:
Lease liabilities		611,927,348.27	611,927,348.27
Other liabilities	246,850,501.11	246,820,051.11	-30,450.00
Total liabilities	141,129,697,203.63	141,741,594,101.90	611,896,898.27
Equity of owners
(or equity of shareholders):
Total liabilities and
equity of owners
(or equity of shareholders)	189,422,637,863.95	190,034,534,762.22	611,896,898.27

Description of adjustment of each item:

✓Applicable □Not Applicable

According to the requirements of Cai Kuai [2018] No. 35, the Company began to implement the New Standards on Leases on January 1, 2019. On the date of adoption of the New Standards on Leases, the Company made accounting treatments by way of "measuring leased liabilities at the present value discounted using the lessee's incremental borrowing rate at the date of initial adoption in which the amount was equal to the lease liabilities and necessary adjustments were made based on prepaid lease to measure right-of-use assets".

1. Description of the first implementation of the New Standards on Financial Instruments and the New Standards on Leases for retrospective adjustment of previous comparison information
2. • Applicable ✓Not Applicable
3. Audit Report
4. • Applicable ✓Not Applicable

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