Hong Kong Exchanges and Clearing Limited, The Stock Exchange of 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 with limited liability under the Chinese corporate name 華泰證券股份有限公司 and carrying on business in Hong Kong as HTSC) (Stock Code: 6886)

ANNOUNCEMENT REGARDING THE RECEIPT OF APPROVAL BY THE CSRC IN RELATION TO THE NON-PUBLIC ISSUANCE OF A SHARES

References are made to the announcement of the Company dated May 26, 2017, the supplemental circular for the 2016 annual general meeting dated June 7, 2017, the poll results announcement for the 2016 annual general meeting dated June 21, 2017 and the announcement dated November 24, 2017 in relation to the non-public issuance of new A shares. Unless otherwise stated, capitalized terms used herein shall have the same meanings as those defined in the aforesaid announcements and the supplemental circular.

Recently, the Company received the Approval in Relation to the Non-Public Issuance of Shares by Huatai Securities Co., Ltd. (Zheng Jian Xu Ke [2018] No. 315) 《關於( 核准華泰證券股份有限公司非開發行股票的批覆》(證監許可[2018]315號)) from the CSRC, the main content of which is set out as follows:

1. Approval of the Company’s non-public issuance of not more than 1,088,731,200 new A Shares.

2. The Non-Public Issuance shall be implemented strictly in accordance with the application documents submitted to the CSRC.

3. The approval document shall remain valid for six months from the date of approval of issuance.

4. In the event that any material event happens to the Company during the period from the date of approval of issuance to completion of the Non-Public Issuance, the Company shall promptly report to the CSRC and handle it in accordance with relevant requirements.

—1— The Board of Directors will handle matters relating to the Non-Public Issuance in accordance with the requirements of the aforesaid approval document and the authorization of the general meeting of the Company within the prescribed period, and fulfill its information disclosure obligations in a timely manner.

Contact methods for the issuer and sponsors of the Non-Public Issuance are set out as follows:

1. Issuer : Huatai Securities Co., Ltd.

Contact person : Luo Yi

Tel : 025-83387788

Email : [email protected]

2. Joint Sponsors (joint : Co., Ltd. lead underwriter)

Sponsor : Cai Rui, Ding Yinghua representatives

Contact persons : Yu Juntai, Zhou Wei

Tel : 021-38676542, 021-38677936

Email : [email protected], [email protected]

3. Joint Sponsors (joint : Huatai United Securities Co., Ltd. lead underwriter)

Sponsor : Zhou Jiwei, Long Dingkun representatives

Contact persons : Yuan Xiaoli, Gong Qin

Tel : 010-56839498, 025-83387681

Email : [email protected], [email protected]

—2— DEFINITIONS

In this announcement, the following expression has the meaning set out below unless the context otherwise requires.

“Company” a joint stock company incorporated in the People’s Republic of China with limited liability under the corporate name 華泰證券股份有限公司 (Huatai Securities Co., Ltd.), converted from our predecessor 華 泰證券有限責任公司 (Huatai Securities Limited Liability Company) on December 7, 2007, carrying on business in Hong Kong as “HTSC”, and was registered as a registered non-Hong Kong company under Part 16 of the Companies Ordinance under the Chinese approved name of “華泰六八八六股份有限公司” and English name of “Huatai Securities Co., Ltd.”; the H Shares of which were listed on the main board of the on June 1, 2015 (Stock Code: 6886) and the A Shares of which were listed on the on February 26, 2010 (Stock Code: 601688), are except where the content otherwise requires, including its predecessors

By order of the Board Zhou Yi Chairman

Jiangsu, PRC, March 19, 2018

As of the date of this announcement, the Board of Directors comprises Mr. ZHOU Yi as an executive Director; Ms. PU Baoying, Mr. GAO Xu, Mr. CHEN Ning, Mr. XU Feng, Mr. XU Qing and Mr. ZHOU Yong as non-executive Directors; and Mr. CHEN Chuanming, Mr. LIU Hongzhong, Mr. LEE Chi Ming and Ms. LIU Yan as independent non-executive Directors.

—3— Disclaimer

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 document.