2019 Social Responsibility Report Contents I. About This Report . 2 (i) Reporting Scope . 2 (ii) Reporting Frequency . 2 (iii) Reporting Reference and Standards . 2 (iv) Data. 2 (v) Reporting Approval and Release. 2 II. About CITIC Securities . 3 (i) Company Profi le . 3 (ii) Corporate Governance. 4 (iii) Risk Management . 4 (iv) Business Performance . 4 (v) List of Honors . 5 III. Social Responsibility Management System . 10 (i) Concept of Social Responsibility . 11 (ii) Social Responsibility Organisational Structure . 11 (iii) Stakeholder Engagement. 12 (iv) Materiality Assessment . 12 IV. Serving the Society. 13 (i) Offering Return to Shareholders . 13 (ii) Diversifying Wealth Management Function . 13 (iii) Contributing to the Development of the Industry . 14 (iv) Supporting the “Belt and Road” Initiative. 15 (v) Upholding the Private Economy . 15 (vi) Serving the Agriculture, Rural Areas and Farmers . 16 (vii) Issuing Green Bonds . 16 V. Product Responsibility . 18 (i) Improving the Quality of Products and Services. 19 (ii) Advertisement Compliance . 19 (iii) Strengthening Appropriateness Management . 19 (iv) Information Security and Privacy Protection . 20 (v) Respect for Intellectual Property. 20 (vi) Strengthening Investor Education . 21 VI. Development of Industry Culture . 22 (i) Anti-Money Laundering . 22 (ii) Combating Corruption and Upholding Integrity . 23 (iii) Compliance Management . 23 VII. Care for Employees . 25 (i) Building Diverse Teams . 25 (ii) Protection of Employees’ Rights. 26 (iii) Improvement of Employee Well-Being. 27 (iv) Empowering Employee Development . 29 (v) Protecting Employee’s Health and Safety . 31 (vi) Communication Channel . 32 VIII. Environmental Responsibilities . 33 (i) Promoting Green Offi ce . 33 (ii) Advocating Green Travel . 35 (iii) Table of Key Data. 35 IX. Building a Responsible Supply Chain. 37 (i) Standardized Procurement. 37 (ii) Green Procurement . 37 (iii) Management.