Wen Zhe Wu

Guotai Junan Securities Co. Ltd. (Broker) (GTJA-Broker) is the securities brokerage division of Guotai Junan Securities Co. Ltd. (SHA: 601211), which is headquartered in Shanghai, China. GTJA-Broker provides securities brokerage services to institutional investors.

HFT Investment Management Co., Ltd. (HFT) is an independent asset management firm which was founded in 2003 as a joint venture between Fortis Investments Asia (now BNP Paribas Investment Partners) and Haitong Securities, following a strategic alliance agreement signed in 2001. The firm was formerly known as Fortis Haitong Investment Management Co., Ltd. and changed their name to HFT Investment Management Co., Ltd. in 2010. Headquartered in Shanghai, HFT manages mutual and institutional funds for retail and institutional investors in China including corporate pension schemes. They also service foreign investors such as European pension funds through the firm's Qualified Foreign Institutional Investor portfolios.

Harvest Fund Management Co., Ltd. (HFM) is an independent Chinese investment advisory firm which was founded in 1999. In 2005, they became a joint venture between China Credit Trust Co., Ltd. (40%), Lixin Investment Co., Ltd. (30%) and Deutsche Asset Management Co., Ltd. (30%). Headquartered in Beijing with additional office in Shanghai, the firm offers a range of domestic equity and fixed-income funds for individual, retail, institutional and Enterprise Annuity investors based in China. HFM is a responsible investor and signatory to the UN Principles for Responsible Investment (UNPRI).

Hwabao WP Fund Management Co., Ltd. (Hwabao FM) is an independent Chinese fund management firm which was founded as a joint venture between Baosteel Group (HWABAO Trust Co. Ltd.) and Societe Generale Group in 2003. It is now owned by Hwabao Trust Co., Ltd. (51%), Warburg Pincus Asset Management LP (29%) and Jiangsu Railway Group Co., Ltd. (20%). Headquartered in Shanghai, Hwabao FM manages funds for institutional investors.

UBS SDIC Fund Management Co., Ltd. (UBS SDIC) is an investment management subsidiary of SDIC Taikang Trust Co., Ltd., itself an indirect subsidiary of SDIC Capital Co., Ltd. (SHA: 600061), a public firm owned by the Government of China. UBS SDIC was founded in 2002 by five Chinese investment trust and securities companies. Formerly known as China Dragon Fund Management Co., the firm was restructured into a joint venture in 2005 and shareholders officially changed to SDIC TAIKANG Trust Co., Ltd. and UBS AG, with shareholding proportion of 51 and 49 percent respectively. Headquartered in Shenzhen, the firm has additional offices in Shanghai and Beijing. UBS SDIC provides financial advisory and wealth management services, managing discretionary portfolios and mutual funds primarily for Chinese clients. The firm's culture combines local expertise with the global asset management capabilities of UBS.

Bank of China Investment Management Co., Ltd. (BOCIM) is a Sino-American fund management firm which was founded in 2004 as a joint venture between BOC International and Merrill Lynch Investment Managers. Formerly known as BOC International Investment Managers, the firm changed their name to Bank of China Investment Management Co. Ltd. in 2008 when the joint venture partners became Bank of China Co., Ltd. and BlackRock, Inc. Headquartered in Shanghai, BOCIM offers investment solutions to domestic and international institutions, as well as private individuals.

Harfor Fund Management Co., Ltd. (HFM), previously known as Huafu Fund Management, is an independent investment management firm which was founded in 2004. Shareholders include Hua An Securities Co., Xingtai Holding and Anhui Guaranty Group. Headquartered in Shanghai, HFM provides financial services to fund holders. They also manage mutual funds and accept direct mandates from individuals and institutions for asset management services.

China International Capital Corp. Ltd. (Broker) (CICC) is the brokerage division of China International Capital Corp. Ltd. which was established in 1995 as a strategic partnership between Chinese and international financial institutions and corporations. Headquartered in Beijing, CICC was the first joint venture investment bank in China. The firm's core business departments were investment banking, capital markets, sales & trading, research, fixed-income and asset management. CICC offers a range of brokerage services to international and domestic institutional and individual investors. In 2007 the firm set up a wholly-owned subsidiary specializing in private equity investments and focusing on buyout opportunities within China.

HSBC Jintrust Fund Management Co. Ltd. (HSBC Jintrust) is a mutual fund management firm headquartered in Shanghai, China. The firm was founded in 2005 as a joint venture between HSBC Global Asset Management (formerly HSBC Investments UK Ltd.) and Shanxi Trust and Investment Ltd. HSBC Jintrust provides investment advice services and account management.

Zhong Ou Asset Management Co., Ltd. (Zhong Ou AM) is a fund management firm headquartered in Shanghai, China. Formerly known as Lombarda China Fund Management Co., Ltd., the firm was founded in 2006 as a joint venture between UBI, Guodu Securities Co., Ltd., China Private Ventures (Beijing) Ltd. and WinnerKey Investment Co., Ltd. Zhong Ou AM manages mutual funds and provides financial advisory services to both Chinese and global institutional, as well as retail investors.

SWS Research Co., Ltd. is the investment research subsidiary of Shenwan Hongyuan Securities Co., Ltd., which is owned by Shenwan Hongyuan Group Co., Ltd. (SHE: 000166) in China. Headquartered in Shanghai, the firm was founded in 1992 to offer a wide range of products and services to global investors who want to invest in Chinese equity market. SWS Research provides clients with securities research service that covers over 500 key stocks in Asian market, as well as economics, strategy, bond, fund and derivatives research. Their clients include almost all major domestic institutional investors such as mutual funds, insurance companies, banks and trusts. They also serve QFII and other overseas institutional investors.

Beijing Gao Hua Securities Co., Ltd. is a financial services company based in Beijing, China. and has subsidiaries in China. The company's description is written in Chinese, but it appears to offer a range of financial services, including securities trading, investment banking, and asset management. The private company's website includes information about its history, services, and team, as well as news and research reports. The company was founded in 2004, and Xing Zhang has been the CEO of the company since 2004.

SWS MU Fund Management Co., Ltd. (SWS MU) is the fund management subsidiary of Shenwan Hongyuan Securities Co., Ltd., ultimately held by Shenwan Hongyuan Group Co., Ltd. (SHE: 000166) in China. The firm was founded in 2004 as SYWG BNP Paribas Asset Management Co. Ltd., a joint venture between Japan-based Mitsubishi UFJ Trust and Banking Corp. and Shenyin & Wanguo Securities Co. Ltd. In 2011 the firm changed their name to SWS MU Fund Management Co. Ltd. after Mitsubishi UFJ Trust and Banking Corp. reached an agreement with BNP Paribas Investment Partners to buy a significant minority stake with Shenyin & Wanguo Securities Co. Ltd. retaining the remaining majority stake in the joint venture. Headquartered in Shanghai, SWS MU manages a range of open-end funds.

Caitong Fund Management Co., Ltd. (Caitong FM) is the Chinese fund management firm founded in 2011 through a joint venture between Caitong Securities Co Ltd., Hangzhou Industrial Investment Group and Zhejiang Shenghua Biok Biology Co Ltd. Headquartered in Shanghai, Caitong FM manages a range of funds for high-net worth individual and institutional investors.

BOSC Asset Management Co. Ltd. (BOSCAM) is an asset management firm headquartered in Shanghai, China. The firm was founded in 2013 through a joint venture between Bank of Shanghai Co., Ltd. (SHA: 601229) (Bank of Shanghai) and China Machinery Industrial Group. They are now majority owned by Bank of Shanghai. BOSCAM provides asset and fund management services to various types of investors.

Huisheng Fund Management Co., Ltd. provides investment advice. The private company is based in Beijing, China. and has subsidiaries in China. The Chinese company was founded in 2018 by Qing Sun, Jin Feng Zhang. Jin Feng Zhang has been the CEO since 2018.