Announcement on receipt of notice of investigation from China Securities Regulatory Commission
On 24 August 2015, Haitong Securities Co., Ltd. (the “Company”) received the Notice of Investigation (Jin Zheng Diao Cha Zi No. [2015011]) from the China Securities Regulatory Commission (the “CSRC”), which stated that the CSRC had decided to carry out an investigation against the Company pursuant to the Securities Law of the People’s Republic of China for suspected violations of the Company in relation to failure to review and verify the identity of clients in accordance with rules.
During the investigation, the Company will fully cooperate with the CSRC and strictly fulfil any obligations of information disclosure under regulatory requirements. So far, the business of the Company is under normal operations.
China Securities Journal, Shanghai Securities News, Securities Times, the website of the Shanghai Stock Exchange (http://www.sse.com.cn) and the website of The Stock Exchange of Hong Kong Limited (www.hkexnews.hk) are the designated media for information disclosure of the Company. Only information of the Company published in the aforesaid media should be relied upon. Investors are reminded to exercise caution when making any investment decision and beware of any investment risk.
Source: HKEX
