The Chairman since August 2012 and an Executive Director since March 2010. Dr. YIM is concurrently a member of the Risk Committee and the Nomination Committee of the Company, and a director of various subsidiaries of the Company, including Guotai Junan Securities (Vietnam) Corp. (formerly known as Vietnam Investment Securities Company) (stock code: IVS.HN), which is listed on the Hanoi Stock Exchange in Vietnam. In addition, he is also a director and the general manager of Guotai Junan Financial Holdings Limited, the controlling shareholder of the Company, and a director of its subsidiary. He acted as the Vice-chairman of the Company and the Chief Executive Officer during the period from March 2010 to August 2012 and during the period from March 2010 to 13 December 2021, respectively. Dr. YIM joined the Group in 1993, he has over 30 years of experience in the securities industry. Dr. YIM is a Senior Economist and holds a doctorate degree in Economics from the Graduate School of the Chinese Academy of Social Sciences and a bachelor’s degree in Environmental Engineering from the Tsinghua University. 

 At present, Dr. YIM is a member of the 14th National Committee of the Chinese People’s Political Consultative Conference, a director and vice chairman of the Hong Kong Chinese Enterprises Association, the honorary life president of Chinese Securities Association of Hong Kong Company Limited, a director and standing committee member of the Chinese General Chamber of Commerce and the life president of the Tsinghua Alumni Association of Hong Kong.

An Executive Director since March 2015 and the Chief Executive Officer since 14 December 2021 and is responsible for the overall business management of the Group. Ms. QI is concurrently a director of various subsidiaries of the Company. Ms. QI was the Deputy Chief Executive Officer of the Company during the period from March 2015 to 13 December 2021. From 2004 to 2012, Ms. QI worked for Shenzhen Supervision Bureau of the China Securities Regulatory Commission and was responsible for regulatory supervision of securities companies and listed companies. In 2012, Ms. QI joined Guotai Haitong Securities Co., Ltd. (formerly known as Guotai Junan Securities Co., Ltd.) (stock code: 2611.HK; 601211.SH) , the parent company, and held the positions as deputy general manager in compliance department and strategic management department, respectively. Ms. QI holds a master’s degree in Financial Economics from the London School of Economics and Political Science (LSE) and a bachelor’s degree in International Economics and Trade from the University of International Business and Economics (UIBE) in China. 

 At present, Ms. QI is a member of All-China Youth Federation, a member of All-China Financial Youth Federation, a member of Mainland Opportunities Committee of Financial Services Development Council, a deputy director of International Cooperation Committee of Securities Association of China, a director and vice president of Chinese Asset Management Association of Hong Kong Limited and the vice president of Chinese Financial Association of Hong Kong.

the Chairman since August 2012 and an Executive Director since March 2010. Dr. YIM is concurrently a member of the Risk Committee and the Nomination Committee of the Company, and a director of various subsidiaries of the Company, including Guotai Junan Securities (Vietnam) Corp. (formerly known as Vietnam Investment Securities Company) (stock code: IVS.HN), which is listed on the Hanoi Stock Exchange in Vietnam. In addition, he is also a director and the general manager of Guotai Junan Financial Holdings Limited, the controlling shareholder of the Company, and a director of its subsidiary. He acted as the Vice-chairman of the Company and the Chief Executive Officer during the period from March 2010 to August 2012 and during the period from March 2010 to 13 December 2021, respectively. Dr. YIM joined the Group in 1993, he has over 30 years of experience in the securities industry. Dr. YIM is a Senior Economist and holds a doctorate degree in Economics from the Graduate School of the Chinese Academy of Social Sciences and a bachelor’s degree in Environmental Engineering from the Tsinghua University. 

 At present, Dr. YIM is a member of the 14th National Committee of the Chinese People’s Political Consultative Conference, a director and vice chairman of the Hong Kong Chinese Enterprises Association, the honorary life president of Chinese Securities Association of Hong Kong Company Limited, a director and standing committee member of the Chinese General Chamber of Commerce and the life president of the Tsinghua Alumni Association of Hong Kong.

An Executive Director since March 2015 and the Chief Executive Officer since 14 December 2021 and is responsible for the overall business management of the Group. Ms. QI is concurrently a director of various subsidiaries of the Company. Ms. QI was the Deputy Chief Executive Officer of the Company during the period from March 2015 to 13 December 2021. From 2004 to 2012, Ms. QI worked for Shenzhen Supervision Bureau of the China Securities Regulatory Commission and was responsible for regulatory supervision of securities companies and listed companies. In 2012, Ms. QI joined Guotai Haitong Securities Co., Ltd. (formerly known as Guotai Junan Securities Co., Ltd.) (stock code: 2611.HK; 601211.SH) , the parent company, and held the positions as deputy general manager in compliance department and strategic management department, respectively. Ms. QI holds a master’s degree in Financial Economics from the London School of Economics and Political Science (LSE) and a bachelor’s degree in International Economics and Trade from the University of International Business and Economics (UIBE) in China. 

 At present, Ms. QI is a member of All-China Youth Federation, a member of All-China Financial Youth Federation, a member of Mainland Opportunities Committee of Financial Services Development Council, a deputy director of International Cooperation Committee of Securities Association of China, a director and vice president of Chinese Asset Management Association of Hong Kong Limited and the vice president of Chinese Financial Association of Hong Kong.

A Non-executive Director since 16 February 2022. Ms. YU is also a member of the Remuneration Committee of the Company. Ms. YU joined Guotai Haitong Securities Co., Ltd. (formerly known as Guotai Junan Securities Co., Ltd.) (stock code: 2611.HK; 601211.SH) , the parent company, in 2007, and held various important positions in different departments, including the audit department, retail customer department, integrated management team for committee of economic affairs, treasury department and asset and liability department. Ms. YU is currently the general manager of risk management department of Guotai Haitong Securities Co., Ltd.. Prior to her current role, Ms. YU worked for Shanghai Mingpin Shangsha Co., Ltd.（上海名品商廈有限公司）. Ms. YU has over 17 years of experience in the securities industry. Ms. YU obtained a master’s degree in Business Administration from the Shanghai University of Finance and Economics, she is a member of the Chinese Institute of Certified Public Accountants and holds the Certificate of Certified Internal Auditor.

A Non-executive Director since 5 July 2024. Mr. DONG is also a member of the Risk Committee of the Company. Mr. DONG is currently the general manager of the strategic development department, the head of digital transformation office and the deputy head of integration management office of Guotai Haitong Securities Co., Ltd. (formerly known as Guotai Junan Securities Co., Ltd.) (stock code: 2611.HK; 601211.SH), the parent company, and a supervisor of its various subsidiaries, and a director of Guotai Junan Financial Holdings Limited, the controlling shareholder of the Company. Mr. DONG joined the group of Guotai Haitong Securities Co., Ltd. in 1995, and held various important positions in different departments, including the audit department, risk management department, and planning and finance department, and held the position as the chief risk officer of Guotai Junan Financial Holdings Limited. Mr. DONG has over 29 years of experience in the securities industry. Mr. DONG obtained a bachelor’s degree in Accounting from the Tianjin University of Finance and Economics, and is accredited the Accountant qualification by the Ministry of Human Resources and Social Security in China.

An Independent Non-executive Director since June 2010. Dr. FU is currently the chairman of the Remuneration Committee and the ESG Committee as well as a member of the Audit Committee, the Risk Committee and the Nomination Committee of the Company. Dr. FU has extensive experiences in investment, finance, law and business management. Between 1992 and 2003, he successively held important positions in several investment banking firms in Hong Kong, including serving as a director of Peregrine Capital Limited, and a deputy managing director and subsequently a managing director of BNP Paribas Peregrine Capital Limited. Dr. FU is currently engaged in private investment business. Presently, he is also an independent non-executive director of China Resources Pharmaceutical Group Limited (stock code: 3320.HK), China Resources Medical Holdings Company Limited (stock code: 1515.HK), COFCO Joycome Foods Limited (formerly known as COFCO Meat Holdings Limited) (stock code: 1610.HK) and China Zheshang Bank Co., Ltd. (stock code: 2016.HK; 601916.SH). He was an independent non-executive director of CPMC Holdings Limited (stock code: 906.HK) and Beijing Enterprises Holdings Limited (stock code: 392.HK). Dr. FU was also an independent non-executive director of Postal Savings Bank of China Co., Ltd (stock code: 1658.HK) during the period from 2016 to 10 March 2023. Dr. FU graduated from the University of London with a doctorate degree and a master’s degree in Law in 1993 and 1989, respectively.

An Independent Non-executive Director since August 2018. Professor CHAN is concurrently the chairman of the Risk Committee and the Nomination Committee and a member of the Audit Committee and the Remuneration Committee of the Company. At present, he is also an adjunct professor of the Business School of the HKUST. He was appointed as the secretary for Financial Services and the Treasury of the Government of Hong Kong from 2007 to 2017. Prior to that, he was the dean of the HKUST Business School. Before joining the HKUST in 1993, Professor CHAN taught for nine years at the Ohio State University in the US. Professor CHAN was a non-executive director of MTR Corporation Limited (stock code: 66.HK) and The Hong Kong Mortgage Corporation Limited. He was an independent non-executive director of USPACE Technology Group Limited (formerly known as “Hong Kong Aerospace Technology Group Limited”) (stock code: 1725.HK) for the period from January 2022 to 28 November 2023. He is currently an independent non-executive director of Langham Hospitality Investments and Langham Hospitality Investments Limited (stock code: 1270.HK), China Overseas Land & Investment Ltd. (stock code: 688.HK), CTF Services Limited (formerly known as “NWS Holdings Limited”) (stock code: 659.HK) and Champion Real Estate Investment Trust (stock code: 2778.HK). He is also a chairman of WeLab Bank Limited (formerly known as “WeLab Digital Limited”), a senior advisor of WeLab Holdings Limited, an independent non-executive director of Greater Bay Area Homeland Investments Limited, a director of Institute of Web 3.0 Hong Kong Limited, a director and member of One Country Two Systems Research Institute and a member of the Competition Commission of Hong Kong. Professor CHAN holds a bachelor’s degree in Economics from the Wesleyan University and followed by M.B.A. and Ph.D. in Finance from the University of Chicago. He specialized in assets pricing, evaluation of trading strategies and market efficiency and has published numerous articles on these topics.

An Independent Non-executive Director since October 2023. Mr. LIU is currently the chairman of the Audit Committee and a member of Nomination Committee of the Company. Mr. LIU has over 30 years of professional experience in providing audit and business advisory services in the Mainland China, Hong Kong and Australia. Mr. LIU started his professional career with PricewaterhouseCoopers in Hong Kong and Melbourne in the 1980s. Mr. LIU joined PricewaterhouseCoopers Zhong Tian LLP in 1995, and he was admitted as partner in 1997 and retired in 2020. During his years with PricewaterhouseCoopers Zhong Tian LLP, Mr. LIU was a core member in the China assurance leadership team and was a long-standing human capital partner in the assurance practice for over 10 years, and he was also the Greater China automotive industry leader as well as Japanese business network leader. Currently, Mr. LIU is an independent non-executive director of Foran Energy Group Co., Ltd. (a company listed on the Shenzhen Stock Exchange, Stock Code: 002911.SZ) and Valuetronics Holdings Limited (a company listed on the Singapore Stock Exchange, Stock Code: BN2.SI). Mr. LIU received his bachelor’s degree in Commerce from the University of Western Australia in 1983. He is a member of the Chartered Accountants Australia and New Zealand (previously the Institute of Chartered Accountants Australia), a fellow member of CPA Australia and a fellow member of the HKICPA. He was the president of CPA Australia North China Committee from 2005 to 2006 and is currently its council member.