Huatai International Financial Holdings Limited - Chinese B shares

Awards

	China Fund - Multi-Strategy Three-Year
	HK01 - 01 FinTech Excellence Award - Smart Investment Trading Mobile App" Award
	Asia Risk Awards - Best Securities House - Derivatives House of the Year, South Korea
	Asia Money - Best Securities House, Hong Kong - Most Innovative Bank, GBA
	Bloomberg Businessweek/Chinese Edition - Excellence Award: Structured Product Provider of the Year - Excellence Award: Wealth Management Product and Service - Excellence Award: Digital Innovation - Excellence Award: Risk Management - Excellence Award: Brokerage/Securities Company of the Year - Excellence Award: IPO Deals - Excellence Award: Corp-Finance Solution, GBA

	Institutional Investor -Ranked FORTH among all china and international investment banks in Institutional Investor All-China survey 2017 -Ranked SECOND in the “Best Chinese Securities Research Institution”
	Hong Kong China Fund Industry Association (HKCAMA) and Bloomberg ndustry Association (HKCAMA): -Huatai Financial - Huatai RQFII Fund 3 Segregated Portfolio won the “Best Total Return Greater China Equity (1 year) - Ranking 1st Runner-Up” of Offshore Chinese Fund Awards 2017 -Huatai Financial - Huatai RQFII Fund 3 Segregated Portfolio won the “Best Total Return Multi-asset Allocation (3 years) - Ranking 1st Runner-Up”
	China Financial Market Star Investment Banking Award in the Capital Market of the Year – Huatai Financial
	Mergermarket Huatai Financial ranked SECOND in terms of both number of Mergers & Acquisitions and the total transaction volume among or Chinese investment bank in Hong Kong in 2016

	Bloomberg Businessweek/Chinese Edition Won Financial Institution Awards 2021 (Securities – Service Awards) at: -Securities Company of the Year - Outstanding -Risk Management - Outstanding -Digital Innovation - Excellence -IPO Deals - Excellence -Corporate Finance Deal (China Greater Bay Area) -Excellence
	Hong Kong Stock Exchange Won Stock Connect Awards 2020 at: Breakthrough Brokers of the Year
	The Asset Won Digital Project Awards 2021 at: Best Mobile Brokerage Application
	Private Debt Investors Won PDI Annual Awards 2020 at: -Deal of the Year (Asia-pacific) -Real Estate Debt Fund Manager of the Year (Asia-pacific)
	ETNet Won FinTech Awards 2020 at: Trading Systems - Outstanding All Rounded Stock Trading Mobile App

	Institutional Investor Ranked 2nd among all china and international investment banks in Institutional Investor All-China survey 2018, with 19 prizes from six teams
	Hong Kong China Fund Industry Association (HKCAMA)/Bloomberg Won the Offshore Chinese Fund Awards 2020 at: Best Digital Financial Service - Huatai Zhangle Global Private Fund: Greater China Equity (3 Year) Huatai HK SPC – Huatai RQFII Fund 3 Segregated Portfolio
	The Asset Won Triple A Country Awards 2020 at: Best corporate and institutional adviser (Securities) – Domestic, Hong Kong Best private debt adviser, Hong Kong
	Hong Kong Tai Kung Wen Wei Media Group Won The Tenth Golden Bauhinia Awards for Chinese Securities 2020 at: Best Chinese Securities
	Securities Times Won Jun Ding Awards of China Securities 2020 at: HK&US Stock Trading APP
	FinanceAsia Won Achievement Awards 2020 at: MEGATREND DEAL OF THE YEAR - HEALTHCARE RemeGen’s HK$3.99 billion ($514 million) Hong Kong IPO
	Bloomberg Businessweek/Chinese Edition Won Financial Institution Awards 2010 (Securities – Service Awards) at: Corporate Finance Deal-Excellence Performance Risk Management- Outstanding Performance
	The Asset Won Triple A Sustainable Investing Awards for Institutional Investor, ETF and Asset Servicing Providers 2020 at: Best Custody Mandate – Broker Dealer
	Private Debt Investors Pick up “Asian Lender of the Year” of the 2019 PDI Annual Awards
	ETNet Won FinTech Awards 2019 at -Outstanding Wealth Management Cybersecurity Solution (Cybersecurity / Anti-Fraud) -Outstanding Wealth Management Cloud Application Solution (Cloud)
	Hong Kong China Fund Industry Association (HKCAMA) and Bloomberg 2019 Offshore China Fund Awards -Best Fund Performance – Private Fund – Greater China Equity (1 Year) -Best Fund Performance – Private Fund – Greater China Equity (3 Year)
	The Asset Triple A Country Awards 2019 -Best Corporate and Institutional Adviser – Domestic (Securities)(Hong Kong Area) -Best Private Debt Adviser (Hong Kong Area) -Best Private Debt Deal (Hong Kong Area) -Best IPO (China)

	National Business Daily 2019 Golden Tripod Award – Most Influential Chinese Securities Firm in Overseas Market
	Private Debt Investors “Asian Lender of the Year” of the 2018 PDI Annual Awards - Huatai Financial
	Bloomberg Businessweek/Chinese Edition -Risk Management – Excellence -Corporate Financial Deal – Excellence -IPO Deals – Outstanding -Securities Company of the Year – Outstanding
	International Financial News 2019 Hong Kong IPO Pioneer Award
	China Financial Market Star Investment Banking Award in the Capital Market of the Year – Huatai Financial

	The Asset Triple A Country Awards 2018 (Hong Kong Area) - Huatai Financial -Best Corporate and Institutional Adviser –Domestic (securities) -Best High Yield Bond -Best Syndicated Loan/Acquisition Finance
	Institutional Investor Huatai Financial ranked SECOND among all china and international investment banks in Institutional Investor All-China survey 2018
	Cerulli Associates AssetMark ranked THIRD in terms of the TAMP market share in the United States as at the end of the first quarter of 2018
	Dealogic Huatai Financial ranked THIRD in terms of both number of IPO sponsorships with fundraising scale of more than U.S.$50 million and the total fundraising volume in Hong Kong in the first half of 2018
	Hong Kong China Fund Industry Association (HKCAMA)/Bloomberg Industry Association (HKCAMA) Huatai Financial - Huatai RQFII Fund 3 Segregated Portfolio won the “Best Segregated Account & Private Fund – Equity & Multi-Asset” of Offshore Chinese Fund Awards 2018

	Institutional Investor -Ranked FORTH among all china and international investment banks in Institutional Investor All-China survey 2017 -Ranked SECOND in the “Best Chinese Securities Research Institution”
	Hong Kong China Fund Industry Association (HKCAMA) and Bloomberg ndustry Association (HKCAMA): -Huatai Financial - Huatai RQFII Fund 3 Segregated Portfolio won the “Best Total Return Greater China Equity (1 year) - Ranking 1st Runner-Up” of Offshore Chinese Fund Awards 2017 -Huatai Financial - Huatai RQFII Fund 3 Segregated Portfolio won the “Best Total Return Multi-asset Allocation (3 years) - Ranking 1st Runner-Up”
	China Financial Market Star Investment Banking Award in the Capital Market of the Year – Huatai Financial
	Mergermarket Huatai Financial ranked SECOND in terms of both number of Mergers & Acquisitions and the total transaction volume among or Chinese investment bank in Hong Kong in 2016