H
342C
H H
H H
H H H H
1933
DFZQ
03958
H (10) H (2.8) H
H 10.38
287,582,400 H
A (10) A (2.8) A
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1,670,641,224 A
H
H 2022 4 25 H 2022 5 10 2022 5 17
H H 2022 5 20 H
H L-1 L-36
H A
A 70% A A A
H H A
H 2022 5 23 H H
H H
H
2022 5 5
H
A A 70%
A A
A
H H A
H H H
H H
H 2022 4 25 H
2022 5 10 2022 5 17
H H
H 2022 5 23
H 2022 5 10 2022 5 17
H H
H
H
H
H
H H
H H
H H
H
H H H H
H H
H H
H H
–i–
H H H
H H
H H
H H
H H H
H H H
H H
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2001
6D
ASIC ASX
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H
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708(8)
708(11) 9
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H
H
H H
H H
H
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EEA
EEA
(EU) 2017/1129 1(4)
3(1) EEA
EEA
EEA EEA
EEA
EEA EEA
EEA (i)
2(e) (ii)
EEA 150 (iii)
1(4) 3
(a) EEA
(b) (EU) 2017/1129
4
– iv –
EEA
(i)
Wertpapierprospektgesetz – WpPG Kapitalanlagegesetzbuch –
KAGB Vermgensanlagengesetz – VermAnlG
Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin
EEA
(ii) EEA
1(4)
(EU) 2017/1129 1(4)
3(1)
(i) 2(e)
(ii)
150 (iii) 1(4)
3
(a)
(b) (EU) 2017/1129
–v–
(EU) 2017/1129 1(4)
3(1)
EEA
EEA
(i) 2(e)
(ii) 150
(iii) 1(4)
3
(a)
(b) (EU) 2017/1129
– vi –
2021 11 1
2014
FinSA
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H H
1948 25 FIEA
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H H FIEA
– vii –
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3
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H H
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H (ii) H
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2001 309B
2001 309B(1)(a) 309B(1)(c)
309A H H
H
H
2(e)
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2005 19(5) (ii)
49(2)(a) (d) (iii)
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21
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H
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H
2
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86
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85 23
H
85
H
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H
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H
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H
H
H
H S
S
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H
S
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H H
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H (852) 2862 8555
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A A A
A
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1,670,641,224 A
A A
2022 4 18
www.sse.com.cn www.hkexnews.hk
www.dfzq.com.cn
A A
2021 5 13
A
H
2022 4 18 H
A
H H H H
H
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622
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A H
600958 03958
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[2016]21
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2020 7 13 2020
H
H H H
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H H
H
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FICC
H H H
H
H 1.00
03958
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H 2022 5 4
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H H
H H
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2022 5 20 H
H
2022 4 28
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H H
H
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H
A A
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H H H H
A H
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2020 2021 H
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2022 H 2022 A
A H
571
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1
4
H 10.38
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2019 2020 2021 12 31
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1933
%
2021 A 2021 5 13 2021 A
2021 H 2021 5 13 2021 H
2022 A 2022 4 13 2022 A
2022 H 2022 4 13 2022 H
1
0.81470
–8–
H
H . . . . . . . . . . . . . . . 2022 4 22
H . . . . . . . . . . . . . . . . . . 2022 4 25
H H
. . . . . . . . . . . . . . . . . . . . . 2022 4 26
H . . . . . . . . . . . . . . . . . . . . 2022 4 27
2022 5 4
H . . . . . . . . . . . . . . . . . . . . . . . . 2022 5 4
H . . . . . . . . . . . . . . . . . . . . . . 2022 5 5
. . . . . . . . . . . . . . . . . . . . . . . . . . . 2022 5 5
H . . . . . . . . . . . . . . . 2022 5 10
H . . . . . . . . . . . . . 2022 5 12
H . . . . . . . . . . . . . 2022 5 17
H
H . . . . . . . . . . . 2022 5 20
. . . . . . . . . . . . . . . . . . . . . . 2022 5 23
H . . . . . . . . . . . 2022 5 27
H . . . . . . . . . . . . . . 2022 5 30
H
. . . . . . . . . . . . . . . . . . . . . 2022 5 30
H . . . . . . . . . . . . . . . 2022 5 31
. . . . . 2022 5 31
. . . . . . . 2022 6 23
–9–
H
H H
H
H
8
(i)
H
H
(ii)
H
H
H H
– 10 –
H
H H H
(10) H
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H 1,027,080,000 H
H H 287,582,400 H
H
H H 10.38
A
A A A
(10) A
(2.8) A
A 5,966,575,803 A
A A 1,670,641,224 A
A
A A 8.46
– 11 –
H
H
50%
1.
2021 12 31
140
– 12 –
2.
2018 4
2020 3
2020 4 1
3.
– 13 –
– 14 –
– 15 –
35.412%
– 16 –
IPO
– 17 –
– 18 –
– 19 –
IT
IT IT IT
IT
– 20 –
– 21 –
2020
H1N1 H1N1
– 22 –
1970
– 23 –
H H
2011 6 28
[1993]045
[2011]348 H 5.0%
20.0% 10.0% H
20.0%
H
H 20.0%
1998 3 30
H
10.0%
2008 11 6
H
[2008]897 H
10.0%
H
H
H
– 24 –
H
H
– 25 –
H
H
H
H H
H
H
H
H H
H H H
H
A H
H 2016 7 A 2015 3
A H
A H A H
A H
A H
A H A H
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A A
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H
H
H 2022 5 10 2022 5 17
H H
H
H
H
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(ii)
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A H
H A H H
H H
H H
A
A H
H
A H A
H H
– 27 –
H
H
H
H
168
– 28 –
– 29 –
1997 12 10 10
15 1998 2 23 (1998)52
2003 10 8
A 2015 3 23 H 2016 7 8
35.412%
2021 12 31 285.63
3.31% 53.71
97.26% 2020
12 2021 12
31 1
+ 424
7
2.67 4.93 9.38
1 1 1
– 30 –
2021 12 31
(%) (%) (%)
143.25 58.78 125.63 69.26 17.62 28.27
43.26 17.75 7.64 4.21 35.62 57.17
55.31 22.69 20.45 11.28 34.85 55.93
17.25 7.08 9.55 5.26 7.71 12.37
-6.79 -2.79 18.99 10.47 -25.78 -41.37
-8.58 -3.52 -0.87 -0.48 -7.71 -12.37
243.70 100.00 181.40 100.00 62.31 100.00
2020 12 31
(%) (%) (%)
136.03 58.80 146.53 71.70 -10.50 -38.94
47.53 20.54 7.65 3.75 39.87 147.85
43.93 18.99 20.40 9.98 23.53 87.24
16.28 7.04 9.35 4.57 6.93 25.70
-5.79 -2.50 21.28 10.41 -27.07 -100.38
-6.63 -2.87 -0.84 -0.41 -5.79 -21.47
231.34 100.00 204.37 100.00 26.97 100.00
– 31 –
2019 12 31
(%) (%) (%)
133.36 70.00 119.50 73.31 13.86 50.38
32.21 16.91 4.87 2.99 27.34 99.37
29.07 15.26 13.16 8.08 15.91 57.82
10.03 5.27 6.30 3.87 3.73 13.55
-3.85 -2.02 19.79 12.14 -23.64 -85.93
-10.30 -5.41 -0.62 -0.38 -9.68 -35.18
190.52 100.00 163.01 100.00 27.51 100.00
– 32 –
133.36 136.03 143.25
70.00% 58.80% 58.78%
1.
(1)
177 87 31
(2)
219.1 19%
9,028 26%
52,354.19
77,149.00 99,037.27
– 33 –
1.07 3.90 5.66
2021 2020 2019
1,517.14 1,662.67 1,048.41
14.21 34.77 31.16
28.70 35.47 4.22
0.21 – 0.86
39.36 86.10 254.03
1,599.62 1,819.01 1,338.69
– 34 –
2.
(1)
2021 12 31 34 30
4 104,903
(2)
2.67 4.90 9.32
1
1 1
– 35 –
3.
(1)
(2)
128.53
225.64 246.01 2019 2021
38.35%
7.82 11.03 15.13 2019
2021 39.10%
– 36 –
2021 2020 2019
237.28 206.72 126.55
8.72 18.92 1.98
246.01 225.64 128.53
(%) 298.33 326.34 282.02
15.13 11.03 7.82
2012 9
2013 1 2013 6
2013
7
205.31 163.39
126.51
– 37 –
4.
(1)
OTC
(2)
OTC
398.83 447.52
1,715.45 2021
+
32.21 47.53 43.26
16.91% 20.54% 17.75%
– 38 –
1.
(1)
20
(2)
FOF
2014 6
IPO
IPO
– 39 –
100
2019
– 40 –
Alpha
Alpha
2021 12 31 2020 12 31 2019 12 31
% % %
84.34 7.21% 74.73 7.78% 69.48 7.07%
90.90 7.77% 31.40 3.27% 25.54 2.60%
976.68 83.47% 830.51 86.52% 879.06 89.39%
1
18.13 1.55% 23.28 2.43% 9.34 0.95%
2
1170.05 100.00% 959.92 100.00% 983.42 100.00%
1
2
– 41 –
2.
(1)
(2)
12 12 11
22.50 14.59 13.82
23 24 24
26.09 27.21 25.05
30 41 62 6.95
13.26 30.32
2021 12 31 6
2.71
3.
2021 12 31 93
67 21 2,254
3.20 5.40
7.59
– 42 –
29.07
43.93 55.31 15.26% 18.99%
22.69%
1.
(1)
+
(2)
1
– 43 –
2021 12 31
3,659.29
1,080 2021 12
31 294.35%
Insights & Mandates
China A-share Equity 3Years A 3
TOP 18
16
– 44 –
2021 12 31 2020 12 31 2019 12 31
% % %
2,696.22 73.68 1,996.31 66.87 1,234.12 55.37
660.68 18.05 592.52 19.85 484.66 21.75
139.08 3.80 273.34 9.16 350.46 15.72
163.31 4.46 123.32 4.13 159.56 7.16
3,659.29 100.00 2,985.48 100.00 2,228.79 100.00
– 45 –
2.
(1)
35.412%
2005
(2)
80.86 109.80 134.59
59.78 74.49 87.99
7,457 11,365 12,324
2,895
5,574 6,174
40.78 66.43
93.79 12.49 25.66
32.63 2021 12 31
226 QDII
1.2 6,100
+
ESG
– 46 –
3.
(1)
2010 40
LP
(2)
2021 12 31 49
161.73 220
72 90.99
148 6
2021 12 31 10
15 IPO 11
4
2020
TOP100
TOP50 TOP10 2021
100 2021
2021 TOP10
– 47 –
2019
2020 2021
10.03
16.28 17.25 5.27% 7.04%
7.08% 2019 2021 31.14%
1.
(1)
2021
152
– 48 –
(2)
IPO
2019
2019 A IPO 3
15.84 8
92.93
2020
2020 A IPO 11
102.35
545.95%
10 68.47
2021
2021 12 31
A IPO 9 27.26%
130.25 17 260.28
– 49 –
IPO
IPO
2021 2020 2019
IPO 9 11 3
130.25 102.35 15.84
17 10 8
260.28 68.47 92.93
26 21 11
390.53 170.82 108.78
2.
(1)
– 50 –
(2)
2019
2019 129
875.78
2020
2020 184
1,322.02
2021
293 1,518.46
– 51 –
2021 2020 2019
130 86 44
731.55 656.81 352.71
18 11 15
113.76 75.73 94.00
26 17 23
241.80 249.03 137.10
55 14 14
142.87 71.70 147.45
64 56 33
288.50 268.75 144.52
293 184 129
1,518.46 1,322.02 875.78
– 52 –
3.
2019 3 128.80
2019 8
5
2020
2020 4
27.24
2021
2021
6 251.24
– 53 –
2019 2020 2021 -3.85
-5.79 -6.79
1.
284.01%
245.56% 272.45% 125.74% 151.06% 132.24%
2.
115
31
– 54 –
The Asset G3
3 5
2021 2020
2019
508 26% 37
61%
APP
All Funds
PB
161 72
62%
3 H IPO IPO 6
50 74
6 5
– 55 –
115 31
5
2021 5
3
3.
– 56 –
APP
AI
2020
2019
FICC
2020 2020
– 57 –
DFZQ
03958
119
100
28-29
H H
H (10) H (2.8) H
H 10.38
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A (10) A (2.8) A
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13 2021 H
A H 2022 2 23 2022
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9 7,927,252 0.11%
10 12,891,273 0.18%
3 1,571,468 0.02%
25 59,234,042 0.85%
5 84,903,622 1.21%
3 1,125,600 0.02%
2 340,800 0.005%
3 842,400 0.01%
1 174,256 0.002%
1 102,027 0.001%
1 30,400 0.0004%
163 821,588,177 11.75%
1 998,800 0.01%
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– L-26 –
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H
H 400 H 400 H
– L-27 –
H
H
H
H
H
H A
A H
H
H
H
H H
H H
H
H
– L-28 –
H H
H 2022 4 25 H
2022 5 10 2022 5 17
H H H
H H
H
H H
H 2022 5 30 H
H H
H H
H
H H
H
– L-29 –
A
A A A (10) A
A 8.46 (2.8) A
A
A
A A A
(10) A (2.8) A
A 5,966,575,803 A
A 1,670,641,224 A
A 8.46
A A A
(10) A (2.8) A
A 8.46
A
A A
A
– L-30 –
A
A A A
8.46
A 8.46 2022 4 15
A A 10.88 22.24%
A
A 2022 4 18
2022 4 19
A 2022 4 20
A A 2022 4 21 2022 4
5 27
A 2022 4 28
A A 2022 4 29
A
A
1.
2. A H
3.
4. A A 70% A
H A 2022 4 28 A
89.96%
– L-31 –
A
A
A 2022 5 14
A
A
A
A 70% A A
A 2022 4 28 A
89.96%
A
25.27%
A 29.62%
A
2022 4 28 A 89.96%
A 126
A
A 2022 4 18
(www.hkexnews.hk) (www.sse.com.cn) www.dfzq.com.cn
A A A
2022 4 14
– L-32 –
A
89.96% H
H H H
100% 100% 100%
A 5,966,575,803 85.3% 1,502,907,061 7,469,482,864 85.0%
A 4,199,053,381 60.0% 1,008,000,783 5,207,054,164 59.3%
A (1)
1,767,522,422 25.3% 494,906,278 2,262,428,700 25.8%
H 1,027,080,000 14.7% 287,582,400 1,314,662,400 15.0%
H 1,020,490,000 14.6% 285,737,200 1,306,227,200 14.9%
H (2)
6,590,000 0.1% 1,845,200 8,435,200 0.1%
6,993,655,803 100.0% 1,790,489,461 8,784,145,264 100.0%
5,219,543,381 74.6% 1,293,737,983 6,513,281,364 74.1%
1,774,112,422 25.4% 496,751,478 2,270,863,900 25.9%
(1)
(2) 1
2
1 2
(3)
8.08
8.08
– L-33 –
12
12
1.
60
2026 12 31
A
A
– L-34 –
2.
60
2023 12
31
3.
38
2023 12 31
FICC
– L-35 –
4.
10
(i) (ii)
(iii)
2022 12 31
(1) 60 (2) 60
(3) 38 (4)
10
12
2019 2020
2021
H
H
2022 5 5
– L-36 –
2019 2020 2021 12 31
(http://www.hkexnews.hk)
(http://www.dfzq.com.cn)
2020 4 23 2019 12 31 283
480
(https://www1.hkexnews.hk/listedco/listconews/sehk/2020/0423/2020042300469_c.pdf)
2021 4 21 2020 12 31 311
520
(https://www1.hkexnews.hk/listedco/listconews/sehk/2021/0421/2021042100741_c.pdf)
2022 4 20 2021 12 31 299
504
(https://www1.hkexnews.hk/listedco/listconews/sehk/2022/0420/2022042000451_c.pdf)
– I-1 –
2022 3 31
2,000
8,700
10,700
42,300
53,100
95,400
12,000
4,260
5,779
548
3,970
94
1 675
133,426
1.
– I-2 –
2022 3 31
2022 3 31
A H
2020
– I-3 –
– I-4 –
4.29
H H
2021 12 31
H
I.
2021 12 31
4.29 H
H 2021
12 31
2021 12 31
2021 12 31
H H
2021 2021 2021
12 31 2021 12 31 12 31
2021 12 31
12 31
H
1 2 3 4 5
H
10.38
287,582,400 H
58,844.33 2,423.00 61,267.33 8.41 8.41 10.32
– II-1 –
1. 2021 12 31 58,844.33
64,127.11
5,282.78 2021 12 31
2. H 2,423.00 H
10.38 287,582,400 H
8.97
3. 2021 12 31 2021 12 31
58,844.33 2021 12 31 6,993,655,803
4. H 2021 12 31
61,267.33 H
2021 12 31 7,281,238,203 1,314,662,400 H
A
5. 0.8147 1
– II-2 –
6. 2021 12 31
2021 12 31 II-1
2022
4 29 A A 2021 12 31 1,502,907,061 A
A 8.46
12,567.22 147.38 A
4 1,502,907,061 A
8,784,145,264 A
A H A A
H H 2021 H H
2021 2021 12 31 2021 2021
12 31 12 31 12 31 12 31
A
H
10.38
287,582,400
H
A
8.46
1,502,907,061
A 61,267.33 12,567.22 73,834.55 8.41 8.41 10.32
– II-3 –
II.
2022 5 5 II-1 II-2
2021 12 31
II-1
H H H 2021 12
31 2021 12 31
2021 12 31
4.29
7
7
– II-4 –
1
4.29(7)
3420
4.29
7
2021 12 31
– II-5 –
(a)
(b)
(c) 4.29(1)
2022 5 5
– II-6 –
119
119
119
119
119
119
– III-1 –
119
119
119
119
119
119
119
119
119
119
119
– III-2 –
119
119
119
119
119
119
119
119
119
119
119
– III-3 –
1970
2001 3 2008 5
2005 3 2011 4
2011 5 2020 6
2010 11 2011 11 2012 1
2014 8 2014 8 2016
12 2020 9 2021 3
1964
1992 1 1995 9
1995 10 1997 12
1997 12 2010 9 2016 3 2017 3
2010 9
2020 10 2021 3 2010 9 2022 3
2021 3
– III-4 –
1964
1995 11 2005 4
2005 5 2020 3
2012 9
2020 3
1969
06837 600837
02601
601601 1991 7 2000 9
2000 9 2008 9
2008 9 2011 4
2010 8 2011 4
2011 4 2015 2
2015 2 2015 7
2015 7 2016 9
2016 9
– III-5 –
1971
600825
1995 3 2001 2
2001 2 2002
6 2002 6 2005 4
2005 4 2009 6
2009 6 2013 3
2013 3 2013 10
2013 10
1969
02016 601916 1995 8 2001 8
2004 6 2007
2
2007 2 2010 10 2010
10 2019 10
2019 10
2020 6
– III-6 –
1961
01065
600874 1986 12 1999 8
1999 8 2001 12
2002 1 2005 5 TOM TOM
2006 3
1972
6138 2005 6 2011 6
2011 7 2012 6
2012 7 2014
2 2018 11 2015 4 2018
11 2016 1 2018 11
2017 10 2020 9
603200 2018 11
– III-7 –
1956
600000
1984 7
1977
2011 6
2015 6
2015 7 2019 11
– III-8 –
1974
50
2004 7 2009 7
2009 7 2020 4
2018 6
1969
1992 7 1995 5 1995 5 1999 2
1999 3
2015 1
2015 2
2021 9
– III-9 –
1974
1996 7
2001 1 2004 10
2004 10 2006 1
2006 1 2007 2 2007 2
2009 8 2009 8 2016 7
2015 9 2020 5
2020 5 2021 3 2021 3
2021 6
1965
02601 601601
2003 9 2006 1 2006
1 2011 4
2011 4
– III-10 –
1965
1984 7 2004
7 2004 7 2007 11
2007 11 2008 3
2008 3 2008 12 2008 12 2011 6
2011 6 2014 2
2014 2 2015 6
2015 6 2016 2
2016 2
1979
2004 4 2017 5
2017 5 2018 2
2018 2 2019 6
2019 6 2021 3
2021 3
1968
1988 12 2001 12
2001 12 2008 12
2008 12 2009 8
2009 8 2016 5
2016 5
– III-11 –
1964
1984
7 1998 6 1998 6 2017 5
2012 1 2015 8
2015 8 2020 2 2018 3 2020 2
2020 1 2020 2
1971
1997 1 1998 6 1998 6
2005 3 2005 3 2012 3
2012 3
2012 12
1979
2001 8
2005 8
2005 8 2017 1
2017 1 2020 4
2020 4
– III-12 –
1976
300059
605138
688085
688617
600846
2006 7 2011 3
2020 4 2021 4
002387 2011 3
1971
1994 7 1998 3
1998 3 2014 10
2014 10 2021 8
2017 9 2020 9 2020 9 2022 3
2021 1 2021 3 2022 3
– III-13 –
1967
1993 1 1998 10
1998 10 2004 3
2001 12 2014 4
2014 4 2019 6
2021 11 2021 11
1968
1994 3 1998 3 1998 3
2003 7 2003 7
2015 6
2015 6 2019 8
2014 5 2021 11 2015 7 2020
8 2021 11
1972
1997 7 1998 7
1998 7 2004 3
2004 3 2007 2
2007 2 2015 5
2015 6
2015 7 2017 8 2020 4
2020 6 2021 6 2021 3
– III-14 –
1970
1990 7 1997 12
1997 12 2001 10
2002 3 2007 5
2007 5 2008 12
2010 6 2011 1 2011
1 2011 8 2011 8 2011
12 2011 12 2012 10
2012 10 2014 10
2014 10
2017 9 2021 3 2021 3
1973
2002 8 2004 4
2004 5 2005 10
2005 10 2008 3
2008 3 2016 11
2014 10
2016 11 2019 11
– III-15 –
1972
1994 7 2001 6
2001 6 2002 7
2002 7 2004 3
2004 3 2009 10
2009 10 2012 11 2012 11 2021 1
2020 11 2020 12
2021 11
– III-16 –
XV 2 3
XV 2 3
336
– III-17 –
H
100
28-29
H 100
28-29
1
27
968
27
979
14
88
35
– III-18 –
H
183
17 1712-1716
119
100
28-29
119
119
– III-19 –
55
12
7088
154
25
– III-20 –
6,993,655,803
A 2022 4 28 89.96%
A A
H 1,027,080,000 14.69% 287,582,4001 1,314,662,400 14.97%
A 5,966,575,803 85.31% 1,502,907,0612 7,469,482,864 85.03%
6,993,655,803 100.00% 1,790,489,461 8,784,145,264 100.00%
1. H H 287,582,400
A
2. 2022 4 28 A
H A
H H
H
H A
– III-21 –
A
XV
(i) XV 7 8
(ii) 352
(iii)
A
XV
2 3
A H
(%) (%)
1 2 2
A 1,767,522,422(L) 29.62 25.27
3 A 345,486,596(L) 5.79 4.94
A 345,486,596(L) 5.79 4.94
3
A 345,486,596(L) 5.79 4.94
3
4 H 94,940,800(L) 9.24 1.36
4 H 94,940,800(L) 9.24 1.36
– III-22 –
A H
(%) (%)
1 2 2
4 H 94,940,800(L) 9.24 1.36
Kaiser Century Investments H 94,940,800(L) 9.24 1.36
Limited 4
H 93,991,600(L) 9.15 1.34
5
Bank of Communications H 93,991,600(L) 9.15 1.34
(Nominee) Company
Limited 5
H 93,991,600(L) 9.15 1.34
5
H 93,991,600(L) 9.15 1.34
5
BOCOM International Global H 93,991,600(L) 9.15 1.34
Investment Limited 5
H 143,821,200(L) 14.00 2.06
H 55,066,000(L) 5.36 0.79
1
2
6
– III-23 –
1. (L)
2. 6,993,655,803 A 5,966,575,803 H
1,027,080,000 A A
3.
4. Kaiser Century Investments Limited
50%
Kaiser Century Investments Limited
5. BOCOM International Global Investment Limited
Bank of
Communications (Nominee) Company Limited Bank of Communications (Nominee) Company
Limited
Bank of Communications (Nominee) Company Limited
BOCOM International Global Investment Limited
6.
1 2
336
2022 5 5
– III-24 –
2021 12 31
2021 12 31
2022
2022
2022 4 29 www.hkexnews.hk
www.sse.com.cn 2022
2021 12 31
342C
– III-25 –
(a) H
9.0
(b) A
147.4
(c)
14 (i)
www.dfzq.com.cn (ii) www.hkexnews.hk
(1)
(2)
– III-26 –