H
32 342C
H H
H H
H H H H
1933
6099
H (10) H (3) H
H 8.185 294,120,354 H
A (10) A (3) A
A 7.46 1,715,702,444 A
H
H 2020 7 17 H 2020 7 30 2020 8 6
H H 2020 8 11 H
H 60 68
H 80 82
H H 2020 8 12
H H H
H H
2020 7 28
H
H H H
H H
H 2020 7 17
H 2020 7 30 2020 8
6 H
2020 7 30
2020 8 6
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
2001 6D
ASIC
ASIC
2015/356 ASIC
6D.2 6D.3
ASIC
ASIC
708(8)
708(11) 9
– ii –
ASIC
ASIC 6D
6D
ASIC 708
707
6D
6D
ASIC
H /
H
H
– iii –
2017 6 14
(EU) 2017/1129
EEA
H EEA
H
EEA 1(4)
H 2014
5 15 2014 65 EU
H H
1948 25 FIEA
FIEA
H H FIEA
– iv –
H H H
H
H EEA
H 2014/65/EU
II
(EU)2017/1129
H
(i) (ii) H
CSSF Commission de Surveillance
du Secteur Financier CSSF
H
H
(a)
(b) 2017 6 14 2017/1129 1(4)
2019 7 16
4(1)
–v–
H
(a) (b)
(i)
(ii) CSSF
H
H
Comisión Nacional Bancaria y de Valores H
Ley del Mercado de Valores
Registro Nacional de Valores
Comisión Nacional Bancaria y de Valores H
H
Ley del Mercado
de Valores 8 H
– vi –
2017 6 14
(EU)2017/1129
EEA
H EEA
1(4)
H
2(e)
2014 5 15 2014/65EU 1 (1) (4)
H H
H
H 5(1)
H
H
H
H
H
H H
H
2013
– vii –
37
38
39
40
2017 6 14
(EU)2017/1129
EEA
H EEA
H
EEA 1(4)
Comisso do Mercado de Valores Mobiliários H
H
H
investidores profissionais 30 150
H
oferta particular
– viii –
H H
H H
H H
H
(i)
H (ii)
H H
H H
H H
(3)
289 SFA H
H SFA 273(1)(cd)
H
SFA 273(1)(cd)
SFA 274 275 276
– ix –
2008 71 95
2011
H
H
H
H
–x–
H
(a) 2000
86(7) (EU)2017/1129
2(e) (b)
(i) 2000 2005
19(5) (ii) 49(2)(a) (d)
(iii)
H
H
H
H
S
S
– xi –
H H
(i)
(ii) H H
(iii)
(a)
(b) (x) (y)(A)
(B) S
H
S
(iv) H H
(ii)
H H
H
H H
– xii –
A
H
H
H (852) 2862 8699
– xiii –
................................................................ 1
.......................................................... 11
............................................................ 13
............................................................ 14
................................................................ 31
.......................................................... 49
.......................................... I-1
............................. II-1
.......................................... III-1
– xiv –
2020 5 19
A A A
A
A 1.00
A A
A 2020 7 9
A A
A A (10) A
(3) A
1,715,702,444 A
A A
2020 7 7
(www.sse.com.cn) (www.hkexnews.hk)
(www.cmschina.com)
2020 7 6 H
A
–1–
H H H H
H
Best Winner Best Winner Investment Limited
1987 4
29.97%
–2–
1986 10
A H
600999 6099
–3–
622
32
(COVID-19)
[2016]21
2019 5 20 2019
2020 1 15 2020
H
–4–
H H H
H
H
H
H H
H
H H H
H
H 1.00
H 2020 7 27
H
H
H H (10) H
(3) H
294,120,354 H
H H
H H
–5–
H
H
H
H H
2020 8 11 H
H
2020 7 20
2020 8 12
–6–
H H
H
2020 7 3
H
A A
A
H H H H
A H
A H
2019 2019
A H A
2020 H
2020 A
A H
–7–
571
A H
–8–
H 8.185
A 7.46
2020 7 6
H
1933
%
2019 A 2019 5 20 2019 A
2019 H 2019 5 20 2019 H
–9–
2020 A 2020 5 19 2020 A
2020 H 2020 5 19 2020 H
1
1.0972
– 10 –
H
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 16
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 17
H H . . . . . . . . . . . . 2020 7 20
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2020 7 21
2020 7 27
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 27
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 28
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 28
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 30
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 3
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 6
H
H . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 11
H . . . . . . . . . . . . . . . . 2020 8 12
H . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 18
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 19
H
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 19
H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 8 20
– 11 –
H
H H
H
H
8
(i)
H
H
(ii)
H
H
H H
– 12 –
H
H H H
(10) H (3) H
H 980,401,180 H
H 294,120,354 H
H
H
H H 8.185
A
A A A
(10) A (3) A
A 5,719,008,149 A
A 1,715,702,444 A
A
A
A A 7.46
– 13 –
H
H
1.
2019 12 31
133
– 14 –
2.
WTO
2018
2018 4 28
49%
2020 3 13 2020 4 1
51%
3.
2017 11
– 15 –
2018 4
4.
– 16 –
– 17 –
2017 2018 2019 12 31
– 18 –
– 19 –
1.
2.
3.
4.
– 20 –
2017
2018 2019 -273.11
366.91 -11.49
– 21 –
– 22 –
2019 12 31 23.51%
19.56% 43.08%
Best Winner 44.09%
( )
– 23 –
( )
1970
( )
– 24 –
( )
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
– 25 –
( )
H
H
( )
( )
H1N1 H1N1
2020
1
– 26 –
H1N1
( ) H
H
H
H H
( ) H
H
H 8.185 2020 7 6
H 14.06
H
H
H H H
H
H
( ) A H
H 2016 10 A 2009
11 A H
A H A H
A H
A H
– 27 –
A H A H
A H H
A A
( ) H
H
H 2020 7 30 2020
8 6 H
H
H H
H
( )
H
H
H
( ) H A H H
H H
H H
A
A H
H
A H
– 28 –
( )
( )
( )
H
H H
H
( )
149.9
– 29 –
( )
H H
H
H H
H H
H H
H
H
H H
H H H
H
H
H
H H H
– 30 –
1991 8 3
1993 8 1
2002 6 28 A 2009 11 17
H 2016 10 7
12 AA
2019 12 31 256.59
42.00% 72.82
64.57 %
– 31 –
2019 12 31
7 6
7 6 8
1 4
4 9
5
7 5
1.
2019
2019 12 31
119.68 5.41%
(1)
2019 A 132.41
39.28% 0.279‰ 9.29%
– 32 –
2019
4.42% 7
APP
APP 2019 APP 302.1
27.8%
APP
2019
8,346.85 10.68%
– 33 –
2019 2018
1 108,420.56 75,046.07 44.47%
4.09% 3.95% 0.14
7 7 –
2 1,186.62 1,024.72 15.80%
133.54 143.69 –7.07%
3 258 249 9
859 820 4.76%
269.68 264.37 2.01%
16,658.46 13,202.26 26.18%
4 8,346.85 7,541.19 10.68%
19,651 17,515 12.20%
1.
2.
3. 2019 258 1 2020 2
4.
– 34 –
(2)
2019 2019 12 31
10,192.85 34.88%
7
2019
2019 12 31
514.59 33.03%
308.66% 302.85
294.68% 210.88
7.66% 344.22%
– 35 –
2019 2018
514.59 386.81 33.03%
5.05% 5.12% 0.07
302.85 388.07 –21.96%
(3)
2019
– 36 –
2019
2019 4.58%
2019 12 31
18 72 1,252 300
89% 84%
2019 (Asia
Money) H P-Chips
5
2019 2019
14.8 13.74
12.98% 7.51% 2019
12 31 23
1 8
– 37 –
2019
2019
20,586 11.49%
22,399 13.12%
WFOE
2019
25.03%
1 WFOE
1
2019
– 38 –
2.
2019
2019 12 31 18.80
17.47%
(1)
2019 IPO IPO 2018
65.29% 92.86%
IPO A
A
9,286.46 58.58% A IPO
202 2,533.67 84.28%
IPO 72 840.07
6,752.79 50.69%
2019 IPO
9
– 39 –
2019 A
7 8 1 IPO 4
1 IPO 28.65
7 3 8 8
2019 IPO 23
IPO 4 IPO
6 4
2019
IPO — IPO A —
IPO —
IPO —
IPO IPO
2019
IPO
2019 2018
141.96 12 78.76 8 80.24%
128.60 12 102.71 7 25.21%
270.57 24 181.46 15 49.11%
– 40 –
(2)
2019
26.93 18.82%
14.58
28.25%
2019
2019 4,100.92 5
2,336.82 13.03%
2
2019
2019
— 2019
— 2019
— 2019
2019
– 41 –
2019 2018
20.00 2 19.00 2 5.26%
442.79 86 680.77 106 –34.96%
1,007.97 59 1,288.48 47 –21.77%
44.85 14 51.58 16 –13.05%
88.07 27 74.90 15 17.58%
87.22 27 89.18 24 –2.20%
45.50 3 28.57 1 59.26%
2,336.82 400 2,328.80 323 0.34%
27.70 253 70.76 175 –60.85%
4,100.92 871 4,632.05 709 –11.47%
(3)
2019
2019
10,163 2.30
17.32% 8,243
1.68 3.96%
– 42 –
2019
1,878.27
2 7 11 9 2019
A
(4)
2019 4,520
17% IPO 3,129 9%
G3 3,381 27% 2019
7 1
IPO 7.5 4
8 3.4
3.
2019 12 31 18.74
35.64%
– 43 –
(1)
2019
2019 12.29
18.76 35%
2019
2019 6,872.07
3.68% 4 2,162.05
23.81%
4 2018 8
2019 2018 2019 2018
1,325.86 1,317.75 7.35 8.27
4,866.62 5,249.80 2.83 2.53
679.59 567.10 0.31 0.13
6,872.07 7,134.65 10.49 10.93
– 44 –
(2)
2019
14,882 36,468 9.74
2019
2019 1.24
6.6% 8,234 7,630.94
17.8% 29.3% 2,949 19%
2019
2019 8 4
2019
20
Grail
– 45 –
(3)
49%
2019
2019 12 31 10,668
6,217
2019
2
45%
2019
2019 12 31 5,553
3,790
2019
10
– 46 –
4.
2019
2019 A
2019 A
A
4.59%
2019 12 31 73.59
118.90%
(1)
2019
– 47 –
2019
2019
A
(2) FICC
2019
FICC 2019
(3)
2019 129 144.85
– 48 –
6099
111
8
48
H (10) H (3) H
H 8.185 294,120,354 H
A (10) A (3) A
A 7.46 1,715,702,444 A
2019 3 12 2020 7 6
2019 4 29 2020 4 29
2019 5 20 2020 5 19
2019 H 2019
– 49 –
A 2020 H 2020 A
2019 10 2020 5 H
[2019]1946 A
[2020]723
H H
2020 7 21 2020 7 27
H H 2020 7 16
H 2020 7 17 H
H 2020 7 27
H
H
2020 7 7 A
(www.hkexnews.hk) (www.sse.com.cn)
A A
A
H H
H H
H
H H H 2020
7 17 H 2020
7 30 2020 8 6
H
– 50 –
2020 7 30 2020 8 6
H H
H
H H
H
H
H H H (10) H
(3) H H 8.185
8.185 7.46
H
A H (i) 149.9
A 111.5 A
70% (ii) 149.1
A 110.7 A
70%
H H
– 51 –
H
H
H H H
(10) H (3) H
H 980,401,180 H
H 294,120,354 H
H
H
H 294,120,354
H 8.185
H H H
294,120,354 H (i)
H 30% (ii) H H
23.08%
H
H H H
(10) H (3) H
H 8.185
– 52 –
H
H
H H H
H
H H 2020 7 16 2020
7 17 H H H
2020 7 20
H 183 17 1712-1716
H
(i)
H (ii)
H H
H H
H
H
H H
– 53 –
H
H H H
H
H H
H
H H
H
H
– 54 –
H
H
H
H H
H H
H H
H
H
H
– 55 –
H
H
H H
H H
H H
H
H H
H H
(i) H H
H
H H
(ii) H H
H H
(a) (b)
H
H
H H
H H
– 56 –
H
H H H
H H
H
(i)
(ii) H
H
H
H
H
H
H H
– 57 –
H
H H
H
100 H
100 100 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 708
H
H H
(ii) H H H
H H
2014 5 15 2014/65/EU
H H
H 1(4)
– 58 –
(iii) H H H
H H
2014/65/EU
H H H
2017/1129
(iv) H H H
H H 2014/65/EU
(1) (4)
2017 6 14 2017/1129 1(4)
2019 7 16
4(1) H
H H
(v) H H H
H H
2017 6 14 2017/1129
H
H H
2017 6 14 2017/1129
(vi) H H H
H H (a)2013
37
(b) 38 (c)
39 (d)
40 H
H H
– 59 –
(vii) H H H
H H
2014 5 15 2014/65/EU
H H
H
(viii) H H
H
H H H
H H
(ix) H H H
H H (EU)2017/1129
2(e) 2000 2005 19(5)
49(2)(a) (d)
H H
H
H
– 60 –
H H H
H H H
H
i. H H
H
ii. H
H
iii.
iv.
H H
v.
a. H H
b. (x) (y)(A)
(B) S
H
vi. S H
H
vii. S
H
– 61 –
viii. H H
(ii)
H H
ix. H H
H H S
H H
x. H
a. (i) 2013
37 (ii) 38
(iii) 39
(iv) 40
b. (i) 3
(ii)
(iii)
c.
(i)
(ii)
(iii)
– 62 –
d. (i) (a)
(ii) 44
H
H
H
H H H
H
2020 8 11 H
CHINA MERCHANTS
SECURITIES CO., LTD. PAL
H
H
2020 8 19
– 63 –
H
H H H
H
H
H
H
H
2020 8 3
H H
H
H H
H H
H
H
H
H
– 64 –
H
H
H
H
H
H
(i) H
H (ii)
H H
(iii)
(iv) H H
H H
H
(a)
(b) H
H
(c)
– 65 –
H H H
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 (ii)
H H
(iii)
(iv) H H
H H
– 66 –
H
(a)
(b) H
H
(c)
H H
H H
H H
H
H H
H
H H
H
H H
H
H H
H
H
– 67 –
H H
(i)
H H (ii)
(iii)
H H
H H
H H
8
H H
i.
H
H
ii.
H
H H
H
H (852) 2862 8699
– 68 –
H
H H H
H H
H 8.185
H 8.185
1. 2020 7 6 H 14.06
41.79%
2. 2020 7 3 H 10.90
24.91%
3. 2020 7 3
H 9.21 11.09%
4. 2020 7 3
H 8.80 6.95%
5. 2020 7 3
H 8.39 2.42%
6. 2020 7 3 H 10.90
H 10.27 20.33%
7. 7.27B
(i) 16.66%
24.53 29.44
(ii) H 9.64% H
12.70 H 14.06
– 69 –
(iii) A 17.19% A
26.56 A 32.07
7.27B
H A
H A
7.27B 25
H 8.185
(i)H (ii)
(iii)
(iv) (v)
H H
H 7.97
H
H
H
H H
H H
– 70 –
H H
H H
H H
H H
H
H
H
(i) H H (ii) H
(iii) H
H H
H H
H
H H
H H
2020 8 11
CHINA MERCHANTS
SECURITIES CO., LTD. EAF
H
H
H H H
H
– 71 –
7.21(3)(b)
H
H
H H H
H
H H
H H
H
H
H H H
H H H
H H
H
H H
H
H
H
2020 8 11 H
H H
H 2020 8 19
H
H H
2020 8 19
H H
H
H 2020 8 19
– 72 –
H
100
H
H
H
H
H
H H H
H H
H
H H H
H H
H H
H
H H
H H H
H
H H
H H
– 73 –
H H H
H
H H
H
H
H
H
H
H H
H
H H
H H H
H
H
H
1.
2. H A
3.
4.
H
5. H
– 74 –
H
1 3 H
H 7.19(1)(a)
H
H
H A
A
70% A 2020
7 19 A 99.26%
H
Best Winner
67,706,400 H 1.01%
H 2019 6
17 H
130,000,000 H
670,180,950
510,336,550 A 159,844,400 H
10.00% A 8.92%
H 16.30% H
– 75 –
H
H
H H 200 H 200
H
H
H
H
H
H
H
H
H
H H
H H
– 76 –
H
H 7.19(1)(a) H
H
2020 7 6
1
2 4
6 9
1 4 7
7.19(1)(a)
H 225,855,114
H
H
H
H
– 77 –
(i)
(ii) H
H
(iii)
(iv)
(v) H
(vi)
342C
(vii)
(viii) H H
H H
– 78 –
(ix) 2020 7 28
H
H
H
(x)
(xi) A 70% A
(xii)
(xiii) H
(xiv) H
(xv)
H
H
(a) (ii) (iv) (v) (vi) (vii) (viii) (x)
(b)
– 79 –
(i)
H
H H H
(ii)
H
(iii) (A)
(B)
(C)
(D)
– 80 –
(E)
(F)
(G)
(H)
H
H
H H
– 81 –
(iv)
(v)
(vi) H
(vii) H
(viii)
(ix)
H
(x)
H
(a) (i) H H
– 82 –
(b)
H 90
(A)
(B)
(C)
(A) (B) (D)
(A) (B) (C)
(A) (B) (C)
H H
H 2020 7 17 H
2020 7 30 2020 8 6
H H H
H
H H
H
H H
H 2020 8 19 H
– 83 –
H H
H H
H
H H
H
A
A A A (10) A
A 7.46 (3) A A
A
A A A (10)
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A 5,719,008,149 A
A 1,715,702,444 A
A 7.46
A A A
(10) A (3) A A
7.46
A
A A
A
– 84 –
A
A A
A 7.46
A 7.46 2020 7 3
A 26.57 71.92%
A
A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 7
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 8
A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 9
A A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 10
A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2020 7 10
2020 7 17
A A . . . . . . . . . . . 2020 7 16
A . . . . . . . . . . . . . . . . . . . . . . . . 2020 7 17
A A . . . . . . . . . . . . . . . . . . 2020 7 20
– 85 –
A
A
1.
2. A H
3.
4.
5. A A 70% A
A
H A
A
70% A 2020
7 19 A 99.26%
A
A
A
A 70% A A
A 2020 7 19 A
99.26%
– 86 –
A
44.09%
23.514%
19.565%
A
2019 17
A
670,180,950 510,336,550 A
159,844,400 H 10.00%
A 8.92% H 16.30%
A
A 127.8
A
A 2020 7 7
(www.hkexnews.hk) (www.sse.com.cn)
A A A
2020 7 6
– 87 –
(i) (ii)
A 99.26% H
A
99.26%
A 2,886,027,221 43.08% 3,751,835,387 43.14%
H 67,706,400 1.01% 88,018,320 1.01%
A 510,336,550 7.62% 663,437,515 7.63%
H 159,844,400 2.39% 207,797,720 2.39%
H 333,300,000 4.98%* 433,290,000 4.98%*
A 2,282,623,598 34.07%* 2,954,705,989 33.98%*
H 419,550,380 6.26%* 545,415,494 6.27%*
A 40,020,780 0.60%* 52,026,381 0.60%*
A 2,322,644,378 34.67% 3,006,732,370 34.57%
H 752,850,380 11.24% 978,705,494 11.25%
3,075,494,758 45.91% 3,985,437,864 45.83%
A 5,719,008,149 85.37% 7,422,005,272 85.34%
H 980,401,180 14.63% 1,274,521,534 14.66%
6,699,409,329 100.00% 8,696,526,806 100.00%
*
– 88 –
12
12
1.
2.
3. 2019-2023
4.
– 89 –
5.
2016 10 1
(1) 105 (2)
20 (3) 20
(4) 5
2017 2018
2019
H
H
2020 7 28
– 90 –
2017 2018 2019 12 31
(http://www.hkexnews.hk)
(http://www.cmschina.com)
2018 4 24 2017 12 31
212 353
2019 4 23 2018 12 31
207 349
2020 4 26 2019 12 31
212 365
2020 6 30
25,000
6,600
31,600
5,000
24,800
33,300
14,200
47,500
– I-1 –
1
7,000
2,124
2,487
548
8,514
2 1,277
130,850
1.
2.
2020 6 30
A H
– I-2 –
IPO
+
+
+
FICC
– I-3 –
4.29
H H
2019 12 31
H
I.
2019 12 31
4.29
H H
2019 12 31
2019 12 31
2019 12 31
H H
2019
12 31 2019 2019 2019
2019 12 31 12 31 12 31
12 31
H
1 2 3 4 5
H
8.185
294,120,354 H
70,022.80 2,137.61 72,160.41 10.45 10.32 11.33
– II-1 –
1. 2019 12 31 70,022.80
85,048.32
15,025.53 2019 12 31
2. H 2,137.61
H 8.185 294,120,354 H
56.53
3. 2019 12 31 2019 12 31
70,022.80 2019 12 31 6,699,409,329
4. H 2019 12 31
72,160.41
H 2019 12 31 6,993,529,683 1,274,521,534
H A
5. 0.91037 1
6. 2019 12 31
2019 12 31
II-1
2020 7 21 A A 2019 12 31
1,702,997,123 A A 7.46
12,679.85 A 4
1,702,997,123 A
8,696,526,806 A
A
H H H A A
2019 2019 2019 H H
12 31 12 31 12 31 2019 2019
12 31 12 31
A
H
8.185
294,120,354 H
A
7.46
1,702,997,123 A
72,160.41 12,679.85 84,840.26 10.32 9.76 10.72
– II-2 –
II.
2020 7 28
II-1 II-2 2019 12 31
II-1
H H 2019
12 31 2019 12 31
2019 12 31
4.29 7
7
– II-3 –
1
4.29(7)
3420
4.29 7
2019 12 31
– II-4 –
(a)
(b)
(c) 4.29(1)
2020 7 28
– II-5 –
111
111
111
111
111
111
111
111
111
111
– III-1 –
111
111
111
111
111
111
111
111
111
111
111
– III-2 –
111
111
111
111
111
111
111
111
111
111
111
– III-3 –
52 2017 5 2019 1
2017 9 2019 1
2015 3 2017 4
2014 2 2015 3
2010 12 2014 2 2009
11 2010 12 2007 12 2009
11 1997 4 2007
12
1989 7 1994 4 2008 1
51 2017 5 2018 12
2019 7 2015 9
2017 5 2018 12
2005 12 2018 12 2015
3 2019 3 2008 3 2019 3
2014 11 2017 11 1995 6 2005 12
1993 4 1995
6 600036
3968 1992 5 1993 4
– III-4 –
1989 7 1992 6 2014 6
52 2016 6
2018 6
2017 12
2015 12 2018 9
2014 9 600036
3968 2015 9 2019 2
2016 1 2018 8
2015 11 2018 8
2013 8 2015 8 2013 6 2015 12
601866
2866 2013 5 2015 8
600026
1138 2011 5 2015 7
2011 3 2015 8
2009 12 2011 5
3698 2008 4 2011 9
000543 2007 5 2011 4
2010 11 2011 4
1990 7 2002 12
1998 6 1999 6
2008 6
– III-5 –
48 2017 6
2017 7 2019
6 601598
0598 2018 12
001872 2018 1
001965
2017 10 0144
2017 8 2019 1
601872 2017 1 2017 7
2016 5 2017 1
2014 2 2016 5
2009 9 2014 2
2008 8 2009 8
2002 8 2008 8
1993 7 2002 8
1993 2000
2002
52 2014 12
2018 8
2015 3
2017 2 2018 10 2015 3
2017 9 2019 6
601598
0598 2018 6
00144 2011 10 2015 2
2012 7 2014 6
600036 3968 2004
12 2011 10 2003 7 2003 12
– III-6 –
2000 12 2004 12
1994 3 2000 12
1991 6 1993 12
2000 9
47 2007 8
2018 12
2018 8
2018 6
2011 6
002939 2016 4 2019 2
2015 3 2019 8
2017 11 2018 9 2003 10 2016
4
2002 5 2003 10
1994 7 2010 7
– III-7 –
52 2020 3
2019 2
2017 11 2017
2 (CTO)
2017 2 2019 2 (CTO) 2010
6 2017 1
2015 7 2017
1 2005 3 2010 6
2001 8 2005 3
1993 11 2001 8
1992 8 1993 11
1989 8 1992 8 724
1989 7
50 2012 8
2016 9
2018 6
2017 8
2017 5
600896 2016 6
601866 2866 2017
12 2019 3
002401 2016 2 8
2012 2 2016 2
2006 11 2012 2
– III-8 –
2004 9 2006 11
1996 7
2004 9
1993 7 1996 7
1992 7 2002 3
1997
5 2015 12
59 2016 9
2016 5
601866 2866
2019 7 2014 3
2016 11
600036
3968 2017 3
2017 10 2020 3 2016 4
2017 6 1997 8 2014 3
600026
1138 2004 6 2014 6
601866 2866
1998 6 2001 7 2001 7 2014 4
600896
1998 4 2014 3
1998 1 2014 3
1996 1 1998 1
1991 3 1996 1
1988 3 1991 3
1987 12 1988 3
– III-9 –
1983 7 2012 1
1995 11
51 2019 7
2017 7
2017 5 2015
7 2017 1 2005 4
2017 1
2001 1 2005 4
1995 8 2001 1
1991 7 2005 7
49 2017 7
2018 1
2014 10 2017 11
2009 7 2014 2 2004 3 2009
7 1994 8 2004 3
1994 2001
– III-10 –
52 2017 7
2014 1
2008 12
2013 12 1999 9
2008 12 1999 1 1999 8
1988 7 1998 12
1988 7
44 2017 8
2000 7 2007 7
2014 7 2016 1
2015 6
2012 7
1993 7 1995 5 2001 5
65 2017 7
2008 1
2017 5 600621
2017 3
300380 2016 6
603059 2014 3
300171 2001 1 2007
12 1996 12 2000
12
1983
– III-11 –
61 2018 1
2019 4
2018 7 51
2051 2017 7
2016 4 2016 8
1998 2015
1990 1998 1987
1990
1982 1986
2002 10
51 2014 7 2008 3 2014 9
2002 3 2005 9
0133 2008 2 2014 5 2002 2 2005 7
2007 9 2013 11
2008 5 2014 5
002748 2008 4 2013 10
601166
1989 7 1993 1
– III-12 –
49 2014 7 2018 6
2015 7
002939 2017 11 2019 2
2014 11 2017 11
2010 5 2016 9
2006 10 2010 5
2003 10 2006 10
1993 7
2004 1
47 2017 6 2019 4
2014 11
2011 9
2016 5 2019 4 2014
11 2018 8 2014 11 2018
7 2014 11 2018 7
2008 6 2016 5
2002 8 2008 6 2001 5
2002 8 2000 4 2001 5
1995 7 2008 4
MBA
– III-13 –
52 2017 6 2016 1
2008 6 2016 1
2008 3 2014 6
2003 9 2008 3
2003 4 2003 9
2001 4 2003 4 1998 5
2001 4 1994 4 1998
5 1989 7 1991 9
1989 7 1994 4
49 2011 7 2019 12
2014 8 2020 2
601800
1800 2015 10
2016 3 2016 8
2017 8
2018 5 2013 7 2014 8
2011 12 2013 7
2011 4 2012 6
1994 11 2005 9
1993 6 2006 2 2016 6
2015 12
– III-14 –
47 2011 7 2014 8
2012 6
000062 2013 4
2012 6 2014 8
2011 11 2012 6 2007
1 2011 11 2008 12 2012 6
2003 10 2008 10
1994 6 1997 7
1999 5
49 2007 8 2020 6
2018 8 2020 5
2017 8 2018 8
2009 4 2017 8 2007
4 2009 4 2006 1 2007 4
2005 1 2006 1
2000 7 2005 2
2006 6
45 2009 7 2019 2
2019 7 2019 5
2019 4 2009 4 2019
2 2006 4 2009 4
1999 7
1996 7 1999 6
1999 10
– III-15 –
42 2017 5 2019 12
2019 5 2019 12 2017 12
2019 12 2017 12 2019 12
2015 5 2017 12
2014 10 2015 4 2003 9
2014 8 2000 7 2003 8
2000 6 2007 7
2004 12 2001 11 2001 11
2004 5
IIA
51 2018 12 2019 7
52 2005 11 2019 3
2019 1 2014 8 2018 12
2006 11 2013 11
2006 1 2019 1 2014 8 2014 12
2002 3 2006 3
1998 8
2001 10 1997 6 1998 8
Providian Financial Corporation
1989 7 1993 12 1996 12
2013
12
– III-16 –
55 2015 7 2019 3
2019 1 2015 1 2019 1
2014 12 2015 7 2014
1 2014 9 2013 4
2014 1 2006 2 2013 4
2003 3 2005 2
00144
1997 9 1999 4
1994 3 1997 10
1987 7 1990 4
1998 10
46 2018 11 2014 12
2014 5 2015 3 2014 6 2015 6
2007 7 2014 5 2004 5
2007 7
2013 9 2014 5 2008 7 2013 9
2008 6 2010 5 1999 6 2008 6
1998 8 1999 6
1996 6 1998 8
1996 6 2012 1
1998 5
– III-17 –
50 2018 11 2019 1
2018 1 2017 9
2016 1 2018 12 2015
7 2019 5 2008 7 2019 5
2008 4 2016 1 2013 4
2014 1 2007 7 2011 5
2006 1 2009 4 2001 8
2006 1 1999 8 2001
8 1999 1 1999
8 1996 3 1998 12
1995 5 1996 3
1992 7 1995 5
1992 6 2010 12
56 2018 12 2018
8 11 2016 11 2018 7
2015 2 2016 10
1996 7 2015 1
1989 7 1994 8
1981 9 1985 8
1989 7 1996 7
– III-18 –
51 2019 2 2018 12
2018 11 2020 6 2018
7 2019 2 2015 4 2019 8
2014 1 2015 4 2009 4
2014 1 2008 1 2009 4
2007 4 2008 1
2002 8 2007 4
1995 6 2002 4
1988 6 1992 9
1988 6 1995 6
48 2019 3 2008 4 2020 4
2008 4 2019 2
2007 6 2008 4
2000 6 2007 6
1996 10 2000 6
1994 7 1996 10
1994 7
2004 10
2011 9 EMBA
2004
– III-19 –
XV 2 3
– III-20 –
XV 2 3
336
H
8
48
88
18
A
48
– III-21 –
15
13
1
18
55
1 22 23
88
35
H
183
17 1712-1716
– III-22 –
111
8
48
(FCIS, FCS)
2012 12
111
111
7088
– III-23 –
6,699,409,329
H 980,401,180 14.63% 294,120,354 1 1,274,521,534 1 14.66%
A 5,719,008,149 85.37% 1,702,997,123 2 7,422,005,272 2 85.34%
6,699,409,329 100.00% 1,997,117,477 8,696,526,806 100.00%
1. H H
H
2. A A 99.26%
A
H A
H H
H
H A
– III-24 –
A
XV
(i) XV 7 8
(ii) 352
(iii)
A H
A 408,624 0.0061% 0.0071%
A 408,624 0.0061% 0.0071%
A 330,042 0.0049% 0.0058%
A 157,163 0.0023% 0.0027%
A 78,581 0.0012% 0.0014%
A 157,163 0.0023% 0.0027%
1
A
– III-25 –
A
XV
2 3
A H
A 2,886,027,221 43.08% 50.46%
1
H 67,706,400 1.01% 6.91%
2
A 2,886,027,221 43.08% 50.46%
3
A 1,310,719,131 19.56% 22.92%
A 510,336,550 7.62% 8.92%
4
H 159,844,400 2.39% 16.30%
5
A 418,948,014 6.25% 7.33%
– III-26 –
A H
H 333,300,000 4.98% 34.00%
H 159,844,400 2.39% 16.30%
Best Winner H 67,706,400 1.01% 6.91%
1. 100%
(23.51%) (19.56%) A
2. Best Winner 100% Best
Winner (1.01%) H
3. 23.51% 100%
(19.56%) A
43.08%
4. 100%
(6.25%)
(1.25%)
(0.10%) (0.01%) A
5.
(2.39%) H
– III-27 –
10%
10%
30%
35%
30%
18%
10%
27.5%
– III-28 –
2020 7 28
2019 12 31
2019 12 31
– III-29 –
2019 12 31
342C
(a)
– III-30 –
(a) H A
81.03
(b) A
22.00
(c)
14
15 13
(1)
(2) 2019 12 31
(3)
(4)
(5)
(6) 2019 3 12 2020 7 6
(7) 2019 4 29
(8) 2020 4 29
(9)
– III-31 –