Bank of Communications Co., Ltd. 03328 2013 9 30 2013 9 30 34 A H A 601328 H 03328 188 86-21-58766688 86-21-58798398 investor@bankcomm.com 1 2013 9 30 2013 2012 9 30 12 31 % 5,768,040 5,273,379 9.38 3,217,767 2,947,299 9.18 5,357,485 4,891,932 9.52 4,070,216 3,728,412 9.17 408,665 379,918 7.57 5.50 5.12 7.42 2013 2012 1–9 1–9 % 97,635 89,101 9.58 62,543 57,543 8.69 48,706 44,508 9.43 0.66 0.70 (5.71) 2013 2012 9 30 12 31 % % 1 1.18 1.18 2 16.47 17.91 (1.44) 3 28.01 29.86 (1.85) 4 1.01 0.92 0.09 5 217.49 250.68 (33.19) 6 10.78 11.24 (0.46) 6 13.25 14.07 (0.82) 1 2 3 4 5 6 2 2013 9 30 74,262,726,645 A 39,250,864,015 52.85% H 35,011,862,630 47.15% 403,624 A 361,318 H 42,306 10 10 1 % 19,702,693,828 26.53 2,530,340,780 14,900,761,092 20.06 2 13,886,417,698 18.70 3 4 3,283,069,006 4.42 1,877,513,451 1,246,591,087 1.68 808,145,417 1.09 439,560,439 705,385,012 0.95 705,385,012 663,941,711 0.89 439,560,439 658,467,013 0.89 219,780,219 571,078,169 0.77 1 2 2013 9 30 H 3 2013 9 30 H 13,886,417,698 (HSBC Holdings plc) 2013 9 30 H 14,135,636,613 19.03% H XV 4 2013 9 30 H 7,027,777,777 9.46% 2013 9 30 A+H 10,310,846,783 13.88% 3 10 12,618,353,049 17,172,353,048 4,553,999,999 14,900,761,092 14,900,761,092 13,886,417,698 13,886,417,698 1,405,555,555 1,405,555,555 1,246,591,087 1,246,591,087 571,078,169 571,078,169 438,686,794 438,686,794 368,584,978 368,584,978 363,956,733 363,956,733 310,678,434 310,678,434 XV 2013 9 30 336 A A 1 % % 15,148,693,8292 38.59 20.40 1,877,513,451 4.78 2.53 4 H H 1 % % 8,433,333,332 24.09 11.35 4,553,999,9992 13.01 6.13 14,135,636,613 40.37 19.03 3 2,674,232 0.01 0.004 14,138,310,845 40.38 19.04 4 HSBC Finance (Netherlands) 14,138,310,845 40.38 19.04 HSBC Bank plc 9,012,000 0.03 0.01 5 63,250 0.0002 0.0001 9,075,250 0.03 0.01 6 HSBC Holdings plc 14,147,386,095 40.41 19.05 1 2 2013 9 30 H 4,553,999,999 6.13% A 15,148,693,829 20.40% 3 62.14% H 2,674,232 H 2,674,232 H Hang Seng Bank Trustee International Limited 2,581,887 H Hang Seng Bank (Trustee) Limited 92,345 H 4 HSBC Asia Holdings BV HSBC Asia Holdings BV HSBC Asia Holdings (UK) Limited HSBC Asia Holdings (UK) Limited HSBC Holdings BV HSBC Holdings BV HSBC Finance (Netherlands) HSBC Asia Holdings BV HSBC Asia Holdings (UK) Limited HSBC Holdings BV HSBC Finance (Netherlands) 14,138,310,845 H 5 HSBC Trustee (C.I. Limited 63,250 H HSBC Trustee (C.I.) Limited HSBC Private Bank (C.I.) Limited HSBC Private Bank (C.I.) Limited HSBC Private Banking Holdings (Suisse) SA HSBC Private Banking Holdings (Suisse) SA HSBC Europe (Netherlands) BV HSBC Bank plc HSBC Europe (Netherlands) BV 94.90% HSBC Private Bank (C.I.) Limited HSBC Private Banking Holdings (Suisse) SA HSBC Europe (Netherlands) BV HSBC Bank plc HSBC Trustee (C.I.) Limited 63,250 H 6 HSBC Holdings plc HSBC Finance (Netherlands) HSBC Bank plc 3 4 5 HSBC Holdings plc 14,138,310,845 H HSBC Bank plc 9,075,250 H 2013 9 30 336 XV 5 1 26,898.50 6.58% 25,119.92 7.09% 9.93% 1.11% 1.4 8 500 100 4,177.19 20.78% 26,140.54 73.92% 5,500 12,257.06 10.15% 59.58 40.45% 119 91.94% 2,310.11 74.45% 2 13,769.34 14.78% 7,057.75 17.33% (AUM) 18,879.41 10.18% 7.56% 9.89% 17.42% 29.58% NFC IC 9,230 645 4,804.27 47.97% 2,947 244 5,514.54 42.74% 6 3 164.02 60.80% 15.00% 15.33% 9.35% 86 24 1.5 31.30% 64 11 10 78.98% 9.20 2,227.81 4,404.14 2.21 9,982.28 13.53% 3.75% 0.03 ETF ETF T+D T+D 5.59% 393.73 150% 4 14.84 9.68% 63.71 5.41% 2,688 13 30 43 8 210 2.21 62.87% 37.40% 1.53 77.66% 4.49 2.31 1.23 18.46% 14.67% 45.33% 57.13% + IC 52.57% 270.94% 137.58% 65.08% 7 20,658 8.69% 9,307 7.92% 11,351 9.32% 5 (1) 5,188.02 28.21% 1.32 8.99% 22.15 0.44 4.55% 1,593 28 26 105 161 388.79 4.66% 5,258.70 58.98% 63.35% (2) 1,180.71 28.91% 0.31 2.05% 17.06 138.27% 1.89 3.50% 845.38 26.76% 2,255.46 44.21% 483.03 17 2013 A (RQFII) 4 54.08 34.36% 5,921 54.55% 8 1 (1) 625.43 50.00 8.69% 9 30 9 2013 2012 97,635 89,101 19,501 15,543 (13,344) (10,464) 62,543 57,543 (2) 976.35 85.34 78.40% 9 2013 9 30 9 2012 9 30 9 % % 796,534 9,414 1.58 713,217 8,344 1.56 416,409 10,742 3.44 349,483 9,341 3.56 3,151,731 144,543 6.11 2,800,527 139,194 6.63 2,435,174 109,687 6.01 2,141,483 105,507 6.57 623,276 32,022 6.85 496,423 26,230 7.05 93,281 2,834 4.05 162,621 7,457 6.11 926,173 26,082 3.75 810,106 22,616 3.72 5,135,3483 187,0803 4.86 4,577,2733 176,6343 5.15 192,653 188,656 5,328,0013 4,765,9293 3,732,462 59,185 2.11 3,261,983 53,313 2.18 2,493,077 39,624 2.12 2,241,907 37,157 2.21 1,239,385 19,561 2.10 1,020,076 16,156 2.11 1,093,737 31,150 3.80 1,074,893 34,363 4.26 97,197 2,811 3.86 91,597 2,718 3.96 4,767,8973 89,4453 2.50 4,332,4133 87,5333 2.69 560,104 433,516 5,328,0013 4,765,9293 97,635 89,101 1 3 2.36 2.463 2 2.533 2.603 1 2.424 2.524 2 2.604 2.664 1 2 3 4 10 9.58% 2.36% 2.53% 10 7 2013 1–9 2012 1–9 975 95 1,070 1,787 (386) 1,401 17,464 (12,115) 5,349 3,238 228 3,466 23,464 (12,178) 11,286 7,692 (1,820) 5,872 602 (3,815) (3,213) 166 (73) 93 8,460 (5,708) 2,752 15,004 (6,470) 8,534 85.34 150.04 64.70 (3) 195.01 39.58 25.46% 15.66% 1.55 11 9 30 9 2013 2012 1,765 1,819 6,613 5,581 5,958 4,242 2,403 2,193 3,559 2,548 1,417 1,110 300 374 22,015 17,867 (2,514) (2,324) 19,501 15,543 (4) 334.85 30.78 10.12% 2.93 28.01% 0.22 (5) 133.44 28.80 27.52% 0.55% 0.06 12 (6) 137.03 7.47 5.77% 21.91% 25% 9 30 9 2013 2012 15,696 16,736 (1,993) (3,780) 2 (1) 57,680.40 4,946.61 9.38% 2013 9 30 2012 12 31 % % 3,146,980 54.56 2,879,628 54.61 998,228 17.31 879,301 16.67 867,035 15.03 816,846 15.49 536,826 9.31 520,963 9.88 5,768,040 5,273,379 32,177.67 2,704.68 9.18% 2,142.03 8.34% 13 2013 9 30 2012 12 31 % % 88,477 2.75 72,000 2.44 119,564 3.72 113,677 3.86 66,505 2.07 53,813 1.83 43,422 1.35 45,739 1.55 115,599 3.59 106,908 3.63 40,629 1.26 38,758 1.32 243,733 7.57 225,276 7.64 131,839 4.10 132,394 4.49 106,521 3.31 93,246 3.16 385,792 11.99 363,797 12.34 9,936 0.31 10,080 0.34 396,395 12.32 389,695 13.22 26,673 0.83 23,358 0.79 31,141 0.97 23,471 0.80 198,893 6.18 179,862 6.10 201,925 6.28 184,211 6.25 139,706 4.34 137,343 4.66 46,129 1.43 37,596 1.28 58,396 1.81 49,784 1.69 60,717 1.89 64,769 2.20 2,511,992 78.07 2,345,777 79.59 434,019 13.49 358,258 12.16 142,150 4.42 119,212 4.04 57,447 1.79 55,172 1.87 25,933 0.81 31,672 1.07 2,279 0.07 3,514 0.12 43,947 1.35 33,694 1.15 705,775 21.93 601,522 20.41 3,217,767 100.00 2,947,299 100.00 14 25,119.92 1,662.15 7.09% 64.23% 7,057.75 1,042.53 17.33% 1.52 21.93% 1.51% 13.95% 2013 9 30 % A 7,711 0.24 B 7,694 0.24 C 7,665 0.24 D 7,607 0.23 E 7,318 0.23 F 7,110 0.22 G 7,071 0.22 H 6,982 0.21 I 6,326 0.20 J 5,727 0.18 71,211 2.21 32.70% 20.36% 7.64% 9.20% 3.11% 2.35% 15 1.01% 0.09 217.49% 33.19 2.20% 0.10 90 2013 2012 9 30 12 31 32,547 26,995 90 29,227 20,452 % 1.01 0.92 1–8 93.61% 0.16 9–12 3.99% 0.75 13–15 0.91% 0.04 9,982.28 1,189.27 13.53% 3.75% (2) 53,574.85 4,655.53 9.52% 3,418.04 75.97% 0.25 990.68 19.45% 0.17 40,702.16 3,418.04 9.17% 66.09% 1.60 33.83% 1.65 41.24% 4.32 58.68% 4.37 16 2013 2012 9 30 12 31 2,689,850 2,523,768 1,215,250 1,254,248 1,474,600 1,269,520 1,376,934 1,199,663 462,985 444,369 913,949 755,294 3 2,821.24 105.26 1,153.04 637.33 990.00 438.66 42.45 502.68 17 4 (1) 9 30 9 2013 2012 1 1 2 9,270 56,595 8,036 57,549 3 2,681 15,925 1,905 14,730 4 17,847 115,889 18,458 111,100 5 11,716 60,881 10,059 55,164 6 6,411 28,453 4,558 24,694 7 3,089 8,570 2,594 8,392 11,529 56,024 11,933 49,050 (122,137) (117,799) 8 62,543 220,200 57,543 202,880 1 2 3 4 5 6 7 8 18 (2) 2013 9 30 2012 12 31 673,435 508,233 641,369 494,469 269,652 163,425 247,009 152,696 1,553,970 1,204,449 1,456,617 1,129,986 849,941 586,612 790,006 552,547 441,573 311,496 369,334 279,751 279,696 284,984 222,233 215,673 1,949 158,568 1,844 122,177 4,070,216 3,217,767 3,728,412 2,947,299 (3) 58.85% 2013 9 30 9 57,462 23,267 16,402 504 97,635 54,738 18,629 23,764 504 97,635 2,724 4,638 (7,362) 19 9.87% 9.87% 12.24% 411,423 393,436 411,427 393,436 510,419 491,428 9.87% 9.68% 9.87% 9.68% 12.24% 12.09% 10.78% 10.73% 13.25% 13.08% 1 20 2013 9 2013 9 30 2012 12 31 2011 12 31 % % % 3,124,154 97.09 2,851,980 96.76 2,481,585 96.87 61,066 1.90 68,324 2.32 58,179 2.27 3,185,220 98.99 2,920,304 99.08 2,539,764 99.14 13,365 0.42 13,269 0.46 9,042 0.35 13,573 0.42 9,793 0.33 8,450 0.33 5,609 0.17 3,933 0.13 4,494 0.18 32,547 1.01 26,995 0.92 21,986 0.86 3,217,767 100.00 2,947,299 100.00 2,561,750 100.00 2 FTP 21 2013 9 2013 2012 % 9 30 12 31 46.60 37.93 73.86 72.71 3 4 5 22 2013 1 % 600068 134,200,800.00 1.42 200,833,500.00 (68,451,000.00) 000979 5,657,949.32 0.87 66,264,723.10 (20,751.00) (29,786,470.11) 600094 43,851,767.21 0.66 54,990,314.92 279,814.07 (17,460,051.63) 00067 97,036,174.60 0.54 36,188,666.20 2,418,600.24 (5,613,983.82) 600757 22,397,258.16 0.27 30,294,557.28 10,389,479.58 V Visa Inc. 6,147,621.57 27,332,408.32 5,273,662.48 00658 53,065,838.63 0.59 21,189,489.00 2,633,590.29 000851 6,104,596.15 0.23 13,731,630.60 7,627,034.45 600155 *ST 19,614,012.99 0.72 9,823,500.00 1,987,005.96 600556 *ST 1,536,396.00 0.13 1,956,344.24 (138,275.64) 17,153,641.73 10,692,508.54 42,324,375.43 4,542,394.00 406,766,056.36 473,297,642.20 45,002,038.74 (88,996,614.44) 23 1 2 2 % 489,500,000.00 101,340,337 10.00 489,500,000.00 38,002,626.25 146,250,000.00 112,500,000 3.90 146,250,000.00 4,500,000.00 120,000,000.00 10.00 120,000,000.00 300,000,000.00 300,000,000 20.00 313,598,322.30 11,457,300.00 100,000,000.00 10.00 100,000,000.00 1,155,750,000.00 1,169,348,322.30 53,959,926.25 3 172,900 325,848 498,748 1,896,255.00 238,788,582 (189,687,000) 49,101,582 66,803,260.10 24 1 100,068 1,862 101,930 5.89% 643 0.64% 23,064 23.05% 20,790 20.78% 33 30 51,648 51.61% 30 40 25,039 25.02% 40 50 17,940 17.93% 50 5,441 5.44% % 7,746 7.74% 62,445 62.40% 25,205 25.19% 4,672 4.67% 100,068 100.00% 2013 2,760 2 A 37,980 2,200 40,180 A 94,820 94,820 2013 6 25 2012 25 9 30 9 30 3 9 2013 2012 2013 2012 65,692 61,292 190,781 179,495 (33,065) (30,585) (93,146) (90,394) 32,627 30,707 97,635 89,101 6,466 5,406 22,015 17,867 (860) (825) (2,514) (2,324) 5,606 4,581 19,501 15,543 23 15 84 28 (235) (308) (74) 1,066 4 307 101 333 325 103 1,013 529 1,243 777 6,269 3,561 (4,875) (3,328) (13,344) (10,464) (279) (81) (874) (488) (16,959) (15,401) (47,779) (41,667) 3 1 11 1 17,483 17,373 62,543 57,543 (3,561) (3,927) (13,703) (12,956) 13,922 13,446 48,840 44,587 (1,453) (1,366) (1,199) (219) (21) (236) (168) (16) (101) 94 (772) 77 (1,575) (1,508) (2,139) (158) (4) 6 5 (1,579) (1,502) (2,139) (153) 12,343 11,944 46,701 44,434 13,879 13,419 48,706 44,508 43 27 134 79 12,294 11,928 46,570 44,344 49 16 131 90 0.19 0.20 0.66 0.70 26 2013 2012 9 30 12 31 867,035 816,846 536,826 520,963 64,367 52,161 3,146,980 2,879,628 56,975 30,395 226,360 204,608 661,468 598,615 313 302 52,204 45,536 14,971 12,501 140,541 111,824 5,768,040 5,273,379 1,042,057 942,989 30,527 23,060 4,070,216 3,728,412 114,085 110,769 5,738 7,125 15 5 94,847 79,572 5,357,485 4,891,932 74,263 74,263 113,383 113,383 160,515 114,404 60,504 77,868 408,665 379,918 1,890 1,529 410,555 381,447 5,768,040 5,273,379 27 2012 1 1 61,886 69,465 19,033 48,240 29,299 (647) (1,841) (5) 46,372 271,802 986 272,788 44,508 44,508 79 44,587 (230) (230) 11 (219) (16) (16) (16) 77 77 77 5 5 5 (246) 77 5 44,508 44,344 90 44,434 12,377 44,200 56,577 56,577 (282) (282) (282) 74 74 375 375 (6,189) (6,189) (35) (6,224) 30 9,917 4,922 (14,869) 2012 9 30 74,263 113,383 19,063 58,157 34,221 (893) (1,764) 69,822 366,252 1,490 367,742 2013 1 1 74,263 113,383 24,790 58,157 34,309 (975) (1,876) (1) 77,868 379,918 1,529 381,447 48,706 48,706 134 48,840 (1,192) (1,192) (7) (1,199) (172) (172) 4 (168) (772) (772) (772) (1,364) (772) 48,706 46,570 131 46,701 265 265 (17,823) (17,823) (35) (17,858) 31 20,353 27,863 (48,247) 2013 9 30 74,263 113,383 24,821 78,510 62,172 (2,339) (2,648) (1) 60,504 408,665 1,890 410,555 28 9 30 9 2013 2012 62,543 57,543 13,344 10,464 46 71 (1,086) (646) 299 259 23 6 608 184 9 366 23 (48) 3,183 2,584 373 368 (11) (1) (1) 10 19 86 183 203 (25,294) (22,068) (101) (333) (9) (34) (17) (11) 2,504 2,454 178 132 (84) (28) 56,732 51,561 (55,961) (69,184) 435 (47,361) (12,191) 7,164 (279,551) (307,577) (27,543) (35,209) 99,068 95,537 7,666 3,082 341,804 357,069 1,409 10,707 519 317 (17,083) (14,535) 115,304 51,571 29 9 30 9 2013 2012 (318,930) (274,646) 202,141 204,053 84 28 24,836 21,126 (543) (594) 37 (6,722) (5,861) 134 723 (99,000) (55,134) 56,577 (282) 30,160 10,437 (1,927) (2,131) (17,823) (6,189) 265 449 (14,885) (12,803) (35) (35) (4,245) 46,023 (1,533) 109 10,526 42,569 271,598 209,635 282,124 252,204 9 30 9 2013 2012 161,903 153,856 (81,340) (78,339) 30 1 A 34 2012 (a) 2013 1 1 2013 1 1 1 1 1 1 1 (1) (2) 10 11 12 28 2011 27 2011 31 10 27 12 10 10 10 (a) (b) (c) 10 12 12 10 11 12 2012 6 12 2013 12 31 13 13 13 13 13 34 13 2013 12 31 13 32 7 7 2013 12 31 19 2011 19 2011 19 19 19 19 2011 19 2011 19 2011 2009 2011 2009 2011 1 32 1 33 32 12 2009 2011 2013 12 31 2012 12 31 (b) 2 9 9 9 2 7 1 10 12 27 1 32 1 36 1 39 1 21 1 2014 1 1 2 2015 1 1 9 9 B 34 2012 12 31 34 2 9 30 9 30 3 9 2013 2012 2013 2012 3,171 2,883 9,414 8,344 3,697 3,212 10,742 9,341 49,448 47,283 144,543 139,194 9,376 7,914 26,082 22,616 65,692 61,292 190,781 179,495 (11,471) (10,869) (31,150) (34,363) (20,615) (18,803) (59,185) (53,313) (884) (812) (2,504) (2,454) (95) (101) (307) (264) (33,065) (30,585) (93,146) (90,394) 32,627 30,707 97,635 89,101 2013 9 30 7.88 2012 9 30 5.48 2013 9 30 1.29 2012 9 30 1.32 2013 9 30 10.86 2012 9 30 6.46 9 30 9 2013 2012 7,609 6,171 18,473 16,445 26,082 22,616 35 3 9 30 9 2013 2012 1,765 1,819 6,613 5,581 5,958 4,242 2,403 2,193 3,559 2,548 1,417 1,110 300 374 22,015 17,867 9 30 9 2013 2012 455 363 1,141 755 4 9 30 9 30 3 9 2013 2012 2013 2012 450 2,113 5,588 8,223 4,425 1,215 7,756 2,241 4,875 3,328 13,344 10,464 36 5 9 30 9 30 3 9 2013 2012 2013 2012 4,675 4,689 15,085 16,092 79 181 353 390 96 95 258 254 4,850 4,965 15,696 16,736 (1,289) (1,038) (1,993) (3,780) 3,561 3,927 13,703 12,956 25% 2012 25% 25% 2012 25% 9 30 9 30 3 9 2013 2012 2013 2012 17,483 17,373 62,543 57,543 25% 4,371 4,344 15,636 14,387 4 19 39 42 (1) (858) (630) (2,084) (1,742) (2) 44 194 112 269 3,561 3,927 13,703 12,956 (1) (2) 37 6 2013 2012 9 30 9 9 30 9 2013 2012 48,706 44,508 74,263 63,261 0.66 0.70 7 2013 9 30 1,385,065 9,735 (10,226) 641,553 1,207 (1,832) 2,026,618 10,942 (12,058) 2012 12 31 904,853 4,782 (5,090) 490,258 1,696 (2,560) 1,395,111 6,478 (7,650) 38 2013 2012 9 30 12 31 1,107,938 761,104 748,328 522,860 88,234 63,733 82,118 47,414 2,026,618 1,395,111 2013 9 30 2012 12 31 2013 9 30 7,167 15 (302) 7,167 15 (302) 2012 12 31 6,845 (501) 6,845 (501) 39 2013 2012 9 30 9 30 9 9 214 (96) (213) 86 1 (10) 8 9 30 9 2013 2012 17,823 6,189 (i) (ii) 10% (iii) (iv) 2013 3 27 2013 6 25 2012 2013 273.26 203.53 2012 12 31 742.63 1 A H 0.24 178.23 2013 7 31 40 9 2013 2012 9 30 12 31 353,411 326,767 74,511 82,398 574,627 517,946 1 303,692 228,549 1 178,334 208,016 1,484,575 1,363,676 2013 2012 9 30 12 31 335 381 3,870 3,952 4,205 4,333 41 2013 2012 9 30 12 31 1 1,923 1,907 1 2 1,957 1,713 2 3 1,486 1,389 3 5 2,394 1,616 5 1,338 1,435 9,098 8,060 2013 2012 9 30 12 31 1 708 365 1 2 708 365 2 3 708 365 3 5 1,397 730 5 2,844 1,752 6,365 3,577 2013 9 30 34,399 2012 12 31 31,013 42 2013 9 30 2012 12 31 1,800 2013 2012 9 30 12 31 1,364 1,261 412 389 www.hkexnews.hk www.bankcomm.com 2013 www.sse.com.cn www.bankcomm.com 2013 10 30 * * # * * * * * * # # # # # * # 43