Hengtai Securities Co. Ltd. had applied for, and The Stock Exchange of Hong Kong Limited had granted the company a waiver from strict compliance with the requirements of Rule 3.28 and Rule 8.17 of the Rules Governing the Listing of Securities on the Stock Exchange (the "Listing Rules") in respect of the company secretary requirement for Mr. Zhang Wei ("Mr. Zhang") of three years from the date of the Company's listing (the "Waiver Period for a period"), subject to the condition that the company engages Ms. Leung Wing Han Sharon ("Ms. Leung"), who meets the requirements under Rule 3.28 of the Listing Rules, as a joint company secretary of the company to assist Mr. Zhang in discharging his duties as a company secretary of the Company and gaining the relevant experience as required under Rule 3.28 of the Listing Rules. The Company was listed on 15 October 2015 and the Waiver will expire on 14 October 2018. Mr. Zhang was appointed as a joint company secretary of the Company with effect from March 2015. During the Waiver Period, Mr. Zhang had worked closely and jointly with Ms. Leung in the performance and discharge of the duties of a company secretary of the Company under the Listing Rules, including handling the company secretarial matters, and had attended not less than 15 hours of training relevant to a company secretary's role and duties for each of the full financial year ended 31 December 2016 and 2017 after the Company's listing. Before the expiry of the Waiver, the Company notified the Stock Exchange of the relevant experience acquired by Mr. Zhang as a joint company secretary of the company during the Waiver Period. On 4 October 2018, the Stock Exchange confirmed that Mr. Zhang is qualified to act as a company secretary of the Company under Rule 3.28 of the Listing Rules. The board of directors of the Company announced that Mr. Zhang and Ms. Leung will continue to act as the joint company secretaries of the Company after the expiry of the Waiver.
Hengtai Securities Co., Ltd. is principally engaged in the security and brokerage businesses. The Company has five business segments. The Brokerage and Wealth Management is engaged in the trading of stocks, funds, bonds and futures and the provision of investment and financing solution services. The Investment Banking is engaged in the provision of corporate finance services, including financial advisory, equity underwriting and debt underwriting services, as well as New Over-the-Counter Board-related services. The segment is also engaged in the provision of services for companies to enter into National Equities Exchange and Quotations (NEEQ) for share quotation and transfer. The Proprietary Trading is engaged in the trading of equities, bonds, funds and derivatives. The Investment Management is engaged in asset management, private equity investment and alternative investment businesses. The Other is mainly engaged in other related operations of head office.
HENGTAI SECURITIES CO., LTD. 
