About First Capital

First Capital Securities Co., Ltd. (hereinafter referred to as “the Company” or “First Capital”) is formerly known as Foshan Securities Company, which was incorporated in April 1993. The Company is headquartered in Shenzhen and has registered capital of RMB2,189 million, and more than 2,800 employees. The Legal Representative of the Company is Mr. Liu Xuemin. The Company launched its initial public offering on May 11, 2016, and its shares are listed and traded on the Shenzhen Stock Exchange. Its securities abbreviation is “First Capital” and its stock code, “002797”.

Currently, First Capital has more than 40 sales offices nationwide, and has set up branches in Beijing, Shanghai, Shenzhen and Hebei. It has four wholly-owned subsidiaries: First Capital Investment Banking Co., Ltd., First Capital Futures Co., Ltd., First Capital Investment Management Co., Ltd., and First Capital Innovative Management Corporation LTD.; controlling stakes in Truvalue Asset Management Co., Ltd.; equity stakes in Yinhua Fund Management Co., Ltd., E-Capital Transfer Co., Ltd., and China Securities Internet System Co., Ltd.. It has also teamed up with National Institution for Finance & Development, a top national-level think tank in China, to establish “Shenzhen First Capital Bond Research Institute”.

First Capital has a complete set of securities business licenses, and its scope of business covers: securities brokerage; securities investment consulting; financial advisory services related to securities trading and securities investment activities; securities underwriting (excluding stocks and bonds except small and medium-sized enterprise private placement bonds); securities proprietary business; securities asset management; margin financing and securities lending; securities investment fund sales agency; distribution of financial products. And the Company conducts its stocks and bonds (excluding small and medium-sized enterprise private placement bonds) underwriting and sponsorship business by way of its wholly-owned subsidiary FCIB, conducts its futures business by way of its wholly-owned subsidiary FC Futures, conducts its private equity fund management business and alternative investment business by way of its wholly-owned subsidiary FC Investment and FC Innovative Management, and conducts its funds management business by way of its holding subsidiary Truvalue Asset Management.

Having developed for more than two decades, from a small brokerage focused on a single business, the Company has developed into a listed securities company with distinctive business and a balanced income mix. The Company has created competitive differentiation advantages in fixed income, asset management, private equity fund management, investment banking, securities brokerage and other business areas, achieving sustainable growth.

Presently, the Company’s Fixed Income Business has developed into a specialty business with a leading market position, a complete set of business qualifications, as well as a comprehensive range of business products. The Asset Management Business has grown rapidly. The Company’s asset management department, and subsidiary, Truvalue Asset Management, have been built up strong professional capability, ample business experience, as well as investment and research teams, and have turned their investment research advantages into product and brand advantages. Meanwhile, the Company is making plans for its Private Equity Fund Management Business in the alternative energy, new materials, robotics, environmental protection, culture, biomedical and other strategic and emerging sectors. It is actively promoting cooperation with government financing platforms, large state-owned enterprises, leading listed companies in sub-sectors, as well as experts with extensive industry background to jointly set up a private equity fund management entity as well as to launch private equity funds. The Investment Banking Business already has some market influence. In particular, it has built up significant experience in corporate mergers and acquisitions, asset reorganization as well as asset securitization, and has fairly strong market competitiveness. The Securities Brokerage Business has achieved an even more comprehensive structure, and the Company has continued to develop its new sources of revenue and profit growth by way of product and business innovation. Meanwhile, the Company actively promotes innovative businesses such as share price index futures, introducing broker, direct investment, margin financing and securities lending, interest rate swap, treasury futures, stock pledged repo, securities return swap, beneficiary certificate, over-the-counter markets, electronic finance, stock options, etc.

As of December 31, 2016, the Company recorded the total assets of RMB 31.700 billion, with net assets of RMB 8.613 billion attributable to equity shareholders of the Company. In 2016, the Company recorded the total revenue of RMB 2.028 billion, with net profit of RMB 0.562 billion attributable to equity shareholders of the Company.

The Company will adhere to its core values of “integrity, enterprise and innovation”, upheld its vision to “pursue sustainable growth, and diligently create a competitive first class investment bank with a unique business model and excellent performance”. It is customer-oriented, innovation-driven, and committed to becoming a listed securities company “with fixed income characteristics that excels”, building dreams for entrepreneurs and investors, and contributing to the rise of China’s economy!

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