GTJAI Statement concerning its Training Program on Ethical Standards in 2021

 Provided by Legal and Compliance Department and Edited by Office of the Board, GTJAI. Published as at 23 December, 2021

Guotai Junan International Holdings Limited (“GTJAI”)’s  has successfully transformed from a “brokerage oriented” securities company to a large “Comprehensive Financial Service Provider” in the past years. Despite fast development, to improve the overall business ethics and code and standards of the Company's professional team is one of the critical foundations for GTJAI’s sustainable development in the financial service industry. The company has conducted certain compulsory training courses annually for the highest standards of business conduct, which covered Anti-Money Laundering and Counter-Terrorist Financing - (AML), Information Security and Cyber Risk Awareness and Anti-Bribery and Anti-Corruption course.

Ethical Standards Training in 2021

In 2021, a total 7 core relevant courses have been provided by GTJAI, which coverage rate of which is up to100% (coveing all employees including senior management, overseas staff, part-time, self-employed, intern, management trainee and contract workers), The training has achieved a total 2,400 hours study duration as at the 22 December 2021, which covered compliance topics such as how to handle Conflicts of Interests, be aware of Information Security and Cyber Risk, to comply with Code of Conduct, to learn Anti-Money Laundering and Anti-Corruptionpolicies.

l   Anti-Bribery and Anti-Corruption Online (Both Eng +Chi)

l   Anti-Money Laundering and Counter-Terrorist Financing (Both Eng +Chi)

l   Code of Conduct (Both Eng +Chi)

l   Compliance Induction (Both Eng +Chi)

l   New Staff Compliance Training

l   Best Execution

l   Introduction to new CRPQ (Client Risk Profiling Questionnaire)

Anti-Corruption and Anti-Money Laundering Training in 2021

Training courses on ethical standards including Anti-Bribery and Anti-Corruption Online and Anti-Money Laundering and Counter-Terrorist Financing, set as compulsory that must be taken by all employees, have achieved a completion rate of 96% and 100% respectively and close to 1500 hours of study duration.

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About GTJAI

Guotai Junan International (“GTJAI”, Stock Code: 1788.HK) is the market leader and first mover for internationalization of Chinese Securities Company as well as the first Chinese securities broker listed on the Main Board of The Hong Kong Stock Exchange through initial public offering. It has also been included in FTSE4Good Index by London Stock Exchange. Based in Hong Kong, GTJAI provides diversified integrated financial services. Core business includes seven categories of brokerage, corporate finance, asset management, loans and financing, financial products, market making and investments, which cover three dimensions including individual finance (wealth management), institutional finance (institutional investor services and corporate finance service) and investment management. GTJAI has been assigned “Baa2” and “BBB+” long term issuer rating from Moody and Standard & Poor respectively. The controlling shareholder, Guotai Junan Securities (Stock Code: 601211.SS; 2611.HK), is the comprehensive financial provider with a long-term, sustainable and overall leading position in the Chinese securities industry. For more information about GTJAI, please visit https://www.gtjai.com