中信证券 www.cs.ecitic.com

Senior Management (4 individuals)

Mr. GE Xiaobo, serves as Chief Financial Officer of the Company and a member of the Communist Party Committee of the Company. Mr. GE joined the Company in 1997 and previously worked as the manager and senior manager of the investment banking department, deputy director of the A-share listing office, deputy general manager and executive director of the risk control department, head of the trading and derivatives department, planning and finance department, risk management department, and international business and fixed income department, a member of the Executive Committee and the Chief Financial Officer of the Company and the person in charge of the Shanghai Pilot Free Trade Zone Branch of the Company. Mr. GE is concurrently the director of CSI, CLSA BV, GoldStone Investment, China AMC and CITIC Securities Investment, and the executive director of CITIC Global Trade. Mr. GE was awarded a National Finance May Day Labor Medal in 2007. He obtained a Bachelor’s degree in engineering (majoring in fluid machinery and fluid engineering) in 1994 and a Master’s degree in business administration (majoring in management engineering) in 1997 from Tsinghua University.


Mr. ZHANG Guoming, serves as compliance officer, administrative head of the compliance department, legal department and supervision department of the Company. Before joining in the Company in 2010, Mr. ZHANG worked as deputy chief judge, chief judge and a member of the Judge Committee of the High People’s Court of Henan Province, and judge of the Supreme People’s Court. Mr. ZHANG obtained his master’s degree in law and doctor’s degree in law from the Renmin University of China in 1994 and 2008, respectively.


Mr. CAI Jian, serves as Chief Risk Officer of the Company and administrator head of the risk management department of the Company. Mr. CAI joined the Company in 2013. He served as a teacher in Engineering Mechanics Department of Tsinghua University; a senior technical expert of Xerox Corporation; the venture capital corporate finance project manager in Xerox; the vice president of JP Morgan Chase, and the executive general manager of UBS Investment Bank. Mr. CAI obtained a master’s degree in mechanical engineering from Tsinghua University in 1984, a master degree in chemical engineering from the University of Minnesota, US in 1994, and an MBA in finance from the University of Rochester, US in 2000. He is also a Chartered Financial Analyst (CFA) and Financial Risk Manager (FRM).

Ms. ZHENG Jing, serves as the secretary to the Board of the Company, company secretary and administrative person in charge of the Board Office. Ms. ZHENG joined the Company in 1997. She worked as an assistant in the research department, the manager of the general administration department and a team member of the A Share Listing team. Upon the establishment of the Board Office, she joined the Board Office and has been the securities representative of the Company from 2003 to 2011. Ms. ZHENG obtained a Bachelor’s degree of law in international politics in 1996 from Peking University, and has been approved by the Shenzhen Bureau of the CSRC to act as the secretary to the board of directors of a company in April 2011. Ms. ZHENG has been a joint member of The Hong Kong Institute of Chartered Secretaries since May 2011.