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Guotai Junan International Holdings Ltd (1788.HK)

1788.HK on Hong Kong Stock

2.44HKD
22 Feb 2018
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Summary

Name Age Since Current Position

Fung Yim

54 2012 Executive Chairman of the Board, Chief Executive Officer

Haiying Qi

34 2015 Deputy Chief Executive Officer, Executive Director

Tung Ching Wong

43 2014 Deputy Chief Executive Officer, Head - Corporate Finance and Equity Capital Markets, Executive Director

Guangjie Li

47 2017 Chief Financial Officer, Executive Director

Changhua Lai

2017 Chief Risk Officer

Zheng Yao Feng

2016 Company Secretary

Yiyong Liu

53 2017 Non-Executive Director

Lebin Xie

49 2017 Non-Executive Director

Tingmei Fu

50 2010 Independent Non-Executive Director

Ming Song

53 2010 Independent Non-Executive Director

Yiu Keung Tsang

61 2010 Independent Non-Executive Director

Biographies

Name Description

Fung Yim

Dr. Yim Fung is the Executive Chairman of the Board and Chief Executive Officer of Guotai Junan International Holdings Ltd. Dr. Yim joined Guotai Junan in 1993 and joined our Group in 2000 and is responsible for the overall business management of our Group. Dr. Yim has over 23 years experience in the securities industry. Dr. Yim is a senior economist and holds a doctorate in Economics from the Graduate School of the Chinese Academy of Social Sciences and a bachelor degree in Environmental Engineering from the Tsinghua University. Dr. Yim is also a director of Guotai Junan Holdings Limited and Guotai Junan Financial Holdings Limited which are the controlling shareholders of the Company. Dr. Yim is currently also an independent non-executive director of Beijing Urban Construction Design & Development Group Co., Limited (stock code: 1599) and a non-executive director of Shenzhen International Holdings Limited (stock code: 152), both listed on the Stock Exchange. Dr. Yim is a member of the Inner Mongolia 10th and 11th National Committee of the Chinese People’s Political Consultative Conference, PRC, and the 4th Chairman of the Chinese Securities Association of Hong Kong. Dr. Yim was appointed Justice of the Peace in July 2013.

Haiying Qi

Ms. Qi Haiying is the Deputy Chief Executive Officer, Executive Director of Guotai Junan International Holdings Limited. Between 2004 and 2012, Ms. Qi worked in Shenzhen Supervision Bureau of the China Securities Regulatory Commission on regulatory supervision of securities companies and listed companies. Ms. Qi joined Guotai Junan Securities Company Limited in April 2012, holding a post of Deputy General Manager in the Compliance Department and the Strategic Management Department respectively. Ms. Qi was appointed as executive director and Deputy Chief Executive Officer of the Company on 5 March 2015. Ms. Qi holds a master degree of Financial Economics from London School of Economics and Political Science (LSE) and a bachelor degree of International Economy and Trade from the University of International Business and Economics (UIBE) in China.

Tung Ching Wong

Mr. Wong Tung Ching is the Deputy Chief Executive Officer, Head - Corporate Finance and Equity Capital Markets, Executive Director of Guotai Junan International Holdings Ltd. Mr. Wong joined our Group in October 2000 and is responsible for the overall business and marketing matters of corporate finance and equity capital markets business of our Group. Mr. Wong obtained a master degree in Business Administration from the University of Lincolnshire & Humberside (now known as the University of Lincoln) in 2001 and a higher diploma in International Trading from the Shenzhen University in 1992.

Guangjie Li

Mr. Li Guangjie is the Chief Financial Officer, Executive Director of Guotai Junan International Holdings Ltd. Mr. Li is an executive director of the Company. Mr. Li joined our Group in November 2001 and was responsible for the supervision and management of the Group’s sales team. Mr. Li started his career at Shenzhen Jinpeng Certified Public Accountants as the deputy head of appraisal department and has over 25 years’ experience in accounting, audit, taxation and asset appraisal. Mr. Li holds a bachelor degree in Economics from the Shenzhen University and a master degree in Economics from the Central University of Finance and Economics. He is also an economist and a member of the Chinese Institute of Certified Public Accountants and a member of the Chinese Certified Tax Agents Association.

Changhua Lai

Mr. Lai Changhua is Chief Risk Officer of the Company. He is currently the executive director of the Risk Management Department of the Company. He joined the Group in October 2015. Before that, Mr. Lai held a management role in the risk management departments of several international investment banks, with over 20 years’ experience in financial markets and risk management. Mr. Lai holds a bachelor degree in Engineering from the Sichuan University, a master degree in Economics from the Nankai University and a master degree in Business Administration from the Western Sydney University (formerly known as University of Western Sydney). He is also a certified FRM (Financial Risk Manager) and PRM (Professional Risk Manager).

Zheng Yao Feng

Ms. Feng Zheng Yao Helen has been appointed as the Company Secretary of the Company, with effect from 24 February 2016. Ms. Feng has obtained a Bachelor of Laws from the City University of Hong Kong and a Master's Degree in Laws from the University College London, and was admitted as a solicitor in the High Court of Hong Kong in 2004. Ms. Feng joined the Company in 2010, being primarily responsible for legal and company secretarial matters.

Yiyong Liu

Mr. Liu Yiyong is Non-Executive Director of the Company. He is the General Manager of the Compliance Department of Guotai Junan Securities. Mr. Liu served as a senior staff member of the Securities Supervisory Division of Shenzhen Branch of the People's Bank of China from March 1994 to March 1997. From March 1997 to October 1998, he served as a principal staff member of the Non-bank Financial Institutions Department of Shenzhen Branch of the People's Bank of China. Mr. Liu was a principal staff member of the Institutions Inspection Office of Shenzhen Supervision Bureau of China Securities Regulatory Commission from October 1998 to July 2002. From April 2006 to July 2009, Mr. Liu was a staff member of the Market Division II of China Foreign Exchange Trade System. Mr. Liu was a Deputy General Manager of the Compliance Department of Guotai Junan Securities from July 2009 to June 2014 and was an executive Deputy General Manager of the Compliance Department from June 2014 to June 2015. Mr. Liu was appointed as the General Manager of the Compliance Department of Guotai Junan Securities in June 2015. Mr. Liu studied in Graduate School of the People's Bank of China from September 1991 to March 1994 and obtained a master's degree in economics. Mr. Liu obtained Master of Public Administration in the School of International and Public Affairs in the Columbia University in August 2003.

Lebin Xie

Mr. Xie Lebin is the Non-Executive Director of the Company. He is the Chief Financial Officer and concurrently the General Manager of the Planning and Finance Department of Guotai Junan Securities Co., Ltd (“Guotai Junan Securities”). Mr. Xie worked at the Investment Banking Department of Wanguo Securities Co., Ltd. from July 1993 to March 1995. Mr. Xie subsequently served as an executive director of the Investment Banking Department of J&A Securities Co., Ltd. from March 1995 to August 1999; a Deputy General Manager of the Shanghai Investigation and Auditing Department of Guotai Junan Securities from August 1999 to September 2000; a Deputy General Manager of the investigation and auditing headquarters of Guotai Junan Securities from September 2000 to January 2006; the executive Deputy General Manager of the investigation and auditing headquarters of Guotai Junan Securities from January 2006 to October 2008; the General Manager of the investigation and auditing headquarters of Guotai Junan Securities from October 2008 to February 2012; the General Manager of the Planning and Finance Department of Guotai Junan Securities from February 2012 to November 2015; and the Deputy Chief Financial Officer and the General Manager of the Planning and Finance Department of Guotai Junan Securities from November 2015 to November 2016. Mr. Xie was appointed as the Chief Financial Officer and concurrently as General Manager of the Planning and Finance Department of Guotai Junan Securities since January 2017. Mr. Xie was also appointed as the director of Guotai Junan Innovation Investment Co., Ltd since July 2012. Mr. Xie obtained a bachelor’s degree in economics from the Shanghai Fisheries University (currently known as the Shanghai Ocean University) in Shanghai in July 1990, and a master’s degree and a doctorate degree in economics from East China Normal University in Shanghai in July 1993 and June 2010, respectively. Mr. Xie was awarded the International Certified Internal Auditors’ Certificate by the International.

Tingmei Fu

Mr. Fu Tingmei is an Independent Non-Executive Director of Guotai Junan International Holdings Ltd. Dr. Fu has extensive experiences in investment, finance, law and business management. Between 1992 and 2003, he conducted many corporate finance transactions in several investment banking firms based in Hong Kong, including serving as a director of Peregrine Capital Limited, and a deputy managing director and subsequently a managing director of BNP Paribas Peregrine Capital Limited. Dr. Fu is currently engaged in private investment business. He is currently also an independent non-executive director of Beijing Enterprises Holdings Limited (stock code: 392) and CPMC Holdings Limited (stock code: 906), both listed on the Stock Exchange. Dr. Fu graduated from the University of London with a master’s degree and a doctorate degree in Law in 1989 and 1993, respectively.

Ming Song

Dr. Song Ming is an Independent Non-Executive Director of Guotai Junan International Holdings Ltd. Dr. Song has over 21 years’ experience in research of bank regulation and management, financial market, and macroeconomics. Dr. Song is the director of Centre for China Financial Research (CCFR) and a professor in Faculty of Business and Economics at the University of Hong Kong. Dr. Song holds a doctorate degree in Economics from Ohio State University, a master degree of Science in Mathematics from Huazhong University of Science and Technology and a bachelor degree of Science in Mathematics from Zhejiang University. Dr. Song is appointed as an independent non-executive director of United Laboratories International Holdings Limited (Stock code: 3933) since May 2007 and independent non-executive director of Wuzhou International Holdings Limited (stock code: 1369) since May 2013.

Yiu Keung Tsang

Mr. Tsang Yiu Keung is an Independent Non-Executive Director of Guotai Junan International Holdings Ltd. Mr. Tsang is a professional accountant and a fellow member of The Hong Kong Institute of Certified Public Accountants, The Association of Chartered Certified Accountants and The Institute of Chartered Secretaries and Administrators. Mr. Tsang was with KPMG for more than 27 years, where he was a senior banking partner until he retired from the firm in 2003. Mr. Tsang is an independent non-executive director and the chairman of the audit committee of L. K. Technology Holdings Limited (Stock code: 558), a company listed on the Stock Exchange, and China CITIC Bank International Limited, a licensed bank in Hong Kong and CITIC International Financial Holdings Limited. Mr. Tsang holds a higher diploma in Accountancy from the Hong Kong Polytechnic University (formerly the Hong Kong Polytechnic).

Basic Compensation

Name Fiscal Year Total

Fung Yim

30,367,000

Haiying Qi

--

Tung Ching Wong

14,957,000

Guangjie Li

5,778,000

Changhua Lai

--

Zheng Yao Feng

--

Yiyong Liu

--

Lebin Xie

--

Tingmei Fu

--

Ming Song

--

Yiu Keung Tsang

--
As Of  31 Dec 2014