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2002

Obtained the CSRC’s approval for inauguration and License for Securities Business

Completed the registration with Henan Administration for Industry & Commerce,

marking our formal incorporation


2003

Acquired securities business-related assets from Henan Securities Co., Ltd. (河南證券

有限責任公司, “Henan Securities”) and the treasury bonds sales departments of Zhumadian

Municipal Finance Bureau, Mengzhou Municipal Finance Bureau and Xuchang

Municipal Finance Bureau, respectively

Obtained the qualifications for entrusted asset management

Obtained the qualifications as a lead underwriter for stocks


2004

Registered as a sponsor upon approval by the CSRC

Obtained the qualifications as a sales agency for open-ended funds

Obtained the qualifications as a securities dealer for “SSE 50ETF” financial products

in China

Obtained the qualifications to conduct online entrusted securities trading

Obtained the qualifications to participate in treasury bond repurchase on the Shanghai 

Stock Exchange


2005

Became one of the first securities firms rated “standard” (規範類證券公司)

Qualified to act as a sponsor for equity division reform of listed companies

Became a price consultation target in the IPO of the SAC and obtained the

qualifications to deal in warrants


2007

Acquired Central China Futures and increased its share capital, and expanded our

business scope to include the provision of commodity futures brokerage and financial

futures brokerage services

Obtained the approval for the implementation of the scheme of third-party custody of

client’s transaction settlement funds