KEY FINANCIAL INFORMATION FOR OCTOBER 2019

ANNOUNCEMENT ON KEY FINANCIAL INFORMATION OF BUSINESS OPERATION FOR OCTOBER 2019

The board of directors and all directors of Huatai Securities Co., Ltd. (the "Company") warrant that there are no false representations and misleading statements contained in, or material omissions from, this announcement, and severally and jointly accept the responsibility for the truthfulness, accuracy and completeness of the contents of this announcement.

Pursuant to the Provisions on Strengthening the Supervision and Administration of Listed Securities Companies (as amended in 2010) promulgated by the China Securities Regulatory Commission, the key financial information of business operation of the Company for October 2019 prepared in accordance with the China Accounting Standards for Business Enterprises are hereby disclosed:

1. Scope of disclosure: The Company and its two securities subsidiaries (domestic, the same below), namely the controlling subsidiary Huatai United Securities and the wholly-owned subsidiary Huatai Asset Management Company.

2. The relevant financial information are unaudited and are all not consolidated information. Final information shall be subject to the periodic report of the Company.

3. The relevant financial information are shown in the table below:

Unit: RMB ten thousand

Note: The number is the sum of the revenue and net profits of the Company, Huatai United Securities and Huatai Asset Management Company for the month ended October 31, 2019 (minority shareholders' interests are not taken into consideration since the Company holds 99.92% equity interests of Huatai United Securities).

The Board of Directors of Huatai Securities Co., Ltd.

November 6, 2019