Investors 30,722.08 Individuals 8,519.57 Juristic Persons 30,938.83 2.Foreign Investors Foreign Investors 50.00 Institutions 50.00 High Net Worth Investors 00.00 Individuals 00.00 Juristic Persons 00.00 2

Notes 20,538.01 Foreign Currency Bonds 103,007.18 Basel III Subordinated Debt) 10,000.00 IC Bond 2.Foreign Juristic Persons Foreign Juristic Persons Commercial Papers Long-term Bonds Structured Notes

64,323.67 2.Long-term Debt Securities Long-term 216,062.43 Public Offerings 89,263.70 Institutions / High Net Worth Investors 117,123.80 Private Placements 9,674.93 2 Foreign Juristic Persons By Foreign

responsibilities engagement partner clearly defined and communicated to that partner? 10 Does the firm have policies and procedures regarding to the assignment of engagement teams and the level of supervision

client (e.g. financial) 6 Loan / Staff Arrangements: Are there or have there been any principals or staff seconded on a “loan staff assignment” i.e secondment If so what are their roles at the client – are

. Foreign Juristic Person Foreign Juristic Person 2.Non-Listed Companies Non-Listed Companies 1.Non-Listed Companies Non-Listed Companies Non-Listed Companies 2.Overseas Offering Overseas Offering 20,623.02 4

Companies 112,711.91 126 1.Non-Listed Companies Non-Listed Companies 112,711.91 126 Non-Listed Companies 112,711.91 126 2. Foreign Juristic Person Foreign Juristic Person 2.Non-Listed Companies Non-Listed

quality risks that require the assignment of responsibility for the appointment of engagement quality reviewer? If yes, please describe the responses and indicate who is assigned to the responsibility. Has