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

briefly. B19 Are there any actions taken by the firm's leaders (partners) to promote quality in SOQM? Please provide any relevant pieces of evidence of these actions. (e.g., communication within the firm

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

respond to such changes or adjustments. 6.3 Please provide the names of the key responsible persons for these procedures and details of relevant actions. 6.4 Please describe communication methods between

actions in a timely manner? B4 Does the firm communicate the results of the inspections in a timely manner to engagement partners and other appropriate persons within the system of quality management

. 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

exclusively or principally for an audit engagement? 16 Did the firm adequately address other possible threats to independence and objectivity and take appropriate actions, including withdrawing from an