Corporate Information

Hani Securities (H.K.) Limited is a registered and licensed Hong Kong securities broker and dealer of stocks and shares for retail and corporate clients. Established since 1995, it is a participant member of the Stock Exchange of Hong Kong (Broker no. 0820 and 0829) and is also a member of the Hong Kong Securities Institute.

Under the Securities and Futures Ordinance Chapter 571, the Company is licensed by the Securities and Futures Commission of Hong Kong (No. AAF432) to Deal in Securities (License Type 1), Advise on Securities (License Type 4), Advise on Corporate Finance (License Type 6), and Asset Management (License Type 9). Furthermore, Hani Securities is a participant member of the Stock Exchange of Hong Kong (Broker Numbers 0820 and 0829) licensed to directly deal in securities listed on the Stock Exchange of Hong Kong. The Company is also a corporate participant of the Hong Kong Securities Clearing Company Limited (No. B01181) where clients' shares are cleared and are held in safe custody. Hani Securities is licensed to hold client assets as defined under the Securities and Futures Ordinance.

Hani Securities serves both retail and corporate clients, and each client is looked after by a personal Account Executive or Dealer. At present the Company has 29 licensed dealers including 7 directors and responsible officers. The total turnover of Hani Securities in 2007 and 2008 were approximately HK$19.33 billion (US$2.48 billion) and HK$12.09 billion (US$1.55 billion) respectively. The Company has over 6,000 clients and roughly 2,500 of those are actively trading clients.

Hani Securities pride itself with a first class customer service, including but not limited to the provision of full electronic trading service (AMS3 BSS) placing orders directly to the Stock Exchange, online Internet trading system, real-time market information via the Internet, as well as an in-house developed Java charting system and an online payment gateway. Clients of Hani Securities also have 24/7 access to their account information via the Internet allowing them to review their trading history and account status.

Manage and Underwrite Initial Public Offerings & Placements

Hani Securities has managed and underwritten many Initial Public Offerings as well as Placements, below lists only some of the major transactions (In chronological reverse order):

• Asia Resources Holdings Limited (00899) (6 November 2009)
  as Lead-Manager, Placing of 320,000,000 new ordinary shares @HK$0.26 per Placing Share, total HK$83,200,000.00
• 21 Holdings Limited (01003) (8 May 2009)
  as Lead-Manager. Placing of 25,300,000 new ordinary shares @HK$0.15 per Placing Share, total HK$3,795,000.00
• 21 Holdings Limited (01003) (20 March 2009)
  as Lead-Manager. Placing of 130,000,000 new ordinary shares @HK$0.15 per Placing Share, total HK$19,500,000.00
• Benefun International Holdings (01130) (23 January 2009)
  as Lead-Manager. Private placement of 100,000,000 ordinary shares @HK$0.052 per Placing Share, total HK$5,200,000.00
• Benefun International Holdings (01130) (23 July 2008)
  as Independent Financial Adviser. Refreshment of General Mandate to issue shares.
• Hycomm Wireless Limited (00499) (10 October 2007)
  as Lead-Underwriter. Placing of 5% 3 years secured Convertible Notes in the aggregate amount of HK$60,000,000.00
• Hycomm Wireless Limited (00499) (10 October 2007)
  as Lead-Underwriter. Placing of 5% 3 years secured Convertible Notes in the aggregate amount of HK$240,000,000.00
• GFT Holdings Limited (01003) (24 August 2007)
  as Sub-Underwriter. Placing of GFT Top-Up old shares of 63,000,000 shares @0.128 per share (Placing Price).
• Cardlink Technology Group Limited (08066) (14 August 2007)
  as Lead-Underwriter. Placing of 50,000,000 new ordinary shares @HK$0.67 per Placing Share.
• Hycomm Wireless Limited (00499) (27 July 2007)
  as Lead-Underwriter. Placing of 320,000,000 new ordinary shares @HK$0.126 per share.
• Climax International Limited (00439) (27 April 2007)
  as Underwriter. Placing of existing shares and subscription for new shares 33,000,000 shares @HK$0.18 per share.
• Climax International Limited (00439) (16 April 2007)
  as Underwriter. Placing of existing shares and subscription for new shares 33,000,000 shares @HK$0.171 per share.
• Climax International Limited (00439) (7 February 2007)
  as Underwriter. Open Offer of New Shares to qualifying shareholders on the basis of five open offer shares for every six shares held on the record date at HK$0.10 per open offer share payable in full on application not more than 286,468,129 Open Offer Shares @HK$0.10 per share.
• GFT Holdings Limited (01003) (24 January 2007)
  as Lead-Underwriter. Placing of 340,000,000 Consolidated Notes amount up to HK$34,000,000.00 @HK$0.10 each.
• GFT Holdings Limited (01003) (24 January 2007)
  as Lead-Underwriter. Placing of up to 850,000,000 New Shares amount up to HK$34,000,000.00 @HK$0.04 per share.
• GFT Holdings Limited (01003) (10 October 2006)
  as Lead-Underwriter. Placing of up to 300,000,000 existing ordinary shares @0.04 per share.
• Climax International Limited (00439) (17 July 2006)
  as Underwriter. Placing of existing ordinary share 38,000,000 shares @HK$0.21 per share.
• New Smart Holdings Limited (00091) (11 July 2006)
  as Underwriter. Placing of existing share and top-up subscription of new shares 15,000,000 shares @ HK$0.45 per share.
• New Smart Holdings Limited (00091) (5 July 2006)
  as Underwriter. Placing of existing share and top-up subscription of new shares 17,000,000 shares @ HK$0.45 per share.
• New Smart Holdings Limited (00091) (10 May 2006)
  as Underwriter. Placing of existing share and top-up subscription of new shares 120,000,000 shares @HK$0.25 per share.
• Vertex Communications & Technology Group Limited – Shares (9 October 2002)
  as Co-Lead Manager & Underwriter. Placing of 123,050,000 new Shares of par value HK$0.01 each of Vertex shares at a price of HK$0.40 per Share. Kingsway Capital Limited as Sponsor.
• Huafeng Environmental Protection Textile International Group Limited – Shares (20 August 2002)
  as Underwriter. Placing and new issue of 160,000,000 Shares of par value HK$0.01 each of Huafeng shares at a price of HK$0.50 per Share. Deloitte & Touche Corporate Finance Limited as Sponsor.
• TradeEasy Holdings Limited – Shares (26 February 2002)
  as Co-manager. Placing of 100,000,000 Shares of par value HK$0.10 each of TradeEasy Holdings Limited at a placing price of HK$0.50 per Share. Hantec Capital Limited as Sponsor.
• Hudson Holdings Limited - Shares (23 November 1999)
  as Underwriter. New issue and placing of 75,000,000 Shares of par value HK$0.10 each of Hudson Holdings Limited at an issue price of HK$1.00 per Share. CSC Asia Limited, AMS Corporate Finance Limited, and Emperor Capital Limited as Sponsors.
• Shandong International Power Dev. Co. Ltd. - Shares (30 June 1999)
  as Co-Manager. New issue and placing of 1,275,018,000 H-Shares of nominal value RMB1.00 each of Shandong International Power Dev. Co. Ltd. at an issue price of HK$1.58 per H-Share. Goldman Sachs (Asia) L.L.C. as Sponsor.
• CATIC Shenzhen Holdings - Shares (16 September 1997)
  as Co-Lead Manager. New issue and placing of 220,000,000 H-Shares of nominal value RMB1.00 each of CATIC Shenzhen Holdings Limited at an issue price of HK$1.73 per H-Share. China Development Finance Co (H.K.) Limited as Sponsor.
• Beijing Enterprises Holdings - Warrants (16 September 1997)
  as Co-Manager. Private placing of 40,000,000 Call Warrants 1997-1998 relating to the existing issued ordinary shares of HK$0.10 each of Beijing Enterprises Holdings Limited issued by Indosuez W.I. Carr (Derivatives) Limited.
• Beijing Enterprises Holdings - Warrants (12 September 1997)
  as Co-Manager. Private placing of 34,750,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.10 each of Beijing Enterprises Holdings Limited issued by Robert Fleming & Co Limited.
• China Resources Enterprise - Warrants (1 September 1997)
  as Major Selling Agent. Private placing of 63,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$1.00 each of China Resources Enterprise Limited issued by Indosuez W.I. Carr (Derivatives) Limited.
• Amoy Properties - Warrants (26 August 1997)
  as Manager. Placing of 298,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$1.00 each of Amoy Properties Limited issued by The Bear Stearns Companies Inc.
• China Merchants Holdings & COSCO Pacific - Basket Warrants(15 August 1997)
  as Major Selling Agent. Private placing of 260,000,000 Basket Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.10 each of China Merchant Holdings (International) Company Limited and HK$0.10 each of COSCO Pacific Limited issued by Indosuez W.I. Carr (Derivatives) Limited.
• Hutchison Whampoa - Warrants (11 August 1997)
  as Major Selling Agent. Private placing of 41,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.25 each of Hutchison Whampoa Limited issued by SGA Societe Generale Acceptance N.V.
• Winsan (China) Investment - Shares (11 July 1997)
  as Manager. New issue and placing of 250,000,000 Shares of HK$0.10 each at HK$2.01 per Share. China Development Finance Co (H.K.) Limited as Sponsor.
• Swire Pacific - Warrants (4 July 1997)
  as Co-Manager. Private placing of 350,000,000 Call Warrants 1997-1998 relating to existing issued ordinary 'A' shares of HK$0.60 each of Swire Pacific Limited issued by Indosuez W.I. Carr (Derivatives) Limited.
• HSBC Holdings - Warrants (2 July 1997)
  as Co-Manager. Private placing of 25,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$10.00 each of HSBC Holdings Limited issued by Indosuez W.I. Carr (Derivatives) Limited.
• Beijing Yanhua Petrochemical - Shares (17 June 1997)
  as Co-Manager. New issue of 1,012,000,000 H-Shares, par value RMB1.00 each, of which 101,200,000 H-Shares are being offered in Hong Kong at HK$2.25 per H-Share. Bear Stearns Asia Limited and SBC Warburg as Joint Sponsors.
• Jiangxi Copper - Shares (2 June 1997)
  as Co-Manager. Placing and new issue of 628,212,000 H-Shares of nominal value RMB1.00 each at a New Issue Price of not more than HK$2.72 per H-Share. Merrill Lynch Far East Limited as Sponsor.
• Beijing Enterprises Holdings - Shares (20 May 1997)
  as Co-Manager. Public offer and placing of 150,000,000 Shares of par value HK$0.10 each at HK$12.48 per Share. Peregrine Capital Limited and Morgan Stanley Asia Limited as Joint Sponsors.
• Shanghai Industrial Holdings - Warrants (16 May 1997)
  as Co-Manager. Private placing of 45,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.10 each of Shanghai Industrial Holdings Limited issued by Robert Fleming & Co Limited.
• Guangdong Investment - Warrants (13 May 1997)
  as Co-Lead Manager. Private placing of 300,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.50 each in the capital of Guangdong Investment Limited issued by Citibank N.A.
• CITIC Pacific, Guangdong Investment, Ng Fung Hong, Guangnan (Holdings), China Resources Beijing Land, China Aerospace, and China Everbright-IHD Pacific - Basket Warrants (3 March 1997)
  as Co-Manager. Private placing of 300,000,000 Basket Call Warrants 1997-1998 relating to a basket of existing issued ordinary shares of HK$0.40 each of CITIC Pacific Limited, HK$0.50 each of Guangdong Investment Limited, HK$0.10 each of Ng Fung Hong Limited, HK$0.10 each of Guangnan (Holdings) Limited, HK$0.10 each of China Resources Beijing Land Limited, HK$1.00 each of China Aerospace International Holdings Limited, and HK$1.00 each of China Everbright -IHD Pacific Limited issued by Citibank N.A.
• Henderson Land Development - Warrants (31 January 1997)
  as Co-Manager. Private placing of 125,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$2.00 each of Henderson Land Development Company Limited issued by Robert Fleming & Co Limited.
• Guangdong Investment - Warrants (17 January 1997)
  as Co-Manager. Private placing of 600,000,000 Call Warrants 1997-1998 relating to existing issued ordinary shares of HK$0.50 each of Guangdong Investment Limited issued by Robert Fleming & Co Limited.
• China Resources Enterprise - Warrants (20 December 1996)
  as Co-Manager. Private placing of 175,000,000 Call Warrants 1997 relating to existing issued ordinary shares of HK$1.00 each of China Resources Enterprises Limited issued by Robert Flemming & Co Limited.
• Shanghai Industrial Holdings - Warrants (2 December 1996)
  as Co-Manager. Private placing of 124,000,000 Call Warrants 1996-1997 relating to existing issued ordinary shares of HK$0.10 each in the capital of Shanghai Industrial Holdings Limited issued by Citibank N.A.
• Pearl Oriental Holdings - Warrants (28 October 1996)
  as Major Placing Agents. Private placing of 500,000,000 Warrants 1996-1998 being warrants in registered form to subscribe for shares in the capital of Pearl Oriental Holdings Limited. Goodwill Capital Limited as Sponsor.

Management Personnel

Directors and/or Responsible Officers:	Mr. CHEUNG Kai Kwong Livan Ms. CHEUNG Suk Ying Karina Mr. CHUNG Tak Ming Mr. SO Chak Ming Mr. WAN Ming Kwan Ronald Mr. YEUNG Yiu Bong Anthony Mr. YU Kwan Lung
Settlement and Accounts:	Ms. LEUNG Suk Han Ms. CHAN Wing Ka
Information Management System:	Miss TSANG Kong Kit Mr. TSE Shing Hang