SENIOR MANAGEMENT

SENIOR MANAGEMENT

Bi Mingjian Chu Gang Wong King Fung Hu Changsheng Huang Zhaohui
Huang Haizhou Liang Hong Cheng Qiang Ding Wei Wu Bo
Zhang Fengwei Chen Gang Lu Xu Ma Kui Xu Yicheng
Wang Sheng Yang Xinping

Bi Mingjian (毕明建), a Director, the Chief Executive Officer and Chairman of the Management Committee of our Company. See “Board of Directors” for his profile.

Chu Gang (楚钢), aged 54, has been appointed as the Chief Operating Officer and a member of the Management Committee of our Company since April 2015. He joined the Group in May 2009 and held several positions, including a managing director of the Research Department, the Acting Head of the Capital Markets Department and Deputy Chief Operating Officer. Prior to joining the Group, he held several positions in Citigroup, including vice president, emerging market risk manager, local government bonds proprietary trader, fund manager, head of Latin America stock options trading and managing director of alternative investments from September 1993 to August 2008. He currently serves as a director of a number of the subsidiaries of our Company, including CICC HK Securities. Mr. Chu was qualified as a Chartered Financial Analyst of the CFA Institute in September 2002. He obtained a bachelor’s degree in physics from University of Science and Technology of China (中国科学技术大学) in July 1987 and a doctoral degree in theoretical physics from Northeastern University, the United States, in September 1993. He also studied at Leonard N. Stern School of Business of New York University, the United States, until June 1997.

Wong King Fung (黄劲峰), aged 49, has been appointed as the Chief Financial Officer and a member of the Management Committee of the Company since February 2017. He joined the Group in May 2016 and served as a managing director in the Firm Management Department. Mr. Wong has 25 years of working experience in Mainland China, Hong Kong, Japan and the UK, with international commercial bank, international investment bank, domestic securities firm and in public accounting firm. Before joining the Group, Mr. Wong worked in Goldman Sachs and Beijing Gao Hua Securities Company Limited from March 2000 to May 2016; during which he held a number of positions in the asset management division of Goldman Sachs (Asia) from June 2008 to May 2016, including Asia Pacific COO, Asia Pacific ex Japan COO, Head of Product Development and managing director. From December 2006 to June 2008, he was responsible for coordinating the middle and back offices as well as risk management functions at Beijing Gao Hua Securities Company Limited. From March 2000 to June 2008, he served in a number of roles, including Head of FICC Product Financial Control, Head of Equities Product Financial Control, Head of Japan Product Financial Control, the Hong Kong Financial Controller and executive director at Goldman Sachs (Asia) and Goldman Sachs Japan. From July 1997 to February 2000, Mr. Wong worked at HSBC HK as Financial Manager of Capital Markets and Financial Manager of Money Foreign Exchange Markets. From September 1991 to May 1997, Mr. Wong worked in the audit department as an auditing and accounting trainee, Assistant Manager and Manager at KPMG (UK and HK). Mr. Wong has been a member of the HKICPA and ICAEW for over 20 years. He met the professional requirements by passing the exams and going through the required trainings for the ICAEW and officially became a member and a certified accountant of ICAEW in November 1994. He met the professional requirements of the HKICPA and officially became a member and a certified accountant of the HKICPA in October 1995. He is currently a director of CICC Hong Kong. Mr. Wong obtained a Bachelor’s Degree in Mechanical Engineering from University of Bristol in June 1990.

Hu Changsheng (胡长生), aged 52, has been appointed as a member of the Management Committee of the Company since June 2017. He has been the vice chairman and president of CISC since November 2011, and the vice chairman of executive committee of CISC since July 2012. From December 1998 to December 2005, he has successively served as the deputy director of the general division of the Policy Research Office, member (at cadre level) of the Planning and Development Committee, consultant of the Institution Supervision Division, and commissioner of the Shenzhen Commissioner’s Office under the CSRC. From December 2005 to January 2008, he has served as the deputy director and director of the capital market department of Huijin. From January 2008 to November 2011, he has acted as the senior business head and capital market department director of the non-bank department of Huijin. From December 2005 to April 2010, he held the position as director, vice chairman of the board of directors and acting president of China Galaxy Securities Co. Ltd., a company listed on the Hong Kong Stock Exchange (Stock Code: 06881) and Shanghai Stock Exchange (Stock Code: 601881). From January 2007 to September 2010 he served as a director of China Galaxy Financial Holdings Company Limited. From November 2007 to January 2010 he acted as a director of China Everbright Industry Group Ltd. He also served as the vice chairman of the board of directors of China Securities Co., Ltd. from March 2011 to November 2012. He has acted as the chairman of CISC Luckystone Investment Management Co., Ltd. since November 2011. He was the chairman of CISC Changchun Venture Capital Fund Management Co., Ltd. from December 2012 to September 2015. Mr. Hu graduated with a doctor’s degree in economics from the Graduate Division of Beijing Public Finance Science Research Institute of Ministry of Finance in July 1997.

Huang Zhaohui (黄朝晖), aged 54, has been appointed as a member of the Management Committee and the Head of the Investment Banking Department of our Company since April 2015 and April 2013, respectively. He joined the Group in February 1998 and held several positions, including the Deputy Head and Co-Head of the Investment Banking Department. Prior to joining our Group, he joined China Construction Bank Corporation, a company listed on the Hong Kong Stock Exchange (Stock Code: 939) and Shanghai Stock Exchange (Stock Code: 601939), and served as a clerk of the Ningbo branch office, an assistant research officer of the department of investment research, a senior economist of the department of real estate financing, deputy director of department of international business and director of the secretariat of the general administration office from July 1988 to January 1998. He currently serves as a director of CICC HK Securities. Mr. Huang obtained a bachelor’s degree in physics from Wuhan University (武汉大学) in July 1985 and a master’s degree in economics from Renmin University of China in July 1988.

Huang Haizhou (黄海洲), aged 55, has been appointed as a member of the Management Committee and the Head of the Equities Department of our Company since April 2015 and May 2013, respectively. He joined the Group in December 2007 and held several positions, including the Co-head of the Sales and Trading Department, Chief Strategist and Co-Head of the Research Department. Prior to joining the Group, he served as a research fellow at The London School of Economics and Political Science, the United Kingdom, from January 1995 to June 1998, an economist and a senior economist at the International Monetary Fund from July 1998 to August 2005, and the chief economist and head of Greater China research of Barclays Capital from September 2005 to December 2007. He currently serves as a co-opted member of the Hong Kong Financial Services Development Council since March 2013. He currently serves as a director of a number of the subsidiaries of our Company, including CICC Hong Kong and CICC HK Securities. Mr. Huang obtained a bachelor’s degree in electrical engineering from Hefei University of Technology (合肥工业大学) in July 1983, a master’s degree in systems engineering from University of Shanghai for Science and Technology (上海理工大学) in July 1987 and a doctoral degree in business from Indiana University, the United States, in July 1994.

Liang Hong (梁红), aged 49, has been appointed as a member of the Management Committee, the Head of the Research Department and Chief Economist of our Company since April 2015, May 2013 and October 2014, respectively. She joined the Group in November 2008 and held several positions, including a managing director, the Head of the Capital Markets Department and Co-Head of the Sales and Trading Department. Prior to joining the Group, she served as an economist of the International Monetary Fund from June 1998 to August 2003 and the chief China economist, managing director, and co-head of Asia Pacific economic research of Goldman Sachs (Asia) LLC from September 2003 to November 2008. She currently serves as a director of CICC Hong Kong and CICC HK Securities. Ms. Liang obtained a bachelor’s degree in international relations from Peking University in July 1991, a master’s degree in economics from University of Denver, the United States, in June 1993 and a doctoral degree in economics from Georgetown University, the United States, in July 1998.

Cheng Qiang (程强), aged 50, has been appointed as a member of the Management Committee and the Head of the FICC Department of our Company since April 2015. He joined the Group in October 2003 and held several positions, including a Vice President of the Capital Markets Department, Co-Head of the FICC Department, Head of the Trading team, Head of the Product Division and fixed income team of the Investment Banking Department. He served as an advisor to our Company from July 2012 to June 2014. Prior to joining the Group, he served as a research staff of Advanced Technology Laboratories from January 1995 to December 1997, an associate of Barclays Capital New York from January 1998 to May 2000, a senior vice president of China Network International from June 2000 to August 2002, managing director of Global Standard Investment from September 2002 to June 2003 and vice president of ING Bank (Hong Kong) from August 2003 to September 2003. He currently serves as the chairman of CICC Futures and a director of a number of other subsidiaries of our Company, including CICC Hong Kong. Mr. Cheng obtained a bachelor’s degree in physics from the University of Mississippi, the United States, in August 1990, a master’s degree in physics and a master’s degree and a doctoral degree in economics from the University of Michigan, the United States, in August 1991, December 1993 and May 1998, respectively.

Ding Wei(丁玮), aged 58, has been appointed as a member of the Management Committee of the Company since January 2018. He currently serves as managing director and Head of private equity investment business of our Company, and CEO of CICC Capital Management Co., Ltd. From November 1987 to February 1999, Mr. Ding successively served as economist, project officer, and department manager and in other positions at the World Bank Headquarters in Washington. During such period, from March 1993 to March 1995, Mr. Ding seconded to the IMF as senior economist and chief representative of Albania. From March 1999 to September 2002, Mr. Ding served as Head of China Region in Deutsche Bank. From October 2002 to December 2010, he served in the Company as managing director, and from 2006 to 2010, as executive chairman of the investment banking committee and head of the investment banking department. From February 2011 to December 2013, Mr. Ding served as senior managing director, Head of China Region, member of the Temasek investment policy committee and member of the Temasek senior management committee at Temasek Investment Holdings in Singapore. From January 2014 to August 2015, Mr. Ding acted as a private investor and also served as director or independent director in several companies, including Hwa Bao Investments, CAR Inc., Hundsun Technologies Inc., Hikvision, First Trust Fund Management Company, etc. Prior to rejoining the Company, from September 2015 to May 2016, Mr. Ding served as a vice Chairman of Asia of the investment banking division at Morgan Stanley. Mr. Ding obtained his bachelor’s degree in finance and economics from Renmin University of China in June 1982, completed his doctoral study in economics from University of Texas at Austin as a Fulbright scholar in October 1987, and completed the World Bank executive management training program at Harvard Business School in October 1998.

Wu Bo (吴波), aged 40, has been appointed a member of the Management Committee since April 2018, and appointed as the head of Wealth Management Department of the company since February 2017. He joined the group in May 2004 and held several positions, including the head of the Sponsor Business Department, deputy head of the Growth Enterprise Investment Banking Department, member of the operations team of the Investment Banking Department and board secretary. Prior to joining the group, Mr. Wu served as, among other things, an auditor of Arthur Andersen Huaqiang Certified Public Accountants from July 1999 to June 2002 and a senior auditor of PricewaterhouseCoopers Zhong Tian LLP. from July 2002 to April 2004. Mr. Wu obtained his bachelor’s degree in economics from Peking University in July 1998.

Zhang Fengwei (张逢伟), aged 50, has been appointed as the Chief Risk Officer of our Company since June 2017. He joined the Group in April 2004 and held several positions, including Senior Associate of the Operations Department, Vice President, managing director and vice director of the Risk Management Department. From March 2011 to February 2015, he served as the chief risk officer of Zheshangjinhui Trust Co., Ltd., an associated company of the Group. Prior to joining our Group, he served as a programmer and network engineer of STONE Group from July 1991 to March 1996, and an assistant vice president of Bank One N.A. Beijing Branch from April 1996 to March 2004. Mr. Zhang obtained a bachelor’s degree in Applied Mathematics from Tsinghua University in July 1991 and a master’s degree in Economics from Peking University in July 1997.

Chen Gang (陈刚), aged 45, has been appointed as the Chief Compliance Officer and Head of the Legal and Compliance Department of our Company since August 2016. He joined the Group in April 2006 and held several positions, including the Legal Department Coordinator of our US office as well as the Chief Compliance Officer of CICC Investment Management (USA), Inc., and a Compliance Counsel in our Beijing and Hong Kong offices until January 2014. Prior to joining the Group, he served as a research associate of the Development Research Center of the State Council from August 1996 to January 2001, and a senior associate of the Broad & Bright Law Offices from September 2004 to April 2006. He served as a managing director in charge of legal and compliance matters of HOPU Investment Management Co., Ltd. from January 2014 to April 2016. He rejoined the Group in May 2016 and served as a managing director of our Compliance Department. Mr. Chen is a registered attorney of the New York State and has obtained the PRC legal professional qualification. Mr. Chen obtained his bachelor of science degree in applied chemistry and master of business administration degree from Peking University in July 1996 and July 2001, respectively. He also obtained a Juris Doctor degree from the University of Pennsylvania Law School in May 2004.

Lu Xu (吕旭), aged 64, has been appointed as the Chief Technology Officer and Head of Information Technology Department of our Company since April 2015. He joined the Group in August 2000 and was the Head of Information Technology Department until March 2014. Prior to joining the Group, he served as a software engineer of the Information Center, Ministry of Electronics Industry, from December 1984 to December 1987, a software engineer of EG&G Washington Analytical Services Center, Inc. in United States from December 1990 to May 1992, a senior software engineer of MLJ Consulting Telecommunication Engineers, Inc. in the United States from May 1992 to March 1995, principal software engineer of LCC L.L.C in the United States from March 1995 to February 1996, project manager of MCI WorldCom in United States from February 1996 to August 2000 and senior managing director of HOPU Investment Management Co., Ltd. from May 2014 to March 2015. Mr. Lu obtained a master’s degree in computer science from North China Institute of Computing Technology (华北计算技术研究所) in December 1984, and a master’s degree in computer science and technology from George Mason University, the United States, in January 1994.

Ma Kui (马葵), aged 46, has been appointed as the Financial Controller, Head of Entity and Process Department of our Company since May 2015 and September 2011, respectively. She joined the Group in April 1998 and held several positions, including the Head of the Finance Department, Head of the Market Risk Department, Head of the Planning and Analysis Department, Head of Operation Support Department, Assistant Chief Financial Officer, and chairman of the board of directors of CICC Pucheng. She was a director of CICC Jiacheng, a subsidiary of our Company, since June 2014. Prior to joining the Group, she served as, among other things, an accountant in Motorola (China) Electronics Co., Ltd. from May 1995 to August 1997. She currently serves as a director of a number of our subsidiaries, including CICC Hong Kong, CICC Jiacheng, CICC Futures, CICC HK Securities, CICC HK AM and CICC HK Futures. Ms. Ma obtained a bachelor’s degree in international economic cooperation and a master’s degree in international finance from the University of International Business and Economics (对外经济贸易大学) in June 1993 and June 1996, respectively.

Xu Yicheng (徐翌成), aged 43,has been appointed as the Secretary to the Board of Directors of our company since April 2018, and appointed as a Director of CISC since March 2018. Mr. Xu Yicheng is now the head of Strategic Development and the Office of General Affairs, and he has been appointed as Assistant President of the Company during March and April 2018. He joined the Investment Banking Department of the Company in January 2000, and was made Managing Director effective from January 2008. As one of China’s first mergers and acquisitions (M&A) professionals, he founded and led the firm’s M&A business since 2005. Mr. Xu was responsible for a large number of landmark transactions totaling more than USD 150 billion in value and led the team to secure No. 1 position on the China M&A league table for five consecutive years (2006-2010). In recent years, Mr. Xu assisted in formulating the company’s medium-and longterm strategic planning, wealth management business strategy and other significant strategies, and took the lead in accomplishing important capital operation such as the acquisition of CISC. Mr. Xu obtained a Bachelor’s degree in English from Beijing Foreign Studies University in 1997 and a Master’s degree in finance from the Graduate School of the People’s Bank of China in 2000.

Wang Sheng (王晟), aged 40, has been appointed as of Assistant President of the Company since March 2018. Mr. Wang Sheng is currently the Deputy Head and a Managing Director of the Investment Banking Department of CICC. Mr. Wang Sheng joined CICC in 2002. He successively participated in the reforms and restructurings of a number of industries, including telecommunications, finance, energy and pharmaceuticals, and led numerous landmark capital market transactions. Mr. Wang Sheng has been covering a number of leading enterprises in the domestic and overseas on a regular basis, and has been holding key management positions at the Investment Banking Department of CICC since 2010. Mr. Wang Sheng graduated from the School of Economics and Management of Tsinghua University, and obtained a Bachelor’s and a Master’s degree in 2000 and 2002, respectively.

Yang Xinping (杨新平), aged 62, has been appointed as the Assistant President of the Company since February 2017. She was the Chief Compliance Officer of the Company from December 2007 to August 2016. She joined the Company in October 1999 and had served a number of positions, including Head of the Legal Department in 2000 and Head of the Compliance Department in 2004. Prior to joining the Company, she served as a lawyer in Paul Weiss, Rifkind, Wharton and Garrison Beijing Office, C&C Law Office and held various positions with other institutions in China, Australia and the United States from February 1980 to September 1999. She served as a member of the Issuance Appraisal Committee of CSRC from January 2001 to September 2003, member of the M&A Committee of the Issuance Appraisal Committee of CSRC from March 2002 to February 2004 and member of the Disciplinary and Supervisory Committee of SAC from February 2008 to February 2012. She has served as a vice chairman of the Compliance Committee of the SAC since October 2009, member of the Compliance Committee of the Securities Association of Beijing since December 2013, and the Company’s representative of the exchange participants of the Shanghai Stock Exchange and Shenzhen Stock Exchange since December 2012. She has also been selected as an expert appraiser of the SAC for innovative business of securities firms since August 2008. Ms. Yang obtained her juris doctor degree from School of Law, University of Connecticut, the United States in May 1986, LLM from Cornell University Law School, the United States, in May 1991, diploma from the Law Extension Committee of Sydney University Law School, Australia, in May 1993, certificate from the English Language Center, Beijing Institute of International Economics and Management (北京国际经济管理学院经济英语培训中心), in January 1981, and her university study at the English Department of Shanghai Institute of Foreign Languages (上海外国语学院英语系) was completed in January 1980.