Climate Change Data

Environmental Metrics

ESG Focus Areas

• Green Finance
• Low-carbon Operation
• ESG Governance
• Carbon Neutrality

Environmental Achievements

• Reduced greenhouse gas emissions (specific figures provided in the appendix, showing a decrease from 1322.16 tCO2e in 2018 to 1012.46 tCO2e in 2020)
• Implemented paperless office, video conferencing, and energy-efficient equipment, resulting in decreased energy and water consumption (specific figures in appendix)
• Achieved LEED V4 Gold pre-certification for its Wuhan headquarters building.
• Recycled waste materials such as batteries, paper, and plastic bottles (quantified in appendix).

Social Achievements

• Launched various public charity actions, including planting trees and supporting finless porpoise protection (with quantified donations)
• Established a social responsibility department to oversee ESG/CSR matters.
• Introduced an ESG quantitative performance management system in 2019.
• Consistently published ESG/CSR reports since 2016.

Governance Achievements

• Established a green finance business department in 2016.
• Implemented a three-line-of-defense risk management framework.
• Established mechanisms for ESG decision-making at the board level.
• Actively participated in the establishment of the Green Securities Committee under the China Securities Association.

Climate Goals & Targets

Environmental Challenges

• Lack of effective mechanisms in existing investment channels to manage environmental risks.
• Need to mobilize more resources towards green initiatives.

Mitigation Strategies

• Established a green finance business department and risk management framework.
• Developed and implemented various green finance products and services (green bonds, ABS, equity financing).
• Actively participated in policy development and industry initiatives to promote green finance.

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Use of recycled paper and environmentally friendly materials in office supplies.

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Investment in green industries and projects.

Reporting Standards

Frameworks Used: Null

Certifications: LEED V4 Gold pre-certification (Wuhan headquarters)

Third-party Assurance: Not disclosed

UN Sustainable Development Goals

• Not disclosed

Not disclosed

Sustainable Products & Innovation

• Not disclosed

Awards & Recognition

• ESG Golden Awards - Best Responsible Enterprise in China (2020)
• Securities Company Social Responsibility Golden Bull Award (2019)
• Evergreen Award - Sustainable Development Green Award (2018)

Environmental Metrics

ESG Focus Areas

• 稳健金融
• 绿色金融
• 普惠金融

Environmental Achievements

• 纸张使用量节省约 45%
• 三个数据中心机房 PUE 值均 ≤ 1.4
• 全年回收废旧电池 3,733 枚，废纸约 2,729 公斤，塑料瓶约 1.14 万个

Social Achievements

• 党员青年志愿者驰援抗疫，捐助抗疫资金500万元，物资2,098,719件次，志愿服务时长21,795.5小时
• 收官脱贫攻坚，接续乡村振兴，帮助贫困县融资 95.8 亿元
• 客户满意度达 98.56%

Governance Achievements

• 加强党建工作，在册党员从 325 名发展到 532 名，增长约 63.7%
• 加强合规运营，全年未受到重大行政监管措施及处罚
• 完善信息管理，未发生客户隐私泄露等数据泄密事故

Climate Goals & Targets

Environmental Challenges

• 新冠肺炎疫情对公司运营和社会责任履行造成影响
• 如何更好地服务国家战略和实体经济

Mitigation Strategies

• 成立抗疫工作领导小组，积极参与疫情防控工作
• 创新扶贫模式，落实脱贫成果
• 加强与政府部门的合作，积极参与地方经济建设

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• 规范公司采购行为，加强对供应商的尽职调查和资格审查工作

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: GRI Standards, 上海证券交易所《关于加强上市公司社会责任承担工作暨发布<上海证券交易所上市公司环境信息披露指引>的通知》

Certifications: LEED v4 金级预认证（天风大厦）

Third-party Assurance: Not disclosed

UN Sustainable Development Goals

• Not disclosed

Not disclosed

Sustainable Products & Innovation

• Not disclosed

Awards & Recognition

• 中华慈善奖
• 中国企业精准扶贫优秀案例综合 50 佳
• 全国志愿者扶贫案例 50 佳
• 中国企业 ESG 金责奖·最佳责任进取奖
• 2020 中国企业 ESG 最佳案例奖
• 抗疫贡献特别奖

Environmental Metrics

ESG Focus Areas

• Party building
• Corporate Culture
• Social Responsibility
• Green Finance
• Reputation Risk Management
• ESG

Environmental Achievements

• Published the industry's first environmental information disclosure report
• Issued multiple "carbon neutral" green bonds
• Launched a carbon neutrality action plan

Social Achievements

• Established the securities industry's first "Party building leading rural revitalization workstation"
• Organized over 30 capital market training sessions in Fangxian County
• Assisted 5 companies in listing on the Wuhan Equity Exchange
• Launched the "Tianfeng Listen to Me" cultural construction series talk show
• Invested nearly 10 million yuan to build the industry's first immersive brand cultural experience center
• Carried out over 100 employee cultural activities and employee care actions

Governance Achievements

• Revised five methods and regulations, including the "Reputation Risk Management Measures"
• Promulgated the "Rules of Procedure and Evaluation Mechanism for Enterprise Culture Construction" and the "Professional Evaluation Standards for Enterprise Culture"
• Established a comprehensive supervision system including the Discipline Inspection and Supervision Department, Compliance and Legal Department, Investment Banking Internal Control Department, Audit Department, Financial Center, Human Resources Department, and Ethics Committee

Climate Goals & Targets

Environmental Challenges

• Weak penetration of corporate culture
• Uneven employee participation

Mitigation Strategies

• Further improve the system construction, establish a retrospective evaluation mechanism, and optimize the top-level design of corporate culture construction to provide institutional guarantees for the implementation, implementation, and continuous promotion of culture construction.

Supply Chain Management

Responsible Procurement

• Not disclosed

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used:

Certifications:

UN Sustainable Development Goals

• Not disclosed

Sustainable Products & Innovation

• Green bonds
• ESG investment products

Awards & Recognition

• 2021 Annual Hundred Excellent Cases of Two New Party Building
• Hubei Provincial Poverty Alleviation Advanced Individual
• China Charity Award
• Investment Service Achievement Special Award
• Wuhan Municipal Civilized Unit
• 2021 Excellent Cultural Construction Case

Environmental Metrics

ESG Focus Areas

• Environmental Protection
• Social Responsibility
• Corporate Governance

Environmental Achievements

• Reduced carbon dioxide emissions by 429 tons.

Social Achievements

• Invested 386.69 million yuan in donations and public welfare projects, benefiting 26,227 people.
• Implemented various support measures for rural revitalization in several regions.

Governance Achievements

• Established a comprehensive risk management system.
• Improved internal control system to prevent fund occupation and non-disclosure of related party transactions.

Climate Goals & Targets

Environmental Challenges

• Significant decline in self-operated business revenue due to market fluctuations and investment misjudgment.
• Non-operating fund occupation by related parties.
• Non-disclosure of related party transactions.

Mitigation Strategies

• Adjusted and optimized investment strategies, risk control, and management teams.
• Strengthened management of related party transactions, fund payments, receivables, and asset security.
• Improved risk prevention capabilities and asset security.
• Implemented measures to prevent fund occupation and non-disclosure of related party transactions.

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Not disclosed

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: Null

Certifications: Null

Third-party Assurance: Not disclosed

UN Sustainable Development Goals

• Not disclosed

Not disclosed

Sustainable Products & Innovation

• Not disclosed

Awards & Recognition

• Not disclosed

Environmental Metrics

ESG Focus Areas

• 绿色金融
• 普惠金融
• 稳健金融
• ESG

Environmental Achievements

• Not disclosed

Social Achievements

• 为乡村谋振兴，为员工谋发展，保护投资者权益，投身公益慈善、参与志愿服务，为建设美好社会贡献力量

Governance Achievements

• 修订独立董事相关公司制度及章程内容
• 完善以公司章程为核心的制度体系，在章程中优化和完善党委前置事项清单

Climate Goals & Targets

Environmental Challenges

• 受限于净资本不足的限制，业务规模已达发展瓶颈

Mitigation Strategies

• 向控股股东宏泰集团借入不超过 40 亿元次级债务，改善净资本情况

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Not disclosed

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: Null

Certifications: Null

Third-party Assurance: Not disclosed

UN Sustainable Development Goals

• Not disclosed

Not disclosed

Sustainable Products & Innovation

• Not disclosed

Awards & Recognition

• Not disclosed