Climate Change Data

Environmental Metrics

ESG Focus Areas

• Environmental Protection
• Employment and Labour Practice
• Compliance with Laws and Regulations
• Customer Services
• Community Engagement

Environmental Achievements

• Reduced paper consumption through e-statements and other initiatives.
• Implemented energy-efficient measures in the workplace (LED lighting, optimized air conditioning).

Social Achievements

• Organized staff activities to foster a harmonious working environment.
• Provided health check program for employees.
• Complied with all relevant employment ordinances.
• Supported employees in professional training and development.
• Participated in Oxfam Trailwalker to raise funds for charity.

Governance Achievements

• Complied with all applicable laws and regulations, including the Securities and Futures Ordinance and related rules.
• Implemented a whistleblowing policy to address business irregularities.
• Complied with anti-money laundering laws and regulations.

Climate Goals & Targets

Environmental Challenges

• Not disclosed

Mitigation Strategies

• Not disclosed

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

• Employee-related issues
• Customer privacy protection
• Anti-corruption and anti-money laundering
• Customer service
• Environmental protection
• Community engagement

Environmental Achievements

• Reduced energy consumption (electricity) from 30,225 kWh in 2018 to 29,056 kWh in 2019.
• Reduced paper waste from 0.9 tons in 2018 to 0.89 tons in 2019.
• Reduced total greenhouse gas emissions from 28,198 kg CO2e in 2018 to 27,214 kg CO2e in 2019.
• Implemented energy-efficient measures such as LED lighting, optimized air conditioning, and a 'think before you print' campaign.

Social Achievements

• Maintained a workplace free from discrimination and harassment.
• Provided competitive remuneration and annual staff appraisals.
• Organized staff activities to promote work-life balance.
• Complied with relevant Hong Kong employment ordinances.
• Provided general medical insurance to employees.
• Conducted in-house training on anti-money laundering and other relevant topics.
• No work-related fatalities or lost days due to work injury in 2018 and 2019.
• No customer complaints in 2018 and 2019.
• Adhered to the Personal Data (Privacy) Ordinance.

Governance Achievements

• Adopted a whistleblowing policy to address business irregularities.
• Complied with anti-money laundering laws and regulations.
• No concluded legal cases regarding corrupt practices in 2018 and 2019.
• Complied with the Securities and Futures Ordinance and related regulations.

Climate Goals & Targets

Environmental Challenges

• Minimizing environmental impact from office operations.
• Maintaining employee well-being and work-life balance.
• Ensuring compliance with evolving regulations.

Mitigation Strategies

• Implemented energy-saving measures and paper reduction initiatives.
• Organized staff activities and provided medical insurance.
• Conducted regular training on relevant laws and regulations.

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Evaluation of supplier quality, experience, and track record

Climate-Related Risks & Opportunities

Physical Risks

• Not disclosed

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: GEM Listing Rules

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

• Employee-related issues
• Customer privacy protection
• Anti-corruption and anti-money laundering
• Customer service

Environmental Achievements

• Reduced paper waste from 0.89 tons in 2019 to 1.12 tons in 2020 (increase, not reduction)
• Reduced electricity consumption from 29,056 kWh in 2019 to 28,287 kWh in 2020
• Implemented energy-efficient measures such as LED lighting and optimized air conditioning

Social Achievements

• Maintained a workplace free from discrimination and harassment
• Provided competitive remuneration and annual staff appraisal
• Organized staff activities to promote work-life balance
• Complied with relevant Hong Kong employment ordinances
• Provided general medical insurance to employees
• Conducted in-house training on anti-money laundering and other relevant topics
• No work-related fatalities or lost days due to work injury in 2020

Governance Achievements

• Adopted a whistleblowing policy
• Complied with anti-money laundering and counter-terrorist financing laws and regulations
• Conducted staff training on AML and CTF
• No confirmed incidents of bribery, corruption, fraud, money laundering or terrorist financing

Climate Goals & Targets

Environmental Challenges

• Potential natural disasters or adverse weather affecting operations

Mitigation Strategies

• Business contingency plan in place to minimize operational disruptions
• Staff handbook outlines work arrangements during typhoons or rainstorms

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Evaluation of suppliers based on quality, experience, and track record

Climate-Related Risks & Opportunities

Physical Risks

• Natural disasters or adverse weather

Reporting Standards

Frameworks Used: ESG Guide in the GEM Listing Rules

Third-party Assurance: Not disclosed

Environmental Metrics

ESG Focus Areas

• Governance
• Employee well-being
• Client privacy protection
• Anti-corruption and anti-money laundering
• Client service
• Environmental protection

Environmental Achievements

• Reduced paper consumption through email statements and double-sided printing.
• Reduced energy consumption through energy-efficient lighting and optimized air conditioning.

Social Achievements

• Provided regular medical insurance to employees.
• Organized employee activities to foster a harmonious work environment.
• Provided training on anti-money laundering and other relevant regulations.
• Implemented COVID-19 prevention measures in the workplace.

Governance Achievements

• Established a whistleblowing policy for reporting suspicious misconduct.
• Complied with anti-money laundering and counter-terrorist financing regulations.

Climate Goals & Targets

Environmental Challenges

• One employee injury resulting in lost workdays.
• Potential impact of natural disasters on operations.

Mitigation Strategies

• Provided compensation to the injured employee in accordance with the Employees' Compensation Ordinance.
• Developed a business continuity plan to mitigate operational disruptions from natural disasters.
• Employee handbook outlines office arrangements for typhoon or heavy rain.

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Assessment of supplier service and product quality, experience, and track record.

Climate-Related Risks & Opportunities

Physical Risks

• Natural disasters (typhoons, heavy rain)

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: GEM Listing Rules Appendix 20

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

• Employee rights, interests and benefits
• Employee safety and health
• Employee development and training
• Labour standards
• Customer services
• Customer privacy protection
• Anti-corruption and Anti-money laundering

Environmental Achievements

• Adopted various practices to reduce the consumption of paper; implemented various measures to promote paper and energy saving and waste reduction; reduced petrol consumption from 19,427 kg CO2e to 16,312 kg CO2e

Social Achievements

• Organised various activities to promote the friendship, bonding and healthiness of employees including hiking and festive celebrations; provided continuous professional training to employees; complied with the Employment Ordinance, the Mandatory Provident Fund Schemes Ordinance, the Minimum Wage Ordinance and the Sex Discrimination Ordinance; provided general medical insurance to its employees

Governance Achievements

• Complied with the code provisions of the Corporate Governance Code; established the ESG Working Group to manage ESG issues; adopted an anti-corruption code of conduct; adopted a whistleblowing policy

Climate Goals & Targets

Environmental Challenges

• Weak demand from client for securities and IPO financing services; poor stock market sentiment; decrease in the number of placing and underwriting engagements; uncertain global economic outlook

Mitigation Strategies

• Review and adjust business strategies on regular basis with a prudent and balanced risk management approach; primarily focus on placing and underwriting services and corporate finance advisory services; keep reviewing the working capital level on an ongoing basis; keep abreast of the latest development of the Hong Kong financial market and the update on the regulatory requirements

Supply Chain Management

Supplier Audits: Not disclosed

Responsible Procurement

• Evaluation and assessment of suppliers’ quality of services and products, experience and track record

Climate-Related Risks & Opportunities

Physical Risks

• Adverse weather

Transition Risks

• Not disclosed

Opportunities

• Not disclosed

Reporting Standards

Frameworks Used: Appendix 20 to the Rules Governing the Listing of Securities on GEM

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

• Environmental protection
• Employee development and training
• Employee safety and health
• Employee rights, interests and benefits
• Labour standards
• Supply chain management
• Anti-corruption and Anti-money laundering
• Customer privacy protection
• Customer services

Environmental Achievements

• Reduced paper waste by 0.26 tonnes (from 0.91 to 0.65 tonnes)
• Reduced total GHG emissions by 18,879 kg CO2e (from 61,799 to 42,920 kg CO2e)
• Reduced GHG emissions intensity per employee by 899 kg CO2e (from 2,687 to 1,788 kg CO2e)
• Reduced total energy consumption by 59,420 kWh (from 156,534 to 97,114 kWh)
• Reduced energy consumption intensity per employee by 2,760 kWh (from 6,806 to 4,046 kWh)

Social Achievements

• Organized various staff activities to promote friendship, bonding, and healthiness (hiking and festive celebrations)
• Provided continuous professional training to employees to update and strengthen their professional knowledge
• Maintained good relationships with customers and business partners, receiving no complaints
• Complied with all applicable employment-related laws and regulations in Hong Kong

Governance Achievements

• Complied with all code provisions of the Corporate Governance Code (except for the deviation from CG Code provision C.2.1)
• Established an ESG Working Group to manage ESG issues
• Engaged an external independent internal control consultant to conduct an independent review on the risk management and internal control systems

Climate Goals & Targets

Environmental Challenges

• Volatile Hong Kong securities market due to interest rate hikes in the US, Europe, and the UK
• China property sector crisis and sluggish post-pandemic growth rebound in China
• Poor stock market sentiment affecting brokerage services

Mitigation Strategies

• Regular review and adjustment of business strategies with a prudent and balanced risk management approach
• Focus on placing and underwriting services and corporate finance advisory services
• Ongoing review of working capital level
• Keeping abreast of the latest development of the Hong Kong financial market and regulatory requirements
• Business contingency plan to manage potential natural disasters or adverse weather

Supply Chain Management

Responsible Procurement

• Evaluation and assessment of suppliers’ quality of services and products, experience, and track record

Climate-Related Risks & Opportunities

Physical Risks

• Potential natural disasters or adverse weather affecting operations

Reporting Standards

Frameworks Used: ESG Guide (Appendix C2 to the GEM Listing Rules)