Mission Statement, Vision, & Core Values (2026) of Orient Securities Company Limited.

Founded in 1997, Orient Securities Company Limited (3958.HK) stands as an integrated securities firm across Mainland China and Hong Kong, offering brokerage, investment banking, asset management and futures trading while driving a mission centered on integrity, professionalism and client-centric innovation; with a market capitalization of approximately HKD 93.62 billion as of December 12, 2025 and trailing twelve-month revenue of HKD 24.56 billion, the company reported a 12.3% increase in operating income and a 21.7% rise in net profit in 2024, reflecting strong financial momentum as it scales advanced trading platforms, tailored institutional solutions and sustainability initiatives such as rural revitalization to pursue its vision of becoming the most trusted and innovative financial partner while embedding core values of integrity, professionalism, innovation, client-centricity, sustainability and collaboration

Orient Securities Company Limited (3958.HK) - Intro

• Market capitalization (as of 12 Dec 2025): HKD 93.62 billion
• Trailing twelve months (TTM) revenue: HKD 24.56 billion
• 2024 operating income growth: +12.3%
• 2024 net profit growth: +21.7%
• Focus areas: brokerage, underwriting & advisory, asset management, futures and institutional solutions

• To provide professional, transparent and innovative financial services that create long-term value for clients, shareholders and society.
• To integrate capital market expertise with technology and research to support corporate growth and investor needs.

• To be a premier, technology-enabled integrated securities firm in Greater China, setting industry standards for client service, risk management and sustainable development.
• To expand global reach while maintaining deep local market knowledge and regulatory compliance.

• Integrity - Upholding transparency, compliance and ethical conduct in all client and market interactions.
• Client-centricity - Prioritizing client outcomes through tailored advisory, execution and asset management solutions.
• Innovation - Investing in trading platforms, algorithmic execution, data analytics and digital solutions to enhance efficiency and client experience.
• Excellence - Pursuing operational and research excellence to maintain competitive underwriting and advisory capabilities.
• Sustainability - Committing to environmental and social initiatives, including rural revitalization and community investment programs.

• Digital transformation: expanding advanced trading platforms and customized institutional solutions to capture electronic trading volumes and increase client retention.
• Revenue diversification: balancing fees from brokerage, underwriting, advisory, asset management and futures to smooth cyclical market impacts.
• Risk & compliance: strengthening compliance frameworks and capital management to support higher margin businesses and cross-border expansion.
• Sustainability initiatives: deploying capital and expertise into rural revitalization projects and ESG-linked products to align with national priorities and investor demand.

Orient Securities Company Limited (3958.HK) - Overview

• Deliver comprehensive financial services across brokerage, investment banking, asset management, proprietary trading, and wealth management.
• Prioritize trust, transparency, and long-term client relationships as core business foundations.
• Embed integrity and professionalism across compliance, risk management, and client advisory functions.
• Accelerate digital transformation to improve client experience, operational efficiency, and product distribution.
• Commit to responsible investment and sustainable finance practices aligned with long-horizon value creation.
• Target market leadership in Mainland China and Hong Kong through cross-border product capabilities and client coverage.

Mission Statement - Pillars and Measurable Objectives

• Client-centric services: expand retail and institutional coverage while maintaining client retention rates above industry averages.
• Trust & excellence: enforce stringent compliance and client protection measures to reduce operational incidents year-over-year.
• Integrity & professionalism: invest in staff training and certifications to increase licensed advisors and certified analysts across the firm.
• Innovation: allocate a defined share of operating expenses to digital initiatives and fintech partnerships to scale electronic trading and advisory channels.
• Sustainable growth: integrate ESG criteria into product development and asset-allocation processes for discretionary mandates.
• Market leadership: grow cross-border revenues and Hong Kong-listed product distribution to strengthen the firm's competitive footprint.

Vision - Strategic Ambitions

• Be a leading integrated securities firm connecting Mainland China capital mobilization with Hong Kong market access.
• Offer a seamless omni-channel client experience combining human advisory and algorithmic tools.
• Advance as a trusted partner for institutional investors seeking China exposure and for high-net-worth clients seeking diversified wealth solutions.

Core Values - Cultural Drivers

• Integrity: transparent disclosures, independent research standards, and ethical advisory practices.
• Client-first mindset: product design and distribution aligned with client risk profiles and long-term goals.
• Professional excellence: competence, accountability, and continuous learning across the organization.
• Innovation & agility: rapid iteration of digital products and responsive operations.
• Responsible stewardship: risk-aware growth and commitment to ESG integration where applicable.

Key Performance Metrics and Targets

Strategic Initiatives to Deliver the Mission

• Technology investment: upgrade trading engines, mobile platforms, and client portals to increase throughput and reduce latency.
• Product innovation: expand structured products, cross-border wealth solutions, and institutional research offerings.
• Talent & compliance: scale advisor networks in Hong Kong and Mainland with rigorous compliance oversight.
• Partnerships: collaborate with fintechs and asset managers to broaden distribution and accelerate product time-to-market.
• Sustainability: develop ESG-labelled funds and introduce stewardship policies for institutional mandates.

Orient Securities Company Limited (3958.HK) - Mission Statement

• Trust & Integrity: build enduring client relationships through transparent advice and rigorous risk management.
• Innovation: integrate advanced fintech and data analytics to enhance client experience and operational efficiency.
• Market Expansion: strengthen domestic franchise while selectively expanding cross-border capabilities.
• Sustainability: incorporate ESG principles into investment research, underwriting, and corporate governance.
• People & Culture: attract and retain talent by fostering professional development and client-first ethics.

• Digital transformation: increase automated client onboarding and digital advisory penetration to over 60% of retail workflows within three years.
• Client base growth: target double-digit CAGR in active clients across wealth management and brokerage segments.
• ESG integration: aim for a defined set of green finance products representing a growing share of new underwriting and asset management mandates.

• Technology investments: scalable trading systems, AI-driven research tools, and client portals to reduce processing costs and improve turnaround.
• Diversified revenue mix: balance brokerage commissions, investment banking fees, asset management management fees, and proprietary trading income.
• Selective internationalization: strategic alliances and cross-border product offerings to serve Chinese clients with offshore needs and international investors interested in China exposure.
• ESG and sustainable finance: expand green bond underwriting, ESG-themed funds, and corporate advisory on sustainability transition.

• Advisory personalization: segment clients and deliver tailored portfolio solutions with measurable service-level targets.
• Compliance & risk culture: enhance internal controls and transparent disclosure practices to reinforce investor confidence.
• Education & engagement: run investor education programs and digital content to deepen client understanding and loyalty.

Orient Securities Company Limited (3958.HK) - Vision Statement

• Integrity: transparency in pricing, order execution, and compliance controls to protect clients and markets.
• Professionalism: certified investment professionals and continuing education to uphold service standards.
• Innovation: investment in technology to streamline trading, risk management, and client interfaces.
• Client-centricity: client segmentation and tailored solutions that address retail, high-net-worth, and institutional needs.
• Sustainability: integration of ESG principles into business strategy and product offerings.
• Collaboration: cross-functional teamwork across trading, research, compliance, and customer service.

• Integrity - Compliance metrics: 100% of client complaints logged and actioned within SLA; annual external audit coverage.
• Professionalism - Staff credentials: >70% of front-line advisers hold licensed qualifications; average 40 hours/year training.
• Innovation - Digital adoption: mobile active users penetration at ~65% of retail base; median mobile order execution time under 200 ms.
• Client-centricity - NPS target: aiming for Net Promoter Score >40 among retail clients; bespoke advisory penetration growth of 15% YoY.
• Sustainability - Product rollout: launched ESG-linked bond underwriting and two green funds in the last 24 months; proportion of ESG assets targeted to reach 10% of AUC by 2026.
• Collaboration - Cross-sell ratio: average revenue per client improved by ~12% through integrated product teams; multi-department initiatives tracked via KPIs.

• Scaling digital platforms to increase mobile trading penetration and reduce execution latency.
• Expanding wealth management services for high-net-worth clients and launching advisory teams in target cities.
• Deepening product suite with more ESG-linked instruments and structured products aligned with client demand.
• Strengthening compliance, AML controls, and transparent reporting to reinforce market trust.
• Partnerships with fintechs and exchanges to access new liquidity pools and distribution channels.