Stock Code: 601108
2023
Caitong Securities Co., Ltd.
ENVIRONMENTAL, SOCIAL
AND GOVERNANCE REPORT

ReportProfile 01 Sound Operation Transformation & Breakthrough Common Prosperity
BoardStatement 03 Practicing the Sustainability Concept Pursuing Innovative Development Creating a Better Life with Inclusive
PerformanceHighlights 05 Empowered by Technology Finance Finance
AboutCaitong 07
AdheringtotheGuidanceofPartyBuilding 23 EnhancingtheLevelofIndustrialDevelopment 41 PromotetheConstructionofDemonstrationZonesfor
Column: ImprovingCorporateGovernance 23 LeveragingaNewGrowthPoleforIndustrialDevelopment 41 CommonProsperity 47
BuildingaTechnology,Service,Platform-based,and StrengtheningRiskControlandCompliance 30 ServingtheWholeLifeCycleofEnterprises 51
transformationalCaitong,Strivingfor"First-classModern AbidingbyBusinessEthics 35 ProtectingtheRightsandInterestsofEmployees 51
InvestmentBank" 15 AdheringtoPublicWelfareandCharity 60
LayingoutPensionFinance 63
Column:
BeingaSecuritiesCompanyofZhejiangEntrepreneursand Constant Effort Overall Planning Appendix
Enterprises 17 Supporting the "Dual Carbon" Goal Transforming to the Intelligent Future
with Green Finance with Digital Finance AppendixI:KeyPerformanceIndicatorsList 84
Column: AppendixII:GRIIndex 89
CaitongSecuritiesSuccessfullyHostedtheEventofHere
CometheShareholders(2023) 19 DevelopingGreenFinance 67 CreatingaFintechModelwithCaitongMethod 81
ManagingESGRisks 70 SafeguardingInformationandPrivacySecurity 83
ImplementingResponsibleInvestment 72
AddressingClimateChange 75
Report Profile
Notes to the report: Reporting language:
This report is the 7th Environmental, Social and Governance (ESG) report issued by Caitong Securities Co., Ltd. ("Caitong Securities", "Caitong", This report is published in simplified Chinese and English versions. In case of ambiguity, the simplified Chinese version shall
"Company", "We", or "Us"). Based on the principles of objectivity, normative, transparency, and comprehensiveness, this report is intended prevail.
to summarize the ESG progress and performance of the Company in 2023, present the explorations of the Company in implementing ESG
management concepts to promote high-quality and sustainable development in actual oper