1. The foreground of Huatai Securities is the management system, which is customer-oriented and customer-centered. Departments and personnel who are mainly responsible for business development and directly facing customers and providing customers with one-stop and all-round services. As customers of securities companies, the tellers, account managers and lobby managers they often contact are all front desk positions.
2. Huatai Securities Middle Office: By analyzing the macro market environment and internal resources, formulate various business development policies and strategies, provide professional management and guidance for the front desk, and control risks. China and Taiwan often include risk management (credit management), planned finance, product development, channel management, human resource management, strategic planning and other functions.
3. Huatai Securities Backstage: mainly handles and supports business and transactions, and enjoys services, including accounting treatment, IT support, call center, etc. The center for centralized loan approval can also be included in the background category. Backstage is the Bank Support Department. The concentration of backstage work and the enjoyment of services are international trends.
Extended data
1, organization
(1) Investment Bank Management Headquarters consists of Financial Innovation Department, Human Resources Department, Institutional Customer Service Headquarters, Retail Customer Service Headquarters, Customer Service Center, Securities Investment Department, Entrusted Asset Management Department, Research Institute, Margin Trading Department and Fixed Income Department.
(2) Huatai Securities is one of the first registered securities issuance sponsors. In the development process of more than ten years, we have adhered to the business philosophy of customer-centered and market-oriented, and created excellent business performance, which has been highly recognized by the market and regulatory authorities. In 2006, 2007 and 2008, it was awarded the title of "Excellent Sponsor" by Shenzhen Stock Exchange for three consecutive years.
2. Financial Innovation Department
(1) The Financial Innovation Department of Huatai Securities is a department specializing in the operation and management of financial derivatives. Its main business function is to issue covered warrants and other financial derivatives to be listed on the exchange, and to be responsible for market making and dynamic hedging transactions; Study financial derivatives and structured products and customize risk management strategies and products for specific investors.
(2) The strategic goal of the Financial Innovation Department is to seize the opportunity of the development of the domestic financial derivatives market, establish a complete product line of financial derivatives such as warrants, futures, options and structured products, and build Huatai's financial derivatives business brand, with market share and profitability reaching the advanced level of the industry.
3. Human Resources Department
The Human Resources Department is mainly responsible for coordinating the company's human resources management, establishing and perfecting the talent introduction, use, development and incentive mechanism that adapts to the company's development strategy, creating a good working atmosphere in the company, providing human resources support for business development, establishing a high-quality management team and an efficient and capable staff team that adapts to the company's development needs, and ensuring the smooth realization of the strategic objectives of the company's securities holding group and first-class securities financial service providers.
4. Corporate Customer Service Headquarters
(1) Corporate Customer Service Headquarters aims to provide professional, comprehensive and one-stop services for high-end customers, and is committed to organizing and coordinating various resources, establishing a management service system for corporate customers and other core customers, and developing and serving corporate customers including Public Offering of Fund, qualified domestic and foreign institutional investors, insurance, social security, finance companies, trust companies, annuities, private equity funds, listed companies and their shareholders, and company law.
(two) to undertake the demonstration, negotiation and contract signing of the introduction of external financial products, and organize and coordinate their sales.
5. Retail Customer Service Headquarters
The retail customer service headquarters has developed from the company's "business headquarters", "brokerage business management headquarters" and "marketing management headquarters" so far, and has been more focused on providing all-round, multi-level, professional and personalized securities brokerage services for individual investors through serving 82 business departments and 26 service departments based on business departments all over the country. We are trying to transform from simple securities brokerage services to diversified investment and financial services, and strive to be the most responsible financial management.
6. Customer service center
Customer service center is a newly established department of Huatai Securities in 2008 to further implement the business philosophy of "customer service as the center, customer demand as the goal and customer satisfaction as the purpose". The department consists of four teams: data information, market research and development, service promotion and call service. The data information team is mainly responsible for the unified planning of customer service informatization, the establishment and management of information platform, the unified collection, processing and sharing of data information, and the centralized application management of databases.
7. Securities Investment Department
Huatai Securities is one of the comprehensive brokers engaged in self-operated business earlier. After several years of exploration, the company has formed an investment concept that conforms to the law of market development, developed and introduced an advanced risk control system, and established an independent investment decision-making system with centralized leadership, scientific decision-making, hierarchical management and strict supervision. Under the premise of effectively controlling risks, it has achieved good business performance.
8. Entrust the Asset Management Department
Entrusted asset management department is a specialized business department established by the company to manage the entrusted asset investment of customers and realize the preservation and appreciation of customer assets. In March 2003, with the approval of China Securities Regulatory Commission, the company obtained the qualification of entrusted investment management business.
9. Institute
(1) Huatai Securities Research Institute is the first research institution with securities investment consulting qualification approved by China Securities Regulatory Commission. We have been aiming at in-depth research, independent judgment, discovery and creation of market value. With a high-level research team, it has established a good market image and a high market influence, which has provided strong support for the company's business development.
(2) The research and consulting field of Huatai Securities is mainly determined according to the business development needs of the company and the investment needs of customers, covering macroeconomics, business innovation, industry analysis, research on listed companies, investment planning, market analysis and many other aspects.
10, margin trading department
(1) Margin Trading Department is a department specializing in margin trading and management. The main business functions are responsible for the operation of major business links such as customer qualification review and credit management, credit account opening and management, secured assets management, margin trading and daily monitoring; Formulate the standard text of margin financing and securities lending contract; Organizing the formulation of the management system and operation process of margin financing and securities lending; Approve, review and supervise the business operation of the business department, and timely adjust the margin financing and securities lending scale of the business department according to the total margin financing and securities lending scale of the company.
(two) according to the examination and approval authority to adjust or suggest to adjust the credit rating and credit line; Regularly evaluate the operation of margin financing and securities lending business and put forward countermeasures; Submit a written summary to the regulatory authorities regularly and report the operation of margin trading and securities lending business to all levels of the company; Responsible for the design and management of credit products; Responsible for statistical analysis and submission of margin trading data.
1 1, fixed income department
Fixed income business is one of the traditional core businesses of Huatai Securities. After years of development, it has formed a comprehensive fixed income business integrating bond issuance and underwriting, bond trading and bond research. He is a member of the national debt underwriting syndicate of the Ministry of Finance on 201KLOC-0/2009, and a primary dealer of Shanghai Stock Exchange. It underwrites the first order in the capital market-2007 long-term bonds and China bonds.
References:
Baidu encyclopedia-Huatai securities co., ltd