Retail business is a basic platform, resource platform and innovation platform based on securities brokerage business and taking local branches as the carrier, focusing on providing specialized securities trading services to non-institutional customers. As the company's most important basic business, customer contact point and profit pillar, retail business has maintained a steady development trend and has always been highly competitive in terms of business outlets, number of customers, asset size and market share.
The retail business management headquarters is the organization and manager of the company's retail business and the service provider of retail customers. It has 50 branches and business outlets all over the major capital cities of China. There are three departments, namely, transaction operation department, marketing department and wealth center, which respectively perform the functions of branch management and transaction operation support, retail customer service and marketing system construction, and retail customer wealth management. Together with the institutional customer department, the company has established a complete customer service system.
investment banking
The company is one of the first registered sponsors in China. The headquarters of the investment bank consists of business department, bond department, capital market department, operation management department and other departments, with more than 80 people, including 15 sponsors and 7 quasi-sponsors. In equity financing, debt financing, mergers and acquisitions, listed financial consultants and so on. , with rich practical experience in investment banking, master's and doctor's degrees in finance, accounting and law in famous universities at home and abroad, and many of them have the qualifications of certified public accountants (CPA), lawyers and chartered financial analysts (CFA). Is a reasonable professional structure, hard-working, pragmatic and efficient team.
Business includes: sponsorship, issuance, underwriting and listing recommendation of IPO and refinancing business of listed companies; Issuance, underwriting and listing recommendation of corporate bonds; Scheme design and financial consultant for restructuring counseling, mergers and acquisitions, asset restructuring, equity incentives and other businesses; The design and underwriting of private placement bond distribution scheme for SMEs; Agency custody brokerage business. By the end of 20 12, the investment banking department had completed 25 sponsorship, lead underwriting, independent financial advisor and sponsorship projects. Among them, there are 9 IPO projects, 6 refinancing projects, 8 bond projects, M&A 1, and sponsor projects 1, with a total underwriting amount of13.627 billion yuan.
In 2008, the company successfully completed the "08 Vanadium-Titanium Bond" project, which is the first corporate bond without bank guarantee in the domestic securities market, and won the "Most Innovative Project Award" of the best investment bank in China in 2009 sponsored by Securities Times. In that year, the number of bond lead underwriters ranked 20th, the amount of bond lead underwriting ranked 2 1, and the amount of stock and bond underwriting ranked 29th. The "900 million city investment bonds" successfully issued in 2009 is the first corporate bond listed and traded on the comprehensive agreement trading platform of Shenzhen Stock Exchange, which is another innovation in the securities market. In 20 10, diamond glass, the first IPO project on the growth enterprise market underwritten by the company, won one of the five "excellent enterprises on the growth enterprise market" in the anniversary celebration of the growth enterprise market held by Shenzhen Stock Exchange. From 2065438 to June 2002, the IPO project team of Hong Lei Company's small and medium-sized board was awarded the title of "Excellent IPO Sponsor Team in Zhejiang Province in 201year" by the Financial Work Office of Zhejiang Provincial People's Government, which added honor to the national securities brand.
Securities investment business
Securities investment business is one of the core businesses of the company, which consists of investment management department, stock investment department, derivative products department and comprehensive department. Under the guidance of the leading group for investment decision-making, and in accordance with the investment concept that conforms to the market development law, the investment decision-making system and risk management system with centralized leadership, scientific decision-making, hierarchical management and strict supervision have been established, an investment team with solid theoretical foundation, rich market experience and keen insight has been built, a scientific investment system has been established, a wide business cooperation network has been built, and timely, systematic and comprehensive information communication has been gradually formed.
research institute
The research institute is a dynamic, unique and ready-to-go team, with 35 people, 7 doctors, and master's degree or above accounting for more than 85%. Adhering to the concept of "research creates value and professionalism creates success", we maintain a research style of "fairness, objectivity, professionalism and rigor" and strive to create characteristic research. In the direction, based on macro-strategic research, a top-down analytical research framework is constructed to guide the research from the perspective of industrial correlation; Taking bottom-up as the basic method of industry company research, this paper studies the relationship between company products and upstream and downstream, and provides the basis for macro-strategic judgment from the micro level. At the same time, concentrate on doing research in key areas and strive to form differentiated competitive advantages. With the aim of "enhancing customer value", we will wholeheartedly provide customers with profound and practical research and consulting services.
Asset management business
China Securities Asset Management Business Headquarters was established in 2008, mainly providing high-quality investment management services for middle and high-end customers. Adhering to the brand concept of "wholeheartedly focusing on each trust", the Asset Management Department always puts the interests of customers in the first place, and through standardized operation, rigorous investment management and strict risk control, it brings stable and sustained investment returns to customers through continuous business expansion and innovation.
There are nearly 30 employees in the headquarters of asset management business, which widely absorbs high-quality talents with doctoral and master's degrees and market experts with rich practical experience. More than half of them have 10 or above securities experience, and 80% have a master's degree or above.
Asset management business includes directional asset management business and collective asset management business. Directed asset management business is an exclusive investment scheme for high-end customers in the form of "one-on-one" and based on the principle of "personalization and high quality". It has created a series of directional product lines with the brand of "Golden Pilot" covering equity and non-equity investments. The collective asset management business provides low-threshold asset management services to the public by setting up a collective asset management plan, which has the dual characteristics of the flexibility of private equity funds and the low threshold of Public Offering of Fund. At present, the company has issued a number of collective asset management plans, covering stocks, bonds, cash management and other investment products.
By the end of August, 20 13, the entrusted funds of China National Securities Asset Management Business Headquarters exceeded 65.6 billion yuan, ranking 18 in the industry.
credit operations
The credit business is committed to establishing a service platform connecting the money market and the securities market, providing investors with credit financial services such as financing, securities lending and agreement repurchase, so as to meet the diversified investment and financing needs of different investors.
Since obtaining the business qualification, it has developed rapidly under the premise of strictly controlling risks, and its growth rate is among the best in the industry.
The credit business team is composed of professionals with high education background and rich work experience. Adhering to the service concept of "focus on professionalism and win-win", the credit business team provides professional services to investors wholeheartedly, enabling investors to realize wealth appreciation and win-win growth with the company.
Compliance risk control management
The main responsibilities are compliance management such as compliance review, consultation, inspection, monitoring, reporting and risk disposal.
Establish the compliance concept of "compliance starts from the top, everyone is responsible for compliance, and compliance creates value". According to the regulatory requirements of risk control indicators with net capital as the core, monitor and warn the company's net capital and various business operations to ensure the normal operation and management of the company. With the development and innovation trend of the securities industry, the company will continue to optimize compliance and risk management methods, rationally design risk index limits, control measures and early warning mechanisms for various businesses, and continuously improve the professional level of risk management.
Fixed income business
It is one of the traditional pillar businesses of the company, covering ordinary bond investment, bond derivative investment, primary and secondary bond sales, investment consulting and so on.
Always adhere to the professional, honest, dedicated and excellent service concept, be responsible for the management of the company's large assets and realize the preservation and appreciation, and provide customers with first-class and steady financial value-added services. By constantly improving research and investment capabilities, improving the level of risk control, and persisting in pioneering and innovation, the competitiveness in the market has been continuously improved. At the same time, the fixed-income team has established extensive business contacts and contacts with market members, and won a wide reputation in the market with excellent performance.
Customer asset depository business
Client asset custody mainly involves the company's daily end-of-day corporate liquidation and centralized transaction three-level liquidation; Audit and settlement of daily settlement funds; Three-party depository of customer funds, bank account management of customer funds, and supervision of foreign currency accounts of the company; Accounting of customer assets, preparation of settlement report and file management; Planning, construction, upgrading and daily operation and maintenance of the company's innovation system; Daily operation and maintenance of PROP, DCOM and IST systems, online banking and system authority management; Check and confirm the company's fund consignment business data and related business work of ta system; And provide the corresponding regulatory data for the superior regulatory agencies.
Information technology business
The company's information technology business mainly covers the planning, construction and management of the company's information system. The company has dozens of business systems such as centralized trading system, e-commerce platform, multi-bank depository, open-end fund consignment, margin financing and securities lending, fixed income and asset management. To provide safe, reliable and efficient information services for customers and the company's own business and management; Professional central computer rooms and disaster recovery computer rooms in different places in the same city have been built in Beijing and Shenzhen, forming a "two places and three centers" structure, effectively ensuring the continuity of various businesses.
Audit and supervision of business
Audit supervision business includes internal audit supervision of the company, mainly involving audit, administrative supervision and the work of the office of the board of supervisors. The Audit and Supervision Department, as the executive body of the company's audit and supervision business, takes the concept of "audit promotes management, audit creates value" and takes "risk management" as the guidance, and has established audit and supervision procedures covering all businesses of the company to audit the work of the company's headquarters and business departments. Through auditing, special investigation, complaints and reports, illegal investigation and accountability, the functions of supervision and inspection are fulfilled.
Financial management business
The company implements the financial management system of "unified leadership, graded accounting and centralized management" and establishes a linear financial management model with highly concentrated accounting, budgeting, capital, taxation and financial personnel. The centralized management of accounting is mainly completed by ORACLE-ERP financial system, and the function of directly importing business system data into financial system to generate accounting vouchers is realized through data interface. A comprehensive budget management system is established with budget management center as the main body, profit center as the main body of all front-line departments and business departments, and cost center as the main body of functional departments.