A world-leading equities business platform with cross-border connectivity and one-stop services

In 1997, CICC’s Equities Department (EQ) was established by modeling the global top investment banking practices to build a world-class sales and trading team. In the beginning, we built up our core competency byproviding global sales and trading services for CICC’s IPO projects. In 2000, we pioneeredto introduce the investment research service model in China. Thereafter, EQ continues to keep abreast of new development of China’s capital markets with innovative business upgrading.We currently provide one-stop comprehensive financial services, covering investment research, sales, trading, products and cross-border services, as well as distinguished execution plans for both local and international institutional investors.

Since 2013, we have been advancing our new development strategy characterized as “Chinese roots and global reach”. We have seized the opportunity tostrengthen our position in China’s capital market reform and opening up process by a three-stage business innovations and structural upgrading over the last nine years. Wehave created a world-leading equities business platform to provide one-stop services relying on our unique talent network in key mega-cities in China and four major global financial hubs.Our revenue and profit have grown rapidly all these years, hitting record highs repeatedly.EQ also has become the most important profit center for CICC, with productivity per capita far higher than the world-class leading brokerage and product providers in Wall Street.

International Institutional Client Base

We have established a solid global professional institutional client base, forging close business ties with thousands of first-class domestic and overseas institutional investors, mainly including QFIIs/RQFIIs, QDIIs, commercial banks, insurance companies, mutual funds, pension funds, the National Social Security Fund in China, hedge funds, private equity funds, listed companies, and global asset management companies. 

Domestically, we are a key market player in serving localmutual funds, QFII, insurance and private equity funds. We have ranked among the top-tier for 18 consecutive years in terms of QFII and RQFII coverage and provided brokerage services for many bank wealth management subsidiaries. Overseas, we have been fully recognized and trusted by first-class institutional investors, ranking among the top-tier for 14 consecutive years in terms of revenue from QDII-type mutual funds.

Global Trading Network

We cover overseas markets by conducting cross-border transactions and building a wide global equities sales and trading network in key Chinese cities as well as in top international financial centers, such as Hong Kong, New York, London and Singapore. We also take a significant market share in the Stock Connect program. We are well recognized by the industry as not only a “Chinese expert” but also with the earliest overseas footprint, the best international perspective and the most integrated cross-border system with high efficiency.

CICC Hong Kong worked closely with the mainland team, and the market share of Shanghai/Shenzhen-Hong Kong Stock Connect maintains top rankings among market peers. CICC UShas established a leading position among the Chinese institutions in the local market. CICC UK has become a main PRC-based securities firm partner for European institutional clients. CICC Singapore officially launched its trading desk and actively covered various regional clients.

Innovative Product Teams

EQ continues to add value to clients with ourglobal integrated financial services and innovative products. It enjoys a high reputation both at home and abroad in fields such as block transaction execution, lightning placement, large-scale A/H share IPO and additional issuance, and sales. We have delivered milestone support toa number of successfullarge-scale IPO projects in both domestic and overseas market, with many business innovations considered as the first-in-market transactions and industry best practices.

We are one ofthe earliestsecurities firms in China to have obtainedregulatory approval for piloting innovative products, creating an industry precedent in the field of prime brokers and OTC derivatives. We have a reputation as a market leader because we provide customized products and design flexible solutions for clients. The domestic prime broker platform is able to meet thedifferent clients’needssuch as securities margin trading and risk management, and our cross-border trading ranks top-tier in the market. The overseas prime broker platform continues to enrich its product linesandhas created a global competitive product set, covering SWAPs, P-Notes and warrants. As one of the first brokers to obtain a First Class OTC Option Dealer Qualification, we provide professional investors with various derivatives services such as stock options, index options and corporate derivatives.

We provide convenient market-maker services to facilitate transactions for our institutional clients. We continue to develop our capital referral business and build a bridge between capital and assets. Ourproprietary trading business is maintaining a steady development momentum.

Leading Platform Development

We have gradually built an integrated operation system and a comprehensive service platform in equities business, connecting domestic and overseas We have built a leading integrated service platform and an operation and risk control platformin equities business, covering bothdomestic and overseas markets as well asboth exchange-traded and OTC products. We can provide comprehensive operation solutions across entire business process and product life cycle to deliver better service to our clients. In addition, wehave built an efficient operation platform through optimizing resource allocation, improving operational efficiency and strengthening comprehensive compliance risk management. We have also embraced thedigitalization initiative to achieve technological empowerment and establish an efficient management platform.

Outstanding Sales Team

We are proud of our experienced and dedicated teams in institutional sales, trade management,product design, and professional operation. With manyyears of entrepreneurship, EQhas been fully recognized by the industry with awards and honors givenby well-known domestic and foreign institutions for many years, mainly including:

• Institutional Investor’s Best All-China Sales Team from 2012 to 2021 for 10 consecutive years
• Asiamoney’s Best Local Brokerage in China from 2004 to 2021 for 18 consecutive years
• Asiamoney’s Best Overall Sales Services in China from 2006 to 2021 for 16 consecutive years
• Asiamoney’s Best Brokerages for Stock Connect Northbound Trading in 2021
• FinanceAsia’s Best Broker in 2021
• Top Broker in the Stock Connect Awards by HKEX in 2017,2019&2020 forcumulative 3 years 
• Asiamoney’s Overall Combined Research & Sales in China from 2015 to 2020 for 6 consecutive years 
• Securities Times’s Best Brokerage House for Institutional Investor in 2020
• Best Fund Market Maker SHSE in 2020
• Best ETF Liquidity Service Provider by SZSE in 2019 
• YICAI’s Best Sales Services Institution in 2019
• Top SPSA Participation of the Year by HKEX in 2017 
• Institutional Investor’s Best Brokerage of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect Services in China in 2017