Brokers Poll 2023

China（A&B Share）

Best Domestic Brokerages

Best Domestic Brokerages for Research

Best Domestic Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Most Transformed Brokerages

Best Brokerages for ESG Research

Hong Kong, China

Best Brokerages

Best Brokerages for Research

Best Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Most Transformed Brokerages

Best Brokerages for ESG Research

FinanceAsia Awards 2023

China（Domestic）

Best Bank

Best Investment Bank

Best ECM House

Best DCM House

Best Broker

2023 Best Employer Selection

China's Best Employers of the Year

China's Best Employers for Digital Responsibility of the Year

ESG Influence Ranking of China 2023（Top 40）

Stars of China 2023

Best Bank for Green Bonds

Best SME Services Bank

2023 Asia Executive Team

All-Asia Banks and Non-Bank Finance Sector

Honored Companies (Rank 4)

Best ESG (Combined & Buyside Rank 3)

Best Company Board (Combined & Buyside Rank 3)

Best IR Program (Combined & Buyside Rank 3)

Best IR Team (Combined & Buyside Rank 3)

Chinese Mainland Banks and Non-Bank Finance Sector

Honored Companies (Rank 4)

Best ESG (Combined & Buyside Rank 3)

Best Company Board (Combined & Buyside Rank 3)

Best IR Program (Combined & Buyside Rank 3)

Best IR Team (Combined & Buyside Rank 3)

2023 China Research & Sales Team

China Best Research Provider 

Firm Leaders (Rank 1)

Analyst Leaders (Rank 1)

China Best Sales Team

The Leaders: Overall (Rank 2)

China Top Corporate Access Provider

The Leaders: Overall (Rank 2)

Sustainable Investing Awards 2023

Asset Management Company of the Year (Overall Offshore, China): 

CICC Hong Kong Asset Management

STAR Market Awards 2023

Most Contributing Institution of STAR Market

New Awards 2023

Best Enterprise for ESG Practice

China Financial Institution Awards 2023

Best Securities Company for Asset Management

Best Securities Company for Wealth Management: 

CICC Wealth Management

China Securities Business Awards 2023

Best ESG Securities Companies

Top 30 Brand Value of Listed Chinese Securities Companies

Best Securities Companies for Asset Management

Best Securities Companies for Financial Technology: 

CICC Wealth Management

Zero2IPO China VC/PE Fund Limited Partners Ranking 2023

Top 50 China VC/PE Institutional Limited Partners of the Year 2023: 

CICC Capital（Rank 1）

Top 10 China Active VC/PE Institutional Limited Partner of the Year 2023: 

CICC Capital

Excellent Inclusive Finance Cases Awards 2023

Best Innovation Model

Best Institutions of Securities Industry in China Awards 2023

Best Full-Service Asset Management Institution

Best Investment Bank for Equity Financing

Best Cross Border Investment Bank

Best Broker Institutional Investor

Best Full-Service Wealth Broker: 

CICC Wealth Management

Best Fund Investment Advisor: 

CICC Wealth Management

ESG Practice Cases of Listed Companies Awards 2023

Best ESG Practice Cases of Listed Companies

Best Practice Cases for Rural Revitalization of Listed Companies Awards 2023

Best Practice Cases for Rural Revitalization

Best Securities Company Awards 2023

Best Securities Companies 

Best Securities Companies for ESG

Best Securities Companies for Financial Technology

Best Asset Management Products Awards 2023

Best 5-Year Collective Asset Management Plan Manager

Top 30 ESG Pioneers of China's Financial Listed Companies 2023

Market Leaders Rankings 2022

Market Leader of Investment Banking（Chinese Securities Houses）

ESG Influence Ranking of China 2022（Top 40）

Sustainable Investing Awards for Institutional Investor, ETF, and Asset Servicing Provid-ers 2022

Asset Management Company of the Year (Overall Offshore, China):

CICC Hong Kong Asset Management

Best Investment Banks Awards 2022

Best Equity Bank in Asia-Pacific

Best Bank for Green Bonds

Best Domestic Bank for Renminbi Internationalization

China Wealth Awards 2021

Best Wealth Manager in China (Asset Allocation Services and Research):

CICC Wealth Management

2022 All-Asia Executive Team

All-Asia Banks and Non-Bank Finance Sector

Honored Companies (Rank 2)

Best ESG (Combined & Buyside Rank 2)

Best CEOs (Combined & Buyside):

Zhaohui Huang (Rank 2)

Best CFOs (Combined & Buyside):

King Fung (William) Wong (Rank 2)

Best IR Program (Combined & Buyside Rank 2)

Best IR Team (Combined & Buyside Rank 2)

Greater Bay Area Awards 2022

Brokers Poll 2022

China（A&B Share）
Best Domestic Brokerages
Best Brokerages for Research
Best Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Best Brokerages for Stock Connect Northbound Trading
Hong Kong, China
Best Brokerages
Best Brokerages for Research
Best Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Best Brokerages for Stock Connect Northbound Trading

2022 Best Employer Selection

China's Best Employers of the Year

China's Most Sustainable Employer of the Year

China's Best Employers for Digital Responsibility of the Year

ESG Practice Cases of Listed Companies Awards 2022

Best ESG Practice Cases of A-share Listed Companies

Best Institutions of Securities Industry in China Awards 2022

Best Full-Service Investment Bank
Best Investment Bank for SSE STAR Market

Best Investment Bank for Shenzhen & Shanghai Main Board

Best Financial Advisor

Best Investment Bank for TMT

Best Investment Bank for North & Northeast China
Best Cross Border Investment Bank

Best Financial Advisor for Public Offering Reits

Best Deals of Main Board:

China Telecom IPO

Best Main Broker

Best Wealth Management Brand:

CICC Wealth Management

Best Full-Service Asset Management Institution

Public Equity Products:

CICC Xinrui

Best Fixed Income+ Asset Management Product:

CICC Xiangyang Sanhao

Best Securities Company Awards 2022

Best Securities Companies
Best Securities Companies for CSR

Best Securities Companies for Corporate Culture Construction

Best Securities Companies for Financial Technology

Top 10 Securities Companies for Serving the Listing of Science Innovation Enterprises

Best Wealth Management Team

Financial High Quality Development Cases Award 2022

Outstanding Social Responsibility Securities Company

Zero2IPO Limited Partner Awards 2022

Top 30 PE Limited Partner in China:

CICC Capital (Rank 1)

China Securities Business Awards 2022

Best ESG Securities Companies

Top 30 Brand Value of Listed Chinese Securities Companies

Best Asset Management of Securities Companies

Best Wealth Management of Securities Companies:

CICC Wealth Management

IFR Asia Awards 2021

China Equity House

Stars of China 2021

Best Bank for Green Bonds

Best SME Services Bank

Best Wealth Management Provider

China Wealth Awards 2020

Best Wealth Manager in China (Services for Entrepreneurs)

2021 All-Asia Executive Team

All-Asia Banks Sector

Most Honored Companies (Rank 2)

Best ESG (Combined & Buy-Side Rank 2)

2021 All-China Research & Sales Team

The All-China Best Research Team
Firm Leaders: Overall (Rank 1)

Analyst Leaders: Overall (Rank 1)
The All-China Best Sales Team

The Leaders: Overall (Rank 1)

China’s Top Corporate Access Providers
The Leaders: Overall (Rank 1)

China Corporate and Investment Banking Awards 2021

Brokers Poll 2021

China（A&B Share）
Best Domestic Brokerages
Best Brokerages for Research
Best Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Best for Corporate Access

Best Brokerages for Stock Connect Northbound Trading
Hong Kong, China
Best Domestic Brokerages
Best Brokerages for Research
Best Brokerages for Sales

Best Brokerages for Corporate Access

Best Brokerages for Execution

Best Brokerages for Stock Connect Northbound Trading

Stock Connect Awards 2020

Top Broker of the Year

Guangdong-Hong Kong-Macao Greater Bay Area Awards 2021

Best Financial Services Institution for Guangdong-Hong Kong-Macao Greater Bay Area

2021 Best Employer Selection

China's Best Employers

China's Most Innovative Employers for HR Management

Best Institutions of Securities Industry in China Awards 2021

Best Full-Service Investment Bank
Best Investment Bank for SSE STAR Market

Best Cross Border Investment Bank

Best Wealth Management Brand:

CICC Wealth Management

Best Securities Company Awards 2021

Best Securities Companies
Best Securities Companies for CSR

Best Wealth Management Team

Best Investment Banking Team

Outstanding Institutions and Individuals in Bond Market Awards 2020

Best ABS Manager

Best Interest Rate Bond Underwriter

Best Contribution for Bond Trading Mechanism

Wealth APAC Awards 2021

Best Domestic Securities Company for Wealth Management:

CICC Wealth Management

Best Wealth Management Family Office:

CICC Global Family Office

Best Securities Companies Awards 2020

Best Securities Companies

Best CSR

Best Investor Relations

Best Investment Bank for STAR Market

Outstanding Securities Figures

Peng Wensheng, Chief Economist of CICC

Dedication Medal of Red Cross Society of China

Beijing CICC Charity Foundation

Gold Medal Awards 2021

Best CSR Enterprises

China Benefit Corporation Award 2021

Best ESG Enterprises

10th GoldenWis Award

Best CSR Enterprises

Outstanding Charity Cases 2021

Beijing CICC Charity Foundation（Rural Doctor Training and Maternal and Child Health Pro-ject）

Golden Bauhinia Awards 2020

Best Listed Companies

2020 All-Asia Executive Team (Banks Sector)

Best ESG (Buy-Side Rank 1)

2020 All-China Research Team Awards

The All-China Best Research Team
Firm Leaders: Overall (Rank 1)
The All-China Best Sales Team
The Leaders: Overall (Rank 1)

New Silk Road Finance Awards 2020

Brokers Poll 2020

China（A&B Share）
Overall Combined Research & Sales
Best Local Brokerage
Best for Overall Research
Best Overall Sales Services

Best for Corporate Access

Best for Execution
China（H-share, Red chip & P-chip）
Best Local Brokerage
Best for Overall Research
Best Overall Sales Services

Best for Corporate Access

Best for Execution
Hong Kong, China (Local Share)
Best Local Brokerage
Best for Overall Research (Rank 2)
Best Overall Sales Services

Best for Corporate Access

Best for Execution

Best Investment Bank & Brokerage House in China Awards 2020

Best Full-Service Investment Bank
Best Investment Bank for SSE STAR Market
Best Investment Bank for Main Board
Best Brokerage House for Institutional Investor

Best Asset Management Products Awards 2019

Best Asset Management Institution of the Year
Best Overseas Asset Management Institution of the Year
Best Innovative Asset Management Plan of the Year:

ICBC CICC USD MONEY MARKET ETF

Best Two-year Asset Management Plan:

CICC Anxin Huibao, CICC Peizhi, CICC Xinrui

China Venture Capital & Private Equity Ranking 2020

Top 100 Best PE Institutions in China:

CICC Capital (Rank 5)

Top 10 Best Equity Investment Institutions of Investment Bank in China:

CICC Capital (Rank 1)

Top 10 Best Investment Institutions for Science and Technology Innovation enterprises in China:

CICC Capital

China Benefit Corporation Award 2020

Best Charity Award

IFR Asia Awards 2019

China Equity House

Triple A Country Awards 2019

Best Equity:
China East Education Holdings US$632 million Hong Kong IPO
Best ADR:
Luckin Coffee US$695 million US IPO
Best Bank Capital Bond:
China Construction Bank US$1.85 billion tier 2 Bond
Best Local Currency Bond:
Bank of China 40-billion-yuan Perpetual Bond
Best Domestic M&A Deal:
China Merchants Group Acquisition of Liaoning Port Group
Best IPO (Singapore):
Prime US REIT US$632 million IPO

Golden Bauhinia Awards 2019

Best Listed Companies

2019 All-Asia Executive Team (Banks Sector)

Most Honored Companies (Rank 3)
Best CEOs:
Mingjian Bi (Buy-Side Rank 1/ Combined Rank 2)
Best CFOs:
King Fung (William) Wong (Buy-Side Rank 1/ Combined Rank 2)
Best IR Companies (Buy-Side Rank 2/ Combined Rank 3)
Best Corporate Governance (Rank 3)
Best ESG/SRI Metrics (Rank 3)

2019 All-China Research Team Awards

The All-China Best Research Team
Analyst Leaders: Overall (Rank 1)
The All-China Best Sales Team
The Leaders: Overall (Rank 1)

China Corporate and Investment Banking Awards 2019

Best for Domestic M&A
Best for Cross Border Equity Capital Markets

Brokers Poll 2019

China（A&B Share）
Overall Combined Research & Sales
Best Local Brokerage
Best for Overall Research
Best Overall Sales Services
China（H-share, Red chip & P-chip）
Best Local Brokerage
Best for Overall Research
Best Overall Sales Services
Hong Kong, China (Local Share)
Best Local Brokerage
Best for Overall Research (Rank 2)
Best Overall Sales Services

Stock Connect Awards 2019

Top Broker

List of 50 Top Multinational Leaders 2019

Bi Mingjian, CICC

China's 30 Most Powerful Investor 2019

Ding Wei, Chairman of CICC Capital

China Wealth Awards 2018

Best Wealth Manager in China（Ultra High Net Worth Services）
Best Wealth Manager in China（Entrepreneur Services）

Best Investment Bank in China Awards 2019

Best Full-Service Investment Bank
Best M&A Investment Bank
Best IPO Investment Bank
Best ABS Investment Bank

Best Asset Management Products Awards 2018

Best Asset Management Institution of the Year
Best Asset Management Institution for CSR of the Year
Best Innovative Asset Management Plan of the Year:
CICC Bloomberg Barclays China Treasury 1-10 Years ETF

SCI-TECH Innovation Awards 2019

Best Investment Bank for STAR Market Service

Wealth APAC & China Awards 2019

Best Domestic Securities Company for Wealth Management

China Benefit Corporation Award 2019

Best Charity Award

2018 All-China Research Team

The All-China Research Team (Team-Based Leaders)

The Leaders: Overall (Rank 1)

The Leaders: Mainland China (Rank 1)

The Leaders: Rest of World (Rank 1)

The All-China Research Team (Analyst-Based Leaders)

The Leaders: Overall (Rank 1)

The Leaders: Mainland China (Rank 1)

The Leaders: Rest of World (Rank 2)

The All-China Sales Team

The Leaders: Overall (Rank 1)

The Leaders: Mainland China (Rank 1)

The Leaders: Rest of World (Rank 4)

The Best Teams of the Year (Rank 1)

Alternative Energy & Environmental Services (Overall/ Mainland)

Autos & Auto Parts (Overall/ Mainland)

Banks (Overall/ Mainland)

Communications & Media (Overall/ Mainland)

Electronics (Rest of World)

Food & Beverage (Overall/Mainland/ Rest of World)

Gaming, Lodging & Leisure (Overall)

Infrastructure, Construction & Engineering (Overall/ Mainland)

Machinery (Overall/ Mainland/ Rest of World)

Non-bank Finance (Overall/ Mainland)

Nonferrous Metal (Mainland)

Oil, Gas & Petrochemicals (Overall/ Mainland)

Pharmaceuticals & Biotechnology (Overall/ Mainland)

Public Utilities (Overall/ Mainland)

Real Estate (Overall/ Mainland)

Technology (Overall/ Mainland/ Rest of World)

Telecommunications (Overall/ Mainland)

Textile & Apparel (Overall/ Mainland)

Transportation & Warehousing (Overall/ Mainland/ Rest of World)

Wholesale Distributors & Retailing (Overall/ Mainland)

Economics (Overall/ Mainland)

Portfolio Strategy (Overall/ Mainland)

The Best Teams of the Year (Rank 2)

Electronics (Overall)

Gaming, Lodging & Leisure (Mainland)

Internet (Overall/ Mainland)

Nonferrous Metal (Overall)

Real Estate (Rest of World)

Steel (Mainland)

Wholesale Distributors & Retailing (Rest of World)

The Best Teams of the Year (Rank 3)

Basic Chemicals (Overall/ Mainland)

Coal (Overall/ Mainland)

Communications & Media (Rest of World)

Non-bank Finance (Rest of World)

Oil, Gas & Petrochemicals (Rest of World)

Steel (Overall)

Telecommunications (Rest of World)

Economics (Rest of World)

Portfolio Strategy (Rest of World)

The Best Analysts of the Year (Rank 1)

Alternative Energy & Environmental Services (Mainland) : Tao Zeng

Autos & Auto Parts (Overall/ Mainland) : Wei Feng

Banks (Overall/Mainland): Shuaishuai Zhang

Basic Chemicals (Overall/Mainland): Xuan Li

Communications & Media (Overall/ Mainland/ Rest of World): Wei Meng

Electronics (Overall/ Rest of World): Leping Huang

Food & Beverage (Overall/ Mainland): Ruochen Lv

Infrastructure, Construction & Engineering (Overall/ Mainland): Xin Yang

Internet (Mainland): Yue (Natalie) Wu

Machinery (Overall/ Rest of World): Lingxin Kong

Machinery (Mainland): Yufei Wang

Non-bank Finance (Overall/ Mainland): Zeyu Yao

Nonferrous Metal (Mainland): Yubo Dong

Pharmaceuticals & Biotechnology (Overall/ Mainland): Peng Zou

Public Utilities (Mainland): Tao Zeng

Real Estate (Overall/ Mainland): Yu (Eric) Zhang

Technology (Overall/ Rest of World): Leping Huang

Technology (Mainland): Ning Ding

Telecommunications (Overall/ Mainland/ Rest of World): Kai Qian

Textile & Apparel (Overall/ Mainland): Haiyan Guo

Transportation & Warehousing (Overall/ Mainland/ Rest of World): Xin Yang

Wholesale Distributors & Retailing (Overall/ Mainland): Haiyan Guo

Economics (Overall/ Mainland): Hong Liang

Portfolio Strategy (Overall/ Mainland): Hanfeng Wang

The Best Analysts of the Year (Rank 2)

Alternative Energy & Environmental Services (Overall) : Tao Zeng

Coal (Mainland) : Yubo Dong

Communications & Media (Overall/ Mainland): Xueqing Zhang

Food & Beverage (Overall/ Mainland): Feiyang (Paul) Yuan

Gaming, Lodging & Leisure (Mainland): Haiyan Guo

Infrastructure, Construction & Engineering(Mainland): Xinyue Zhao

Internet (Overall): Yue (Natalie) Wu

Machinery (Overall): Yufei Wang

Machinery (Mainland): Lingxin Kong

Non-bank Finance (Mainland): Han Pu

Nonferrous Metal (Overall): Yubo Dong

Oil, Gas & Petrochemicals (Overall/ Mainland): Zhongyang (Nelson) Wang

Public Utilities (Overall/ Mainland): Jun (Karl) Liu

Real Estate (Rest of World): Yu (Eric) Zhang

Technology (Overall): Kai Qian

Technology (Mainland): Ting Lu

Textile & Apparel (Rest of World): Haiyan Guo

Wholesale Distributors & Retailing (Overall/ Mainland): Junhao Fan

Economics (Overall/ Mainland): Huan (Eva) Yi

Economics (Rest of World): Hong Liang

Portfolio Strategy (Overall/ Mainland): Gang (Kevin) Liu

Portfolio Strategy (Rest of World): Hanfeng Wang

The Best Analysts of the Year (Rank 3)

Alternative Energy & Environmental Services (Overall/ Mainland) : Jun (Karl) Liu

Banks (Mainland): Jiahui Yan

Basic Chemicals (Rest of World): Xuan Li

Coal (Overall/ Mainland) : Yan Chen

Electronics (Mainland): Leping Huang

Food & Beverage (Rest of World): Feiyang (Paul) Yuan

Gaming, Lodging & Leisure (Overall): Shengyong Goh

Infrastructure, Construction & Engineering(Overall): Xinyue Zhao

Machinery (Overall/ Mainland): Juncheng Chen

Non-bank Finance (Mainland): Dan Tian

Nonferrous Metal (Overall/ Mainland): Yan Chen

Oil, Gas & Petrochemicals (Rest of World): Zhongyang (Nelson) Wang

Steel (Mainland): Coral Li

Technology (Overall): Ning Ding

Technology (Mainland): Kai Qian

Transportation & Warehousing (Overall/ Mainland): Xinyue Zhao

Wholesale Distributors & Retailing (Rest of World): Haiyan Guo

Portfolio Strategy (Mainland): Qiusuo Li

Small & Midcapitalization Stocks (Mainland): Kai Qian

Top 10 Analysts:

Xin Yang

Haiyan Guo

Kai Qian

Yan Chen

Brokers Poll 2018

Overall Combined Research & Sales

Best Local Brokerage

Best for Overall Country Research

Best Overall Sales Services

Best Analyst

Best Economist: Hong Liang

Best Strategist: Hanfeng Wang

Small Cap: Kai Qian

Automobiles & Components: Wei Feng

Banks: Shuaishuai Zhang

Consumer Discretionary: Wei Meng

Consumer Staples: Haiyan Guo

Industrials: Yufei Wang

Diversified Financials: Zeyu Yao

Energy: Yan Chen

Healthcare: Peng Zou

Materials: Xuan Li

Real Estate: Yu Eric Zhang

Telecommunication Services: Kai Qian

Transportation: Xin Yang

Utilities: Tao Zeng

Best Country Salesperson

Yiming Zhang

2018 China Top PE

CICC Capital

Golden Hong Kong Stocks Award 2017

Most Valuable Financial Stocks Company

Best Wealth Management Institution in China Awards 2018

Best Wealth Management Brand

Best Investment Team of Fixed-income Assets

Achievement Awards 2018

Best China Deal & Best Financing:

Ant Financial’s $14 billion Series C Funding

China Awards 2018

Best Investment Bank (Domestic)

Best M&A House

Dear of the Year:

Ant Financial's $14 billion Series C Funding

Best Domestic IPO:

Foxconn Industrial Internet's $4.2 billion IPO

Best Cross-border M&A Deal:

Global Logistic Properties' $11.6 billion Privatisation Deal

Asian Local Currency Bond Awards 2018

Best Local Currency Bond Individuals in Research in China

Jiqiang Zhang (Rank 1)

Jiangfan Ji (Rank 4)

Jianheng Chen (Highly Commended)

Triple A Country Awards 2018

Best Deals

Best IPO (Singapore):

Sasseur REIT US$305 million IPO

Best IPO (Taiwan):

Foxconn Industrial Internet US$4.27 billion equivalent A-share IPO

2018 All-Asia Sales Team

Leaders Board (Rank 10)

2018 All-Asia Research Team

Analyst-Based Leaders (Rank 8)

China Asset-Backed Securities Awards 2018

Most Innovative Bank

New Silk Road Finance Awards 2018

Best Overall Bank for Advising Chinese Institutions on BRI

Best Bank for BRI-related Financing in the Region (Central and Eastern Europe & Central and West Asia)

China Corporate and Investment Banking Awards 2018

China’s Best Corporate and Investment Bank for M&A (Domestic)

China’s Best Corporate and Investment Bank for M&A (Cross-Border)

China’s Best Corporate and Investment Bank for ECM (Cross-Border)

Thomson Reuters Analyst Awards 2018 (Asia)

Top Earnings Estimator:

Overall Analyst Awards: He, Wei (Rank 7)

Health Care: Tu, Weiying (Rank 2)

Machinery & Materials: He, Wei (Rank 2)

Software & IT Services: Wu, Natalie (Rank 3)

Top Stock Pickers:

Consumer Goods & Services: Feng, Wei (Rank 3)

Thomson Reuters Analyst Awards 2018 (Mainland China & Hong Kong)

Top Award-Winning Brokers (Rank 3)

Top Earnings Estimator:

Overall Analyst Awards: Feng, Wei (Rank 8)

Automobiles & Machinery: Feng, Wei (Rank 2)

Health Care: Tu, Weiying (Rank 2

IT & Consumer Durables: He, Wei (Rank 1)

Retailing: Fan, Junhao (Rank 1)

Retailing: Feng, Wei (Rank 3)

Software & Services: Lu, Ting (Rank 3)

Top Stock Pickers:

Software & Services: Lu, Ting (Rank 2)

Stock Connect Awards for 2017

Top SPSA Participation of the Year – Stock Connect

Top Shanghai Connect Trading Award – Chinese Broker

Top Shenzhen Connect Trading Award – Chinese Broker

Top 100 Hong Kong Listed Companies Award 2017

Best Value Growth for New Listed Company

Best Paper Award 2018

The Pagano and Zechner Prize

Haizhou Huang

ARC Awards 2018

Banking & Financial Services: Hong Kong/PRC

Traditional Annual Report (Bronze)

Cover Photo/Design (Bronze)

Singapore BCA Green Mark Award 2018

BCA Green Mark:

China International Capital Corporation (Singapore))

Pte. Limited

2018 Poverty Alleviation Awards of Securities and Futures Industry

Best Educational Poverty Alleviation

Best Securities Analyst 2017

Best Sell-side Analysts

Fixed-income Research (Rank 2)

China Financial Value Ranking 2018

Investment Banker of the Year:

Bi Mingjian

China Securities Business Awards 2018

Best Investment Bank Brand

Most Forward-looking Overseas Business Network:

China International Capital Corporation (Hong Kong) Limited

China Pioneer Securities Broker 2018

Best Service Provider for High-net-worth Clients in China

Best Equity Investment in China Awards 2018

Best Equity Investment Institutions of Investment Bank:

CICC Capital

2017 Best Asset Management Products Awards

Best 3-years Asset Management Plan: CICC Anxin Huibao

Best Investment Bank in China Awards 2018

Best Investment Bank in China (Rank 4)

Best Investment Bank for Overseas Market (Rank 1)

Best Investment Bank for Refinancing (Rank 1)

Best Equity House in China (Rank 3)

Best Bond House in China (Rank 10)

Best Investment Bank for IPO (Rank 7)

Best Investment Bank for M&A (Rank 4)

Best Investment Bank for Innovation (Rank 3)

Best Investment Bank for Logistics Industry (Rank 3)

Best Refinancing Projects: China Unicom (Rank 1)

Best IPO Projects: Yealink (Rank 3)

Best Convertible Bond Projects: East Money Convertible Bond (Rank 3)

Best Overseas Projects: Yancoal's US$2.5bn ASX Equity Raising (Rank 2)

Best Asset Management in China Awards 2018

Best Asset Management of Fixed-income Product

Best Asset Management of Equity Product

Best Asset Management of ABS Product

Achievement Awards of Capital Market 2018

Best Investment Bank in China (Rank 4)

Best Investment Bank for Overseas Market (Rank 1)

Best Investment Bank for Refinancing (Rank 1)

Best Equity House in China (Rank 3)

Best Bond House in China (Rank 10)

Best Investment Bank for IPO (Rank 7)

Best Investment Bank for M&A (Rank 4)

Best Investment Bank for Innovation (Rank 3)

Best Investment Bank for Logistics Industry (Rank 3)

Best Refinancing Projects: China Unicom (Rank 1)

Best IPO Projects: Yealink (Rank 3)

Best Convertible Bond Projects: East Money Convertible Bond (Rank 3)

Best Overseas Projects: Yancoal's US$2.5bn ASX Equity Raising (Rank 2)

Best Asset Management in China Awards 2018

Best Asset Management of Fixed-income Product

Best Asset Management of Equity Product

Best Asset Management of ABS Product

Achievement Awards of Capital Market 2018

Best M&A Financial Advisor in China

2018 Crystal Ball Awards for Sell-side Analysts

Bond Research:

CICC Fixed-income Research Team (Rank 1)

2018 Philosopher's Stone Best Analyst Awards

Bond Research:

CICC Fixed-income Research Team (Rank 1)

Gold Lotus Award 2018

Top 100 Most Influential FoF Institutions in China and US

CICC Capital (Rank 1)

Top 30 Best Return FoF Institutions in China

Top 30 Best Risk Management FoF Institutions in China

CICC Capital (Rank 5)

Top 10 Most Outstanding Persons of FoF

Institutions in China

DING Wei from CICC Capital (Rank 1)

2018 Best Analyst Awards

Best Research Institution

Eastmoney Award 2018

Best Asset Management of Equity Investment

Best Fund Company for Creative Marketing:

CICC Fund

Triple A Country Awards 2017

China Region

Best Corporate and Institutional Bank – Domestic

Best Equity Adviser

Best Deals in China

Best IPO:

ZhongAn Online P&C Insurance Company US$1.75 billion IPO

Best Panda Bond:

United Company RUSAL One billion yuan Panda Bond

Best Bank Capital:

Postal Savings Bank of China US$7.25 billion Additional Tier 1 Capital Securities

Best IPO (Taiwan):

FIT Hon Teng US$394 million IPO

2017 All-China Research Team

The Leaders: Overall (Rank 1)

2017 All-China Research Team

The Best Research Team (Mainland China)

The Best Sales Team (Mainland China / International)

Greater China Research Score Leaders Table

The Best Analyst (Rank 1)

Autos & Auto Parts (Mainland) : Wei Feng

Banks (Mainland): Shuaishuai Zhang

Conglomerates (Mainland): Feiyang (Paul) Yuan

Consumer/Discretionary (Mainland): Haiyan Guo

Consumer/Nondiscretionary (Mainland / International): Feiyang (Paul) Yuan

Gaming, Lodging & Leisure (Mainland): Yaoxin Huang

Industrials (Mainland): Yufei Wang

Infrastructure & Transportation (Mainland / International): Xin Yang

Insurance (Mainland): Bolun Tang

Internet (Mainland): Zeyu Yao

Public Utilities (Mainland): Chao (Aaron) Ji

Real Estate (Mainland): Yu (Eric) Zhang

Renewable Energy & Environmental Services (Mainland): Chao (Aaron) Ji

Technology (Mainland): Kai Qian

Telecommunications (Mainland): Wei Meng

Economics (Mainland): Hong Liang

Portfolio Strategy (Mainland / International): Hanfeng Wang

The Best Analyst (Rank 2)

Basic Materials (Mainland): Yubo Dong

Conglomerates (Mainland): Mengya Zeng

Consumer/Discretionary (Mainland): Yaoxin Huang

Consumer/Nondiscretionary (Mainland): Ruochen Lv

Gaming, Lodging & Leisure (Mainland): Shengyong Goh

Health Care (Mainland): Peng Zou

Industrials (Mainland): Huimin Wu

Internet (Mainland): Yue (Natalie) Wu

Metals & Mining (Mainland): Yubo Dong

Oil, Gas & Petrochemicals (Mainland): Bin Guan

Public Utilities (Mainland): Long Chen

Real Estate (International): Yu (Eric) Zhang

Technology (Mainland / International): Leping Huang

Telecommunications (Mainland): Pei Yin

Economics (Mainland): Huan (Eva) Yi

Portfolio Strategy (Mainland): Gang (Kevin) Liu

Small & Midcapitalization Stocks (Mainland): Kai Qian

The Best Analyst (Rank 3)

Autos & Auto Parts (International): Wei Feng

Banks (Mainland): Victor Wang

Basic Materials (Mainland): Yan Chen

Consumer/Discretionary (Mainland): Junhao Fan

Health Care (Mainland): Jing Qiang

Industrials (Mainland): Lingxin Kong

Infrastructure & Transportation (Mainland): Lingxin Kong

Metals & Mining (Mainland): Yan Chen

Renewable Energy & Environmental Services (Mainland): Long Chen

Technology (Mainland): Ting Lu

Telecommunications (Mainland / International): Kai Qian

Economics (International): Hong Liang

Brokers Poll 2017

Overall Combined Research & Sales

Best Local Brokerage

Best for Overall Country Research

Best Overall Sales Services

Best Execution

Best in Sales Trading

Most Improved Brokerage over the Last 12 Months

Best for Events and/or Conferences

Best for Roadshows and Company Visits

Most Independent Research Brokerage

Best Analyst

Best Economist: Hong Liang

Best Strategist: Hanfeng Wang

Small Cap: Kai Qian

Automobiles & Components: Wei Feng

Banks: Shuaishuai Zhang

Consumer Discretionary: Wei Meng

Industrials: Yufei Wang

Diversified Financials: Zeyu Yao

Healthcare: Peng Zou

Insurance: Bolun Tang

Real Estate: Yu Eric Zhang

Software & Internet Services: Kai Qian

Telecommunication Services: Kai Qian

Transportation: Xin Yang

Best Research Team

Economic Research

Strategy

Small Cap

Automobiles & Components

Banks

Consumer Discretionary

Consumer Staples

Industrials

Diversified Financials

Energy

Healthcare

Insurance

Materials

Real Estate

Semiconductors & Semiconductor Equipment

Software & Internet Services

Technology Hardware & Equipment

Telecommunication Services

Transportation

Utilities

Best Country Salesperson

Duan Liu

Best Country Sales Trader

Kai Ji

2017 China Top PE

CICC Capital

Best Wealth Management Institution in China Awards 2017

Best Wealth Management Brand

Best Absolute Return Product: CICC Asset Allocation Yihao

Best Investment Bank in China Awards 2017

Best M&A Investment Bank

Best IPO Investment Bank

2017 All-Asia Executive Team

Banks Sector

Most Honored Companies (Rank 2)

Best CEO:

Mingjian Bi (Rank 3)

Best IR Professionals:

Bo Wu (Rank 1)

Best IR Companies (Rank 1)

Best Analyst Days (Rank 1)

Best Websites (Rank 1)

Thomson Reuters Analyst Awards 2017 (Mainland China & Hong Kong)

Top Earnings Estimator:

Overall Analyst Awards: Fan, Junhao (Rank 3)

IT & Consumer Durables: Fan, Junhao (Rank 1)

IT & Consumer Durables: He, Wei (Rank 2)

Retailing: Feng, Wei (Rank 1)

Top Stock Pickers:

Retailing: Feng, Wei (Rank 1)

Thomson Reuters Analyst Awards 2017 (Asia)

Top Stock Pickers:

Construction & Engineering: Wu, Huimin (Rank 3)

Top Earnings Estimator:

Software & IT Services: Lu, Ting (Rank 3)

2017 Hong Kong Business Awards

China Company Award

Gold Central Award 2017

Best Asset Management Institution

China Financial Value Ranking 2017

Best Investment Bank of the Year

Wealth APAC & China Awards 2017

Best Wealth Management Institution

2017 Best Analyst Awards

Fixed-income Research:

CICC Fixed-income Research Team (Rank 1)

Best Investment Bank in China Awards 2017

Best Investment Bank in China (Rank 9)

Best Investment Bank for Overseas Market (Rank 1)

Best Equity House in China (Rank 8)

Best Bonds House in China (Rank 8)

Best Investment Bank for Healthcare Industry (Rank 5)

Best IPO: Xinhua Net (Rank 7)

Best M&A: Jinan Diesel Engine Company Limited Material Assets Reorganization (Rank 3)

Best Overseas Projects:

Tianhai Investment Acquired IMI (Rank 5)

IPO of Postal Savings Bank of China (Rank 7)

Privatization of Dalian Wanda Commercial (Rank 8)

Achievement Awards of Capital Market 2016

Best M&A Financial Advisor in China

Best Chinese Buy-side Financial Advisor for Overseas M&A

2017 Crystal Ball Awards for Sell-side Analysts

Bond Research:

CICC Fixed-income Research Team (Rank 1)

Most Independent Research Institution (Rank 1)

2017 Best Analyst Awards

Fixed-income Research:

CICC Fixed-income Research Team (Rank 1)

Best Investment Bank in China Awards 2017

Best Investment Bank in China (Rank 9)

Best Investment Bank for Overseas Market (Rank 1)

Best Equity House in China (Rank 8)

Best Bonds House in China (Rank 8)

Best Investment Bank for Healthcare Industry (Rank 5)

Best IPO: Xinhua Net (Rank 7)

Best M&A: Jinan Diesel Engine Company Limited Material Assets Reorganization (Rank 3)

Best Overseas Projects:

Tianhai Investment Acquired IMI (Rank 5)

IPO of Postal Savings Bank of China (Rank 7)

Privatization of Dalian Wanda Commercial (Rank 8)

Achievement Awards of Capital Market 2016

Best M&A Financial Advisor in China

Best Chinese Buy-side Financial Advisor for Overseas M&A

Achievement Awards of Capital Market 2016

Best M&A Financial Advisor in China

Best Chinese Buy-side Financial Advisor for Overseas M&A

2017 Crystal Ball Awards for Sell-side Analysts

Bond Research:

CICC Fixed-income Research Team (Rank 1)

Most Independent Research Institution (Rank 1)

China Deals and Investment Bank of the Year Awards 2017

Best Investment Bank – Offshore

Best IPO – Onshore:

Shanghai Film Co Rmb1.02bn IPO (Sole Bookrunner)

Best Equity-Linked Deal – Onshore:

Guangzhou Autombile Group Co Rmb4.10bn Six Year Convertible Bond (Joint Bookrunner)

Best Bond – Onshore:

Iowa China Offshore Holdings (Hong Kong) Rmb1.5bn Dual Tranche Panda Bond (Sole Bookrunner)

Best Structured Finance Transaction – Onshore:

Jinmao Investment Management (Shanghai) Rmb4bn Commercial Mortgage Backed Securities (Joint Bookrunner)

Best Structured Finance Transaction – Offshore:

Blu Zenith Designated Activity Co $300m Aircraft Loan Securitization (Joint Bookrunner)

2016 Best Asset Management Products Awards

Best Asset Management Plan of the Year: CICC Hedge Yihao

Best 3-years Asset Management Plan: CICC Yihao

Tou Ying Tracker 2016

Top 30 Fastest Growing Chinese-owned Firms in UK：

China International Capital Corporation (UK) Ltd

Stars of China 2016

Most Innovative Bank

Triple A Country Awards 2016

China Region

Best Corporate and Institutional Bank – Domestic

Best Equity House

Best Deals in China

Best IPO: Shanghai Film Corporation RMB 908 million A-share IPO

Best Cross-border M&A: Qingdao Haier US$5.4 billion Acquisition of General Electric’s Appliances Business

Best Equity-linked: China Overseas Holdings US$1.5 billion Exchangeable into China Overseas Land and Investment Limited

Best Privatization: Privatization of Dalian Wanda Commercial Properties

2016 All-China Research Team

Leaders Board (Rank 1)

Industrial Rankings (Rank 1)

Economics: Hong Liang

Portfolio Strategy: Hanfeng Wang

Banks: Jie (Anson) Huang

Insurance: Bolun Tang

Industrial Rankings (Rank 2)

Consumer/Discretionary: Haiyan Guo

Infrastructure & Transportation: Xin Yang

Oil, Gas & Petrochemicals: Bin Guan

Real Estate: Jingbian Ning

Industrial Rankings (Rank 3)

Autos & Auto Parts: Wei Feng

Health Care: Jing Qiang

Industrials: Huimin Wu

Insurance: Jie (Anson) Huang

Brokers Poll 2016

Overall Combined Research & Sales (Rank 1)

Best Local Brokerage (Rank 1)

Best for Overall Country Research (Rank 1)

Best Overall Sales Services (Rank 1)

Best Execution (Rank 1)

Best in Sales Trading (Rank 1)

Most Improved Brokerage over the Last 12 Months (Rank 2)

Best for Events and/or Conferences (Rank 1)

Best for Roadshows and Company Visits (Rank 1)

Most Independent Research Brokerage (Rank 1)

Best Research Coverage

Macroeconomics: Hong Liang

Strategy: Hanfeng Wang

Small Caps: Min Li

Banks: Jie Anson Huang

Consumer Discretionary: Haiyan Guo

Consumer Staples: Haiyan Guo

Diversified Financials: Jie Anson Huang

Energy: Bin Guan

Health Care: Jing Qiang

Industrials: Huimin Wu

Insurance: Bolun Tang

Real Estate: Jingbian Ning

Semiconductors & Semiconductor Equipment: Chinyi Erica Chen

Technology Hardware & Equipment: Chinyi Erica Chen

Utilities: Min Li

Best Sales Trader

Jun Deng (Rank 2)

Best Salesperson

Yiming Zhang (Rank 2)

Best Wealth Management Institution in China Awards 2016

Best Wealth Management Brand

Best Broker for Institutional Investor Services

Best Asset Management Leader:

LIN Shoukang from CICC

Best Investment Banks in China Awards 2016

Best Full-Service Investment Bank

Best M&A Investment Bank

China Deals and Investment Bank of the YearAwards

Best Investment Bank

Best Securitization:

China Construction Third Engineering Bureau Co Rmb3.015bn ABS due 2018 (Sole Bookrunner)

Achievement Awards 2016

Best Equity-linked Deal: China Overseas Holdings’ US$1.5 billion Exchangeable Bond and Tender Offer

20th Anniversary Platinum Awards 2016

Best Domestic Investment Bank in China

2016 All-China Sales Team

Leaders Board (Rank 1)

Country Awards 2016

China Equity House

RMB Bond: Global Logistic Properties’ RMB 1.5bn Three and Five-year Panda

Thomson Reuters Analyst Awards 2016 (Mainland China & HK)

Top Earnings Estimator:

Overall Analyst Awards: Shi, Chengbo (Rank 10)

Automobiles & Machinery: Shi, Chengbo (Rank 3)

Health Care: Zou, Peng (Rank 1)

Insurance: Tang, Bolun (Rank 3)

IT & Consumer Durables: He, Wei (Rank 2)

Software & Services: Lu, Ting (Rank 3)

Utilities: Li, Min (Rank 1)

Thomson Reuters Analyst Awards 2016 (Asia)

Lewis Sanders Award Investment Banking In-House Team of the Year

2016 Inclusive Finance Awards

Most Improved Institution ( CICC Goldennet )

New Industry Leader:

ZOU Bing, Head of CICC Goldennet

Best Investment Banks in China Awards 2016

Best Investment Bank in China

Best Investment Bank for Overseas Market

Best Bonds House in China

BBest IPO: Kunlun IPO

Best Bond: Guosheng Corporate Bond

Best M&A: Focus Media Back-door Listing through Hedy Holding

Best Securitization: Ant Micro Loan