Locations
![Locations](https://en.cicc.com/upload/image/2023/04/04/c085b21d-5362-4892-85f2-083239848ec5.jpg)
HONG KONG (China)
China International Capital Corporation (International) Limited (CICC International) was established in 1997. Today, CICC International and its subsidiaries provide a full suite of financial services, including investment banking, equities, fixed income, wealth management, asset management, private equity and research.
With in-depth knowledge of the Hong Kong market, CICC International plays an active role in engaging in market reform and innovation, and maintains close links with stakeholders in the financial and business communities.
China International Capital Corporation Hong Kong Securities Limited (CICCHKS) has worked on many IPOs on the Hong Kong Stock Exchange, carried out numerous cross-border A+H dual listings, and participated in local and international capital market transactions for companies in the Chinese mainland, Hong Kong and overseas.
CICCHKS also provides sales and trading as well as research services to global institutional investors. The volume of shares it has traded in the Stock Connect has grown significantly, and it has maintained the leading position over the past few years.
To view the documents for Equities, please click the relevant link:
Appendix 12_CICC Institutional PI Professional Investor Notice_(Eng)
Appendix 13_CICC Non-Exempt CPI IPI Professional Investor Notice_(Eng)
Appendix 14_CICC Client Identity Rule Schedule_(Eng)
Appendix 15ST_CICC Cash Terms of Business(Eng) (Clean)
Appendix 15STM_CICC Margin Terms of Business
Appendix 17_CICC Electronic Trading System Schedule (Securities)_(Eng)
Appendix 18_CICC Explanation of Risks for Listed Derivatives in Hong Kong and Overseas_(Eng)
Appendix 19_CICC Provision of Services in Products Denominated or Settled in RMB_(Eng)
Appendix 33ST_Schedule of Transaction Related Information Disclosure (clean)
CICC Best Execution Policy_Dec2019
EQ - Stock Connect Terms (21 Sept 18) - Final - BCAN
EQ - A37211769 v3 1 CICC_China Connect BCAN Supplement_TOB_Amendment - 1
Notice on Legal Entity Identifiers
ST6 - eStatement Risk Disclosure Schedule Feb 2011(final)
ST7 - eTrade Confirmation Risk Disclosure Schedule Feb 2011 (final)
To view the documents for Fixed Income, please click the relevant link:
Appendix 14_CICC Client Identity Rule Schedule_(Eng)
Appendix 15_Terms of Business - May 2022 update
Appendix 17_CICC Electronic Trading System Schedule (Securities)_(Eng)
Appendix 19_CICC Provision of Services in Products Denominated or Settled in RMB_(Eng)
Appendix 33ST_Schedule of Transaction Related Information Disclosure (clean)
Appendix 39_FI_HKIDR and OTCR_english_final
CICC Best Execution Policy_Dec2019
ST6 - eStatement Risk Disclosure Schedule Feb 2011(final)
To view the documents for Wealth Management, please click the relevant link:
Schedule A \250C Terms And Conditions For Wealth Management Services - Clean - ENG
Schedule C \250C Risk Disclosure Schedule - Clean Version - ENG
Schedule E - Personal Data (Privacy) Schedule - Clean - ENG
Schedule F - Client Identity Rule Schedule - Clean - ENG
Schedule G - Best Execution Policy - Clean - ENG
Schedule K - Provision of Services In Products Denominated Or Settled in Renminbi - Clean - ENG
Schedule L - WM_BCAN consent and notification form for HKIDR and NB trading - Clean - ENG
Schedule M - Electronic Trading System Notice - Clean - ENG
Appendix 12_CICC Institutional PI Professional Investor Notice_(Eng)
Appendix 13_CICC Non-Exempt CPI IPI Professional Investor Notice_(Eng)
Appendix 13(A)_CICC Exempt CPI Professional Investor Notice_(Eng)
UNITED STATES
CICC US Securities, Inc. (CICC US Securities) opened its New York office in 2007, followed by the San Francisco office in 2017. As an SEC-registered broker-dealer and a Financial Industry Regulatory Authority (FINRA) member, CICC US Securities is the hub for CICC's business and operations in the United States.
CICC US Securities provides M&A, corporate finance advisory services, and equity sales and trading services, and produces and distributes house-view research reports.
In 2010, CICC US Securities became the first China-based brokerage firm to provide brokerage services for US-listed stocks. We are one of the leading Chinese providers in this area. In recent years, CICC US Securities has advised on a number of prominent China-US cross-border M&A transactions.
*Note: the CICC U.S. Securities logo is a trademark of China International Capital Corporation Limited
If you have questions about this notice, please contact your account representative.
Link To FINRA website: http://www.finra.org/
Link To FINRA BrokerCheck: http://brokercheck.finra.org/
Link To SIPC website: http://www.sipc.org/
SINGAPORE
China International Capital Corporation (Singapore) Pte. Limited (CICC Singapore) was incorporated in July 2008. It is a holder of the Capital Markets Services License regulated by the Monetary Authority of Singapore and a securities trading member of Singapore Exchange Securities Trading Limited. It is also the hub for CICC’s businesses and operations in South and Southeast Asia, primarily focusing on sales, trading and investment banking.
Since its inception, CICC Singapore has had a strong track record in both the primary and secondary capital markets. In 2009, CICC assisted Global Logistic Properties (GLP)’s US$3 billion IPO on the Singapore Stock Exchange, which was at that time, the largest IPO in Singapore since 1993 and the largest in the world’s real estate sector. In 2014, CICC Singapore acted as the sole financial advisor to China Mobile in its subscription of an 18% interest in True Corporation PCL of Thailand. The transaction was valued at approximately US$ 900 million, which was the largest outbound M&A transaction completed by a Chinese telecommunication operator since 2010.
CICC Singapore has also been active in providing advisory services for cross-border deals. In 2017, it was involved in the privatizations of GLP and CWT in Singapore, and in 2018, it assisted GO-JEK Indonesia’s US$1.5 billion private placement, the largest single-round financing of a technology player in Southeast Asia.
UNITED KINGDOM
China International Capital Corporation (UK) Limited (CICC UK) was established in 2009 and is authorised and regulated by the UK Financial Conduct Authority.
CICC UK provides a central platform that facilitates cross-border investment and financing activities for institutional clients from Europe that do business with China, and from China seeking investment and financing opportunities in Europe.
CICC UK is the first Chinese member of the London Stock Exchange and the SIX Swiss Exchange. It is also the first Chinese investment bank member of the Frankfurt Stock Exchange and the first Chinese listing and trading member of the Luxembourg Stock Exchange. In 2018, CICC UK was approved by the Shanghai Stock Exchange as the first UK Global Depositary Receipts (GDR) cross-border conversion institution under the Shanghai-London Stock Connect scheme. In 2022, CICC UK became the first GDR cross-border conversion institution approved by both the Shanghai Stock Exchange and Shenzhen Stock Exchange for the UK, Swiss and German markets under the expanded Stock Exchange schemes.
CICC UK will continue to bear the core value of “Chinese Roots and International Reach” and provide quality financial services to its clients.
Financial disclosures for CICC UK
To view CICC UK tax strategy, please click the following link:
EUROPE
China International Capital Corporation (Europe) GmbH (CICC Europe) was established in Frankfurt in 2018. Formerly known as CICC Deutschland GmbH, CICC Europe provides cross border M&A and capital markets advisory services to support European companies expanding their business in China and Chinese clients seeking cross-border investment opportunities and potential investors in Europe.
Since its establishment, CICC Europe has strengthened the financial and commercial ties between Europe and China, and accomplished a stable & steady growth trajectory. CICC Europe has a team of multilingual and multicultural professionals who serve both European and Chinese clients efficiently to help them achieve their business goals.
JAPAN
CICC established its Japan subsidiary, China International Capital Corporation (Japan) Limited (CICC Japan), in April 2020. Headquartered in Tokyo, CICC Japan provides China-related equities and bonds services to institutional investors and corporate advisory services.
After being registered as a Type I financial instruments business operator at Kanto Local Finance Bureau in March 2021, CICC Japan became a Japan Securities Dealers Association member in April 2021.
Disclosure for CICC Japan (only in Japanese)
To view CICC Japan Principles for Customer-Oriented Business Conduct, please click the following link:
CICC Japan Principles for Customer-Oriented Business Conduct