HONG KONG (China)
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CICC US Securities, Inc. (CICC US Securities) opened an office in New York in 2009, followed by San Francisco in 2017. As an SEC-registered broker-dealer and a member of the Financial Industry Regulatory Authority (FINRA), CICC US Securities is the hub for CICC's business and operation in the United States.
CICC US Securities provides M&A and corporate finance advisory services, distributes third party affiliate research reports, produces and distributes research in its own name, and provides equity sales and trading services to institutional investors.
In 2010, it became the first Chinese brokerage firm to provide services for securities listed on the US exchanges. Today, it is still a leading provider in this area.
In recent years, it has advised on several prominent Chinese-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’s website: http://www.finra.org/
Link To FINRA BrokerCheck: http://brokercheck.finra.org/
Link To SIPC’s website: http://www.sipc.org/
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.
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
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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.
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: