Asset Management

Shanghai Haitong Securities Asset Management Co., Ltd. (hereinafter referred to as "Haitong Securities Asset Management"), a subsidiary of Haitong Securities, is a sound asset management institution with complete strategies and a full line of products. It provides institutional and individual investors with comprehensive solutions for asset allocation. Its business areas cover cash management, fixed income, quantitative hedge, investment portfolio, equity investment, alternative investment, asset securitization, bailout funds, QDII, etc. As of the end of 2023, Haitong Securities Asset Management has accumulatively served 1.40 million clients and over 2,500 entities in total, with RMB 111.4 billion of returns earned for its clients.

Asset Securitization

Over the years, Haitong Securities Asset Management has been deeply engaged in the asset securitization business, and has issued more than 100 asset-backed special plans, with underlying assets covering accounts receivable, financial leasing, CMBS, quasi-REITs and many other types, totaling about RMB 130 billion cumulatively.

Strategic Placement

Haitong Securities Asset Management has set up the Hui Xiang Series Employee Strategic Placement Collective Asset Management Plan to help companies listed on the STAR Market and ChiNext to carry out employee strategic placements, and to motivate the employees of listed companies to actively participate in the operation of the companies and to share the dividends of development; it has already served many listed companies, including National Silicon Industry Group, Fudan Zhangjiang, and CFMEE, to help China achieve self-reliance in science and technology.

Public Funds

HFT Investment Management Co., Ltd. (hereinafter referred to as "HFT Fund"), a subsidiary of Haitong Securities, was established in April 2003. It is one of the first batch of Sino-foreign fund management joint ventures established upon approval in China. Headquartered in Shanghai, it has branches in Beijing and Shenzhen, and has a subsidiary, Shanghai HFT Fortune Asset Management Co., Ltd. It is one of the few asset management companies in China with comprehensive qualifications for business management. Its main businesses include public funds, SMA, enterprise annuity, occupational annuity, national social insurance, basic pension, pension products, investment consulting and overseas businesses.

Fund Investment

To meet investor's needs for maintaining and adding value to assets, HFT Fund provides a variety of options for public funds. It covers a number of different types of fund products, including equity, bond, hybrid, monetary, index, FOF and QDII funds. It can provide customized products and services for high-net-worth clients and institutional clients by means of separately managed accounts, to satisfy the demands of various investors with different risk preferences regarding investment.

Enterprise Annuity Investment

HFT Fund, with its qualifications for management of enterprise annuity, occupational annuity, national social insurance and basic pension, can customize enterprise annuity investment management schemes for corporate clients.

Pension

• It has 18 years of experience in related investment management, and presently has 185 pension portfolios under its management.

• It adheres to the investment concept of "high security, proper return and long-term value-addition" and a stable and sound investment style.

• With its professional and complete pension investment and service teams, it offers one-stop services to pension clients.

  
  

FullGoal Fund Management Co., Ltd.  (hereinafter referred to as "FullGoal Fund") , a subsidiary of Haitong Securities, was founded in 1999, which is one of the first batch of ten fund management companies in China, fully-licensed for the management of mutual fund, NSSF, basic pension, corporate annuity, SMA, QDII, RQFII (via a wholly-owned Hong Kong subsidiary) as well as QFII and investment advisory. After 25 years of development, Fullgoal Fund has established a balanced layout of strategies, with three core investment research capabilities of active equity, fixed income, and quantitative investment.

Government and Park Services

The Company has accelerated the shift from traditional brokerage outlets serving communities to a comprehensive financial platform rooted in parks to serve enterprise development, providing clients with one-stop comprehensive financial services. Through cooperation with the government, parks, investment institutions, funds, banks and other organizations, the Company builds key regional industrial clusters, and provides full-life-cycle financial services for enterprises in the parks, helping to integrate industry and finance, in order to eventually promote industrial upgrading.

The Company focuses on the Yangtze River Delta, the Greater Bay Area, Beijing-Tianjin-Hebei and the western region, basing itself on the geographical advantages and grasping the development opportunities to realize the "precise drip irrigation" for the park economy and high net-worth clients in the region. At present, the Company's footprint covers more than 60 key parks in 10 provinces, including Shanghai Lingang, Shanghai Greater Zero Bay, Shanghai Zhangjiang Hi-Tech, Suzhou Industrial Park, Hefei USTC Silicon Valley, etc. The Company has promoted the establishment of more than 10 funds and signed strategic cooperation agreements with more than 60 governments, parks, universities, banks and equity investment institutions.

Equity Value Chain

The Company establishes long-term and in-depth cooperation relationships with clients through research support, equity management, institutional trading, bailout funds, return swaps and other businesses.

Value-added Services for the Shareholders of Listed Companies

The Company offers various customized market value realization schemes, based on the different risk preferences of clients. It uses return swap, securities lending, snowball with limited loss for securities, offline placement and other businesses as tools, to increase revenue for clients. The Company provides shareholders with countercyclical risk management, private placement-based arbitrage, and cross-market arbitrage.

Professional Services for Shareholding Reduction

Based on the characteristics of shareholders, the Company provides diversified exit strategies for shareholding reduction, such as price-based competitive trading, block trade, agreement-based and inquiry-based transfer. It also offers exit scheme design, research and valuation, program-based trading platforms, matching of institutional purchasers, compliance support and services in the value chain derived from subsequent equity, and a package of other comprehensive services for shareholding reduction.

Equity Incentive-related Services

The Company designs equity incentive schemes for clients, and offers system management, exercise-based financing, compliance consulting and other services.

Private Wealth Management

The Company targets entrepreneurs and high-net-worth individual clients as its specific clients. Taking the PWM center and PWM consultants as the link, the company gathers expert teams and resources in various fields within the Group, stands in the position of the clients, and provides comprehensive solutions to satisfy the clients' diversified needs for wealth management, business operation, and family governance, etc.

Financial Products

Product Planning

The Company tracks market development trends continuously, coupled with in-depth analysis and judgment on the future market context and customer needs, formulates financial product layout plans to provide decision-making support for the development strategies of financial products.

Product Screening and Introduction

The Company advances its cooperation with various asset management institutions, including public and private funds, selects and introduces high-quality financial products, and achieves comprehensive coverage of major financial assets and mainstream financial products.

Product Research

The Company refines product categorization to formulate a distinctive and multifaceted evaluation system. This system is employed to depict the risk-return characteristics of various financial products, strengthen an in-depth understanding of the asset side, and select high-quality products.

Product Allocation

The Company has created an excellent service brand, which performs precise matching based on the client's needs, market environment and product functions. Much like solving a "Rubik's cube", it pulls out all the stops to recommend appropriate products to suitable clients in a proper market environment.

Post-sales Companionship

The Company has established a comprehensive post-sales companionship mechanism, to deeply strengthen tracking and evaluation during the post-sales phase, continuously manage products properly throughout their duration, and constantly optimize the customer holding experience.

Integrated OTC Fund Trading Solution for Institutional Clients e-Haitong He

Empowered by both FinTech and product research, "e-Haitong He" is committed to innovatively solving the product allocation and transaction needs of institutional clients, providing one-stop services such as product screening, product research, investment transaction, operation management, compliance and risk control, enriching the investment scenarios of over-the-counter (OTC) funds, and enhancing the transaction experience of institutional investors

Investment Advisory

In response to the diversified demands of investors, the Company's senior professional investment consulting team focuses on strategic views, thematic investing, trading strategies, product research, companionship services, Craftsmanship 100 series asset allocation services, and through live broadcasts, messages, short video, seminars and other forms, the Company explores the value of and opportunities for market investment, providing clients with first-hand market information and investment advice.

Ying Information

In the ever-changing market, Ying investment advisory team capture hot information in a timely manner, and output professional and original views around macro policy, market hotspots, in-depth topics, BSE investment, pension finance and other topics.

Ying Allocation

The Company builds a pre-investment - investment - post-investment full chain asset allocation service system, and provides clients with considerate financial services based on the three service chains i.e. asset allocation suggestion, Craftsman 100 SMA service, and post-investment companionship.

Ying Strategy

Adhering to the concept of buy-side investment advisory, the Company integrates investment & research and trading resources to provide investors with professional trading strategies and trading-related data, tools and other services, covering ETFs, automatic investment plan and convertible bonds among other products and fields.

One-stop Comprehensive Wealth Management Platform e-Haitong Cai

The Company has built a one-stop comprehensive wealth management platform "e-Haitong Cai", which covers APP, PC, WeChat and other terminals, and empowers clients' transactions with FinTech, providing retail clients with information, advisory, strategy, allocation, live broadcasting and other services through such tools as high-speed quotation, conditional order and intelligent AIP.

Professional and Intelligent Investment Services

By providing intelligent tools such as intelligent conditional orders, one-key subscription for new stocks, and individual stock scanning, the Company supports trading in multiple categories across markets, providing clients with high-speed and stable trading services, helping clients to seize trading opportunities and make investment decisions quickly.

"Tonghe Rubik's Cube" selects high-quality products for clients, provides product pools built on the basis of the financial product research system, and continuously outputs stable and professional investment and wealth management services to escort clients to better realize the appreciation of their assets.

The Company builds an online community named Tong Cai Quan, which has been directly linked to nearly 100 fund companies, bringing together big names in the industry, and building a platform for investors to talk to experts, helping them to obtain professional views.

The Company has created an interactive investment ecosystem, providing all-weather content companionship, interpreting hot market information in depth through a collection of multi-dimensional information, and helping investors to view the global market conditions and obtain market investment opportunities.

Futures Business

Haitong Futures Co., Ltd. (hereinafter referred to as "Haitong Futures"), a subsidiary of the Company, is a full-license professional futures company with a registered capital of RMB 1.3015 billion, and has been listed on the NEEQ under stock code 872595. Haitong Futures is a full member of Shanghai Futures Exchange, Shanghai International Energy Exchange, Dalian Commodity Exchange, Zhengzhou Commodity Exchange, and Guangzhou Futures Exchange, and a full clearing member of China Financial Futures Exchange. Since 2010, Haitong Futures has steadily ranked among the top in the industry in terms of business scale, with a very high market share in financial futures and many major commodity futures varieties.

Main Business Scope: Commodity futures brokerage, financial futures brokerage, futures investment advisory, fund sales, inter-bank bond market, international business, asset management, stock options trading participant qualification, risk management.