Brokerage Business

Sales Trading Department

As a functional department responsible for the marketing and expansion of Haitong’s brokerage business, Sales Trading Department mainly focuses on “four teams and eight services” to enhance Haitong's core competitive edge in brokerage business. 

Management of four sales service teams: marketing team, customer service team, investment adviser team and trading service team.

Promotion of eight core service models: R&D of investment consulting products, R&D of innovative trading products, trading product customization, Rainbow Treasure Club service, hierarchical-classification customer management, eligibility management of investors, establishment of trading and e-commerce platforms, and management of call center.

Major business

Marketing Management Center

& Promote various branches to conduct marketing team building based on local conditions and create market competitiveness of marketing team. Haitong takes a leading role in the sector by the size of marketing team and ranks the first place in the sector in terms of the number of registered brokers. Build a complete marketing team training system, establish high-efficiency business support platforms, continuously improve the professional competence and service level of marketing team, and constantly enhance the professional and standardized management of marketing team.

& Expand and maintain marketing channels, facilitate extensive and intensive cooperation between Haitong and banks, insurance companies as well as other financial institutions, plan and organize joint marketing activities with other financial service institutions, fully seek business cooperative projects, and advance the channel development of all branches.

Investment Consultancy

& Providing both A share and H share market information and investment advices through investment strategy daily, weekly and monthly, daily SMS, margin trading and short selling products, quantitative investment portfolios, H share investment strategy and portfolios, fund and bond investment reports and portfolios.  

& One-on-one asset management services and series of products for investment consulting customers through the platform of "Rainbow Treasure Club", by offering specific advices via email and SMS base on individual clients' investment preferences and risk appetites, realtime monitoring of client accounts and account diagnosis, and risk analysis or investment recommending in time.

& Conducting, administrating and guiding the investment consultancy: providing support of products and services for branch investing consultants, guiding branches in conducting investment consultancy and managing daily businesses of investment consultancy, being responsible for investment consulting training and work license qualification certification as well as the development of assessment system and indicators for investment consulting business.

IB Management

& Manage institution building, business planning, marketing, personnel training, customer assistance, investor education, complaint handling and customer service of futures IB business.

& Implement EFP- and ETF-based covered-interest arbitrage model, release interest arbitrage strategies via dynamic updates, and establish a specialized trading system to support covered-interest arbitrage business.

& Promote the development of algorithmic and programmed trading business, build algorithmic and programmed trading platforms, and give full supports to the innovative trading business in terms of data service, multi-variety trading channel integration and open application extension.

E-commerce

& Responsible for business demand management of the brokerage e-platform.

& Designing and maintenance of off-site trading system including E-trading system and cell phone securities.

& Designing and maintenance off-site service system including website and SMS platform

& Keeping in touch with the third party on E-commerce business

Customer Management Department

& Covering the whole country with phone services (phone number: 95553), which integrates trading, account and trading check through voice service and client representative service. Five Star Certification of China Contact Centre Standard specially for securities sector.

& Providing multi-channel, all-around, convenient and efficient trading solutions to clients by cooperating with branches, website and client service center.

 Institutional Services Department

Major business

Sales Department

& Promote strategic cooperation with institutions, including fund management companies, social securities fund and insurance companies, actively develop innovative business and enhance Haitong’s competitive edge and innovative ability.

& Organize distribution of funds, promote marketing activities and guide branches' fund sales in order to enlarge the company's market share and upgrade the services

& Establish a diversified service network for fund product sale; set up safe, convenient and all-around sale channels for fund investors; provide professional fund sale services. Haitong provides full spectrum of fund distributions to our clients.

VIP Clients Services

& Promote cooperation with financial institutions and investment institutions including banks, trust companies, funds, private equities and others; closely follow the development trends of all types of institutional investors and financial products in the securities market; and carry out product innovation, service upgrading and actively explore new business room.

& Promote equity management services for state-owned asset management authority, national social insurance authority, enterprise customers and high net worth individuals and open new models of business development of institutional brokerage so as to enhance economic benefits and the market share of Haitong's brokerage business.

& Promote cooperation with financial organizations including banks, trust companies, private equities and other investment institutions; enhance the sunshine private placement, thus leading the trend of the market with product innovation and service innovation.

& Establish and maintain Haitong's asset custody and management system based on the combination of "Series of Products + Cooperation Platform + Service Design"; and center around needs of institutional customers to develop systematic, customized and professional financial products and services so as to improve the service scope of equity management and competitiveness for the business of institutional clients.

Research Sales Department

& Provide research sales services for clients including funds, insurances, and the sunshine private placements and help enhance the market influence of its institute and researchers. Actively integrate the company resources in order to provide all-dimensional research-focused services for funds, insurance, sunshine private placement and other institutional investors, thus to improve the company's influence.

& Deeply communicate with clients by organizing large-scale investment strategic seminars, strategic workshops, telephone conferences, listed companies’ meeting with investors, listed companies’ joint research and on-site promotion, etc.

& Focus on timeliness and sensitivity to market changes in daily communication by the means of phone and e-mail, thus enabling research and investment to play the role of bridge.

Margin Trading & Short Selling

Founded in December 2008, the margin trading & short selling Department is responsible for the operation and management of margin trading and short selling with a view to providing investors with services on margin trading and short selling. In March 2010 Haitong was approved to conduct trial margin trading and short selling business and became one of the first six securities traders gaining the qualification. After that, the company endeavored to be approved to be among the first to conduct trial refinancing. Currently, the company has about 180 business departments nationwide approved to conduct margin trading and short selling.

Business advantages

& Being among the first to gain trial qualification, Haitong has the first mover advantage. After conducting margin trading & short selling business, the indicator of the scale of its margin trading & short selling business and the trading volume of that business ranked the top of the industry.

& With its top-ranking net capital scale, Haitong has capital advantage and securities source advantage. Moreover, its great financial strength has laid a solid basis for providing margin trading & short selling services. Currently, Haitong boasts the most varieties of mortgage securities sources among all pilot securities companies. As the object scope of margin trading is expanded, Haitong will also increase securities sources in good time.

& It has a flexible, simple and convenient business process. Haitong adopts a pre-credit extension model in which the credit extension amount of client is mainly determined by the client’s credit rating, total assets of common capital accounts and other financial assets provided by the client without asking the client to provide any collateral.

& It features simple formalities. The client’s common capital account has certain account-opening age limit and asset scale. When applying for a common capital account, clients with good performances in trading history can only provide basic information, financial position and other related information.