ENGLISH
CHINESE
The institutional sales team has rich experience in servicing onshore and offshore professional institutional investors, PE investors，wealth management institutions, and ultra-high net worth investors. The team provides research services, equity deal and product services, block trading services，trading execution services, and etc. The research team served as industry experts and enterprise strategic consultants. They are able to conduct industrial research and in-depth corporates research from major aspects. Their research reports are well recognized by the market.

  • OTC Derivatives

    Flow/Exotic Options

    Total Return Swaps

    Equity/Commodity-linked Notes

  • Corporate Solution

    Institutional client
    purchasing/selling stocks

    Cross-border Financing

    Commodity Full Services

  • Market Making

    Listed Options/Futures

    ETF, LOF, MMF

    Cross-border Assets

Client Services

Based on the top-tier client base, leading product innovation and strong trading professionals, our team is committed to providing excellence in our service offerings, enhanced reporting and technologies as well as quality programs to assist clients with their different needs. Our derivatives professionals complement this with a range of services, including trading execution, market making, asset allocation, risk management, wealth management, financing, and cross-border market access.

Benefits

  • Clients

    Financial Institutions

    Private Funds

    Hedge Funds

    Corporations

    High-net-worth Individuals

  • Demands

    Asset Allocation

    Liquidity Provision

    Risk Management

    Wealth Management

    Market Value Management

  • Products & Services

    Customized product
    design

    OTC Derivatives Market
    Making

    Risk Management

    Equity/Commodity Linked
    Notes

    Comprehensive financial
    services

Product Introduction: Options

We are responsible for serving the OTC option transactions needs of our execution clients, including hedge funds, institutions and other financial service providers, as we provide customized and flexible product designs and solutions for clients. We provide various trading strategies to help clients manage risk and execute a wide range of investment strategies.

Benefits
  • Liquidity

    Intraday trading at all times

  • Convenience

    Direct OTC market access

  • Flexibility

    Customized option product designs

  • Variety

    A wide range of underlying assets

  • Efficiency

    Intraday bilateral quotation

Product Introduction:
Structured Products

We issue equity/commodity linked notes to our institutional clients and individuals across various asset classes: onshore/offshore stock indices, equities, ETFs and commodities, etc. We seek to deliver to our clients wealth management and asset allocation.

Benefits
  • Wide range of underlying assets

    Underlying assets include onshore/offshore equities, stock indices, mutual funds, commodities, etc.

  • Customized Solutions

    Customized and flexible product designs and solutions for clients

  • Channels of diversified investment

    Investment opportunities across various markets. FX risk-free for the principal.

  • Strong credibility

    Derivative guarantees by the CITIC Securities with a high credit-quality rating.

Product Introduction:
Cross-border Swaps

A global asset allocation tool offers investors a convenient way to gain exposure to offshore markets without having to stump up the cash needed to own such assets.

Business matrix
  • Variety of trading strategies

  • Global
    underlying

    FX
    risk-free

  • 24 hours
    trading
    services

    Flexible types
    of payment

  • Global asset
    allocation and
    risk management
    solutions
Cross-border Swap
Product Introduction:
Corporate Solutions

With outstanding product innovation and risk management ability, we work closely with our clients to develop customized solutions that draw on the expertise and resources of CITICS.

Business matrix
  • Equity Risk Management Solutions
  • Stock Purchasing/Selling
  • Mortgage Financing
  • Risk Hedging
  • Return Enhancement
  • Equity Incentive Plan
  • Commodity Risk Management Solutions
  • Price Risk Hedging
  • Basis Risk Hedging
  • Insurance + Option
  • Commodity Linked Loan
Equity Sales & Trading and Research business line provides comprehensive institutional services such as trading services, research services, product sales and equity deals, and in long-term provides services to domestic and overseas professional investment institutions, ultra-high net worth investors and private equity funds.
Business Introduction

Equity Deal Services

Provide a comprehensive package of solutions to customized demands on equity investment & deal from our clients, including block trade, special entrusted trading and big shareholders’ placement.

Comprehensive Trading Services

  • With excellent performance and strict risk control, we provide a cross-market ALGO trading system for multiple assets and strategies.
  • Through special entrusted trading, we provide clients with customized trading execution services based on their needs for daily trading and shareholder purchasing/selling stocks.
  • We also provide smart trading tools and trading assistant tools for the trading process.

Investment Research Services

Provide scientific and timely research reports, road shows, commissioned research projects, forums, etc.

Product Sales

Provide clients with sales services for a package of financial products (including primary/secondary markets), and collaboratively recommend the company’s services from other business lines.

Corporate Access

Provide professional services such as corporate visits, meetings on special topic, expert services, corporate forums, etc.

Block Trade

Comprehensive Solution Provider for Block Trading

CITIC Securities is the deal-matcher/market-maker with the largest market share in the A-share block trading market, and CITIC Securities is also the counterparty with largest turnover in the whole market.

The annual turnover for regular block trade exceeds 10 billion RMB.

CITIC Securities has strong leading advantages in the following block trading areas:

  • Block trade for shareholding reduction in ultra-large scale (the scale of reduction is ten times larger than the daily average turnover)
  • Multiple shareholding reduction within a limited time
  • Collective shareholding reduction by multiple shareholders
  • Shareholding reduction by foreign shareholders
  • Shareholding reduction by state-owned corporate shareholders

Advantages of our Block Trade Business

Trade guaranteed by self-owned fund in CITIC Securities proprietary account.

  • CITIC Securities proprietary account provides guaranteed funds for the block trade.
  • Can execute the trade on the same day when clients confirm the intention on the trade.

CITIC Securities Bidding Trading Services

  • Provide bidding trading services to clients without demand on block trade.
  • Provide professional market monitoring and ALGO trading services, making trading executed in faster speed, higher stability and better performance.

Network Platform with Rich Client Resources

  • We have trading services relationships with the 200 largest institutional investors in the entire market, thus we can quickly connect with potential institutional investors.
  • More than 150 Qualified Foreign Institutional Investors (QFII) are clients of CITIC Securities’ trading services, so that we can provide a choice of foreign investor as counterparty.

Market-leading Capabilities on Solution Establishment and Professional Trading Desk

  • We can customize shareholding reduction plans according to client needs, and we have rich trading experience in stabilizing stock prices and enhancing liquidity during the period of shareholding reduction.
  • Trading executed by specialists from the trading desk of CITICS Equity Sales & Trading Department, and the trading team has an average of more than 6 years of experience in trading.
Algo Trading

We provide cross-market automated trading execution services for multiple assets and strategies, which can ensure execution efficiency, protect trading intentions, capture trading opportunities and obtain Alpha gains from the trading links.

Based on the trading microstructure, market data and real-time info, we utilize computer programs and mathematical models to determine the timing, price and quantity of orders, and split orders intelligently rather than mechanically.

Our Smart Algo beats the market average price by 2bps in 2019, and the total traded value with Algo in 2019 exceeded 540 billion yuan, of which more than 70% of orders were passive trading.

We also send TCA (Trading Cost Analysis) reports every month.

  • TWAP
  • VWAP
  • VOLUME
    INLINE
  • SCALING
  • ICEBERG
  • FLOAT
  • SNIPER
  • ······
  • REAL TIME
    TRADING
    TREND
  • SHORT-TERM
    ANALYSIS
  • TRADING
    VOLUME
    DISTRIBUTION
  • BETTER
    PRICE
  • SMART
    TIMING
  • TCA
    REPORTS
Special Entrusted Trading

We provide clients with customized trading execution services based on needs for daily trading and shareholders purchasing/selling stocks, including but not limited to:

  • Stock purchasing by shareholders/ ESOP
  • Stock selling by controlling shareholders/state-owned shareholders
  • Stock selling by foreign strategic investors
  • Stock selling by private placement shareholders
  • Share buy-back of listed companies on the secondary market
  • “B to A” stocks selling
  • “H-share full circulation” stocks selling
  • controlling
    shareholders
  • listed
    companies
  • high net-worth
    individual
    client
  • ESOP
  • private
    placement
    shareholders
  • private equity
    funds
  • Clients
  • professional
    trading team
  • professional
    trading system
  • professional
    trading plan
  • professional risk
    control
  • professional
    data analysis
  • business
    line

We have an experienced trading execution team:

  • One of the first QFII & WFOE trading teams in the A-share market, based in Beijing and Shanghai.
  • We provide standard Chinese & English trading execution services and our trading team has an average experience of over 10 years.
  • We have a special trading line for institutions, a high-speed trading channel, and a strong trading system.
  • We provide a variety of electronic trading strategies for different orders.
  • We set complete trading procedures and strict compliance control to reduce the risk of trading errors.

The year of 2016 and 2015

Asia Money

The best sales trading service in China

The best trading execution in China

The year of 2014

The best domestic trading brokerage in China Mainland

Trading Assistant Tools & Services
  • Block trading matching services:
    With an abundant and reliable block trading stock pool, CITIC Securities is a core block trading market maker acknowledged by most professional investors
  • Info Express: A smart announcement notifying tool
CITICS Research ranked the first place during the “Best Local Research Team” survey by New Fortune for seven consecutive years. That’s because we has cultivated a large number of influential analysts in more than 47 research fields.
In the Asiamoney Brokers Poll 2019, CITICS and CITIC CLSA jointly won the second prize for the “Overall Regional Research”（Asia excluding Australia, Japan ）, “Best Local Brokerage” and “Overall Combined Research and Sales” in China A&B share.

CITICS Research:

To follow the trend of industrial integration, we set up eleven major research groups, including: macro, strategy, FICC, quantitative allocation, consumer, manufacturing, technology, finance, cyclical industries, infrastructure & real estate, and healthcare, which are then subdivided into 47 professional teams, providing full coverage of domestic market research. Meanwhile, we will continue to strengthen our research on the Hong Kong stock market and China concept stocks.

CLSA Research:

Thematic

Our thematic and special research products provide in-depth analysis of market-moving themes, such as artificial intelligence, digital transformation, world trade and corporate governance. They also provide independent insights into the social and economic forces shaping Asia's economies. Among our regular research publications are the highly anticipated Theorality, CG Watch and CLSA U Blue Books.

Markets

We provide research products and services through our extensive on-the-ground presence in 14 markets.

Sectors

Our highly respected analysts combine strong macro research with detailed analysis of individual companies in the following 18 sectors:Autos, Capital Goods, Conglomerates, Consumer, Financial Services,Healthcare, Hotels & Leisure, Infrastructure, Insurance, Internet,Materials, Media, Petrochemicals, Power, Property,Technology, Telecoms, Transport

CITICS Research reports

Every year, CITICS Research presents 11,000+ high-quality research reports of various types to the market, covering gross, industry, corporate and thematic researches.
We cover 1,000+ A-shares, 200+ H-shares, and 50+ overseas-listed China Concepts Stocks.
Our reports are distributed via our own website, company app, wechat platform, and major financial terminals like Bloomberg and Wind.

CITICS Research services

Diversified services with annual average of:
13,500
roadshows
1000
field surveys
3,300
teleconferences
20
seminars
2
annual/interim
investment forums
~1,000
tailored
research projects

CLSA Research :
Services and Access

We bring together investors and companies to promote mutual understanding and information flows.
Our comprehensive corporate access program includes five annual Investors' Forums in Asia and more than 1,000 other corporate access events from conference calls and company visits to roadshows and industry-specific/multi-company access days.
We endeavor to foster fruitful information exchange and relationships between companies and investors.

CLSA Forums

Through our forums, we offer investors and corporates unrivalled opportunities to glean actionable intelligence, share information, network and form meaningful connections.
CLSA forums are recognized as must-attend events by the world's most influential investors and Asia's leading companies. They draw an assortment of thought leaders as speakers, sharing critical insights on everything from finance, economics and geopolitics to technology, the environment and healthcare. In the past, keynote speakers have included Bill Clinton, Kevin Rudd, Anwar Ibrahim, Al Gore, Lee Kuan Yew, Sarah Palin, Alan Greenspan, Mervyn King, Jean-Claude Trichet and Raffaello D'Andrea, to name a few. They also offer corporations highly targeted access to institutional investors through one-on-one and group private meetings and presentations.

Roadshow & Access Days

We provide direct access to the region's leading established and up-and-coming corporates.
In order to help investors make informed decisions and stay ahead of the curve, we arrange a variety of targeted on-the-ground meetings with major players across both the dominant markets and the less well covered parts of Asia.
In addition to facilitating insights into specific companies, we also aim to give investors first-hand experience of local markets, cultures and regional dynamics, all of which are critical to investment outcomes

CLSA U

Given the accelerating pace of change, keeping on top of evolving industry and market trends is both increasingly challenging and critical to maintaining your competitive advantage. Our CLSA U courses, available to top clients, are designed to help you stay ahead of the curve on any subject or theme that is important to you. Tailored content is delivered by the best available independent sources we are able to source from around the world, and unfiltered by our own house views. In addition to addressing pressing investment and professional topics, we also arrange experts to give instruction on a variety of personal health and development issues through CLSA U+.
There are four major categories of CLSA U courses:

  • Sector dynamics and trends. With a special focus on the energy, technology and financial sectors, courses are customized to suit your needs and level of knowledge; everything from '101s' to advanced programs delving into the multiple dimensions and technical aspects of each sector.
  • Investment theories and techniques. Courses on economic theories, and investment trends, tools and techniques give you an edge in investing. Course offerings include economic history, behavioral finance, growth vs. value investing, valuation techniques and alternative investment strategies.
  • Macro outlook and speaker series. Get expert commentary on world events as they unfold to gain timely insight into the potential impact on global markets. Whatever the issue, CLSA U brings you straight to the source.
  • CLSA U+. Lifelong learning should be personal as well as professional. CLSA U+ goes beyond executive training to help you explore topics such as stress management, personal skills, executive health, effective parenting and personal wealth management.