中信证券

CITIC Securities is committed to implementing national strategies, serving the real economy, and creating greater value for society. Our vision is to become a domestically leading and internationally first-class Chinese investment bank most trusted by clients around the world. We will actively fulfil our corporate social responsibilities from the dimensions of robust operation, sustainable finance, employee development, environmental protection, and contribution to the society, to create value for customers, shareholders, employees, society and other stakeholders.
CITIC Securities supports China’s pledge to achieve carbon peak and carbon neutrality, and gives full play to the role of financial institutions in vigorously promoting the development of green finance. We have integrated sustainable finance into our corporate social responsibility model.

Sustainable Finance

Responsible Investment

Green Finance

ESG Research
Environment-friendly

Green Operation

Green Procurement

Environmental Consciousness

Robust
Operation

Compliance

Customer-oriented

Product Responsibility

Supply Chain Management
Employee
Development

Team Diversity

Employees’
Rights and Interests

Employee Growth

Employee Care

Giving Back to Society

Inclusive Finance

Public Welfare Donations

CITIC Securities
Social Responsibility
Practice

Social Responsibility Organizational Structure

The Company has established and continuously improved the social responsibility organizational structure. We integrated the concept of social responsibility into our daily operation and management, and promote the integration of social responsibility with business development to ensure proper fulfilment of social responsibilities. The Board of Directors is responsible for the decision making in social responsibility management strategies, and the management steers social responsibility work. Departments and subsidiaries work together to implement social responsibilities tasks.

Board of Directors

Management of the Company

ESG Functional Department

Subsidiaries

Legal
Compliance
IT
Board of Directors Office
General Manager Office
the Party and the Masses Work
Audit
Risk Management
HR
Planning & Financial
Wealth Committee and other Business Line

CITIC Futures
Goldstone Investment
China AMC
CITIC Securities Investment
CITIC Securities (Shandong)
CITIC Securities International
CITIC Securities South China

The board of directors is responsible for supervising social responsibility matters, formulating social responsibility management strategy, comprehensively planning the company’s social responsibility management work, controlling the company’s social reponsibility strategy, policies and objectives, ensuring the establishment and inernal monitoring system, and regularly listening to social responsibility work reports and reviewing the company’s social responsibility performance.

The management of the company is responsible for the overall implementation of social responsibility strategy, the management fo social responsibility performance of relevant departments, subordinate branches and subsidiaries, the organization of ESG issue importance assessment, risk assessment and control, the overall preparation of social responsibility report and the report of social responsibility to the board of directors.

The functional departments and subsidiaries are the specific excutors of the company’s social responsibility work, and are responsible for cooperating with the management to complete relevant tasks in accordance with thee social responsibility work plan. All functional departments and subsidiaries regularly report their social responsibility work to the management of the company.

Stakeholder Engagement

The Company values communication with stakeholders. Based on the characteristics of its businesses, management and operation, the Company has established and improved communication channels with main stakeholders including shareholders and investors, governments and regulators, customers, employees, suppliers and partners, community and the public, to ensure the timely and effective communication.

Main Stakeholders	Major Communication Channels	Key Issues Concerned
Shareholders and Investors	Shareholders’ general meetings, corporate annual report, shareholders’ hotline, email, “E-interaction” platform of SSE, face-to-face communication	Profitability Compliance
Government and Regulators	Major conferences, policy consultations, incident reporting, institution investigation and official correspondence	Compliance Giving Back to Society Environment-friendly
Customers	Customer visit, satisfaction survey and customer complaint hotline	Product Responsibility Customer-Oriented
Employees	Employee suggestion box, labor union, employee satisfaction survey, employee activities	Employee Diversity Employees’ Right and Interests Employee Growth Employee Care
Suppliers and Partners	Supplier inspection, communication meetings	Supply Chain Management
Community and the Public	Public welfare activities, community interaction	Giving Back to Society

Materiality Assessment

The Company maintains effective communication with main stakeholders through the above channels. In 2020, in order to better respond to the demands and expectations of stakeholders, the Company identified and disclosed in the Report the material social responsibility issues that stakeholders are concerned about with reference to external experts’ opinions.

Identify Material Issues

Referring to the ESG reporting guidelines, the social responsibility standards of the Shanghai Stock Exchange, and the benchmarking of sustainable development goals of the United Nations, and in combination with the actual situation of the company's operation, potential important social responsibility issues are identified.
Communicate with Stakeholders

Through active communication with important stakeholders including shareholders and investors, governments and regulators, customers, employess, suppliers and partners, community and the public, we can understand their views on important issues and carry out analysis on important social responsibility issues.
Materiality Analysis

Based on the results of stakeholder communication, combined with the issues concerned by the industry and the opinions of external experts, the importance of each issue was analyzed and sorted.

The material issues assessed are illustrated below. This Report will elaborate on the management of these issues and the progress.

Working towards the UN Sustainable Development Goals

The Company supports the United Nations Sustainable Development Goals (SDGs). The Company has identified UN SDGs priories to match its social responsibility concept, and improves its social responsibility management and practices to support the achievement of SDGs.

SDGs	Social Responsibility Concept	Our Practice
	Robust Operation	Enhancing business diversification and serving the real economy; Staying customer-oriented for mutual development; Strengthening industry exchange and cooperation to promote mutual development; Operating in compliance with laws and regulations, and strictly controlling risks; Strengthening corporate supply chain management and anti-corruption management.
	Sustainable Finance	Strengthening corporate supply chain management and anti-corruption management. Supporting infrastructure development through the issuance of green bonds and promoting financing for low-carbon solutions; Conducting ESG analysis to provide professional guidance for investors.
	Employee Development	Adhering to the people-oriented concept and market-oriented talent management; Creating jobs for society and protecting employees’ rights and interests in accordance with laws; Adhering to the principle of fairness and impartiality, and hiring employees based on job qualifications; Providing fair opportunities in appointment, promotion, remuneration and welfare benefits, development and training; Providing employees with a healthy and safe working environment.
	Environment-friendly	Acting upon the national green development strategy, adopting energy conservation and emission reduction measures to achieve green operation; Purchasing environment-friendly products; Advocating environment-friendly behaviors and raising public awareness of environmental protection.
	Giving Back to Society	Promoting inclusive finance to help with national development; Carrying out targeted poverty alleviation and contributing to society in various ways;