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 * Who We Are
 * What We Do
 * Sustainability
 * Investor Relations
 * Insights

 * Who We Are
 * What We Do
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 * Investment Banking
 * Equities
 * Fixed Income
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 * Private Equity Investment
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 * Overview
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 * Equities
 * Fixed Income
 * Wealth Management
 * Asset Management
 * Private Equity Investment
 * Research

 * Overview
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EQUITIES

Home What We Do Equities

CICC’s Equities platform (EQ) provides local and international institutional
investors with one-stop comprehensive financial services, including research,
sales and trading, product structuring, connectivity solutions and cross-border
services.

The EQ team is adept at integrating global investment banking best practices and
local business know-how. The business was established in 1997 with mainly sales
and trading services for overseas stocks issued by Chinese companies, and it
gradually transformed into a full-service provider for clients across the globe.
The team continues CICC’s long history of supporting capital market reforms,
financial innovation and the globalization of China’s equity market.

DIVERSE CLIENT BASE

GLOBAL NETWORK

PRODUCT EXPERT

OPERATION PLATFORM

Over the years, CICC has built long-term partnerships with domestic and global
investors, namely QFIIs, QDIIs, commercial banks, insurance companies, mutual
funds, pension funds, hedge funds, private equity funds, listed companies, asset
managers, Sovereign Wealth Funds, and China’s National Social Security Fund etc.




In China, we are a leading service provider for local mutual funds, QFIIs,
insurance firms and private equity funds. Our extensive coverage of QFIIs has
led us to have a market-leading position for many consecutive years and we have
become the broker of choice for the wealth management subsidiaries of many
banks. 




Globally, we work with prominent institutional investors and offer the
market-leading trading solutions and cross-border market access to various
instruments. 




Globalization has always been a key focus of CICC. Our extensive geographical
coverage is supported by a large global equities sales and trading network
across major Chinese cities and key international financial centers, including
Hong Kong, New York, London and Singapore. As well as being a “China expert”,
CICC was the first Chinese brokerage firm to establish a global footprint. We
continue to demonstrate our international expertise through our strong track
record in cross-border transactions.




CICC plays an important role in international markets:

• We are one of the top brokers for the Shanghai-Hong Kong Stock Connect and
Shenzhen-Hong Kong Stock Connect. 

• Our US business has established a leading position among the Chinese
institutions in the local market. 

• CICC is a key brokerage partner in the UK for our European institutional
clients and is the first cross-border conversion institution for GDR in the
world which is qualified to access the Stock Connect Scheme between Shanghai
Stock Exchange and Shenzhen Stock Exchange, and Germany, UK and Switzerland.

• CICC operates a trading desk in Singapore and is actively expanding its
influence in Southeast Asia. 

• Meanwhile, we continue to seek new opportunities in Middle East, Japan and
Korea and other international markets, and deliver our services to an
increasingly diversified client base.

CICC’s EQ team are experts in global, integrated financial services and product
innovation, including block trade sourcing, A-/H- share IPOs, follow-on
offerings, structured product offerings, equity hedging solutions and IT
infrastructure. We have provided support to a number of landmark, large listings
in China and abroad, with many considered as first-in-market transactions and
re-defining industry best practice.

 

CICC was one of the first securities firms in China to obtain regulatory
approval for piloting innovative products; we established an industry precedent
for prime brokerage and OTC derivatives with our customized products and
derivatives solutions. Our domestic prime brokerage platform meets our clients’
diversified needs, from securities margin trading and risk management to
cross-border trading. Our overseas prime brokerage platform offers securities
margin trading, risk monitoring, cross-border access, algorithmic trading, and
listed option trading etc. 

 

As one of the first brokers in China to obtain a First-Class OTC Option Dealer
Qualification, we provide professional investors with a variety of derivatives
products and services, such as options and corporate derivatives. We also
support the development of high technology and green finance through innovative
financial products. Meanwhile, we continue to develop our capital referral (“Cap
Intro”) business to help build a bridge between investors and fund managers. 




We have built a leading integrated operation platform and a comprehensive risk
control platform, covering both domestic and overseas markets as well as both
exchange-traded and OTC products. The platform is able to provide comprehensive
operational support across entire business process and product life cycle to
deliver better service to our clients. In addition, we have formed a multi-level
and all-round compliance and risk control system to manage all kinds of risks
properly. We have strengthened the institutional building and promoted sound
corporate culture that is centered on integrity and compliance. We have also
embraced the digitalization initiative to achieve technological empowerment and
established an efficient managerial platform to deliver better client
experience.




OUR HONORS

Our award-winning EQ team prioritizes excellence and entrepreneurship, which has
been recognized by prominent institutions.

• Institutional Investor’s ‘Best All-China Sales Team’ from 2012 to 2022 for 11
consecutive years

• Asiamoney’s ‘Best Local Brokerage in China’ from 2004 to 2023 for 20
consecutive years

• Asiamoney’s ‘Best Overall Sales Services in China’ from 2006 to 2023 for 18
consecutive years

• Asiamoney’s ‘Best Brokerages for Stock Connect Northbound Trading’ in 2021 and
2022

• FinanceAsia’s ‘Best Broker (China)’ from 2021 to 2023

• ‘Excellent Case in Innovative Investment’ by the Investment Association of
Central SOEs in 2022 (CICC Strategic Hard Technology Index)

• Tianyi Award for Excellent Practice in Risk Governance and Cultural System
Building 2023 by China Financial Risk Managers Forum & TGES‘House of the year,
China’ in Asia Risk Awards 2022

• ‘Best ETF Liquidity Service Provider’ by SZSE in 2022 

• Securities Times’s ‘Best Brokerage House for Institutional Investor’ in 2020
and 2023

• Securities Times’s ‘Best Prime Brokerage House in China’ in 2022

• ‘Top Broker in the Stock Connect Awards’ by HKEX in 2017, 2019 and 2020 

• Asiamoney’s ‘Overall Combined Research & Sales in China’ from 2015 to 2020 for
six consecutive years 

• ‘Best Fund Market Maker’ by SHSE in 2020

• YICAI’s ‘Best Sales Services Institution’ in 2019

• ‘Top SPSA Participation of the Year’ by HKEX in 2017 

• Institutional Investor’s ‘Best Brokerage of Shanghai-Hong Kong Stock Connect
and Shenzhen-Hong Kong Stock Connect Services in China’ in 2017

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