China Wisdom for the World
Guotai Junan International (“GTJAI”,Stock Code: 1788.HK) is the
market leader and first mover for internationalization of Chinese Securities
Company. The company was established
in Hong Kong in 1993. In 2010, it became the first Chinese securities company
approved by the China Securities
Regulatory Commission to list its shares on the Main Board of the Stock Exchange
of Hong Kong through IPO. The company is based in Hong Kong and promotes the development of Southeast Asia through Singapore and
Vietnam, becoming a bridge connecting quality Chinese and global enterprises with the capital market.
An integrated financial service provider
with
diversified businesses
In recent years, as the company’s diversified
development strategy has been fully implemented, it has successfully transformed from a “brokerage oriented” securities
company to a large “integrated financial service provider” with diversified businesses. The company’s core business
now includes seven categories of brokerage, corporate finance, asset management, loans and financing, financial
products, market making and investments, which covers three dimensions including individual finance (wealth management),
institutional finance (institutional investor services and corporate finance service) and investment management.
Leading Sustainable Finance and ESG
GTJAI has been assigned “BBB” ESG rating from MSCI. Meanwhile, the Company’s S&P Dow Jones Index ESG score leads nearly 80% of its global peers. In 2020, Guotai Junan International took the lead in establishing an ESG committee among Chinese peers in Hong Kong to assist the board in formulating, monitoring and supervising the implementation of related matters, giving priority to environmental investment and financing projects, hoping to join hands with all sectors of society towards a more inclusive low-carbon economy.
Risk management
being the edge
The company firmly believes that risk management is
the primary core competitive edge of securities companies. Through an effective risk management system, the Company
has penetrated its risk management culture and rules into various business lines, thereby striving for ideal
risk-adjusted investment returns to shareholders and investors. As of the end of 2021, the Company has been rated “Baa2/Prime-2”
and “BBB+/A-2” by Moody’s and Standard & Poor’s respectively. The outlook is “stable” and its credit rating is
among the leading Chinese peers in Hong Kong.
Strong
controlling shareholder
The Company’s controlling shareholder, Guotai Junan
Securities Company Limited (Stock Code: 601211.SH; 2611.HK), is one of the
China’s leading securities houses. Backed by strong operational support, the
Company will be able to further explore the HK and the Asia-Pacific market.
Guotai Junan International Wealth Management provides a one-stop open wealth management platform. Focusing on your wealth management needs, the platform focuses on the global market and financial instruments, providing diversified products such as stocks, bonds, funds, foreign exchange, futures, and financial derivatives on global exchanges to help you access the global trading market and provide you with The cross-regional, cross-sectoral, all-round global trading market environment allows you to base yourself on the present and look forward to the future. Not only that, our account managers, investment consultants, financial product specialists, credit plan teams, asset protection services and corporate teams can also control risks while aiming at wealth preservation and appreciation, and provide client-oriented service options to help preserve the wealth of your family, embody the idea of inheritance and eternity.
The controlling shareholder of the Group has been a pioneer in the development of the asset management business in China for many years.
The Group is committed to building Asia-Pacific's leading asset management company. It has strong support from the parent company's professional research team and gathers a large number of fund management talents who have comprehensive research and understanding of the financial markets in mainland China and Hong Kong.
Our asset management team has rich international investment management experience, excellent investment performance, and is proficient in various investment products and services. We have a good track record, showing good investment performance and returns in the past. Committed to maximizing the return on investment for customers, while using various risk management technologies to ensure that investment risks are minimized. Applying a comprehensive analysis of investment opportunities from top to bottom and from bottom to top, we believe that our asset management team will achieve the highest return on investment for customers with the lowest investment risk.
Guotai Junan International financial products provides a superb range of high-quality investment solutions tailored to meet the investment needs of private, corporate and institutional investors. We commit ourselves to assist clients in making proper judgments in different market conditions while upholding our service commitment with integrity, client focus, expertise, and innovation.
Our team of dedicated professionals have gained experience from industry-leading institutions in the US, Europe, and Asia. The department is leveraging on in-depth knowledge and understanding of global capital markets and has established a solid reputation for a wide range of high-quality services and solutions offered to our clients in HK, China and across the world. By partnering with clients and counterparts in the industry, we are able to offer unparalleled access to a network of execution services and investment expertise.
Clients can enjoy the benefits of Guotai Junan's competitive edge by investing in Structured Notes or Swaps (OTC) across asset classes and markets.
The Chairman since August 2012 and an Executive Director
since March 2010. Dr. YIM is concurrently a member of the Risk Committee and the
Nomination Committee of the Company. Dr. YIM is a director of various
subsidiaries of the Company, including Guotai Junan Securities (Vietnam) Corp.
(formerly known as Vietnam Investment Securities Company) (stock code: IVS.HN),
which is listed on the Hanoi Stock Exchange in Vietnam. In addition, he is also
a director and the general manager of Guotai Junan Financial Holdings Limited, the
controlling shareholder of the Company, and a director of its subsidiary. He acted
as the Vice-chairman of the Company and the Chief Executive Officer during the period
from March 2010 to August 2012 and during the period from March 2010 to 13 December
2021, respectively. Dr. YIM joined the Group in 1993. He has over 30 years of experience
in the securities industry. Dr. YIM is a Senior Economist and holds a doctorate
degree in Economics from the Graduate School of the Chinese Academy of Social Sciences
and a bachelor’s degree in Environmental Engineering from the Tsinghua University.
At present, he is a member of the 14th National Committee of
the Chinese People’s Political Consultative Conference, a director and vice
chairman of the Hong Kong Chinese Enterprises Association, the honorary life
president of Chinese Securities Association of Hong Kong Company Limited, a director
and standing committee member of the Chinese General Chamber of Commerce and the
life president of the Tsinghua Alumni Association of Hong Kong.
An Executive Directorsince March 2015 and the Chief Executive Officer since 14 December 2021 and is responsible for the overall business
management of the Group. Ms. QI is concurrently a director of various
subsidiaries of the Company. Ms. QI was the Deputy Chief ExecutiveOfficer of the Company since March 2015 until
13 December 2021. Prior joining to the Group, Ms. QI worked for Shenzhen
Supervision Bureau of the China Securities Regulatory Commission and was responsible for regulatory supervision of securities companiesand listed companies between 2004 and 2012.In 2012, Ms. QI joined Guotai Junan Securities Co., Ltd. (stockcode: 2611.HK; 601211.SH), the parent company, and held the positions as deputy generalmanager in compliance department and strategic management department respectively. Ms. QI holds a master’s degree in Financial Economics from the London School ofEconomics and Political Science (LSE) and a bachelor’s degree in International Economics and Trade from the University of International Businessand Economics (UIBE) in China.
At present, Ms. QI is a member of All-ChinaYouth Federation, a member of All-China Financial Youth Federation, a deputydirector of International Cooperation Committee of Securities Association of China, a director and vice president of Chinese
Asset Management Association of Hong
Kong Limited and the vice president of Chinese Financial Association of Hong
Kong.
The Chairman since August 2012 and an Executive Director
since March 2010. Dr. YIM is concurrently a member of the Risk Committee and the
Nomination Committee of the Company. Dr. YIM is a director of various
subsidiaries of the Company, including Guotai Junan Securities (Vietnam) Corp.
(formerly known as Vietnam Investment Securities Company) (stock code: IVS.HN),
which is listed on the Hanoi Stock Exchange in Vietnam. In addition, he is also
a director and the general manager of Guotai Junan Financial Holdings Limited, the
controlling shareholder of the Company, and a director of its subsidiary. He acted
as the Vice-chairman of the Company and the Chief Executive Officer during the period
from March 2010 to August 2012 and during the period from March 2010 to 13 December
2021, respectively. Dr. YIM joined the Group in 1993. He has over 30 years of experience
in the securities industry. Dr. YIM is a Senior Economist and holds a doctorate
degree in Economics from the Graduate School of the Chinese Academy of Social Sciences
and a bachelor’s degree in Environmental Engineering from the Tsinghua University.
At present, he is a member of the 14th National Committee of
the Chinese People’s Political Consultative Conference, a director and vice
chairman of the Hong Kong Chinese Enterprises Association, the honorary life
president of Chinese Securities Association of Hong Kong Company Limited, a director
and standing committee member of the Chinese General Chamber of Commerce and the
life president of the Tsinghua Alumni Association of Hong Kong.
An Executive Director since March 2015 and the Chief Executive Officer since 14 December 2021 and is responsible for the overall business
management of the Group. Ms. QI is concurrently a director of various
subsidiaries of the Company. Ms. QI was the Deputy Chief Executive Officer of the Company since March 2015 until
13 December 2021. Prior joining to the Group, Ms. QI worked for Shenzhen
Supervision Bureau of the China Securities Regulatory Commission and was responsible for regulatory supervision of securities companies and listed companies between 2004 and 2012.In 2012, Ms. QI joined Guotai Junan Securities Co., Ltd. (stockcode: 2611.HK; 601211.SH), the parent company, and held the positions as deputy generalmanager in compliance department and strategic management department respectively. Ms. QI holds a master’s degree in Financial Economics from the London School ofEconomics and Political Science (LSE) and a bachelor’s degree in International Economics and Trade from the University of International Businessand Economics (UIBE) in China.
At present, Ms. QI is a member of All-ChinaYouth Federation, a member of All-China FinancialYouth Federation, a deputy director of International Cooperation Committee of Securities Association of China, a director and vice president of Chinese Asset Management Association of Hong Kong Limited and the vice president of Chinese Financial Association of Hong Kong.
A Non-executive Director since 16 February
2022. Ms. YU is also a member of the Remuneration Committee of the Company. Ms.
YU joined Guotai Junan Securities Co., Ltd. (stock code: 2611.HK; 601211.SH), the
parent company, in 2007, and held various positions in different departments, including
the audit department, retail customer department, integrated management team
for committee of economic affairs and treasury department. Ms. YU is currently the
general manager of asset and liability department of Guotai Junan Securities Co.,
Ltd.. Prior to her current role, Ms. YU worked for Shanghai Mingpin Shangsha Co.,
Ltd.(上海名品商廈有限公司). Ms. YU has over 15 years of experience
in the securities industry. Ms. YU obtained a master’s degree in Business Administration
from the Shanghai University of Finance and Economics. She is a member of the Chinese
Institute of Certified Public Accountants and holds the Certificate of Certified
Internal Auditor.
A Non-executive Director since 5 July 2024. Dr. XIE is
also a member of the Nomination Committee of the Company. Dr. XIE is currently the vice president and a
member of the party committee of Guotai Junan Securities Co., Ltd. (stock code:
2611.HK, 601211.SH), the parent company, a director of its various
subsidiaries, and the board chairman of Guotai Junan Financial Holdings
Limited, the controlling shareholder of the Company. Dr. XIE used to work at
the investment banking department of Wanguo Securities Co., Ltd. from 1993 to
1995 and served as an executive director of the investment banking department
of J&A Securities Co., Ltd from 1995 to 1999, respectively. He held various
positions at Guotai Junan Securities Co., Ltd. since 1999, including as a
deputy general manager of the shanghai investigation and auditing department, a
deputy general manager, an executive deputy general manager and the general
manager of the investigation and auditing headquarters, the deputy chief
financial officer and the general manager of the planning and finance department,
the chief financial officer, the chief operating officer, the chief risk
officer, the president of the
investment banking business unit, and the director of the executive board, respectively. Dr. XIE was a
non-executive director of the Company for the period from 19 June 2017 to 14
December 2021.
Dr. XIE obtained a doctorate degree and a master’s degree in Economics from the East China Normal University in Shanghai in 2010 and 1993 respectively, and a bachelor’s degree in Economics from the Shanghai Fisheries University (currently known as the Shanghai Ocean University) in 1990. Dr. XIE was accredited the International Certified Internal Auditors’ Certificate by the International Institute of Internal Auditors in 2009.
A Non-executive Director since 5 July
2024. Mr. DONG is also a member of the Risk Committee of the Company. Mr. DONG is
currently the general manager of the planning and finance department of Guotai
Junan Securities Co., Ltd. (stock code: 2611.HK, 601211.SH), the parent company, and a
supervisor of its various subsidiaries, and a director of Guotai Junan
Financial Holdings Limited, the controlling shareholder of the Company. Mr. DONG joined the group of Guotai Junan
Securities Co., Ltd. in 1995, and held various important positions in different
departments, including the audit department, risk management department, and planning
and finance department, and held the position as the chief risk officer of
Guotai Junan Financial Holdings Limited. Mr. DONGhas over 28 years of experience in the securities industry. Mr. DONG obtained a
bachelor’s degree in Accounting from the Tianjin University of Finance and
Economics. He is accredited the Accountant qualification by the Ministry of
Human Resources and Social Security in China.
An Independent Non-executive
Director since June 2010. Dr. FU is currently the chairman of
the Remuneration Committee and the ESG Committee as well as a member of the
Audit Committee, the Risk Committee and the Nomination Committee of the
Company. Dr. FU has extensive experiences in investment, finance, law and
business management. Between 1992 and 2003, he conducted many corporate finance
transactions in several investment banking firms based in Hong Kong, including
serving as a director of Peregrine Capital Limited, and a deputy managing
director and subsequently a managing director of BNP Paribas Peregrine Capital
Limited. Dr. FU is currently engaged in private investment business. Presently,
he is also an independent non-executive director of China Resources
Pharmaceutical Group Limited (stock code: 3320.HK), China Resources Medical
Holdings Company Limited (stock code: 1515.HK), COFCO Joycome Foods Limited
(formerly known as COFCO Meat Holdings Limited) (stock code: 1610.HK) and China
Zheshang Bank Co., Ltd. (stock code: 2016.HK; 601916.SH). He was an independent
non-executive director of CPMC Holdings Limited (stock code: 906.HK) and
Beijing Enterprises Holdings Limited (stock code: 392.HK). Dr. FU was also an
independent non-executive director of Postal Savings Bank of China Co., Ltd
(stock code: 1658.HK) during the period from 2016 to 10 March 2023. Dr. FU
graduated from the University of London with a doctorate degree and a master’s
degree in Law in 1993 and 1989, respectively.
An Independent Non-executive Director since August 2018. Professor CHAN is concurrently the chairman of the
Risk Committee and the Nomination Committee and a member of the Audit Committee and the
Remuneration Committee of the Company. At present, he is also an adjunct professor of the Business School of the Hong Kong University of Science and Technology (“HKUST”). He was appointedas the secretary for Financial Servicesand the Treasury of the Government of the Hong Kong Special Administrative Region from 2007 to 2017. Prior to that, he was the dean of the HKUST Business School. Before joining the HKUST
in 1993, Professor CHAN taught for nine years at the Ohio State University in the United States. Professor CHAN was a non-executive director of MTR Corporation Limited(stock code:66.HK) and The Hong Kong Mortgage Corporation Limited. He was an independent
non-executive director of USPACE Technology Group Limited (formerly known as “Hong Kong Aerospace Technology Group Limited”) (stock code:1725.HK) for the period from January 2022 to 28 November 2023. He is currently an independent non-executive director of Langham Hospitality Investments and Langham
Hospitality Investments Limited(stock code:1270.HK), China Overseas Land & Investment Ltd. (stock code:688.HK),
NWS Holdings Limited (stock code:659.HK) and Champion Real Estate Investment Trust
(stock code:2778.HK). He is also a chairman of WeLab Bank Limited (formerly known as WeLab Digital Limited), a senior advisorof WeLab HoldingsLimited, an independent non-executive director of Greater Bay Area Homeland Investments Limited, a
director of Institute of Web 3.0 Hong Kong Limited, a director and member of One Country Two Systems Research Institute and a member of the Competition Commission of Hong Kong. Professor CHAN holds a bachelor’s degree in Economicsfrom the Wesleyan University and followedby M.B.A. and Ph.D. in Financefrom the University of Chicago. He specialized in assets pricing, evaluation of trading strategies and market efficiency and has published numerous articles on these topics.
An Independent Non-executive
Director since October 2023. Mr. LIU is currently the chairman of the Audit
Committee and a member of Nomination Committee of the Company. Mr. LIU has over 30 years of professional experience in providing audit and
business advisory services in the Mainland China, Hong Kong and Australia. Mr.
LIU started his professional career with PricewaterhouseCoopers in Hong Kong
and Melbourne in the 1980s. Mr. LIU joined PricewaterhouseCoopers Zhong Tian
LLP in 1995, and he was admitted as partner in 1997 and retired in 2020. During
his years with PricewaterhouseCoopers Zhong Tian LLP, Mr. LIU was a core member
in the China assurance leadership team and was a long-standing human capital
partner in the assurance practice for over 10 years, and he was also the
Greater China automotive industry leader as well as Japanese business network
leader. Currently, Mr. LIU is an independent non-executive director of Foran
Energy Group Co., Ltd. (a company listed on the Shenzhen Stock Exchange, Stock
Code: 002911.SZ) and Valuetronics Holdings Limited (a company listed on the
Singapore Stock Exchange, Stock Code: BN2.SI).
Mr. LIU received his bachelor’s degree in Commerce from the
University of Western Australia in 1983. He is a member of the Chartered
Accountants Australia and New Zealand (previously the Institute of Chartered
Accountants Australia), a fellow member of CPA Australia and a fellow member of
the Hong Kong Institute of Certified Public Accountants. He was the president
of CPA Australia North China Committee from 2005 to 2006 and is currently its council
member.
The
Asset
The Asset ESG Corporate Award
2023 - Gold Awards
Insights & Mandate
2023 Professional Investment
Awards:
Greater China Equity (3 Years) - Performance
Awards
Asian High Yield (3 Years) - Performance
Awards
Asian High Yield (5 Years) - Performance
Awards
Asian Investment Grade Bonds (3
Years) - Performance Awards
HKEX
2022 Outstanding Chinese Futures
Broker
Refinitiv Lipper
2023 Refinitiv Lipper Fund Awards
Best Fund over 3 Years (Equity Greater China): Guotai
Junan Greater China Growth A
HR ASIA
Best Companies to Work for in
Asia 2023
"HR Asia Diversity, Equity,
and Inclusion Awards
Institutional Investor
Most
Honored Company
Best
IR Program
Best
ESG
Best
CEO
Best
CFO
Corporate Governance Asia
13th Asian Excellence Award:
Best Investor Relations Company
Asia’s Best CEO
Asia’s Best CFO”
ZHITONG
CAIJING
5th Golden Central “List of
Financial Institutions”
Best Fintech Performance Award
Bloomberg Businessweek
“Excellence Award” of “Risk Management”
“Excellence Award” of “Wealth Management Platform (Greater Bay Area)”
“Excellence Award” of “Securities Company of the Year (Greater Bay Area)”
Institutional Investor
2nd in the “Best Investor Relations” Selection in China’s Financial/Banks Sector (Sell-side)
Honored Company
Asia Risk
Securities House of the Year
Corporate Governance Asia
Best Investor Relations Company
Asia’s Best CEO
Asia’s Best CFO
The Asset
Best Sustainability Bond (China Offshore)
Best Green Bond
Gold Award – ESG Corporate Awards 2021
China Financial Market
Best Listed Company
Best ESG
Capital Markets Star Investment Bank
Insights & Mandate
“Asian High Yield” Performance Awards
Asiamoney
Best Analyst/Commentator (Hong Kong)
Best Retail Broker (Hong Kong)
Hong Kong Investor Relations Association
Best IR Company
Best IR by Chairman/CEO
Best IR by CFO
Best IR Team
Best ESG (Environment)
Best ESG (Social)
Best ESG (Corporate Governance)
Best Investor Presentation Material
Best Annual Report
Navigation “9+2” Award
Best Financial Service Provider of the Greater Bay Area
Outstanding Leadership Award of the Greater Bay Area - Dr. YIM Fung
Zhitongcaijing
Best Financial Company
Best Wealth Management
Most All-round Broker
Hong Kong Economic Journal
Listed Company Awards of Excellence 2021
China Venture Institute
Emerging Private Equity Investment Institutions in China
“Green Office Awards Labelling Scheme
(GOALS)” and “Eco-Healthy Workplace”
World Green Organization
“Happy Company Award 2021”
The Promoting Happiness Index Foundation and Hong Kong Productivity Council
“Caring Company”
The Hong Kong Council of Social Service
Good Employer Charter
Labour Department of Hong Kong Government
“Excellence Award” of the “Risk Management”
“Excellence Award” of the “IPO Sponsors”
“Excellence Award” of the“ FICC”
Most Competitive Wealth Management Service
“Green Office Awards Labelling Scheme (GOALS)” and “Eco-Healthy Workplace”
World Green Organization
“Happy Company Award 2020”
The Promoting Happiness Index Foundation and Hong Kong Productivity Council
“Caring Company”
The Hong Kong Council of Social Service
Good Employer Charter
Labour Department of Hong Kong Government
Awarded "ESG Label 2019" by CarbonCare
“Green Office Awards Labelling Scheme (GOALS)” and “Eco-Healthy Workplace” by World Green Organization
“Happy Company Award 2019” by The Promoting Happiness Index Foundation and Hong Kong Productivity Council
“Caring Company” by The Hong Kong Council of Social Service
-Best Hong Kong Brokers Award by Hexun.com
serve the country with financial services
market driven
balance the interests of all stakeholders
client-oriented
steady operations
be innovative and transcendent
people-oriented
meritocratic recruitment
collaborative cooperation
be sincere and courageous
cherish reputation
social responsibility
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