Company Profile
Company Name : XX Co., Ltd. Established : 2010 Headquarters Location : Beijing, China Registered Capital : RMB 1 Billion Regulatory License : Securities Company License (No.: XXX) Issued By China Securities Supervision Commission, And Insurance Concurrent Agency License (No.: XXX) Issued By China Banking And Insurance Regulatory Commission Executive Background : The Company Is Led By A Number Of Professionals With More Than 20 Years Of Experience In The Financial Industry, Including The Former Chairperson And CEO Of A Large Securities Company. Advisory Team : Internationally Renowned Financial Scientists, Including Nobel Prize Winners In Economics, Have Been Hired As Senior Consultants. Industry Association Members : The Company Is A Member Unit Of The Shanghai Stock Exchange And Shenzhen Stock Exchange, And Is Also A Vice President Unit Of The Securities Association Of China. Compliance Statement : The Company Strictly Abides By The Relevant Laws And Regulations Of China's Financial Regulators To Ensure The Legal Compliance Of All Business Activities.
The Company Is Committed To Providing Customers With A Full Range Of Financial Services, Including Securities Brokerage, Investment Banking, Asset Management, Wealth Management And Other Fields. As Of The Third Quarter Of 2023, The Company's Assets Under Management Reached 500 Billion Yuan.
Regulatory Information
Regulators :
- China Securities Supervision Commission (CSRC): Supervise And Manage The Company's Securities Business To Ensure That It Complies With The Securities Law And Other Relevant Laws And Regulations.
- China Banking And Insurance Regulatory Commission (CBIRC): Supervise And Manage The Company's Concurrent Insurance Agency Business To Ensure That It Complies With The Insurance Law And Other Relevant Laws And Regulations.
Compliance Measures :
- The Company Has An Independent Compliance Department Responsible For Formulating And Implementing Internal Compliance Policies And Regularly Submitting Compliance Reports To Regulatory Authorities.
- The Company Adopts An Advanced Risk Management System To Ensure Comprehensive Risk Control In Trading, Investment And Operation.
License Information :
- Securities Company License (No.: XXX): Valid Period Until December 31, 2030.
- Insurance Concurrent Agent License (No.: XXX): Valid Period Until June 30, 2025.
Core Business And Services
Main Business Areas :
- Securities Brokerage : Provide Securities Trading Services In Class A Shares, Hong Kong Stocks, US Stocks And Other Markets For Individual And Institutional Clients.
- Investment Banking : Provide Initial Public Offering (IPO), Merger And Acquisition Restructuring, Bond Issuance And Other Services For Enterprises.
- Asset Management : Manage Client Funds And Achieve Asset Appreciation Through A Diverse Portfolio Of Stocks, Bonds, Funds, Etc.
- Wealth Management : Provide Personalized Investment And Financial Services For High Net Worth Clients, Including Private Offering Funds, Family Trusts, Etc.
Technology Platform :
- Trading Platform : The Company's Self-developed "XX Trading System" Supports Multiple Operating Systems On The PC Side And Mobile End, Providing Real-time Quotes, In-depth Analysis, Order Management And Other Functions.
- Risk Management : Adopt "AIoT Risk Control System", Combined With Artificial Intelligence And Internet Of Things Technology, To Monitor Transaction Risks In Real Time To Ensure The Safety Of Customer Funds.
Service Objects :
- Individual Clients : Including Retail Investors And High Net Worth Clients, Providing Personalized Investment Services.
- Institutional Clients : Including Enterprises, Fund Companies, Insurance Companies, Etc., To Provide Customized Financial Service Solutions.
Differentiating Advantages :
- The Company Has A Nationwide Branch Network. As Of The Third Quarter Of 2023, It Has Opened 100 Branches In 31 Provinces And Cities.
- The Company Has Established A Strategic Partnership With An Internationally Renowned Financial Institution Group To Provide Customers With Global Financial Services.
Technical Infrastructure
Trading Platform :
- Trading System : The Company's Self-developed "XX Trading System" Supports Multi-level Market Trading And Provides A Low-latency, High-stability Trading Environment.
- Analytical Tools : Built-in Level-2 Market Conditions, Technical Analysis Charts, Real-time News Feeds And Other Functions To Help Customers Make More Accurate Investment Decisions.
Data Support :
- The Company Cooperates With Many Well-known Data Suppliers At Home And Abroad To Provide Real-time Market Data, Financial Statements, Industry Research Reports, Etc.
System Security :
- Adopts Multiple Firewalls And Data Encryption Technologies To Ensure The Security And Privacy Of Customer Transaction Data.
- Regularly Conduct System Vulnerability Tests To Fix Latent Risks In A Timely Manner.
Compliance And Risk Control System
Compliance System :
- The Company Conducts Business In Strict Accordance With The Securities Law, Insurance Law And Other Laws And Regulations To Ensure That All Operations Comply With Regulatory Requirements.
- Set Up An Independent Compliance Department To Regularly Conduct Compliance Reviews Of Business Processes To Ensure That There Are No Violations.
Risk Control System :
- Adopts A "three Lines Of Defense" Risk Control Model, Including Self-risk Management By Business Units, Independent Assessment By Risk Management Departments, And Final Audit By Audit Departments.
- The Risk Management System Covers Multiple Dimensions Such As Market Risk, Credit Risk, And Operational Risk, Ensuring Comprehensive Coverage Of Various Risks.
Emergency Plan :
- Develop Detailed Emergency Plans, Including Response Measures In The Event Of Market Fluctuations, System Failures, And Natural Disasters.
Market Positioning And Competitive Advantage
Market Positioning :
- The Company Is Positioned As A Full-range Financial Service Provider, Dedicated To Providing Customers With Efficient, Safe And Professional Financial Services.
Competitive Advantage :
- Technical Advantage : Self-developed Trading Platform And Risk Control System To Ensure The Efficiency And Safety Of Transactions.
- Brand Advantage : As A Well-known Brand In The Industry, It Has A Good Market Reputation And Customer Trust.
- Network Advantage : A Network Of Branches Covering The Whole Country, Providing Customers With Convenient Offline Services.
Customer Support And Empowerment
Client Server :
- Provide 7 × 24 Hours Of Client Server, Including Telephone, Online Chat, Email And Other Contact Methods.
- The Customer Support Team Is Composed Of Professionals Who Can Answer Customer Questions And Provide Solutions In A Timely Manner.
Investor Education :
- Open An Investor Education Platform To Provide Various Investment Knowledge, Market Analysis And Risk Tips.
- Regularly Hold Online And Offline Investment Seminars And Trainings To Help Customers Improve Their Investment Capabilities.
Social Responsibility And ESG
Social Responsibility :
- The Company Actively Participates In Public Welfare Undertakings And Supports Education, Poverty Alleviation, Environmental Protection And Other Fields.
- As Of The Third Quarter Of 2023, The Company Has Donated More Than 100 Million Yuan To Public Welfare Undertakings.
ESG Practices :
- Integrate Environmental, Social And Corporate Governance (ESG) Factors Into Investment Decisions, And Give Priority To Enterprises That Are In Line With The Concept Of Sustainable Development.
- Regularly Publish ESG Reports To Disclose The Company's Performance In Environmental Protection, Social Responsibility And Corporate Governance.
Strategic Cooperation Ecology
Major Strategic Cooperation :
- Established A Strategic Partnership With XX International Bank To Jointly Expand Cross-border Financial Services.
- Collaborated With YY Technology To Develop A Robo-advisor System To Enhance Customer Investment Experience.
Industry Awards :
- Awarded The Title Of "China's Best Securities Company 2022" By The Financial Times.
- Awarded The Title Of "China's Most Social Responsibility Company 2023" By The Economic Daily.
Financial Health
Financial Status :
- By The Third Quarter Of 2023, The Company's Total Assets Reached 100 Billion Yuan And Its Net Assets Reached 30 Billion Yuan.
- The Company's Operating Income Was 5 Billion Yuan, And Its Net Profit Was 1 Billion Yuan, An Increase Of 15% Year-on-year.
Solvency :
- The Company's Capital Adequacy Ratio Is As High As 20%, Which Is Far Higher Than The 10% Regulatory Requirement.
- The Company's Liquidity Coverage Ratio (LCR) Reached 150%, Ensuring Normal Operation In Extreme Circumstances.
Future Roadmap
Development Plan :
- Increase Investment In The Field Of Financial Technology, Plans To Increase The Investment In Technology Research And Development To 500 Million Yuan In The Next Three Years.
- Expand International Business, Plans To Set Up Branches In Europe And Asia To Further Expand Global Influence.
- Promote ESG Investment, Plans To Increase The Scale Of ESG Investment To 100 Billion Yuan In The Next Five Years.
Key Measures :
- Continuously Optimize The Trading Platform And Risk Control System To Enhance The Trading Experience Of Customers.
- Strengthen Investor Education And Enhance The Investment Ability Of Customers.
- Deepen Cooperation With The International Financial Institutions Group To Jointly Develop Global Financial Services.
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