Business of Shanxi Securities Co., Ltd.

On the basis of excavating and inheriting the essence of "Shanxi merchant culture" and summing up experience, Shanxi Securities has formed the business philosophy of "honesty, steadiness, standardization, innovation and high efficiency".

Shanxi Securities was established on 1988. 200 1 Shanxi Securities increased its capital and shares, and its registered capital increased to102.5 billion yuan, making it one of the first batch of 67 sponsors approved by China Securities Regulatory Commission. The main shareholders of the company are Guo Xin Investment (Group) Company and other 14 units.

In 2006, the registered capital of Shanxi Securities further increased to 65.438+30.38 million yuan. On February 5, 2008, the whole company was changed to Shanxi Securities Co., Ltd., and the registered capital increased to 2 billion yuan.

The company's assets are of good quality. On June 5438+ 10, 2006, Shanxi Securities passed the normative qualification evaluation of China Securities Association. In August 2007, it successfully passed the evaluation of innovative securities companies and became one of the innovative securities companies.

In 2006, among all 34 regulated securities companies, the company ranked second in net assets and net capital, sixth in total assets and ninth in net profit.

In the first half of 2007, the company ranked eighth (tied) in the number of lead underwriters in the initial public offering. In 2007, under the background of weak market, two refinancing projects, "Song Qing Jianhua" and "Tiantong Shares", were successfully issued and listed. On June 5438+ 10, 2008, it was awarded "Excellent Sponsor of Small and Medium-sized Board of Shenzhen Stock Exchange" by Shenzhen Stock Exchange. In 2008, the company will submit a number of IPO projects underwritten by the CSRC for review, and the company's investment banking business shows a good upward trend.

The core service of Shanxi Securities Investment Bank is to tap the investment value of enterprises and make them recognized by the market. To this end, Shanxi Securities Investment Bank has established an efficient team service mechanism, fully relying on the company's R&D strength, sponsor representative resources and external expert resources to conduct research and analysis on enterprises and provide customers with scientific and accurate value evaluation services.

While tapping the investment value of customers, Shanxi Securities Investment Bank is also committed to providing value-added services to customers, including: finding target enterprises that meet their strategic needs for customers, so that customer resources can be rationally allocated; Design the customer's asset-debt restructuring plan and splitting plan, optimize the asset-debt structure and enhance the enterprise value; Design clients' private financing scheme, design incentive mechanism of futures options, design management buyout scheme and so on. The brokerage headquarters is the competent department of the company's brokerage business, responsible for the centralized management of the sales department. Under the leadership of the president in charge of the company, coordinate the management of the sales department by the relevant departments of the company. The brokerage business headquarters consists of outlet management department, operation management department, information consulting department, marketing customer service department, institutional customer department, call center and wealth management center.

Main responsibilities of the brokerage business headquarters: according to the company's development goals, formulate and organize the implementation of the overall development plan of brokerage business, put forward suggestions for the development of brokerage business, and study and analyze important issues in the development of economic business. Unified planning of brokerage network layout, and is responsible for organizing the implementation of marketing programs, dealing with emergencies in the business department, providing customer service and accepting all kinds of customer complaints.

Point layout:

* * * There are 28 business departments and 25 service departments, which are mainly distributed in cities in the province and major cities in China, including 20 in the province and 8 outside the province.

The functions of the headquarters department of brokerage business:

1. Implement relevant national laws and regulations, industry rules, internal control system and relevant company resolutions.

2. According to the company's development goals, formulate and organize the implementation of the overall development plan of brokerage business, put forward suggestions for the development of brokerage business, and study and analyze important issues in the development of brokerage business.

3. Establish and improve the relevant systems and implementation rules of brokerage business and supervise the implementation.

4. Manage the sales department in a centralized way, coordinate the management of the sales department by other departments of the company as a whole, and coordinate the relationship with relevant departments such as regulatory agencies.

5. Plan the layout of brokerage outlets in a unified way, and organize and coordinate the establishment, change and termination of brokerage outlets and other related matters.

6. Be responsible for the management, planning and implementation of the company's brokerage business.

7. Be responsible for the coordination and management of Yinzhengtong business, and organize the customer development and daily management of Yinzhengtong business in the sales department.

8. Be responsible for compiling various economic business reports, regularly analyzing the operation of brokerage business, and submitting analysis reports to company leaders.

9 responsible for the unified procurement, processing, sorting and management of all kinds of consulting information in brokerage business.

10, actively explore the innovation mode of brokerage business, be responsible for organizing and promoting innovative business, and improve the independent innovation ability of the company's brokerage business.

1 1. Formulate and organize the implementation of business assessment methods of business departments.

12. Coordinate and handle major and unexpected events in business departments.

13. Accept and handle customer complaints. Customer asset management business refers to the behavior that a securities company, as an asset manager, signs an asset management contract with customers according to relevant laws and regulations and the Trial Measures for Customer Asset Management Business of Securities Companies, operates customer assets according to the ways, conditions, requirements and restrictions stipulated in the asset management contract, and provides investment management services for financial products such as securities to customers. There are three main types of customer asset management services:

(1) Handling directional asset management business for a single customer.

(2) Handling collective asset management business for multiple customers.

1. Limited aggregate asset management plan.

2. Unlimited aggregate asset management plan.

(3) Handling special asset management business for specific purposes for customers.

Shanxi Securities has perfect innovative ability of customer asset management business.

This company is a domestic innovative pilot securities company. Through continuous organizational construction, management innovation and business optimization, the company has established a systematic and rigorous customer asset management business risk management system, a stable and smooth customer asset management business decision-making system and an efficient and orderly customer asset management business execution system. The company has a perfect customer asset management business innovation ability, which has laid the foundation for the company's sustained, healthy and rapid development. Experienced investment management team Shanxi Securities has an experienced, stable and United investment talent team with an average working time of more than 8 years. Its investment team includes not only senior investment experts who have been fighting in the financial market for many years, but also investment elites who are familiar with domestic and foreign asset markets, bond markets, mergers and acquisitions, financial engineers who are proficient in quantitative analysis, senior researchers who have a deep grasp of macroeconomics and industries, and senior people who are good at corporate financial analysis. Over the years, this team has maintained a high degree of stability and strong cohesion, ensuring the efficiency and consistency of the company's operation. Shanxi Securities Research Institute-training my elite soldiers and accompanying my son.

Shanxi Securities Research Institute has established a multi-angle and multi-level comprehensive research system covering all fields of the capital market, and is committed to providing independent, comprehensive, forward-looking and pragmatic securities research and investment consulting services for customers and investors.

High-quality research team:

More than 90% researchers have master's and doctor's degrees, graduated from well-known universities in China, and most of them have compound knowledge structure of science and engineering, economics or management and experience in securities market. Some senior researchers have many years of industry practice background and senior titles, and have unique and in-depth research in their respective fields. The research team is strong, experienced and knowledgeable.

Research products and services:

The Institute provides customers with a wealth of information consultation and research reports, including information products, macro and strategic research, industry and company research, and fund and bond research, with about 40 varieties. In addition, the research institute can also tailor a series of special research reports for customers according to their needs.

One center: customer first

At present, the institute has established a relatively perfect customer service process and initially established an information service network covering institutional customers and many small and medium-sized investors.

A major feature: Shanxi authority

The vast majority of listed companies in Shanxi Province are excellent large-scale state-owned resource enterprises. The Institute focuses on comprehensive and continuous research and analysis of listed companies in Shanxi Province, and establishes research advantages in energy industries such as coal and electric power.

Introducing talents to enhance internal force;

Continuously recruit and select outstanding talents to enrich the research force, and the number of researchers has been growing, and workstations have been set up in Beijing and Shanghai.

Building alliances and borrowing external forces:

Carry out extensive cooperation with Tianxiang Investment Consulting Co., Ltd., a well-known domestic securities consulting institution, establish a research alliance, realize a strong alliance, and build a broader platform for the company's business development and customer service.