The prime brokerage management department is in charge of the brokerage business ，managing the overall coordination of all the relevant departments and the regional offices.
Main functions
Establishing and continuously optimizing the brokerage service system according to the brokerage business strategy;
Setting up the detailed management rules and business processes in the brokerage service system and guiding, inspecting and supervising the implementation in the regional offices;
Assessing the regional offices’ implementation of the company’s business targets;
Organizing and supervising the non A/B class marketing business management in our regional branches;
Organizing and implementing clients relationship management, investor education, client classification, client complaints and client return visits;
Testing the project feasibility, managing the regional branch relocation, transformation and integration, in accordance to our brokerage business development plans;
Framework
Prime brokerage management department is a highly integrated business unit, who has always attaches great importance to teamwork and coordination. There are four business units in this department – Prime Brokerage Management, Transaction Management, Customer Service Centre and Introducing Broker Services for Futures Companies.
Prime Brokerage Management
formulates the detailed rules and regulations for the brokerage service system and is responsible for the implementation, inspection and supervision to ensure the compliance and enforcement. Also, to enhance the brokerage service system, the prime brokerage management team is in charge of supervising and examining to ensure that all the regional offices comply with the risk control standard and other regulations.
Transaction Management
manages the centralized transactions, maintains the stability of brokerage trading and service system, co-operates with the IT department to handle the emergency issues in the brokerage trading and service system, establishes the transaction rules, sets up brokerage business process in the brokerage trading and service system and ensures the implementation in all the regional offices.
Customer Service Centre
builds and optimizes the clients service systems, improves the quality of client services, sets up the regulations and standard client services process and makes sure these are being effectively implemented, organizes and carries out the clients management work, such as, client education, client return visits and client complaints and guides the client service activities in our regional offices.
Introducing Broker Service
manages the IB business in the brokerage services, makes rules, regulations related to the IB business and sets up the standard business process in the mean while ensures the effective implementation, communicates and coordinates with the futures company, guides and manages the proceeding and training of IB business in our regional offices.
Financing and margin department manages the margin trading business.
Main Functions
Planning and building the operational framework for the margin trading business;
Developing the application rules, regulations, management practices and business processes;
Business acceptance, approval, review and supervision;
Business statistic data collecting, analyzing and reporting;
Business training and investor education services.
Our investment banking department offers superior financial advisory and capital-raising services to corporations and organizations.
Main Functions
Responsible for corporate restructuring and listing education to clients, corporate finance advisory, securities (equity shares and debt) underwriting and sponsorship, mergers and acquisitions planning and other approved financial business and new financial products innovation.
Supervises investment banking services ; implements investment banking business related rules, regulations and standard operation flows; strengthens the management of investment banking operations and monitors the quality and risk level of the entire investment banking business process.
Coordinates the relationship between different business units in the department; collects and collates the information required in the investment banking business; communicates and coordinates with the China Securities Regulatory Commission and its agencies, the Development and Reform Commission and the Ministry of Finance.
Framework
There are three business units in the investment banking department – Investment Banking Management, Quality Control and Capital Markets.
Specialized business team – According to different business focus, the team works on securities sponsorship, fixed income, financial advisory and shares transfer agency business respectively.
nvestment banking management team – Responsible for the human resource management and training organization, attendance management and corporate internal reception and liaison; non-project filing and office materials management and logistics services; supports to make and public each and every rules and regulations related to investment banking except business management; harmonizes the relationship between business departments and other function management departments; inspects the implementation of all the rules and regulations and also in charge of finance and accounting management.
Quality Control Team – Responsible for quality control of daily operations, investment banking project approval, project’s application materials checking and meetings organization and documents filing and management; audits project documents; formulates and publics investment banking business related managerial rules and regulations; collects investment banking operations related information and communicates with external agencies about investment banking business; ensures the implementation of all the rules and regulations and collects client feedbacks.
Capital Markets Team – manages existing and potential investment banking client list and client relationship, including corporations and other investment banking services targets; sets up investment banking services marketing and sales process and regulations; organizes and coordinates the sales of investment banking services, which includes but not limited to investment banking products promotion, price inquiry, road shows, securities issuance, listing, etc.; assists to set up an underwriting syndicate to carry out other sponsorship syndicate work.
Western Security 1st Branch (Shanghai) is mainly in charge of the proprietary business. Leading by the investment decision-making committee，the 1st Branch has established an unique investment philosophy and a practical operation method. We also have successfully built up an energetic and high-quality team of “Profession, Dedication and Self-Discipline”, which has gained good recognition in the industry.
“Long-term investment and enjoying the work” is our investment philosophy, with scientific management and innovation as core values. Persisted by stable operation and risk control, the 1st Branch is dedicated to be a professional institutional investor in China’s stock market.
Proprietary Business
The 1st Branch is authorized to carry out proprietary business for parent company, mainly investing in legal and public offering stocks, bonds, warrants, funds and other kinds of securities approved by China’s regulatory entities. In the guidance of standardization, procedurization and institutionalization, the 1st Branch follows scientific decision-making procedures and pursuits the long-term and value investment philosophy to achieve investment profits. Having set up a sound system for each function, such as research, decision-making, investment and trading, the 1st Branch developed a comprehensive investment management and risk control system, in order to ensure a steady and smooth investment environment for proprietary business.
Securities research department is an important supporting department of the company. The team supports our brokerage service system and assists the company brand promotion activities under the guidance of the investment decision-making committee and company management. Since its inception, the securities research center has formed a team who adheres to the ‘long-term investment and work while enjoying it’ investment principle and value investment idea from a global view and supports our investment business and brand promotion to work with other departments as an effective team.
Department framework
Development research team, who provides information for our corporate level strategic decision-making, thoroughly studies the domestic and international capital markets, macroeconomics and makes market strategies.
Industry and company research team, who analyzes the industries employing the bottom-up or top-down methods and offers in-depth insights into core companies and important investment opportunities.
Customer services team, who meets the needs from clients asset management departments by serving our important clients with periodic and specific study reports, and also polishes our company image via various media opportunities.
Products designation and research service management team, who works with the brokerage and marketing departments by advising clients in line with their investment requirements.
Team Development
The research team plays an important role in the securities investment implementation process. Therefore, the Securities Research team has put emphasis on building and nurturing a professional and competitive team to steadily enhance our research standard in the highly competitive market. The team has formed a team-oriented culture, a pleasant, efficient, cooperative and positive working environment to build a ‘professional, dedicated, self-discipline’ spirit. The product design and research service management team took shape in the 3rd quarter of 2009 to provide additional support to the research and consultation team within the brokerage department. Through this, the research consultation system has become more and more mature.
Western Security 2nd Branch (Shanghai), which has a sound organization structure and scientific investment operations system, is in charge of clients’ asset management. After years’ investment practice, the team has generated a robust risk control mechanism and an investment principle in line with the market variation pattern. Our high-standard investment managers provide suitable and personalized investment products in accordance with clients’ different investment needs, characteristics and different level of risk tolerance to create long-term value for our clients
The asset management department has been committed to operate with prudence, innovation, standardization and reliability while in line with investment regulations and practices and business integrity. By doing so, we have accomplished excellent investment performance and earned abundant investment returns for our clients during the whole nine years.
Investment Principle: Long-term investment and enjoying the work.
Contacts:
31st Floor, Hua Neng Union Mansion, 958 Lu Jia Zui Circle Road
Pudong
Shanghai
200120
Tel: 021-68864800
Fax: 021-68865963
17th Floor, Trust Mansion, 232 Dong Xin Street
Xian
Shanxi
710004
Tel: 029-87406361, 029-87406066
Fax: 029-87406122
XA11860