投资银行部
Investment Banking Department
| 投资银行部主要向国内的大型企业、跨国公司和政府机构提供国际标准的证券承销和金融顾问服务，包括股本和债券 融资、企业重组改制、兼并收购等。股本和债券融资项目包括国内与国际融资。经过多年的发展，投资银行部在众多业务领域形成了颇具实力的专业能力，并在中国 的电信、电力、石油天然气、石化、钢铁、有色金属和金融等国民经济主导行业积累了丰富的经验，成为这些行业中占有重要地位的公司和企业的顾问，为国有大中 型企业的改制、战略重组和海内外融资提供全方位和个性化的服务。自1997年以来，中金公司领导或参与完成了众多企业在国内和国际资本市场上的股本融资、 债务融资、兼并收购及私募交易。 The Investment Banking Department (IBD) offers a wide range of international standard securities underwriting and financial advisory services to leading Chinese companies, multinational companies and government institutions. IBD services include equity and debt financing, corporate restructuring, and mergers and acquisitions. Equity and debt financing can be executed in both domestic and international capital markets. IBD has extensive industry knowledge in strategic industries and sectors that include telecommunications, power, oil and gas, petrochemicals, iron and steel, non-ferrous metals and financial services. This expertise enables IBD to offer a full range of customized services in the fields of SOE reform and corporate restructuring, as well as domestic and overseas financing. In recent time, CICC has led and successfully completed numerous transactions in both domestic and international capital markets, including equity and debt financing, mergers and acquisitions, and private placements. | |||
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资本市场部
Capital Markets Department
| 资本市场部向投资银行部及其客户提供及时的资本市场分析与判断，并为客户的重大融资决策提供涵盖多种产品的专 业建议，包括国内和国际股本、可转债及债券发行的结构设计、估值与推介等。通过分别位于北京和香港的专业团队，资本市场部以独特的跨市场、跨产品的资本市 场专业技能协助客户达成其短期和长期融资目标。资本市场部组织、协调投资银行部与销售交易部，开发和执行中金公司的股本、可转债及债券承销业务，并在中金 公司投资银行业务的核心产品--股票与债券发行的资本市场执行工作中承担主要责任，包括：评估并管理承销风险，设计发行结构，组织承销团，协调推介活动， 主导定价和配售，以及管理项目收入等。资本市场部主导了中金公司全部大型公募项目的资本市场执行工作，为树立中金的卓越品牌作出了贡献。 Capital Markets Department (“CMD”) provides IBD clients timely market intelligence and in-depth professional advice on a broad range of products and key corporate finance decisions including structuring, marketing and valuation of both domestic and international equity, equity linked and debt offerings. Through a network of professionals based in Beijing and Hong Kong, CMD is uniquely positioned and has extensive experience in providing cross-markets and cross-products capital market expertise to assist clients to achieve both short and long-term capital objectives.CMD provides an important link between the IBD and S&T departments to solicit and execute all of the firm’s equity-related and fixed-income underwriting business. CMD is responsible for the capital market executions of CICC’s key IBD products--underwriting of equity and corporate debt offerings. The functions of CMD include assessing and controlling of underwriting risk, designing offering structure, organizing syndicate, marketing, pricing and allocations, and managing deal economics. CMD has led the capital market executions of all landmark public financing transactions completed by CICC, helping the firm to build a strong banking franchise. | |||
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销售交易部
Sales and Trading Department
| 中金公司销售交易部成立于1997年，主要从事证券投资顾问业务，以及香港地区和中国大陆的证券交易代理业 务。中金公司拥有上海证券交易所、深圳证券交易所和香港联合交易所的交易席位，同时还是一级国债自营商、银行间和交易所国债市场的承销团成员之一。销售交 易部的主要服务对象为机构投资者，包括中外基金管理公司、保险公司和大型综合性企业。目前，销售交易部已拥有一支从业经验丰富的高素质专业机构销售队伍， 提供具有国际水准的经纪服务。交易与投资顾问相融合的一体式服务系统，使中金公司在运营风险控制和保护客户利益方面成为国内的先导者。 Established in 1997, the Sales and Trading Department (S&T) provides securities investment advisory services and agency trading on behalf of institutional clients in both Hong Kong and mainland China. CICC is a member of the Shanghai, Shenzhen and Hong Kong stock exchanges, and a primary agent for state treasury bonds and a member of the underwriting group on The Inter-bank and Institutional Trading Markets for Treasury Bonds. S&T's clients include leading Chinese and foreign fund management companies, insurance companies and corporations. An integrated system of trading and investment advisory services has made CICC the pioneer in risk control and client interest protection in China. | |||
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资产管理部
Asset Management Department
| 中金公司资产管理部成立于2002年，主要从事国内及海外证券市场的受托投资管理及投资咨询业务，其主要服务 对象是国内外的大型机构投资者，包括全国及地方社保基金、企业年金、大型企业等。资产管理部自成立以来，按照国际标准建立了以风险控制为核心的投资决策流 程，国内领先的风险管理及内部控制体系，并确立了以基本面研究为基础的投资理念。资产管理部集中了具有丰富国际经验和国内实践相结合的投资管理人员，并拥 有良好的投资记录。目前，中金资产管理部已经成为国内年金管理市场的领先者。 Established in 2002, the Asset Management Department (AMD) provides discretional asset management and advisory services to institutional investors in both mainland China and Hong Kong. AMD's portfolios include listed equity and fixed income securities in domestic exchanges and inter-bank markets. AMD also manages investments in overseas fixed income and equity markets. AMD's clients include leading pension funds, corporations and other large institutional investors. With its global-standard investment process and risk management mechanism, as well as its experienced investment managers recruited both domestically and globally, AMD has become a major domestic asset manager and established its leading position in pension fund management. | |||
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固定收益部
Fixed-Income Department
| 中金公司固定收益部从事各类固定收益以及各类相关产品的销售、交易、研究和产品开发，拥有广泛而有效的销售渠 道和客户网络。固定收益部为中金公司承销的各类固定收益产品提供强大的销售支持，为市场成员提供固定收益产品的交易机会和研究信息，并致力于开发新的固定 收益类产品。固定收益部目前的主要业务覆盖了国债、央行票据、金融债、企业债、可转债等在内的多种固定收益产品，并具有较高的市场地位。固定收益部拥有一 支水平专业、市场感觉敏锐的高素质的人员队伍，为客户和市场成员提供具有国际水准的服务。中金公司固定收益部已经成为中国债券市场重要力量。 Focusing on fixed income products and derivatives, CICC’s Fixed Income Department (FID) consists of four functions: sales, trading, research and structuring. Based on extensive institutional coverage, a large client base and high-quality research reports, FID efficiently supports CICC’s fixed income underwriting business and provides a large number of trading opportunities for clients. FID is also committed to develop innovative fixed income products. FID has built up a remarkable reputation in the market, with a full product line of government bonds, central bank notes, financial bonds, corporate bonds and convertible bonds. Equipped with high caliber professionals, FID provides institutional clients with services of high quality. CICC’s FID has become a significant force of in China’s bond markets. | |||
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财务部
Financial Control Department
信用及风险管理部
Credit and Risk Management Department
运作部
Operations Department
研究部
Research Department
Financial Control Department
| 主要职责： 公司财务部负责独立、客观地完成公司会计处理，并向管理层、股东、监管机构等提供及时、准确的财务信息。作为后台职能部门，财务部在确保符合相关公司政策及国家法规要求的前提下，向公司各业务部门、员工及其他外部机构提供高质量的服务。 Main responsibilities: Mission statement is to protect the firm’s franchise; to safeguard the firm’s assets from misappropriation; to provide accurate and timely financial information to support management control and decision making. Core principles that make CICC FC work are to independence from the business units and direct reporting to the management committee of the firm support from the senior management; proper segregation of duties combined checks and balances within each department; high quality staff; good use of technology; culture which emphasizes our responsibility for fulfilling the mission statements. | |||
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信用及风险管理部
Credit and Risk Management Department
| 目标是把导致不能承担之损失的可能性减至最少；把每单位风险的收益增至最高；善用风险及法定资本；加强各层面的交待责任；提高公司价值；维护公司良好的声誉。 主要责任包括识别，评估及监控各种业务和交易的风险；为业务部门提议独立的风险限额；实施风险管理政策；突击检查风险控制的遵守；协助发展和改善公司的信用政策；建立并履行信用评估程序。 Objectives are to minimize likelihood of sustaining unacceptable losses; to maximize return per unit of risk; to make efficient use of risk and regulatory capital; to reinforce accountability at all levels; to enhance company value; to preserve the good name of our Company; Main Responsibilities are to identify, evaluate & monitor risks of business activities & transactions; propose risk limits independently of the business units; implement approved risk management policy; perform periodic impromptu risk control compliance checks; assisting in developing and improving the credit policy; establishing and carrying out credit evaluation procedures. | |||
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运作部
Operations Department
| 中金公司在北京、上海、深圳和香港均设有运作部，主要为公司的股票和债券发行业务、经纪代理业务、资产管理业 务、债券自营业务等提供簿记和配售、帐户管理、清算、交收和确认等工作。为了保证公司各项业务的开展，运作部负责提供全面和强有力的支持工作。同时，运作 部也是公司风险防范和控制体系的重要环节，在支持和促进公司业务发展过程中起着重要作用。 Based in Beijing, Shanghai, Shenzhen and Hong Kong, CICC’s Operations Department provides book keeping, allocation, account management, clearance, settlement and confirmation services for the Firm’s equity and bonds’IPO, brokerage, asset management and proprieary trade of fixed-income. Operations Department provides through support for business units to ensure the Firm’s smooth operation. In the meantime, Operation Department is one of the important part of the risk management and control system for the Firm and plays a very important role in the Firm’s development | |||
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研究部
Research Department
| 中 金公司在北京、上海和香港均设有研究部，为基金经理和企业客户提供及时、可靠和国际水准的宏观经济分析、行业和企业研究及经济和市场趋势的专题报告。研究 部的研究范围包括境外上市的红筹股及H股、国内的A股及B股并且在多种行业和领域形成了较强的实力。研究部同时还对国内资本市场的发展趋势及有关课题进行 深入分析。经过多年的发展，研究部利用其广泛的信息渠道、与国内各行业的密切联系以及行业知识优势，已在业内确立了高质量和具有国际标准的研究机构的地 位。 Based in Beijing and Hong Kong, CICC’s Research Department (RD) serves professional fund managers and corporate clients by providing in-depth and timely economic analyses, sector and industry studies, corporate research, and special-theme reports on major economic and market trends. CICC has developed strong research capabilities in all major sectors and industries. CICC’s thorough, insightful coverage also includes both offshore listed Chinese shares (Red Chips and H shares) and domestic A and B-shares. By establishing contacts within major industries and leveraging other extensive networks of information, CICC has established itself as the premier securities research house in China. | |||
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