Mainland China Securities Survey 2018 二零一八年 中国证券业 调查报告 Financial services 金融服务 kpmg.com/cn 0 1 01 ts 目录 Introduction 引言 Market overview 07 ten 0 2 市场回顾 Industry trends 27 Con 03 行业趋势 Business dynamics 04 37 业务动态 Conclusion 05 51 结语 Appendices 06 55 附录 Appendix 1 Financial highlights 57 附录1 财务摘要 Appendix 2 2017 sector rankings 109 附录2 二零一七年行业排名 Appendix 3 Overview of Sino-foreign joint venture securities companies 117 附录3 中外合资证券公司一览 Appendix 4 2018 grading of securities companies by the CSRC 119 附录4 2018年证监会对证券公司的评级 Appendix 5 Qualified Foreign Institutional Investors (QFII) 121 附录5 合格境外机构投资者 Appendix 6 RMB Qualified Foreign Institutional Investors (RQFII) 133 附录6 人民币合格境外机构投资者 Appendix 7 Qualified Domestic Institutional Investors (QDII) 141 附录7 合格境内机构投资者 Appendix 8 Mainland Futures Companies 147 附录8 内地期货公司名单 Appendix 9 Mainland Fund Management Companies 153 附录9 内地基金公司名单 Appendix 10 Subsidiaries of Mainland Fund Management Companies 159 附录10 内地基金公司子公司名单 Appendix 11 Securities companies with Hong Kong subsidiaries 163 附录11 设立香港子公司的证券公司 Appendix 12 List of foreign-funded enterprises for Private Fund 165 Management Business 附录12 外商投资私募基金管理公司清单 二零一七年中国证券业调查报告 | 3 1 | Mainland China Securities Survey 2018 01 Introduction 引言 二零一八年中国证券业调查报告 | 2 3 | Mainland China Securities Survey 2018 Introduction During the past year, the capital volumes are dragging both the (SAFE) jointly issued the “Guiding market ushered in a new generation commission rates and income down. Opinions on Regulating Asset of reform and development. The A similar trend was witnessed for Management Business of Financial securities industry has made investment banking. The investment Institutions”, which contains unified new progress in implementing banking segment accounted for standards to resolve a number of comprehensive risk management, 16 percent of the industry’s total problems in the asset management actively exploring new models of operating income in 2017, which sector, such as guaranteed integrated financial and technologic was a year-on-year decrease of five repayment (the misconception that services, and expanding the opening percentage points. In addition, the financial institutions are obliged to of capital markets. amount recorded represented a cover investor losses in the event According to data summarised from year-on-year decline of 25 percent of a product default), multi-layer audited annual reports of securities compared with RMB 68.1 billion in embedding of underlying assets, companies in China released by 2016. The fall was primarily induced leverage opacity, and regulatory Securities Association of China by smaller fundraisings, in particular arbitrage. (SAC), the securities industry realised decline in follow-on offerings and New regulations for foreign-operating income of RMB 312.8 corporate bond issuances. In invested securities companies, billion and net profits of RMB 112 contrast, the proprietary trading fund management companies and billion (based on financial statements segment realised income of RMB futures companies were released in at parent company level) in 2017, 101.7 billion (including profits or 2018. Their introduction relaxes the which were year-on-year declines losses arising from changes in fair percentage of foreign shareholding of five percent and nine percent, values and investment income), allowed and broadens the business respectively. Total assets of the 131 which was a surge of 41 percent scope of foreign-invested securities securities companies stood at RMB compared to RMB 72.3 billion companies. These measures further 6.1 trillion, representing a year-on- recorded in 2016. This jump propelled open up the securities industry. year increase of six percent; net proprietary trading to become the An increasing number of securities assets amounted to RMB 1.8 trillion, industry’s largest source of income, companies are exploring ways to which was a year-on-year increase with a share of 32 percent. The transform their businesses. This o

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