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- 波岂 余
- 9 years ago
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Transcription
1 H 1
2
3
4 %
5 CITIC Securities Finance MTN CITIC Securities Finance MTN Co., Ltd. 5
6 A H A A H H 6
7 7
8 1.1 CITIC Securities Company Limited CITIC Securities Co., Ltd ,116,908, ,016,908, ,415,194, ,319,246, ,116,908,400 A 9,838,580,700 H 2,278,327,700 8
9 1 (QDII) 2 50ETF [email protected] 9
10 , [email protected] , , , ,
11 1.5 A H % , % A 40, , % : , , , % 29.89% ,000 A , , % , A , , % , , , ,
12 H 107, , H 109,483 H H 7, H H , ,101, A 983, H 117, % % % % H ,101, ,211, A 983, H 227, % ,888,758,875 1,999,695, % 16.50% 2,018,602,746 A 1,999,695,746 A 16.66% A50 88 H AH 100 AH 25 MSCI
13 (QDII)
14 ETF
15 A H M Euromoney Asiamoney ABS A B H P A B FinanceAsia 2015 TMT IPO IPO 15
16 Top5 Top5 IPO Top FinanceAsia 2015 (2006/ /2016) ( ) Finance Asia IPO 3A (3sBio) QIP (Indiabulls Housing Finance) 16
17 Asiamoney TOP10 TOP10 TOP TOP10 TOP10(OmniVision) 2014 Top30 Top10 Top PTA
18 (%) ,924 39, ,279 26,642 14, ,635 27,287 15, ,846 19,800 11, ,244 39,533-26,283-22, (%) , , , , , , ,138 99, ,688 12,117 11, ,017 18
19 (%) (%) (%) (%) % H ,415 44, ,208 78,684 13,477 7,144 (%) (%) (%) (%) (%) (%)
20 ,924 39,525 20,279 13,071 26,371 46,282 24,732 13,644 8,016 11, ,287 15,422 6,846 5,487 15,031 19,800 11,337 5,244 4,237 12, ,117 11,017 11,017 11,017 11, , ,131 89,402 86,685 86, ,138 99,099 87,688 86,465 86, , , ,952 81,823 61, , ,846 45,196 34,807 36, , , , , , (%) (%) (1) (2) 20
21 21
22 , ,
23
24 CITIC Securities Finance MTN ,
25 A 6 IPO A IPO 2015 A 16, %IPO 1, , , % % % 2, A 48.34% % 25
26 2015 A 64 1, % IPO , , , , , , , IPO
27 % 7, % , % , , , , , , , , , , , , , ,
28 % 38,644 18% 63% 62% ,467 83% 4,069 31% 46% 55%
29
30 , % % % , % QFII 139 RQFII 48 QFII RQFII
31 A , % 3, % 12, % 500 7, % 2, % (ETF) 50ETF % 31
32 ,940 64,863 8,070 7,263 74,010 72,
33 , , , , ,915 77, , ,129 1, ,753 15, ,071, ,007 1, , % 5, % 7% 2, % 33
34 , , PE , ,679 3, % PE C , % IPO PE 2014 IPO 2015 IPO PE
35 REITs REITs REITs REITs 2015 REITs REITs
36 ,096 10% A 1,021 A 64% , (AsiaMoney) A B (Institutional Investor)
37 % % % 16.63% H , , % 4, % , % 3, % , % , % 24.12% 14.80% 1.70% , , % % % % % %
38
39 % ,253 18,915 15,621 7,851 19,510 10,204 3,540 2,555 46,282 24, ,287 15,422 6,927 3,560 19,800 11, % % 47.86% 52.76% 54.24% 36.83% 21.42% 19.86% 20.17% 16.62% 7.80% 26.75% 25.82% 25.93% 27.91% 54.58% 4.86% 6.46% 1.14% 1.23% 0.79% % % % % % % ,714 10,365 12, % 4,563 3,516 1, % % 6,449 4,504 1, % % 4,621 1,799 2, % 29,632 17,116 12, % 39
40 % 2015 A 247% % % , ,163 40
41 % ,288 2,131 3, % 10,294 5,688 4, % % % 6,341 3,791 2, % 4,483 2,229 2, % 1, % 2, , % % A % % % ,733 3,599 3, % 14,859 15, % -2,082-9,001 6,919 19,510 10,204 9, % 41
42 % % % % % ,798 9,463 5, % % 2,768 1,257 1, % 8,499 4,335 4, % 2, , % 28,831 16,032 12, % % % % , , % % ,291.18% 2, , % 42
43 , % , % ,135 48,836 43, % 4,484 3, % % 136, ,185 10, % 11,595 7,282 4, % 112, ,998-4, % 7,912 3,183 4, % 68,907 37,967 30, % 31,532 33,224-1, % 465, ,780 87, % 43
44 , % 52.62% , % 48, % 4, % 3, % % 136, % 126, % 11, % 7, % 245, % 186, % % 19.79% , % 10, % 24, % 21, % 34, % 16, % 92, % 48, % 44
45 ,480 3, % % 4,484 3, % % % % ,766 64,051 2, % 56,461 46,270 10, % 10,354 12,434-2, % 3,211 3, % 136, ,185 10, % % ,856 1,222 2, % % 3,985 1,887 2, % 7,912 3,183 4, % 45
46 ,907 37,967 30, % , % , % , ,846 48, % 41,167 34,400 6, % 30,705 36,404-5, % 127, ,914 2, % 70,181 45,482 24, % 54,072 35,449 18, % 474, ,495 95, % A , % 31.72% 46
47 ,999 90,750 49, % 86,586 58,530 28, % 53,413 32,220 21, % 10,458 11, % 150, ,846 48, % % % % , % 2015 H ,117 11,017 54,453 34,123 7,525 7,093 17,174 13,339 3,100 1, ,787 32,710 2,599 2, , ,131 47
48 (%) , , , , ,604,792, , B 16 A , C ,
49 (%) , , , , , ,000 24% 16% ,000 (1) ,808, , , , , ,678 49
50 (2) 651, ,648, , ,930 25,036 5, ,000 (3) ,503,542 1,304, ,888 61,156 41, (4) , , ,881 8,108 5,864 (5) 1,604,792, % ,615, , ,888 58,094 41, (6) % , , , , , (7) 18 35% , , ,378 50
51 (8) 19 30% , , ,
52
53 A (15-1) CITIC Securities Finance MTN
54 [2012]57 < > 25% % 6.2% QFII % 1, % 3, % % 4.72% % % 54
55 % H A 2015 H H ,415,241, H H H H ,415,241, H 12,116,908,400 A H H %
56 % (%) ,058,454, ,799,793, ,415,241, ,337,193, ,652,536, ,243,916, ,415,241, H 12,116,908, ,282,637, ,274,894, ,097,565, ,415,241, ,239,855, ,952, % % 1,690,421, % 1,690,421, ,516,795, ,723,060, ,810,738,
57 % 2015 A H 6,058,454, % 22.60% ,752,283, A H H A
58 58
59 59
60
61 VaR VaR VaR 1 95% VaR VaR VaR VaR
62
63 , , AAA 9, , AA 16, , A A-1 7, , , , , , AAA A AAA A-1 AA AA+ AA AA A A+ A A A A A B 1, C 2, , D NR 2, , , , NR A Aaa Aa3 AAA AA AAA AA B A1 Baa3 A+ BBB A+ BBB C Ba1 B3 BB+ B BB+ B D Caa1 D CCC+ C CCC+ B % 263% 432% 211% 63
64 IT (1) (2)
65 , % 2, % % % %
66 A [2012]85 [2015] (QFII) QFII [2009]47 10% QFII [2014]81 A 10% 10% 66
67 H [1993]045 [2011]348 10% 10% 10% (1) 10% (2) 10% 20% (3) 20% H [2008]897 H % [2014]81 H H 20% H 12 67
68 5.4 (2015) H CITIC Securities Finance MTN
69 XV 352 (%) A 2,649, A 1,733, A 1,368, A 483, A 81, A %
70 % 5% , H H (i) 10% (ii) H H H 10.70%
71
72 (1) % 12 5% 24 10% (2) A
73
74 , , , ,
75 ,156 47, ,156 *ST ,156 *ST ST *ST 18,156 47,960 3,252,
76 3 (1) , , (2) , ,
77 (3) , , , , % 71,481, ,906, ,481, ,500,000 19,981,322 77
78 % ,660, IH ,485,
79 < >
80 ,
81 , , , % 1, % 81
82 < > ,500 4, , ,000 6, % 45,000 40, % , , ,000 3, % 110,000 39, % 82
83 83
84 (%) 30,550 2, , ,000 50, ,000 1, , ,000 3,000 1,000 6,000 3,000 46, ,300 2, ,398 1,610,000-1,057 84
85 , ,300 2,500 2, , % 0.1% (%) 25,000 25, / / 25, / / / 85
86 ,432 37,432 37,432-11,450 2,441,992 CTI Capital Management Limited 49% 37,431,758 2,441, % 0.1%
87 ,000 39,760 39, , ,000 4,000 1, % 0.1% , , , , , ,568, , , ,269, ,916, , , , , , , , , , , , , , ,543, ,859, ,345, ,278, ,066,
88 % (1) CITIC Securities Finance MTN CITIC Securities Finance MTN 6.5 CITIC Securities Finance MTN
89 (2) ISDA GMSL BCD C AB 503B 807B F #-4 15 D H A T
90 E E (10-2)-(10-6) B B 906C (6)
91 % KVB Holdings 12 60% 8077KVB Holdings % KVB Holdings , , ,200,310, % ,567, ,409 2,110, % ,965, %
92 (%) A 1,888,758, A A 7,949,821, H H 2,278,327, ,116,908, A A 2015 H H H 11,016,908,400 12,116,908,400 A 9,838,580,700 H 1,178,327,700 2,278,327, A 2015 H H 6.4 H H 11,016,908, H 12,116,908,
93 7.4 H % % % % % % % % % % % % % % % % % % % % % A 2015 H 2015 H H (1) % (2) % % %
94 % % % (1) CITIC Securities Finance MTN % (2) % (3) (4) % (5) % % 94
95 % AA+ AAA A A A A A A A AA A A A AAA A A A AAA (2015) 2013 A A A AAA (2015) 2013 A A A AAA 95
96 AAA AAA AA+ AAA A A A AAA AAA 96
97 ,925 A 620,771 H ,379 A 624,221 H (%) 1 1,099,735,038 2,277,743, ,131,745 1,888,758, ,212, ,801, ,000, ,059, ,141, ,709, ,709, ,478, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, ,567,400 89,567, H ,999,695, % 97
98 3 005L-CT L-FH ,322,773 9,737,226 4 A A B H 2,277,743,638 H 1,888,758,875 A 349,801,682 A 331,059,999 A 231,141,935 A 198,709,100 A 106,478,308 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 89,567,400 A 98
99 ,919, % % ,900, (1) (2) (3) (4) (5) (6) ,198,156, X
100 SH 0998.HK 67.13% SZ 38.63% SH 71.04% 1205.HK 59.50% 1135.HK 74.43% 1091.HK 43.46% 1883.HK 58.77% 1828.HK 56.07% SZ 58.13% U19.SG 87.59% 100
101 HK 58.13% % H A H (%) 5 (%) A 1,939,757,575 1 A 565,060,815 2 H 690,359,200 Citigroup Inc. 3 H 259,932,275 11,572, ,672,449 BlackRock, Inc. 4 H 165,876,774 Cinda Sinorock Global Portfolio Limited Partnership II H 135,409, ,
102 1 1,939,757,575 A ,888,758,875 A A 2,018,602, % 2 565,060,815 A 231,141,935 A 333,918,880 A 3 Citigroup Inc. 4 BlackRock, Inc ,278,327,700 H 9,838,580,700 A 6 Lazard Asset Management LLC Banco BTG Pactual S.A. 5% H H 5% H H 102
103 , , ,000 81, ,649,750 2,649,
104 ,733,160 1,733, ,368,363 1,368, , , , , , , / / / / / 8,428,190 8,428,190 7, /
105 A A H
106
107 ACT 360 Solutions Limited
108
109
110 (Xerox Corporation) (Xerox) (JP Morgan Chase) (UBS Investment Bank) (MBA) (CFA) (FRM) 1997 A
111
112
113 ,081, IT 113
114 ,853 10,051 10,051 6,802 16, , , ,014 9,525 3,066 16,
115 ,
116
117 % % % 117
118 3% 3%
119 A H A 2015 H A 2015 H A 2015 H
120 % % % % % % % % % /
121 A AA 121
122 (1) (2) % (3) < > (4) A H < > (5)
123 (6) (7) H A 2015 H (8) (9) <21 > (10) (11) (12) (13) (14) (15)
124 (1) (2)
125 (3) A 2015 H H 7.4 H < > (4) A H (5) (6) A 2015 H H H [2015] H H (7) [2015]
126
127 <
128
129
130
131 < 2015 > /7 7/7 7/7 4/
132 2015 IT
133
134
135
136 (1) (2)
137 (3) (1) (2) (3) (4) % 137
138 [2003]
139
140
141 H CITIC Securities Finance MTN ( ( 141
142
143 A+H A 2015 H ,211, ,211, , ,
144 A 2 H H e
145
146 [2010]
147
148 ,365,822 6,672, % 692, % 1, % ,014,610 4,328, % 684, % 1, % %
149 [2003]56 [2004]338 (2016) [2003] CITIC Securities Finance MTN CITIC Securities Finance MTN
150
151
152 ,252,523 18,915, ,621,547 7,850, ,510,014 10,204,336 69,384,084 36,970, ,539,811 2,554,813 72,923,895 39,525, ,621,076 1,798, ,830,544 6,900, ,797,624 9,463, , ,538 2,767,980 1,257, ,498,901 4,336, ,481, ,975 46,282,282 24,732,774 26,641,613 14,792, , ,022 (18,821) (8,616) 27,287,144 15,421, ,926,800 3,560,448 20,360,344 11,861,499 19,799,793 11,337, , ,305 20,360,344 11,861,
153 ,360,344 11,861,499 2,334,233 2,026,175 4,091,585 2,878,444 (993,413) (672,291) (1,707,484) (116,170) 1,390,688 2,089, ,845 (63,808) (1,340) 2,334,233 2,026,175 22,694,577 13,887,674 22,063,367 13,384, , ,557 22,694,577 13,887,
154 ,856,121 1,222,324 70,921 73, ,265,277 10,075, ,985,413 1,887, ,480,218 3,954, ,946 7, ,154,939 10,557, , , , ,463,395 3,353, ,141,288 2,596, ,634, ,503 45,409,381 34,373,676 1,158, , ,523,403 74,135, ,980,146 38,278, ,438, ,751, ,000,078 12,127, ,594,613 7,281, ,770,724 42,862, ,771,559 21,344, ,553,897 96,840, ,906,892 37,967, ,698, ,252, ,456, ,845, ,765,284 5,339, ,456,175 2,608, ,342,602 25,809, ,788, ,914,446 18,033,000 11,751, ,618,751 3,295, ,721,632 4,651, ,848,079 17,997, ,182,331 29,352, ,213, ,564, ,485, ,687, ,895, ,061,
155 ,835,803 43,167, ,542,466 2,610, ,345,210 2,314, ,140,679 2,647, , ,387 74,158,077 50,929, ,737, ,131, ,116,908 11,016, ,233,809 55,371,420 44,787,070 32,710, ,137,787 99,098,670 2,599,311 2,032, ,737, ,131,
156 ,016,908 34,122,744 7,092,744 13,338,581 1,778,526 (961,175) 32,710,342 99,098,670 2,032, ,131,485 19,799,793 19,799, ,551 20,360,344 1,321, ,740 2,263,574 70,659 2,334,233 1,321, ,740 19,799,793 22,063, ,210 22,694, (3,415,242) (3,415,242) (3,415,242) 432,181 (432,181) 3,835,900 (3,835,900) 1,100,000 20,236,724 21,336,724 39,130 21,375,854 94,010 (39,742) 54,268 14,865 69,133 (118,709) (118,709) ,116,908 54,453,478 7,524,925 17,174,481 3,100,360 (19,435) 44,787, ,137,787 2,599, ,737, ,016,908 34,428,152 6,439,142 11,401,724 (334,040) (895,532) 25,632,131 87,688,485 1,713,610 89,402,095 11,337,194 11,337, ,305 11,861,499 2,112,566 (65,643) 2,046,923 (20,748) 2,026,175 2,112,566 (65,643) 11,337,194 13,384, ,557 13,887, (1,652,537) (1,652,537) (1,652,537) 653,602 (653,602) 1,936,857 (1,936,857) (41,069) (41,069) (305,408) (15,987) (321,395) (25,774) (347,169) (117,509) (117,509) ,016,908 34,122,744 7,092,744 13,338,581 1,778,526 (961,175) 32,710,342 99,098,670 2,032, ,131,
157 ,287,144 15,421,947 4,850,905 2,766,264 (645,531) (629,406) (1,283,832) (1,699,262) (5,448,837) (1,899,256) 27,470 (1,937,508) (3) (1,670,267) (1,354,760) (522,481) 287, , , ,676 1,624, , ,341 33,944 26,598,889 11,165,853 (15,984,147) (49,880,693) (46,713,208) (56,715,367) (3,770,164) (76,077,454) (66,467,519) (182,673,514) 50,007,851 53,528,259 2,874,091 69,210,191 32,917,370 25,457,590 85,799, ,196,040 45,930,682 (23,311,621) (6,397,663) (2,971,797) 39,533,019 (26,283,418) 157
158 ,362,010 1,792,527 (4,278,817) (479,101) 922,251 7,049,851 21(e) (275,787) 61, , ,803 (35,881,279) (9,227,999) (178,205) (37,910,257) 23,977 21,472,198 8,807,056 2,649,528 9,816, ,348,404 70,921,948 (107,262,316) (49,060,380) (7,970,267) (4,185,096) (5,928,390) (27,658) 27,309,157 36,272,831 28,931,919 10,013,390 35,568,511 25,668,912 1,170,326 (113,791) 48 65,670,756 35,568, ,906,892 37,967, ,236,136 2,398,678 65,670,756 35,568,
159 H [2011] H 1.00 H 1,071,207,000 75,907, ,016,908, (2011) _A H [2015] ,100,000,000 H ,116,908, (2015)
160 (1) (2) (3) (1) (2) (3)
161 2015 (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (1)
162 (2) (3) (4) (5) IFRS16 IFRS16 17 (6) (7)
163 (8) (9) (10) 1 1 (11) (12) 7 7 (13) (14)
164 (a) (b) (c) (d) (e) (f) (g) 3. (1) (2) 164
165 (3) (a) (i) (ii) (a) (b) (b) 165
166 (i) (ii) (iii) (iv) 166
167 (v) (vi) (c) (d) (i) 167
168 (ii) 50% (iii) (e) (f) (g) 168
169 (4) (a) (b) (i) 0.5% (ii) 10% (iii) 20% (iv) 50% (5) (6) (7) (8) 169
170 (9) (10) (11) (a) UPS 2,000 (b) % 5% %-4.167% 0% * % 3% % 3% % 0% % 3% % 3% * % 15% 170
171 (c) (12) 5 (i) (ii) (iii) (iv) (v) (vi) 171
172 (13) (14) (i) (ii) (i) (ii) 172
173 (15) (16) (17) 173
174 (18) (a) (i) (ii) (iii) (b) (i) (ii) (iii) (iv) (v) (vi) (a) (vii) (a)(i) (a)(i) (19) (a) (b) (c) (20) 10% 10% 10% 5% 10% 50% 25% 174
175 4. (a) (b) 175
176 1) 2) 3) 1) 2) 3) 4) 5. (1) [2012]57 < > 25% (2) [2013]63 [2004]203 5% [2006]172 (3) (4) 7% 3% 2% 176
177 ,606,457 26,815,973 29,253,445 7,838,675 4,409,345 72,923,895 4,563,090 22,713, ,057 6,449, ,160 34,252, ,022,561 11,184, , ,159 15,621,547 (21,082) 17,567,082 1,197, ,911 19,510,014 43, , ,793 24,219 3,157,115 3,539,811 1,879,576 13,125,286 20,853,575 3,918,011 6,505,834 46,282, ,788 11,592,251 69, ,072 12,830,544 2,963 1,255 1,703,721 61, ,532 2,481,231 2,726,881 13,690,687 8,399,870 3,920,664 (2,096,489) 26,641, , ,531 2,726,881 13,690,687 8,399,870 3,920,664 (1,450,958) 27,287,144 6,926,800 20,360,344 6, ,694 19,248 25, , , , , , ,906 2,840,825 4,287,
178 2014 3,627,040 12,041,166 12,965,820 6,218,287 4,673,002 39,525,315 3,516,440 10,365, ,864 4,503, ,998 18,915, ,571,999 5,805, , ,196 7,850,808 99, ,959,201 1,398,573 1,746,486 10,204,336 10, ,597 (29,958) 31,343 2,439,322 2,554,813 2,159,031 6,926,193 9,818,757 3,030,447 2,798,346 24,732, ,038 6,180,007 67, ,793 6,900, , , ,975 1,468,009 5,114,973 3,147,063 3,187,840 1,874,656 14,792, , ,406 1,468,009 5,114,973 3,147,063 3,187,840 2,504,062 15,421,947 3,560,448 11,861,499 12, ,126 13,856 48, , ,846 73, ,684 63,661 38, , , ,293,652 5,687,944 5,288,412 2,131,145 39,483 31,719 15,621,547 7,850, ,537,117 16,221,761 5,448,837 1,899,256 1,283,832 1,699, ,503 (692,758) 53,209 76,672 (2,081,484) (8,999,857) 19,510,014 10,204, ,226 2,179,457 (i) 3,537, ,356 3,539,811 2,554,813 (i)
179 ,470,216 1,712, ,860 86,547 4,621,076 1,798, ,341,068 3,791,335 4,483,119 2,228, , ,032 1,338, ,722 12,830,544 6,900, ,351,034 8,467, , ,382 (i) 490, ,948 14,797,624 9,463,242 (i) ,076, , , , , , , , , , , , , , ,002 96, , , , ,428 (i) 31,104 30,993 (ii) 4,326, ,202 8,498,901 4,336,205 (i) (ii)
180 (1) (2) (3) (4) (5) (1)+ (2)+(3)+(4) 2,085 3, ,397 1,672 4, ,838 3,011 4, , ,094 4, , ,022 3, , , ,292 1,124 4, ,317 1,333 4, ,532 1,035 6, ,489 1,235 4, ,423 1,871 5, , , , , ,100 18,067 50, ,795 71,273 *
181 2014 (1) (2) (3) (4) (5) (1)+ (2)+(3)+(4) 1,748 3, ,319 1,666 3, ,766 2,777 10, , ,088 1, , ,000 1, , ,471 1,119 3, ,024 1,327 3, ,232 1,327 3, ,410 1,334 3, ,235 1,832 3, , , ,619 17,581 40, ,288 60, ,930 12,971 59,241 30,533 73,171 43,
182 ,500,001 10,500, ,500,001 11,500, ,500,001 12,500, ,500,001 13,500,000 13,500,001 14,500, ,500,001 15,500, ,500,001 16,500, (i) 1,624, , , ,939 90, ,404 33,944 2,481, ,975 (i) (a) ,983,850 3,728,589 7,694,673 3,556, , ,324 (1,057,050) (168,141) 6,926,800 3,560,448 (b) 25% ,287,144 15,421,947 6,821,786 3,855, ,247 (58,215) 374, ,117 (550,369) (479,331) (56,697) 31, ,476 76,586 6,926,800 3,560,
183 ,058,454 3,415,242 3,415,242 1,652, ,799,793 11,337,194 11,592,525 11,016, [2010]
184 ,600 67, , ,727 5,497 1,993,657 80,589 3,177, ,826 3,417, ,641 3,600 33,193 2,214, ,379 8,985 2,658, ,922 3,159,147 (9,497) (5,870) (11,386) (20,726) (840) (182,616) (8,751) (239,686) (204,308) (443,994) 2,114 2,315 (22) 76 45,335 1,476 51,294 51, ,858 67, ,558 2,381,301 4,860 2,150,755 82,299 5,647, ,440 6,183, ,785 30, ,781 52,248 4,663 1,615,559 67,883 2,194,776 2,194,776 24,476 11,239 20,863 28, ,647 12, , ,993 (1,044) (3,530) (10,494) (18,864) (753) (175,797) (8,469) (218,951) (218,951) 1,791 1,510 (212) 63 37, ,608 41, ,008 40, ,938 61,708 4,241 1,689,906 72,549 2,327,426 2,327, ,850 27,400 40,620 2,319, ,849 9,750 3,319, ,440 3,856, ,815 36,574 28, , ,098 12, , ,826 1,222,
185 ,486,005 65, ,289 69,548 5,395 1,869,995 74,727 4,782, ,706 5,686,440 2,919 3,551 14, , ,201 10, , , ,031 (1,864,460) (1,363) (5,559) (9,268) (130) (77,030) (4,380) (1,962,190) (811,940) (2,774,130) (1,864) (532) (423) (55) (2,241) (2,241) ,600 67, , ,727 5,497 1,993,657 80,589 3,177, ,826 3,417, ,649 20, ,297 52,896 4,207 1,425,352 64,482 2,049,036 2,049,036 30,444 11,337 40,276 7, ,976 7, , ,451 (121,900) (307) (5,447) (7,853) (106) (75,341) (4,314) (215,268) (215,268) (1,408) (326) (345) (47) (1,443) (1,443) ,785 30, ,781 52,248 4,663 1,615,559 67,883 2,194,776 2,194, ,815 36,574 28, , ,098 12, , ,826 1,222, ,160,356 45,622 54,992 16,652 1, ,643 10,245 2,733, ,706 3,637,
186 ,075,152 10,047,495 10,075,152 10,047, ,268 27, ,143 10,622,420 10,075, ,143 10,265,277 10,075, ,418,587 7,418,587 2,085,994 2,330, , , ,826 88,675 88,675 43,500 43,500 10,265,277 10,075,
187 , ,124 1,160, ,005 55,081 2,534, ,098 2,197,212 2,336,910 (1,000) (1,023) (1,250) (3,273) 83 31,290 63,507 15, , ,957 1,103,489 1,224, ,976 2,251,043 4,978, , , ,176 5, ,021 2, , ,432 25, ,506 (695) (695) 572 5,677 12,290 18, , , ,898 30, , , , , ,976 2,220,533 3,985, , ,457 1,017, ,005 49,691 1,887,
188 , ,299 1,030, ,158 11,386 2,300,250 3,200 75, ,909 43, ,733 (1,800) (19,750) (21,550) 2 1,646 3, , , ,124 1,160, ,005 55,081 2,534, , ,711 42,939 3, ,815 4, , ,050 1, ,036 (1,315) (16,820) (18,135) 21 1,097 (813) , , ,176 5, , ,544 1,544 (1,544) (1,544) , ,457 1,017, ,005 49,691 1,887, , , , ,158 7,907 1,915,
189 ,238,594 24,182,700 (a) % 720, , % 5,010 5, % 1,500 1, % 10,000 10, % 75,610 27%(i) 1,010 1, % 80, , % 10,000 30, % 10,000 10, % 100, , % (i) 189
190 % % % 50, % 1, % % 30% 300, , % 50,000 20, % 1,300 1, % % 20,000 20, % 20,000 1, % 30,000 8, % 190
191 % 30,000 30, % 1,000 1, % 10, % 10,000 10, % 10,000 10, % 651, % 65, % 5, % 38, % 1 100% Dragon Stream 1, % Investments Limited CSI Capital Management Limited 5, % CITIC Securities Equity % Trading Company Limited CITIC Securities 1,600 72% International Partners,Ltd. CSIAM (CAC) 1 100% Investments Limited August Sky Holdings Limited 1 100% CSI REITs Investment 1 100% Management Company Limited CSI Direct Investments Limited 3, % CSI USA Securities Holdings,Inc. 2, % CITIC Securities Carbon Trade and Investment Company Limited % 191
192 % CSI Nominee Services Limited 1 100% GMMC Limited 1 100% CSI Finance Limited 10, % CSIAMC Company Limited(HK) 1 100% CSI Capital L.P. 4, % CITIC Securities Finance 1 100% 2013 Co.,Ltd. CITICS GLOBAL 17, % 16.95% ABSOLUTE RETURN FUND CITICS GLOBAL 29, % MULTI-STRATEGY FUND CITIC Securities Finance 1 100% MTN Co.,Ltd. CSI Partners Limited 1 100% (b) % 7,000 12, % 250, , % 160, , % 1,250 1, % 23, , % 20,000 20, % 5,000 2, % 109, % 78, % 192
193 (c) KVB Kunlun Holdings Limited % % % ,984 3, , , , , ,689 51, , , % 180, , , (d)
194 ,728,301 2,728, , ,090 8,391 8, , ,445 (168,376) (e) (746,778) (8,037) (746,778) (8,037) 470,991 69,933 (275,787) 61,896 (f) % 37.80% 108,922 94,729 2,117,668 1,659, , , ,212,490 3,590,005 1,413,759 1,200,759 1,609,437 1,146,947 1,439,268 (29,330) (1,569,999) 446,895 (274,943) (250,607) (397,800) 165, ,908,483 5,177, , ,743 1,537,905 1,011, , ,779 (g)
195 ,480,218 3,954,167 3,946 7,829 4,484,164 3,961,996 (a) 180,000 35% 35% 117, % 12.74% 5,000 40% 40% 14, % 46.75%(i) 32.26% 32.26% 33% 33% 1, % 34.09% 5,000 35% 35% 5,000 35% 35% 1,000 25% 25% 10,000 35% 35% 195
196 5,000 40% 40% 5,000 40% 40% CITICPE Holdings Limited (iv) 35% 35% World Deluxe Enterprise Limited 40% 40% Aria Investment Partners III,L.P % (ii) Aria Investment Partners IV,L.P % Clean Resources Asia Growth Fund L.P % (ii) Fudo Capital L.P. 0.24% (ii) Fudo Capital L.P.II 5.86% (ii) Fudo Capital L.P.III 5% (ii) Sunrise Capital L.P.II 26.20% CT CLSA Holdings Limited 50,000 25% Enhanced Investment Products Limited 49% % 50% 1,000 50% 50% 5,000 50% 50% Double Nitrogen Fund GP Limited % (iii) (i) (ii) (iii) (iv) CITIC PE (Hong Kong) Limited 196
197 (b) (i) ,972,769 3,253, ,204 1,772, , ,378 1,025, ,937 2,262,659 2,209,263 1,273,778 1,335,929 1,273,778 1,335,929 (ii) , ,258 1,423,577 1,300,904 1,276, , , , , ,638 5, ,590 5, ,590 (c) ,166, ,688 2,251 2,771 1,168, ,459 (d) (e)
198 , ,848 12,367,452 10,613,631 12,769,740 10,971, , ,881 12,154,939 10,557, , ,848 11,752,651 10,199,750 12,154,939 10,557, ,192,595 10,847,436 14,004,989 11,915,670 (i) 34,521,099 16,142,125 81,718,683 38,905,231 1,738, ,820 79,980,146 38,278,411 44,654,277 20,062,011 35,325,869 18,216,400 79,980,146 38,278,411 (i) ,108,950,
199 , , , , , , , ,168 9,352,528 8,378, ,550 3,749,508 10,000,078 12,127,559 7,183,636 8,359,578 2,816,442 3,767,981 10,000,078 12,127, ,027, , ,615 2,497,855 66,804 2,254 3,463,395 3,353, , ,928 1,368, ,845 47,467 2,596,285 (13,417) ,773 (850,187) 1,001,361 36, ,394 1,410 (41,936) 45,434 4, , , ,016 1,953, ,287 3,141,
200 , , , ,023 80, , ,063 1,323,254 23,212 (112,319) (2,095) 1,287, ,527 (99,081) 1,548,459 (194) (274,822) (897) 485 (275,428) , ,928 1,368, ,845 47,467 2,596, ,138 1,450, ,508 5,977 25,695 2,610,454 (72,689) (522,491) 9,959 28,370 19,643 (537,208) 30, ,355 1, , , ,645 1,020,822 34,347 46,867 2,542, , ,822 1,697 24, ,286 (75,507) 1,450,260 4,280 1,286 1,380,319 2,382 (342) 355, , ,138 1,450, ,508 5,977 25,695 2,610,
201 ,568,335 1,076, , ,503 3,634, , ,745,319 74,135, ,916 75,523,403 74,135, ,766,316 64,050,942 (i) 56,461,175 46,269,983 3,211,305 3,430, ,438, ,751, ,045, ,623,461 23,393,771 10,128, ,438, ,751,561 (i) , , , , , ,180 82, ,557 10,530,910 3,943,703 6,664,763 4,717, , , ,706 27, ,248 28,967 11,594,613 4,765,284 7,281,626 5,339,
202 ,129,245 33,114,142 6,731,852 9,367, ,555 90,388 36,770,724 42,862,895 5,476,491 2,878, ,031 4,109,297 30,897,590 35,874,895 90,388 36,770,724 42,862, ,302,988 7,966,725 3,663,622 3,152,563 2,891,244 1,692,822 2,428,775 2,291, , ,843 21,767 2,852 1,299,111 6,028, ,580 38,724 16,771,559 21,344,
203 ,906,544 37,966,906 68,906,892 37,967, ,456, ,845, , ,253 1,239, ,938 1,337,160 1,148,123 3,456,175 2,608, ,140,679 2,647,377 21,342,602 25,809,
204 , ,491 41,659,266 52,611,995 85,281,684 71,925, ,788, ,914,446 85,049,527 56,737,966 9,702,108 39,228,371 33,036,902 28,948, ,788, ,914, ,710,157 2,106, , , , ,526 4,618,751 3,295, ,721,632 3,447,346 1,204,070 4,721,632 4,651,416 4,721,632 4,651, % 2.39% % 7% 204
205 CP009 15/10/ /01/ % 4,999, ,000, CP010 03/12/ /03/ % 4,998,777 1,223 5,000, /12/ /12/ % 7,999, ,000, CP001 12/01/ /04/ % 5,001,792 5,001, CP002 05/02/ /05/ % 5,001,793 5,001, CP003 06/03/ /06/ % 5,001,792 5,001, CP004 03/04/ /07/ % 5,001,812 5,001, CP005 22/04/ /07/ % 5,802,326 5,802, CP006 14/05/ /08/ % 5,001,792 5,001, CP007 12/06/ /09/ % 5,001,792 5,001, CP008 10/07/ /10/ % 5,001,792 5,001, /10/ /10/ % 8,001,507 8,496 7,993,011 26/09/2014~ 15/04/2015~ 3.95%~ 21/10/ /07/ % 9,329,441 4,474,373 4,855,068 17,997,658 58,148,181 63,297,760 12,848, CP009 17/10/ /01/ % 3,999, ,000, CP010 11/11/ /02/ % 3,999, ,000, CP011 04/12/ /03/ % 3,999, ,000, CP001 09/01/ /04/ % 4,002,875 4,002, CP002 14/02/ /05/ % 5,003,586 5,003, CP003 06/03/ /06/ % 5,003,585 5,003, CP004 10/04/ /07/ % 5,004,085 5,004, CP005 09/05/ /08/ % 3,002,163 3,002, CP006 12/06/ /09/ % 4,003,102 4,003, CP007 14/08/ /11/ % 5,003,585 5,003, CP008 04/09/ /12/ % 5,001,792 5,001, CP009 15/10/ /01/ % 5,001,535 1,792 4,999, CP010 03/12/ /03/ % 5,000,568 1,791 4,998, /12/ /12/ % 8,000, ,999,138 11,998,130 54,028,786 48,029,258 17,997,
206 ,551,103 11,596,232 9,686,036 5,266,610 5,564,395 5,000,000 4,118,956 2,854,093 3,242,288 1,566,572 (i) 436, , , , ,777 61,651 7,792 2,049 12,715 4,932,115 2,557,465 52,182,331 29,352,488 (i) (a) 60,762,803 43,167,363 (b) 7,073,000 67,835,803 43,167, ,860,681 29,693,984 15,975,122 13,473,379 67,835,803 43,167,
207 (a) (i) 1,500,000 1,500, (ii) 2,996,176 2,994, (iii) 11,975,972 11,973, (iv) 4,993, (v) 5,991, (vi) 6,999,712 6,999,375 CITIC SEC B1805 (vii) 5,092,149 4,758, (viii) 5,498, (ix) 2,499, (x) 11,499, (xi) 8,499,303 CITIC SEC MTN (xii) 4,202,559 3,955,982 60,762,803 43,167,363 (i) % (ii) % (iii) % (iv) % (v) % (vi) % 2 (vii) CITIC Securities Finance 2013 Co.,Ltd % (viii) % (ix) % (x) % % (xi) % (xii) 2013 CITIC Securities Finance MTN Co., Ltd CITIC Securities Finance MTN CITIC Securities Finance MTN (b) % 5.50%
208 ,149 1,686, , , ,823 60,591 2,345,210 2,314,393 2,345,210 2,314, %-10.00% % 8.00% , ,387 17, , , A 1 9,838,580 9,838,580 9,838,580 9,838,580 H 1 (i) 2,278,328 2,278,328 1,178,328 1,178,328 12,116,908 12,116,908 11,016,908 11,016,908 (i) 1 H 208
209 47. (a) (b) (i) 10% 50% 25% (ii) (c) 10% (d) (e) (f) ,670,408 35,568,228 65,670,756 35,568,
210 ,239,915 2,239,915 3,938,662 3,938, ,272,901 1,272,901 13,455,217 13,455,
211 ,528,873 18,137,709 27,604,141 27,840,218 28,100 95,183 16,556,973 18,137,709 27,699,324 27,840, (a) , ,086 (b) (i) , , , , , ,159 1,268,278 1,202,622 3,938,747 3,146,879 (ii) ,964 14, ,964 14, ,964 14,400 1,755,656 98,200 2,457, ,400 [(c) ]
212 52. (1) (%) (%) 1, % (i) 15.59% (i) % % (2) (a) (b) ,077, , , ,763 14,776 18,617 2,608 1, , , ,078 78,683 63, ,546,953 20,052,620 8,825,950 8,051,446 7,349, ,992 1,896, , , ,148 90,596 1,393, , ,000 4,528,976 6,396,132 1,493, ,572 34,115 37,911 2,522,
213 (c) , ,106 57, ,208 (12,055) 11,681 6,122 13, ,814 76,992 49,980 77,873 11,462 10,609 31, (i) 23,612,248 14,168,906 (i) 6,704,326 3,961,201 1, ,922 3,242 (i) (d) * , ,841 29,465 26,011 6,062 2, *
214 (e) , , (f)
215 (a) ,330,911 51,763,712 1,344, ,438,796 18,371,880 48,094, ,651 66,766,316 54,770, ,014 1,044,522 56,461, ,392 3,022,913 3,211,305 7,311, ,103 2,086,142 10,353,602 2,832 11,591,781 11,594,613 9,947,070 70,017, ,627 80,382,434 1,160,825 31,987,770 33,148,595 8,456,245 3,948, ,627 12,822, ,000 34,081,216 34,411,216 90,592, ,329,333 3,847, ,769,445 1,246,433 2,209,742 3,456,175 19,225,286 3,257,995 22,483,281 15,849 4,749,435 4,765,284 1,262,282 26,184,463 3,257,995 30,704, ,515,083 52,602,775 1,633, ,751,561 15,543,307 48,507,635 64,050,942 43,955, ,124 1,633,703 46,269,983 16,620 3,414,016 3,430,636 8,360,869 3,933, ,817 12,433,727 27,445 7,254,181 7,281,626 5,955,786 26,982,371 5,698,102 38,636, ,005 10,122,431 10,847,436 5,177, ,847 5,698,102 11,646,698 53,032 16,089,093 16,142,125 73,859,183 90,772,368 7,471, ,103,173 1,041,444 1,566,870 2,608,314 28,435,440 21,218 28,456,658 4,665 5,334,420 5,339,085 1,046,109 35,336,730 21,218 36,404,
216 (b) ,633, ,331 1,147,053 83,243 1,534, ,344,173 10, , ,651 1,633, , ,280 83,243 1,534, ,044, , ,100 1,739, , ,441 2,086,142 5,698,102 (4,468) (1,633,943) 52,155 15,989 3,620,810 57, ,627 5,698,102 (4,468) (1,633,943) 52,155 15,989 3,620,810 57, ,627 21, , ,235 10,000 2,372,380 3,257, , ,847 1,371,203 42,154 2, ,175 1,633, , ,847 1,371,203 42,154 2, ,175 1,633, ,614 4, ,817 3,227, ,867 1,731, , , ,907 5,698,102 3,227, ,867 1,731, , , ,907 5,698,102 23,252 (2,115) 81 21, (137,173) 213,146 75, , , ,331 (c)
217 (d) ,835,803 43,167,363 71,891,209 44,279,
218 218
219 (a) 219
220 (i) ,477,150 27,187, ,585 3,463,395 3,353,096 75,523,403 74,135,256 84,916,621 72,953,646 11,594,613 7,281,626 36,770,724 42,862, ,553,897 96,840,688 68,906,544 37,966,906 18,156,481 21,590, ,362, ,314,511 (ii) ,477,150 48,477,150 3,404,150 59,245 3,463,395 73,749,966 1,773,437 75,523,403 70,185,973 14,730,648 84,916,621 1,658,577 9,936,036 11,594,613 36,283, ,016 36,770, ,155,292 4,398, ,553,897 55,245,587 13,660,957 68,906,544 6,677,619 11,478,862 18,156, ,838,022 56,524, ,362,
221 ,187,276 27,187, , ,585 3,290,462 62,634 3,353,096 72,035,141 2,100,115 74,135,256 65,061,008 7,892,638 72,953, ,969 6,477,657 7,281,626 42,404, ,832 42,862,895 92,509,248 4,331,440 96,840,688 31,073,518 6,893,388 37,966,906 8,534,733 13,055,804 21,590, ,042,003 41,272, ,314,511 (b) ,456, ,456,676 1,380,806 85, , ,909 1,239,769 3,818,056 2,216,078 2,400,295 2,361,058 1,141,111 14,364,738 22,483, ,510 74,925,768 45,227,723 9,817, ,190,777 18,014,252 34,040 18,048,292 22,951 4,698,680 4,721,631 5,074,236 8,378,711 13,452, ,500 2,280,359 64,631,955 18,519,250 86,064, ,519 2,588,850 2,593,365 30,831,047 2,879,904 5,946,174 13, ,670, ,746, ,007,437 64,317,237 78,500,031 19,324,159 15,604, ,500,050 5, ,393 1,879,057 1,451,627 17, ,149 4,596,837 (6,081,979) (1,070,000) (6,048,198) (13,200,177) 6,256,084 1,088,260 6,114,691 13,459, ,105 18,260 66, ,
222 ,845, ,845, ,670 1,054, ,629 86, ,337 2,686,279 10,803,128 7, ,753 17,293,481 28,458,362 68,297,145 40,849,511 17,890, ,037,577 11,089, ,778 11,915,243 4,665,379 4,665,379 10,110,945 8,440,000 18,550,945 2,070,337 36,726,829 16,051,500 54,848,666 9,674 29,021 2,358,273 2,396,968 13,315,015 7,959, , ,276, ,963, ,561,399 53,624,546 57,297,879 16,138,492 18,095, ,681, ,217 2,353,656 1,855, ,973 5,107,441 (12,483,505) (368,964) (12,852,469) 12,651, ,003 13,060, ,105 40, ,144 (c) VaR 222
223 VaR VaR 1 95% VaR VaR VaR VaR (i) (VaR) (VaR) (VaR) VaR 95% 1 (VaR) , ,292 27,569 75,509 16,174 22, , ,535 (ii) 223
224 (162,821) (153,897) , , (62,506) (22,921) 25 62,858 23,153 (iii) % (149,368) 465,840-3% 217,652 (106,781) % (197,073) (133,111) -3% (216,776) (195,897) 3% ,701,679 8,617,553 4,128,033 7,289, ,737,
225 ,248,935 (6,712,246) 4,671,362 8,923, ,131,485 (iv) % %
226 , ,261 70,921 73,694 43,500 2,375, ,166 24,238,594 24,182,700 1,850,458 1,561,956 1,633,093 1,615,893 3,179,001 4,127,303 2,375,716 2,057, ,817 95,221 36,804,679 34,396, , ,462 65,707,613 48,702,527 74,967,601 38,432, ,013,495 95,068,806 3,297,018 1,122,766 38,171,793 37,929, ,000 16,545,910 24,323,693 99,012,603 48,359,199 49,089,350 19,782, ,320, ,034, ,429,992 46,487,203 5,378,094 5,502,817 2,147,596 1,303, ,770 2,883, ,360, ,461,032 18,000,000 11,140,000 3,800,727 1,747,014 1,000,000 12,848,079 17,997,658 43,578,557 24,420, ,399, ,943, ,921,305 81,091, ,725, ,487,962 58,541,095 34,452, ,268 1,805, ,000 59,518,363 36,803, ,207,621 78,684,385 12,116,908 11,016,908 76,367,653 52,384,840 27,723,060 15,282, ,207,621 78,684,
227 ,415,560 5,713,770 11,105,583 1,149,927 52,384,840 15,282,637 15,097,565 (1,097,314) (1,097,314) (1,097,314) (1,097,314) 15,097, (3,415,242) 135, ,953 (135,953) 3,380,843 3,380,843 (3,380,843) 20,019,690 20,019, , ,047 1,027,910 1,543,641 4,274, ,536,934 6,263,770 15,514,336 52,613 76,367,653 27,723, ,415,560 5,352,561 9,784,401 (890,542) 48,661,980 12,011,655 6,605,910 2,040,469 2,040,469 2,040,469 2,040,469 6,605, (1,652,537) 361, ,209 (361,209) 1,321,182 1,321,182 (1,321,182) ,415,560 5,713,770 11,105,583 1,149,927 52,384,840 15,282, [2015] % ,953 50% % 1,690, % 1,690, ,058,
228
229
230 ( H % A ETF H A 2015 H % H H H
231 H H H H H (2015) 2013 (2015) % H H H H H H H
232 H A A H A A H A 2015 H H H H H
233 H ( H % ETF A 2015 H 233
234 (1) 60% (2) (3) (1) (2) (3) (4) H (1) (2)
235 (1) (2) H H 2015 H H H (1) (2) H H
236 A A 2015 H
237 [2015] [2015] [2015] [2015] [2015] [2015]
2013 10 1.50 2
6030 2013 2013 12 31 2013 2013 2014 4 30 H http://www.hkexnews.hk http://www.cs.ecitic.com 1 2013 10 1.50 2 ... 4... 7... 8... 17... 20... 22... 52... 59... 71... 80... 92... 123... 214... 215.... 216....
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6030 2 0 1 5 2015 6 30 6 2015 2015 http://www.hkexnews.hk http://www.cs.ecitic.com 1 2 ... 4... 7... 11... 13... 33... 37... 51... 56... 57... 58... 104... 105... 109 3 4 2013 2013 CITIC Securities Finance
2016 2
6030 2016 2016 6 30 6 2016 2016 http://www.hkexnews.hk http://www.cs.ecitic.com 1 2016 2 ... 4... 6... 10... 11... 31... 35... 44... 49... 51... 52... 100... 101... 105 3 A A A 1.00 600030 100% 2013 2013
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6030 2012 2012 12 31 2012 2012 2013 4 30 H http://www.hkexnews.hkhttp://www.cs.ecitic.com 1 2012 103.00 2 ............................................................................................ 4...................................................................................
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