· Finance Asia

Best Investment Bank in Asia, Best Equity Capital Market Service Broker, Best Bond Capital Market Service Broker, Best IPO Service Broker, Best M&A Service Broker, Best Green Financial Broker in Asia, Best Underwriter, Best Bond Dealer, Best Panda Bond (BMW Automotive Finance), Best IPO (Baofeng Energy)

· Asiamone

Best Broker in China, Best Domestic Equity Financing Broker, Best ABS Underwriter of the Year, Best Underwriter for Account Receivables Securitization, Best ABS/MBS Deal of the Year

· National Interbank Funding Centre

Core Dealer, Excellent Dealer in the Money Market, Excellent Dealer in the Bond Market, Excellent Dealer in the Derivatives Market, Outstanding Contribution in Opening Up, Market Innovation Award, Trading Mechanism Innovation Award, Best Technology Award

· China Central Depository & Clearing Co., Ltd.

Outstanding Proprietary Trader, Best Contribution Underwriter Award of Local Municipal Bonds (non-bank institutions)

· SSE

Excellent Dealer, Excellent Underwriter of Local Government Bonds

· SZSE

Excellent Innovation Institution for Fixed Income Business, Outstanding Underwriter Award in Interest Rate Bonds

· National Interbank Funding Centre

Core Dealer, Excellent Dealer in the Money Market, Excellent Dealer in the Bond Market, Excellent Dealer in the Derivatives Market, Outstanding Contribution in Opening Up, Market Innovation Award, Trading Mechanism Innovation Award, Best Technology Award

· China Development Bank

Excellent Underwriter in the Exchange Market, Excellent Underwriter in the Interbank Market, Overseas Market Promotion Award, Excellent Innovative Underwriter, Excellent Market Maker

· Agricultural Development Bank of China

Best Underwriter Award, Best Broker Institution Award, Outstanding Market Maker of Agricultural Development Bonds, Outstanding Underwriter of Exchange Financial Bonds

· China Central Depository & Clearing Co., Ltd.

Outstanding Proprietary Trader, Best Contribution Underwriter Award of Local Municipal Bonds (non-bank institutions)

· China Foreign Exchange Trade System

The Project of “Open-end Client of New Platform for Currency Trading — Flagship Store” won the Runner-up Prize of the Fintech Innovation Competition in the 2019 Interbank Market

· Caixin Capital Market Achievement Awards for 2018 of Caixin Media

Best Broker in Chinese Domestic Bond Market
Best Investment Bank in Chinese Market
Best Investment Bank in Financial Institution Industry of Chinese Market
Best Corporate Bond Underwriter in China
Best Asset Securitization Underwriter in China
Issued by: New Fortune
Best Local Investment Bank No. 1, Best Investment Bank in Equity Underwriting No. 1, Best Investment Bank n Debt Underwriting No. 1, Best Investment Bank in Energy Sector No. 1, Best IPO Investment Bank No. 4, Best Refinancing Investment Bank No. 2, Best IPO Project No. 1 (PICC), Best Refinancing Project No. 1 (China Construction Bank), Best Refinancing Project No. 9 (Spring Airlines)

· Securities Times

Jun Ding Award: 2019 Full-Service Investment Bank in China, 2019 Bond Team in China, 2019 Asset Securitization Investment Bank in China, 2019 Financial Advisor in China Most respected investment bank of listed companies: Top 10 Investment Banks, Top 10 Capital Market Department

· Securities Daily

Golden Horse Award in Chinese Securities Market (Excellent Service Broker Award in STAR Market)

· China Securities Journal • jnlc.com

Three-Year Golden Bull Broker’s Collective Asset Manager
Three-Year Golden Bull Broker’s Collective Asset Management Plan

· China Asset Securitization Research Institute

Huijing Award — Leading Investment Institution in the Market

· Agricultural Development Bank of China

Best Underwriter Award, Best Broker Institution Award, Outstanding Market Maker of Agricultural Development Bonds, Outstanding Underwriter of Exchange Financial Bonds

· China Central Depository & Clearing Co., Ltd.

Outstanding Proprietary Trader, Best Contribution Underwriter Award of Local Municipal Bonds (non-bank institutions)

· Financial News

2019 Golden Dragon Award (Best Securities Company of the Year)

· China Securities Journal

2019 Golden Bull Award in Chinese Securities Industry (Golden Bull Award of Top Ten Securities Companies, Golden Bull Award of Social Responsibility of Securities Companies, Golden Bull Wealth Management Team Award, Golden Bull Investment Bank Team Award, Golden Bull Asset Management Team Award)

· Shanghai Securities News

2019 Gold Quality Award (Corporate Governance Award)

· International Financial News

2019 International Pioneer Investment Bank

· hexun.com

2019 Broker Brand Award, 2019 Broker Outstanding APP Award, 2019 Broker Bonus Award

· Sina Finance

Responsible Investment Best Securities Company Award

· jiemian.com

2019 China Financial Excellence Award (Securities Company of the Year)

· eastmoney.com

2019 Best Broker, 2019 Best Broker Asset Management Equity/Asset Allocation Team

· 36kr

TOP 5 Most Infl uential Securities Companies in China’s Listed Company Merger and Acquisition Services

· Investor China

Trustworthy Excellent Securities Company of the Year

· Economic Media Association of China

2019 China Innovation Leader Award

· Asiamoney

1990–2018 No. 1 Asia-Pacific Best Overall Combined Research and Sales Broker Selection
No. 2 Overall Combined Regional Research & Sales (Asia, ex Australia, China A & B Shares, Japan)
No. 2 Overall Combined Research & Sales in Australia
No. 2 Overall Combined Research & Sales in Japan
No. 2 Overall Combined Research & Sales in China (A & B Shares)
No. 2 Overall Combined Regional Sales (Asia, ex Australia & Japan)
No. 2 Overall Combined Regional Research (Asia, ex Australia & Japan)
Awards in Asia (Excluding Japan)
Research: No. 1 Best Strategist/No. 2 Best Economist/No. 1 Best Technical Analyst (Quantitative)/No. 3 Best Technical Analyst (Quantitative)/No. 3 Best Analyst for Banks/No. 2 Best Analyst for Casinos & Gaming/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Consumer Staples/No. 1 Best Analyst for Industrials/No. 2 Best Analyst for Diversified Financials/No. 2 Best Analyst for Healthcare/No. 1 Best Analyst for Insurance/No. 2 Best Analyst for Materials/No. 3 Best Analyst for Materials/No. 1 Best Analyst for Semiconductors & Semiconductor Equipment/No. 2 Best Analyst for Software & Internet Services Sales: No. 1 Best Regional Salesperson
Japan:
Research: No. 2 Best for Overall Country Research/No. 1 Best Strategist/No. 1 Best Economist/No. 1 Best Analyst for Automobiles & Components/No. 1 Best Analyst for Banks/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Consumer Staples/No. 1 Best Analyst for Non-Bank Financial/No. 1 Best Analyst for Industrials/No. 1 Best Analyst for Insurance/No. 1 Best Analyst for Semiconductors & Semiconductor Equipment/No. 1 Best Analyst for Technology Hardware & Equipment/No. 1 Best Analyst for Transportation & Logistics Sales and Trading: No. 2 Best Overall Sales Services/No. 1 Best Country Salesperson/No. 2 Best Country Salesperson/No. 3 Best Country Salesperson/No. 1 Best Country Sales Trader/No. 2 Best Country Sales Trader
Australia:
Research: No. 2 Best For Overall Country Research/No. 1 Best Analyst for Banks/No. 1 Best Analyst for Business and Personal Services/No. 1 Best Analyst for Consumer Discretionary/No. 1 Best Analyst for Consumer Staples/No. 1 Best Analyst for Energy/No. 1 Best Analyst for Non-bank financial/No. 1 Best Analyst for Healthcare/No. 1 Best Analyst for Media/No. 1 Best Analyst for Real Estate/No. 1 Best Analyst for Software & Internet Services/No. 1 Best Analyst for Technology Hardware & Equipment/No. 1 Best Analyst for Transportation & Logistics Sales and Trading: No. 1 Best Overall Sales Services/No. 1 Best Country Salesperson/No. 2 Best Country Salesperson/No. 1 Best Country Sales Trader/No. 3 Best Country Sales Trader

· Finance Asia

Country Awards for Achievement 2019
Hong Kong
Best broker in Hong Kong amongst Chinese Financial Institutions
The Philippines:
Best Deal in the Philippines: Allhome Group US$285 million IPO (CLSA Limited as one of the bookrunners)
Sri Lanka:
Best brokers in Sri Lanka

· The Asset

The Asset Triple A Country Awards 2019:
China:
Best IPO in China: Jinxin Fertility Group Limited US$447 million Hong Kong IPO (CLSA Limited as one of the sponsors, global coordinators, bookrunners and lead managers)
Best equity-linked in China: Lenovo Group US$675 million convertible bonds (CLSA Limited as one of the global coordinators and bookrunners)
Best M&A in Hong Kong: Cathay Pacific Airways acquires Hong Kong Express Airways for HK$4.93 billion (CLSA Limited as financial advisor)
The Philippines:
Best Green Bond Project in the Philippines: AC Energy US$300 million senior unsecured note (CLSA Limited as one of the lead managers and bookrunners)
India:
Best Eligible Institution Placing in India: Godrej Properties US$302 million Eligible Institution Placing (CLSA imited as one of the bookrunners and lead managers)
Best new bond in India: Indusind Bank US$400 million senior notes (CLSA Limited as one of the bookrunners)

· Institutional investors

2019 Asian Research Team Awards
No. 1 Best Philippine Research Team of the Year (by commission)/No. 1 Best Philippine Research Team (by asset management scale) of the year/No. 1 Best Thailand Research Team (by asset management scale) of the year/No. 2 Best Thailand Research Team (by commission)/No. 3 Best Philippine Research Company (by asset management scale)/No. 3 Best Australia and New Zealand Research Company (by commission): Health & Medical

· Refinitiv

2019 STARMINE Analyst Awards
Asia:
No. 3 Overall Analyst Awards: Utilities (Best Profit Forecast)/No. 1 REITs Stock Selection/No. 1 Utilities Profit Forecast/No. 2 Profit Forecast in Interactive Media and Services Industry/No. 3 Profit Forecast in Semiconductor Industry
Australia and New Zealand:
No. 2 Overall Analyst Awards: Financial Services (Best Stock Selection)/No. 1 Stock Selection in Financial Services Industry/No. 1 Stock Selection in Interactive Media and Services Industry/No. 2 Stock Selection in Hotel, Restaurant and Leisure Industry/No. 2 Stock Selection in Telecommunication Services and Information Technology Industry/No. 2 Profit Forecast in Chemical and Forestry Industry/No. 3 Stock Selection in Metals and Mining Industry/No. 3 Profit Forecast in Hotel, Restaurant and Leisure Industry/No. 3 Profit Forecast in Real Estate Industry China (including Hong Kong)/No. 2 Overall Analyst Awards: Utilities (Best Profit Forecast)/No. 1 Utilities Profit Forecast/No. 2 Profit Forecast in Interactive Media and Services Industry/No. 2 Profit Forecast in IT and Consumer Durables Industry/No. 3 Profit Forecast in Consumer Discretionary Industry/No. 2 Profit Forecast in Chemical and Forestry Industry/No. 3 Stock Selection in Metals and Mining Industry/No. 3 Profit Forecast in Hotel, Restaurant and Leisure Industry/No. 3 Profit Forecast in Real Estate Industry
India:
No. 2 Overall Analyst Awards: Information Technology (Best Stock Selection)/No. 1 Stock Selection in Energy Industry/No. 2 Profit Forecast in Transportation Industry/No. 3 Utilities Profit Forecast
Japan:
No. 1 Stock Selection in Transportation Industry/No. 2 Stock Selection in Technology Hardware Industry/No. 2 Stock Selection in Telecommunication Services Industry/No. 3 Stock Selection in Entertainment Industry/No. 3 Profit Forecast in Transportation Industry

· China Securities Journal

Golden Bull Broker’s Equity Investment Annual Winner

· Zero 2 IPO Group

No. 7 2018 Top 50 Best Private Equity Investment Institutions in China

· Securities Times/ Futures Daily

2022 Best Futures Company in China

· China Securities Journal

Golden Bull Award for Passive Investment Fund Managers

· Securities Times

Award for Top 10 Star Fund Companies of the Year, Award for Star Fund Companies
with Three-year Overseas Investment