ENGLISH
CHINESE
SOCIAL
RESPONSIBILITY
MANAGEMENT
SYSTEM
1
Concept of Social
Responsibility
Dimension of Social Responsibility Concept Relevant sustainable development goals
Customer Service
  • Partnership for achieving goals
Staff Development
  • Good health and well being
  • Gender equality
  • Decent work and economic growth
Environment Friendly
  • Clean water and sanitation
  • Responsible for consumption and production
  • Climate action
Community Obligations
  • No poverty
  • Zero hunger
  • Quality education
  • Enhancing business diversification and serving the real economy.
  • Focusing on customers and growing with them mutually.
  • Strengthening industry exchanges and cooperation to promote mutual development.
  • Operating in compliance with the regulations, strictly controlling risks and strengthening corporate supply chain management and anti-corruption management.
1

Customer service

  • Enhancing business diversification and serving the real economy.
  • Focusing on customers and growing with them mutually.
  • Strengthening industry exchanges and cooperation to promote mutual development.
  • Operating in compliance with the regulations, strictly controlling risks and strengthening corporate supply chain management and anti-corruption management.
2

Employees’ development

  • Adhering to the strategy of talent-based enterprises with people-oriented and market-oriented management.
  • Actively providing jobs for the society and protecting the legitimate rights and interests of employees in accordance with laws.
  • Adhering to the principle of fairness and impartiality, hiring employees based on job qualifications, and providing fair opportunities in position appointment, promotion, remuneration and welfare benefits, development and training.
  • Providing employees with a healthy and safe working environment.
3

Environment-friendly

  • Practicing the concept of green development in China and adopting various energy conservation and emission reduction measures to achieve green office.
  • Advocating environmental behaviors and raising public awareness of environmental protection.
  • Carrying out green securities business to help the development of green real economy.
4

Community duty

  • Actively carrying out targeted poverty alleviation work and giving back to the society in various ways;
  • Encouraging and supporting employees to contribute volunteer services to public welfare undertakings.
In 2019, we furtherly examined the concept of corporate social responsibility and identified each dimension related to the United Nations sustainable development goal to take positive actions in order to achieve sustainable goals.
2
SOCIAL RESPONSIBILITY
ORGANIZATIONAL STRUCTURE

The Company incorporates the concept of social responsibility into all aspects of business management, establishes a social responsibility management framework, and continuously promotes the integration of social responsibility concept and our own business development, so as to put social responsibility into practice.

  • Board of Directors: The Board of Directors is responsible for the formulation of social responsibility strategy and directions, and reviewing the report and performances of social responsibility work.
  • Management: The management team is responsible for planning and implementing the social responsibility strategy, managing the social responsibility performance of relevant departments and subordinate branches and subsidiaries, and reporting to the Board of Directors on social responsibility work.
  • Functional departments and subsidiaries: The relevant functional departments and subsidiaries are executors of social responsibility work, which cooperate with the management team to complete the tasks related to social responsibility management.

CITIC Securities
headquarters

  • Wealth Management Committee
  • Compliance department
  • Legal department
  • Audit department
  • Risk management department
  • Information Technology Center
  • Planning and Finance Department
  • Human Resources Department
  • General management department

Subsidiary level of CITIC
Securities

  • CITIC Securities (Shandong) Co., Ltd
  • CITIC Securities International Limited
  • Jinshi Investment Co., Ltd
  • CITIC Securities Investment Co., Ltd
  • CITIC Futures Co., Ltd
  • Huaxia Fund Management Co., Ltd
3
Stakeholder Engagement

Based on the characteristics of actual business, management, and operation, the Company identifies key stakeholders including shareholders and investors, governments and regulators, employees, suppliers, customers, partners, communities, and the public. To ensure the information between the Company and various stakeholders can be timely and effectively communicated, the Company establishes and continuously improves the communication mechanism. In 2019, the key stakeholders identified and the key issues concerned by the Company are listed in the table below.

Key stakeholders Main communication channels Main topics of concern
Shareholders and investors Shareholders’ meeting corporate annual report, telephone,e-mail,network platform,reception of visitors,participation in investor meeting Profitability
business strategy
Transparency of information disclosure
Government and regulators Major meetings,policy consultation,event report,institutional investigation and official communication Compliance operation
Corporate governance
Targeted poverty alleviation
Customer Customer visit,satisfaction survey,customer complaint hotline Service quality
Privacy protection
Staff Employee suggestion box, labor union,employee satisfaction survey,employee activities Salary and benefits
Development training
Promotion
Work environment
Supplier Supplier inspection and communication meeting Fair cooperation
Performing the contract in good faith
Cooperative partner Communication meeting Fair cooperation
Performing the contract in good faith
common development
Community and public Public welfare activities,community interaction,corporate recruitment and internship opportunities Community relations
Promoting employment
Charity
4
Materiality Assessment

Through channels above, the Company communicates with key stakeholders effectively to understand their feedback on key issues on social responsibility. In addition, in 2019, the Company furtherly identified material issues to major stakeholders as the focus of corporate actions and reports. The Company’s materiality analysis of social responsibility is listed in the matrix below.

  • 1 Greenhouse gas emissions
  • 2 Energy use
  • 3 water resources management
  • 4 Waste management
  • 5 Ecological environment protection
  • 6 Employee employment
  • 7 Employee health and safety
  • 8 Staff development and training
  • 9 Supplier management
  • 10 Product and service responsibility
  • 11 Investor protection education
  • 12 Customer satisfaction
  • 13 information safety
  • 14 Anti corruption
  • 15 Targeted poverty alleviation and
    public welfare activities