Appendix 2 Definitions

Appendix 1 Key Quantitative Performance Indicators

Appendix 3 Index of the Guidelines of Self-regulationof Companies Listed on Shanghai Stock Exchange No. 1 - Standard Operation


第1號-規範運作》) issued by the

Shanghai Stock Exchange

Appendix4 Index of Environmental, Social and

Governance Reporting Guide (2022 version) on Hong Kong Stock Exchange

Appendix 5 GRI Standards Index (2021) issued by

Global Reporting Initiative

Appendix 6 Independent Assurance Statement

About This Report


This report is the Social Responsibility Report issued by Huatai Securities Co., Ltd. ("Huatai Securities", the "Group" or the "Company"), aiming to disclose to all stakeholders the Company's environmental, social and corporate governance initiatives and accomplishments.


Organization Scope: Huatai Securities Co., Ltd., Huatai United Securities Co., Ltd., Huatai Securities (Shanghai) Asset Management

Co., Ltd., Huatai International Financial Holdings Company Limited, Huatai Purple Gold Investment Co., Ltd., Huatai Innovative Investment Co., Ltd., Huatai Futures Co., Ltd. and Jiangsu Equity Exchange Co., Ltd.

Reporting Period: from January 1, 2023 to December 31, 2023.

Reporting Cycle: Annual. The last report is 2022 CSR report.


The preparation of this report is in accordance with the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 2 - Contents and Formats of Annual Report (Revised in 2021) (《公開發行證券的公司信息披露內容與格式準 則第 2 號年度報告的內容與格式(2021 年修訂)》) (Chapter 5 Environment and Social Responsibility) issued by China Securities Regulatory Commission, the Guidelines of Self-regulation of Listed Companies No. 1 - Standard Operation by Listed Companies issued by the Shanghai Stock Exchange, and the Environmental, Social and Governance Reporting Guide set out in Appendix C2 to the Listing Rules and Guidance (with e ect from December 31, 2023) issued by the Hong Kong Stock Exchange. Meanwhile, this report refers to the Sustainability Reporting Standards (GRI Standards) 2021 issued by the Global Reporting Initiative (GRI).


This report is prepared in accordance with the reporting principles under the Environmental, Social and Governance Reporting Guide of the Hong Kong Stock Exchange, which include:


The threshold at which ESG issues determined by the board are su ciently important to investors and other stakeholders that they should be reported.


KPIs in respect of historical data need to be measurable. The issuer should set targets (which may be actual numerical figures or directional, forward-looking statements) to reduce a particular impact. In this way the effectiveness of ESG policies and management systems can be evaluated and validated. Quantitative information should be accompanied by a narrative, explaining its purpose, impacts, and giving comparative data where appropriate.


The ESG report should provide an unbiased picture of the issuer's performance. The report should avoid selections, omissions, or presentation formats that may inappropriately influence a decision or judgment by the report reader.


The issuer should use consistent methodologies to allow for meaningful comparisons of ESG data over time.

About This Report

Data Explanation

The data and cases in the report are from the primary record of operation or financial reports of Huatai Securities and its subsidiaries. Unless otherwise specified, the unit of the financial information in this report is RMB. In case of any inconsistency with financial reports, the financial reports shall prevail.


The electronic version of this report can be found and downloaded at Shanghai Stock Exchange website, HKEX news website, London Stock Exchange website and Huatai Securities Co., Ltd. website.

Environmental, Social and Corporate Governance (ESG) Statement by the Board

2023 is the first year for fully implementing the spirit of the 20th CPC National Congress as well as a crucial year of succession for the "14th Five-Year Plan". Huatai Securities completely, accurately and comprehensively implemented the new development concept. After several years of continuous and in-depth exploration, it gradually established the featured and influential ESG governance framework and practice system of Huatai Securities and achieved the close combination and mutual promotion of the ESG concept with the endogenous development of the Company. Currently, the ESG concept has become the common value pursuit of all Huatai sta and a key impetus to the continuous progress of the Company. Leveraging on our unremitting efforts and outstanding practice, the MSCI ESG rating of the Company was raised from A to AA in 2023, making it the first company with the AA rating in the securities industry and edging into the world-leading level.

Establishing high-level ESG governance system

A complete governance structure and system is the key foundation of ESG practice. The Company has established a normalized ESG governance system with the linkage between upper and lower levels. The Board of Directors fully performed responsibilities for decision-making and supervision on ESG and sustainability-related a airs, considered ESG-related proposals and supervised the e ects, risks and opportunities of ESG and sustainable development. The ESG Committee of the Company performs responsibilities on ESG governance under the authorization of the Board of Directors and the management and formulates and implements relevant strategies and systems on ESG and sustainable development in a timely manner. In 2023, the ESG Committee considered and released the Statements of Huatai Securities Co., Ltd. on Data and Information Protection and the Relevant Systems of Huatai Securities Co., Ltd. on Whistle-blowing and Protection of Whistle-blowers, which specified the work requirements of the Company on data security and the protection of personal information as well as the Company' measures in whistle-blowing and the protection of whistle-blowers in order to improve employees' awareness on information security, better safeguard customers' privacy safety and legitimate interests and further create the cultural

atmosphere of the enterprise on compliance, integrity and incorruptibility.

Serving high-quality development of the real economy

Huatai Securities always considers serving the real economy as its own mission and undertaking. Facing the new round of technological revolution and industrial reform, the Company centered on national strategies on self-reliance on high-level technology and significant regional development, focused on semiconductor, advanced manufacturing, energy and environmental protection, healthcare and other key industries and promoted the rapid development of new quality productivity based on local conditions. From 2012 to the end of 2023, the Company served over 240 customers in Strategic Emerging Industries with a total market value of over RMB9 trillion. In 2023, it underwrote 77 bonds on technological innovation with a size of over RMB23.2 billion. Leveraging on the advantages of cross-border, integrated and comprehensive services covering the full business chains, the Company effectively satisfied the all-round investment and financing demands of corporate customers covering the full lifecycle and continuously promoted the intelligent, green and integrated development of modern industrial systems.

Promoting in-depth expansion of green finance

Green development is the grounding of high-quality development. Huatai Securities actively practices the concept of green development. While achieving the economic value, it continuously promotes the improvement of the environmental value. The Company constantly establishes and improves green service systems, promotes the concentration of high-quality resources in green sectors and continuously diversifies and promotes green bonds, green ABSs, green funds and other products. In 2023, the Company issued a total of four green ABS products and underwrote 51 green bonds with an underwriting scale of RMB27.54 billion. To implement the comprehensive conservation strategy, the Company actively explored green and low-carbon operation models and advanced energy-saving development through adopting clean energy, promoting paperless office and advocating green travelling, which e ectively reduced the carbon footprint in the operation


Environmental, Social and Corporate Governance (ESG) Statement by the Board

of the enterprise. The Company has obtained the qualification for carbon emission trading in Hong Kong and the Mainland in recent two years, initiating the new development space of serving national strategies on "carbon peaking and carbon neutrality" with carbon financial businesses.

Improving climate risk control systems

Climate change is the common challenge faced in the world. The Company continuously strengthens the identification and control of climate-related risks and opportunities and establishes the management system on climate change risks. The Board of Directors is responsible for supervising climate-related risks and opportunities and the ESG Committee is responsible for the governance of climate change risks as well as the management of strategies, impacts, risks and opportunities. The Company adopted diversified means to continuously and deeply evaluate the impacts of climate change on strategies and business and formulated effective response measures. Meanwhile, the Company incorporated relevant factors on climate change into the business management and control process and set the indicator of "energy saving, emission reduction and climate change" in the ESG due diligence systems for clients to better control potential climate risk.

Facilitating deep and solid progress in public welfare undertakings

We always adhere to the responsibilities and undertakings of financial enterprises and carried out continuous explorationand practice in social and public welfare causes. In 2023, the Company pooled resources from various parties and deeply tapped into rural revitalization, education and healthcare, ecological protection and other public welfare sectors by relying on Huatai Foundation. 93,722 children and 11,065 teachers have been benefited from the "One Commonweal Heart of Huatai One Tomorrow" rural education program and the influence of the public welfare brand of "One Commonweal Heart of Huatai" has been increasingly expanded. Meanwhile, the Company vigorously supported talent growth at different stages in environmental protection and public welfare sectors. It promoted all walks of life to participate in environmental protection in scientific and rational manners through hosting researches and studies for talents, establishing scholarships, subsidizing environmental activities and other diversified means.

Facing the new journey and the new future, the Company is committed to becoming a firm practitioner of the ESG concept and a trailblazer in innovative practices. It will actively advance the comprehensive and coordinated development of corporate operation, environmental protection and social progress, make outstanding contributions to stakeholders and continuously contribute Huatai's intelligence and strength in the historical progress of the high-quality development of the real economy and finance.

March 2024

About Huatai Securities

About Huatai Securities

Company Profile

The Group is a leading technology-driven securities group in the industry, with a highly collaborative business model, a cutting-edge digital platform and an extensive and engaging customer base. Our principal businesses comprise wealth management business, institutional services business, investment management business and international business. The Group constructs a client-based organizational mechanism, provides comprehensive securities and financial services for individual and institutional clients through a platform-based and integrated operation, and aims to become a leading investment bank with strong domestic advantages and global influence.

Basic Information of the Company

Chinese name


English name


Principal businesses

Wealth management business, institutional services business, investment management business and international business

Huatai United Securities, Huatai Asset Management, Huatai International, Huatai Purple Gold

Major subsidiaries

Investment, Huatai Innovative Investment, Huatai Futures and Jiangsu Equity Exchange

Domestic branches

242 securities branches and 28 branches in total

Overseas operating entities

Huatai International and its a liate Huatai Financial Holdings (Hong Kong), AssetMark, Huatai Securities (USA) and the Singapore Subsidiary with the business covering various countries and

regions including Hong Kong, the United States and Singapore.

Total assets

RMB 905,508.39 million

Operating income

RMB 36,577.59 million

Attention: This is an excerpt of the original content. To continue reading it, access the original document here.


  • Original Link
  • Original Document
  • Permalink


Huatai Securities Co. Ltd. published this content on 28 March 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 28 March 2024 12:00:08 UTC.