What are Mission Vision & Core Values of Haitong Securities Company?

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What drives Haitong Securities' purpose and strategy?

Mission, vision and values guide Haitong Securities as it navigates regulation, volatility and digital change. These principles shape client focus, prudent risk management and expansion across brokerage, investment banking and asset management.

As of 2024 Haitong ranked among China’s top brokers by assets and AUM, with group operating revenue in the tens of billions RMB; its mission steers underwriting, wealth solutions and tech-driven transformation. Read a product analysis: Haitong Securities Porter's Five Forces Analysis

Haitong Securities mission centers on supporting China’s real economy, delivering end-to-end financing and investment solutions for retail, HNW, corporate and institutional clients across Mainland China, Hong Kong and selective global markets.

Target Customers

Serves retail investors, HNW/affluent clients, SOEs/POEs and institutional asset owners and funds.

Core Services

Securities brokerage, margin financing, ECM/DCM and M&A investment banking, asset & wealth management, research, cross-border services via Hong Kong.

Market Scope

Mainland China as core market, Hong Kong as offshore hub, selective international presence for cross-border flows.

Value Proposition

Integrated financing and investment solutions with strong risk control, deep research and expanding digital channels.

Prudence & Compliance

Prudence-led underwriting and suitability-focused wealth advice underpin client protection and regulatory compliance.

Recent Examples

In 2023–2024 Haitong underwrote RMB/USD bonds for infrastructure and new-energy issuers and upgraded wealth apps and WeCom channels to boost advice-led solutions.

Haitong corporate mission statement emphasizes customer-centric, prudence-led growth with innovation in digitalization; by 2024 the firm increased international underwriting activity and enhanced wealth-management digital adoption to expand client value creation. Revenue Streams & Business Model of Haitong Securities

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Haitong Securities vision focuses on global expansion via Hong Kong, digital wealth, research-led IB and diversified asset management to sustain ROE and cross-border leadership within China’s capital markets.

Market leadership

Aims to be a top-tier universal securities house in China with strong cross-border capabilities and expanding international revenue streams.

Global impact

Leverages Hong Kong platform to facilitate China–global capital flows and support RMB internationalization via institutional solutions.

Digital transformation

Invests in digital wealth and fintech to offset fee pressure; digital channels grew retail assets under management by double digits in recent years.

Research-driven IB

Prioritizes research-led investment banking to win mandates; corporate finance and DCM remain core profit contributors.

Diversified asset management

Builds multi-asset management to smooth cyclicality; aims to increase fee income share versus trading revenue.

Realistic ambition

With established brokerage and DCM positions and ongoing digital investments, the vision is ambitious but achievable if ROE and compliance are maintained.

Official vision: Build a first-class, internationally competitive, comprehensive investment bank with distinctive Haitong characteristics. Current focus: sustain ROE, expand cross-border revenue, and scale digital wealth while ensuring regulatory compliance and risk-adjusted growth.

Keywords: Haitong Securities mission; Haitong Securities vision; Haitong core values; Haitong corporate mission statement; Haitong strategic vision 2025.

Read a related analysis: Growth Strategy of Haitong Securities

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Haitong Securities core values focus on trust, client service, professional excellence and prudent risk management; these principles underpin daily operations and long-term strategy across global markets. The firm emphasizes compliance, research-led solutions and digital innovation to support clients and stakeholders.

Integrity & Compliance

Zero tolerance for misconduct with robust internal controls, suitability management and data/privacy safeguards to protect clients and markets.

Client-Centricity

Advice-before-product model delivering lifecycle solutions from retail model portfolios to bespoke IB financing for corporates.

Professional Excellence

Deep research and product craftsmanship drive differentiated ECM/DCM pricing, M&A structuring and sectoral thought leadership.

Prudence & Risk Management

Balance sheet discipline, liquidity buffers and counterparty limits mitigate market swings and protect investor interests.

Read next on how Haitong Securities mission and vision shape strategic decisions, governance and 2025 priorities to balance growth with compliance and sustainability; continue to the related owner structure article: Owners & Shareholders of Haitong Securities

Values — Integrity and Compliance: Zero tolerance for misconduct; robust internal controls, suitability management, and data/privacy safeguards. Example: strengthening pre-trade risk checks and post-trade surveillance, reinforcing a compliance-first culture across branches and Hong Kong affiliates.

Values — Client-Centricity: Advice before product; lifecycle solutions from first-time investors to corporates accessing capital markets. Example: model portfolios, outcome-oriented fund-of-funds, and bespoke IB financing packages aligned to client risk/return needs.

Values — Professional Excellence: Research depth and product craftsmanship drive differentiated solutions. Example: sectoral thought leadership supporting ECM/DCM pricing and M&A structuring.

Values — Prudence and Risk Management: Balance sheet discipline, liquidity buffers, and counterparty risk limits mitigate market swings. Example: tighter margin financing LTVs in volatile A-share conditions.

Values — Innovation and Digitalization: App-centric wealth journeys, OMS/EMS upgrades, data analytics for RM productivity, and fintech partnerships.

Values — Social Responsibility: Financing green projects and inclusive finance. Example: underwriting/placing green bonds and ABS aligned with China’s carbon peaking/neutrality goals.

Differentiation: The blend of prudence, client focus, and cross-border capability positions Haitong as a stability-oriented universal broker competing on compliance, research, and product breadth rather than price alone.

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Mission and vision statements guide strategic choices, resource allocation and risk tolerance across investment banking, wealth management and capital markets. They shape product priorities, geographic expansion and corporate governance to align daily operations with long-term objectives.

Haitong Securities: Mission, Vision & Core Values

The company's mission focuses on serving the real economy and creating value for clients; its vision emphasizes becoming a globally competitive integrated financial services firm guided by integrity and innovation.

• Mission: support real economy financing, provide comprehensive financial services and innovate in digital wealth and investment banking
• Vision: build an internationally competitive securities group with leading IB, DCM and wealth platforms by 2025
• Core values: integrity, client-centricity, prudence, innovation and teamwork
• Governance focus: compliance-first culture with strengthened KYC/AML and risk controls after 2023–2024 market volatility

Strategic Alignment

Mission and vision drive decisions on product mix, market entry and partnerships to strengthen IB, DCM and wealth capabilities.

Product Development

Expansion of green financing and structured solutions reflects the mission to serve the real economy; digital wealth tools advance client-centricity.

Market Expansion

Strengthening Hong Kong IB and wealth platforms aligns with the strategic vision; selective overseas distribution partnerships extend reach.

M&A and Partnerships

Collaboration with fintechs for robo-advisory and analytics supports innovation; participation in infrastructure and renewables financing matches national priorities.

Operations and Compliance

Compliance investments in KYC/AML and suitability flow directly from values of integrity and prudence, reducing conduct and regulatory risk.

Performance Metrics

Bond underwriting league-table presence in onshore DCM, steady brokerage share despite 2023–2024 A-share turnover softness, rising AUM in advisory mandates, and improving digital MAUs and RM productivity illustrate strategy execution.

Leadership emphasizes 'compliance first, risk first,' pairing high-quality development with service to the real economy; read a concise company background in this Brief History of Haitong Securities to contextualize these priorities.

Influence

Strategy linkage:

• Product development: Expansion of green financing and structured solutions reflects the mission to serve the real economy, while digital wealth tools advance client-centricity.
• Market expansion: Strengthening Hong Kong IB/wealth platforms aligns with the vision of international competitiveness; selective overseas distribution partnerships enhance reach.
• M&A/partnerships: Collaboration with fintechs for robo-advisory and data analytics supports innovation value; participation in infrastructure/renewables financings supports national priorities.
• Operations: Compliance investments in KYC/AML and suitability flow directly from integrity and prudence values.

Metrics:

• Bond underwriting league-table presence in onshore DCM; steady brokerage market share despite 2023–2024 turnover softness in A-shares; rising AUM in advisory mandates; digital MAUs and RM productivity gains year over year.

Leadership emphasis:

• Management communications consistently stress compliance first, risk first, pairing high-quality development with service to the real economy.

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Four focused improvements can make Haitong Securities mission and vision more measurable, globally actionable, innovation-driven, and stakeholder-centered. These changes will align Haitong core values with clear KPIs and 2025 strategic priorities.

Sharpen outcome metrics

Tie the Haitong Securities mission to quantifiable targets such as client NPS bands, through-cycle ROE ranges, 25–30% digital adoption by 2026, and a percentage goal for green/social financing to increase accountability and performance tracking.

Global articulation of ambition

Specify what 'internationally competitive' means with targets like top-10 league-table positions in Hong Kong ECM/DCM and cross-border AUM goals (for example, USD 20–30bn AUM outside China by 2028) to clarify resource allocation for Haitong strategic vision 2025 and beyond.

Embed innovation and sustainability

Elevate AI, data ethics, and climate-risk integration into risk frameworks and product development—e.g., mandate climate stress-testing across credit and trading books and adopt model-governance for AI tools to reflect Haitong Securities sustainability and core values.

Clarify stakeholder commitments

Add explicit commitments on employee development (target 70% certified skill-up rate within 3 years) and investor protection benchmarks to strengthen trust and operationalize how Haitong company values explained translate into governance and client outcomes.

Improvements

• Sharpen outcome metrics: Tie the mission to quantifiable targets (e.g., client satisfaction/NPS, ROE through-cycle bands, % green/social financing, digital adoption rates) to enhance accountability.
• Global articulation: Specify the scope of ‘internationally competitive’ (e.g., targeted league-table ranks in Hong Kong ECM/DCM, cross-border AUM goals) to clarify ambition and resource allocation.
• Innovation and sustainability: Elevate references to AI, data ethics, and climate risk integration into risk frameworks to mirror leading global peers’ best practices.
• Stakeholder clarity: Add commitments toward employee development and investor protection benchmarks to reinforce client trust.

Related reading: Target Market of Haitong Securities

Implementation of Mission and Vision in Corporate Strategy requires aligning day-to-day operations, capital allocation and reporting with long-term strategic goals to ensure measurable impact across clients, markets and regulators.

Haitong Securities: Mission, Vision & Core Values

Clear mission and vision guide product mix, risk appetite and sustainability priorities across global franchises.

• Mission: serve the real economy by providing comprehensive capital markets, investment banking and wealth management solutions, linking clients to domestic and cross-border capital.
• Vision: become a leading global Chinese financial institution with integrated services across securities, asset management and investment banking by 2025.
• Core values: client-first service, professional excellence, integrity, innovation and risk-aware growth.
• Governance: board oversight, risk committees and ESG disclosures embedded in strategy execution.

Strategic Priorities

Prioritize fee-based wealth growth, cross-border ECM/IB deals and fixed-income market-making to capture rising institutional and retail demand.

Sustainability & ESG

Commitments include green bond pipelines, ESG screening for asset management and disclosures aligned with China and IFRS sustainability standards.

Risk & Compliance

Three-lines-of-defense, enterprise risk dashboards and model risk governance support compliant scaling across mainland China and Hong Kong.

Culture & Talent

Values-driven recruitment, training and KPIs integrate risk-adjusted returns, conduct standards and innovation incentives.

Implementation

• Business initiatives:
  • Digital wealth: Algorithmic portfolio tools, improved client onboarding, and suitability engines embedded in the app; increased penetration of fee-based advisory.
  • Green finance: Dedicated green bond/ABS pipeline, ESG screening in asset management products, and disclosures aligned with China/IFRS sustainability standards.
  • Risk and compliance: Enterprise risk dashboards, stress-testing, and conduct training covering front-to-back processes, including Hong Kong SFC requirements.
• Leadership’s role: Strategy cascaded via annual plans, KPIs integrating risk-adjusted returns and compliance; town halls and internal training reinforce mission/values.
• Communication: Client and investor reports highlight service-to-real-economy case studies and cross-border deal credentials; internal portals track value-aligned initiatives. See further context in Competitors Landscape of Haitong Securities
• Systems: Three-lines-of-defense, product approval committees with suitability and ESG checks, model risk governance for digital advice, and remuneration structures balancing growth and compliance.

Key 2024–2025 data points: Haitong group reported securities revenue growth mid-single digits in 2024, with asset management AUM exceeding RMB 1 trillion across onshore/offshore products; ESG-labelled issuance contributed to 12% of fixed-income underwriting volumes in 2024 (internal disclosure trends across Chinese broker-dealers).