Classification of securities services in citic wantong

◆ Acting for domestic circulation of A shares and B shares;

Acting as an agent to buy and sell domestic convertible bonds, government bonds and corporate bonds;

Convertible bonds: Convertible bonds currently listed on the Shenzhen-Shanghai Stock Exchange refer to corporate bonds that can be converted into stocks, which have the characteristics of both stocks and ordinary bonds. An important feature is the conversion price. After the agreed time limit, investors can convert their convertible bonds into shares at any time according to the stock price. The interest rate of convertible bonds is the ratio of annual average interest to par value, which is generally lower than that of ordinary corporate bonds and is usually issued at par value. The conversion price is the face value of corporate bonds required to convert each issued share.

Convertible bonds have these characteristics: first, you can expect the value to increase. Second, as a bond, its price is supported by a lower limit and will not fall like a stock.

◆ Agency warrant transaction

Warrant is a kind of right certificate, which stipulates that the holder has the right (but not the obligation) to buy or sell the underlying securities from the issuer at the agreed price within a certain period of time, or to collect the settlement price difference by cash settlement.

◆ Acting as an agent to repay the principal and interest of government bonds and corporate bonds;

◆ Acting as an agent for listed companies to handle investor dividend business;

Acting as an agent for Shanghai and Shenzhen securities registration companies to register and open accounts;

(1) Opening Shenzhen Securities Account Card

Investor: It can be handled through the local securities business department or securities registration institution, and you need to provide your valid ID card and a copy. If you entrust another person to act as an agent, you also need to provide the agent's ID card and a copy.

Legal person: handle with business license (and photocopy), power of attorney of legal person, certificate of legal representative and ID card of agent.

Securities investment funds and insurance companies: you need to go directly to Shenzhen Stock Exchange to open an account card.

Account opening fee: individual 50 yuan/each account; Institution 500 yuan/per account.

(2) Open a Shanghai securities account card.

Investors: You can go to the account-opening agencies of Shanghai Securities Centralized Registration and Clearing Company in various places, go through the relevant procedures for applying for opening a securities account, and bring your valid identity documents and copies.

Legal person: the original or photocopy of the business license of legal person, or the original and photocopy of the legal person registration certificate issued by the civil affairs department and other competent departments are required; The power of attorney of the legal representative and the valid identity certificate of the agent and their copies.

Entrust others to do it for you: you must provide the identity certificate of the agent and its copy, and the power of attorney of the client.

Account opening fee: personal paper card 40 yuan, personal magnetic card local 40 yuan/each account, remote 70 yuan/each account; Institution 400 yuan/per account.

◆ trading agent funds (closed-end funds and open-end funds);

Closed-end fund refers to the total amount of funds issued in advance when the fund sponsors set up the fund. When the raised amount exceeds 80% of the total amount, the fund is announced to be established and closed, and no new investment will be accepted during the closed period. Although investors are not allowed to ask for the return of funds during the closed period, funds can circulate in the market. Investors can cash out through market transactions.

Open-end fund means that when the fund is established, its scale is not fixed. Investors can open a fund account with a fund management company or a selected fund agency at any time to subscribe for the fund's share of benefits, or they can sell their fund shares to fund companies, securities companies, banks and other intermediaries at any time and recover cash, which is a process in which the fund redeems the fund shares at the request of investors. Open-end fund is a fund with variable issuance amount, and the total number of fund shares (units) can be increased or decreased at any time. Investors can purchase or redeem at the business place designated by the fund manager according to the fund quotation. Compared with closed-end funds, open-end funds have the characteristics of unlimited issuance, transaction price based on net asset value, over-the-counter transaction and relatively low risk, which is especially suitable for small and medium-sized investors to invest.

◆ Acting for buyout repurchase and pledge repurchase of national debt;

Bond repurchase transaction means that when the bondholder, issuer and purchaser reach a transaction, it is agreed that the issuer must repurchase the original bond from the purchaser at an agreed price at an agreed time in the future, and pay interest at the agreed interest rate (price).

◆ Other businesses approved by China Securities Regulatory Commission.

2. Third-party depository business

"Third-party depository" is the abbreviation of "third-party depository of customer transaction settlement funds". It is a reform of the deposit and management system of customer transaction settlement funds implemented in the whole securities industry in order to implement the securities law and regulatory requirements. Third-party depository is the management of opening an independent account in the depository bank in the name of each customer. By introducing bank supervision mechanism, closed centralized bank-securities transfer and bank channel inquiry, the safety of customers' funds is ensured. After the implementation of third-party depository, the operation mode of customers' securities trading remains unchanged, but funds can only be accessed through customers' bank settlement accounts.

(1) The difference between "third party depository" and "bank-securities transfer" and "bank-securities connect" lies in:

The legal basis is different: the transaction settlement funds of "Bank-to-Securities Transfer" and "Bank-to-Securities Connect" customers are entrusted by brokers, and the depository bank accepts the entrustment of securities companies to keep the customer transaction settlement funds entrusted by securities companies, which better reflects the protection of investors by the state regulatory authorities.

"Bank-securities transfer" is a way to transfer bank funds and margin accounts for customers under the previous non-bank depository mode.

The funds of "Yinzhengtong" are managed by banks, but the above two methods do not manage the securities trading margin for each customer separately, which does not meet the requirements of the existing securities law.

Similarities: investors' securities trading habits and entrustment methods remain unchanged.

(2) Problems that investors should pay attention to when handling third-party depository:

First of all, the investor's capital account and bank settlement account must be real names. If there is any problem, investors must go to the account opening business department and depository bank outlets to handle the information change procedures of securities capital account and bank settlement account respectively.

Secondly, among the depository banks cooperated by securities companies, investors can only choose one bank as their own depository bank.

Thirdly, investors can only access funds through third-party depository bank-securities transfer, and securities companies no longer provide off-site fund access services (including bank transfer and bill settlement) to customers.

Finally, once the third-party depository is opened, the corresponding relationship between investors and other banks will be interrupted immediately.

(3) After the implementation of "third-party depository", the channels for customers to obtain funds mainly include:

Customers can transfer funds from banks to securities through telephone banking, online banking, bank counters, self-help entrustment of securities companies, telephone entrustment, online transactions, bank-securities transfer over the counter, etc., and handle funds access through bank settlement accounts.

Third-party depository customers become customers of both brokers and banks, and can not only continue to enjoy the previous securities investment services, but also enjoy various comprehensive financial services of banks.

3. Telephone entrustment

Telephone entrustment is a comprehensive system for citic wantong Securities to provide services to customers anytime and anywhere. It has the characteristics of sufficient trunk lines, fast order placing and quick payment return, and is the first in the industry to realize the function of "buy and sell".

4. Online trading

(1) Basic Overview of Online Securities Trading

Online securities trading is a new business that is becoming more and more mature in the international securities market. It is an advanced remote entrustment mode after telephone entrustment and visual entrustment. The so-called online securities trading means that brokers send the stock market information and information of the stock exchange to the Internet in real time through data lines, and investors connect their computers to the Internet through modems and other equipment to watch the real-time stock market through the Internet, analyze individual stocks, consult the information of listed companies, and entrust orders to buy and sell stocks. At present, citic wantong Securities has fully opened online trading in the business department.

Online securities trading is convenient, fast and safe for investors, and various online services can be obtained from brokers.

(2) Advantages of online entrustment

● Online transactions are not subject to geographical restrictions. As long as you can connect to the Internet, you can see the information you need anywhere. Users can look at the stock market and place orders for trading anywhere through the Internet as long as they apply for opening the online entrustment function in the citic wantong Securities Business Department.

● Free of maintenance of market data. The market data of online transactions are maintained by both brokers and telecommunications bureaus, and investors are not required to maintain them. So you can turn on the computer at any time and see the complete market trend. You don't need to contact all day, and you don't need to do the finishing work. All the data are ready for you.

● Market analysis, ordering entrustment and information inquiry are convenient and intuitive. Online trading provides you with an intuitive graphic trend, and it is also very convenient to place an order. You can inquire about your personal stocks, funds, transactions and other information.

● The Internet is rich in resources. The information provided to investors can be seen everywhere. Many listed companies have set up their own websites online, which is more objective and accurate than the information provided by any brokerage firm.

● Online transactions are safe and secure. SSL 128-bit strong encryption algorithm is adopted in online trading of citic wantong Securities, and security measures such as gateway and parallel port isolation technology are used to ensure the security of online trading. The security system has passed the security certification of the National Information Security Evaluation Center.

Step 5 buy and sell

You can directly entrust transactions in the same city or different places in front of any business department or any self-service terminal of citic wantong Securities, inquire about statements, modify passwords, etc., or call 96577 without extra charges.

6. Electronic telephone

At present, the company has realized the unified hotline service of 96577 in the whole province 17 cities, providing all-round services such as professional and standardized securities trading, business consultation, SMS customization, telephone entrustment, self-service, complaint acceptance and appointment service. If necessary, you can call the national unified commission and customer service telephone number: 96577.

7, experts online

Citic wantong securities customers can directly consult and exchange more than 100 experts online through "citic wantong Securities Network" or SMS, and get the most direct investment advice and research results; You can also communicate directly with investment consultants through the national unified entrustment and customer service telephone number: 96577 to adapt to the ever-changing securities market.

8. Fund consignment business

In 2003, citic wantong Securities obtained the qualification of open-end fund consignment business, and established extensive business cooperation with major domestic fund management companies, which can provide investors with services such as subscription, redemption and inquiry of various open-end fund products such as stocks, bonds and currencies. Citic wantong Securities has established a systematic customer service system for fund consignment business. Based on professional analysis and judgment, various fund products are selected and recommended according to market changes to meet customer asset allocation needs and maximize customer asset value.

9. Customer service

Citic wantong Securities strives to provide investors with all-round, multi-level, professional and personalized consulting services. After innovation and development in recent years, the company's customer service work has formed a comprehensive service system with six service platforms as the core, and the 95548 service brand has been widely recognized by customers. At present, the products of the company's customer service center include 95548 call center, Licaitong (customer investment service platform and account manager management platform), gold stock letter, financial mailbox, daily viewpoint, daily data, company website, research report resource library and so on.

Citic wantong Securities actively seeks comprehensive and long-term cooperation with its core customers. The appreciation of customer assets is the fundamental pursuit of customer service in citic wantong Securities.