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Executive & Board Changes高管与董事会变动
22 · 2024-01-05 → 2026-05-22
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A series of appointments, resignations, and board governance changes across CITIC Securities and its subsidiaries.中信证券及其子公司的一系列任命、辞职和董事会治理变动。
2024-01-05CITIC Securities board appointed Zhang Guoming as Chief Risk Officer, effective from the board meeting date until the end of the current board term.中信证券董事会任命张国明为首席风险官，任期自董事会审议通过之日起至本届董事会届满之日止。
2024-01-08CITIC Securities board appointed Zhang Hao as Chief Financial Officer (CFO), replacing Shi Benliang who concurrently held the role.中信证券董事会任命张皓为财务负责人（CFO），史本良不再兼任该职务。
2024-01-11CITIC Securities Asset Management appointed Luo Hongyan as Deputy General Manager, effective from November 17, 2023.中信证券资管任命骆红艳为副总经理，任职日期自2023年11月17日起。
2024-01-16CITIC Securities Asset Management appointed Wei Bo as fund manager for CITIC Securities Xinyuan One-Year Holding Mixed Fund, replacing Cai Qing who left the role.中信证券资管增聘魏孛为中信证券信远一年持有混合基金经理，蔡青离任。
2024-02-20CITIC Securities Asset Management replaces fund manager Chen Xiaofei with Wang Chongyang for CITIC Securities Wealth Select One-Year Holding Mixed Fund (FOF).中信证券资产管理有限公司陈晓非离任中信证券财富优选一年持有混合（FOF），由汪崇阳接任管理。
2024-04-30CITIC Securities Asset Management announced the departure of fund manager Liu Yao from two products: CITIC Securities Xinyuan One-Year Holding Period and CITIC Securities Wenwen Return.中信证券资产管理有限公司公告，刘峣离任中信证券信远一年持有期混合和中信证券稳健回报两只产品。
2024-05-24CITIC Securities announced that General Manager Yang Minghui resigned due to reaching retirement age; Chairman Zhang Youjun will temporarily assume the GM role until a new appointment.中信证券公告总经理杨明辉因到龄退休辞职，董事长张佑君暂代总经理职责直至新任聘任。
2024-05-28CITIC Securities, as trustee, reported that the financial officer of China Merchants Group (招商局集团) was changed: Wang Xiufeng removed, Wu Po appointed as new CFO.中信证券作为受托管理人报告，招商局集团财务负责人变更：王秀峰被免职，吴泊新任财务负责人。
2024-07-26CITIC Securities senior management member Ye Xinjiang (叶新江) resigns due to reaching retirement age, effective upon board approval on July 26, 2024.中信证券高级管理层成员叶新江因到龄退休辞职，自2024年7月26日董事会审议通过起生效。
2024-08-30CITIC Securities Asset Management Co., Ltd. announced that compliance director and chief risk officer Zhang Guoming retired, replaced by general manager Liu Man as acting compliance director and chief risk officer.中信证券资产管理有限公司合规总监兼首席风险官张国明退休离任，总经理刘曼代任合规总监兼首席风险官。
2024-09-13CITIC Securities executive committee member Ma Yao resigns due to job adjustment, effective Sep 13, 2024; he held 23,000 A-shares and is expected to move to CITIC Group.中信证券执行委员马尧因工作调整辞职，自2024年9月13日起生效；其持有2.3万股A股，预计将赴中信集团任职。
2024-11-06CITIC Securities board appointed Zou Yingguang as general manager, replacing acting GM Zhang Youjun, effective from November 6, 2024 until the end of the 8th board term.中信证券董事会聘任邹迎光为总经理，自2024年11月6日起至第八届董事会届满，张佑君不再代行总经理职责。
2024-11-25CITIC Securities appointed Yu Xiaojun as joint company secretary and authorized representative for legal service acceptance in Hong Kong, effective November 25, 2024, replacing Xia Mingli.中信证券委任余晓君为联席公司秘书及香港法律程序文件授权代表，自2024年11月25日起生效，接替夏明丽。
2024-12-12CITIC Securities board approved the appointment of Zou Yingguang as executive committee member, effective immediately.中信证券董事会审议通过聘任邹迎光为公司执行委员，自即日起生效。
2025-02-19CITIC Securities board appointed Yu Xinli as Chief Information Officer, replacing Fang Xing who remains at the company. Yu joined CITIC in 1999 and was head of the IT Center.中信证券董事会聘任于新利担任首席信息官，方兴不再担任该职务但仍留任。于新利1999年加入公司，曾任信息技术中心行政负责人。
2025-05-09CITIC Securities board approved appointment of party committee member Chen Zhiming as executive member of the management committee, effective from board resolution date.中信证券董事会同意聘任党委委员陈志明为公司经营管理委员会执行委员，自董事会决议之日起生效。
2025-11-24CITIC Securities non-executive director Zhang Lin resigned due to a job transfer, effective upon election of a successor.中信证券非执行董事张麟因工作调动辞职，辞任自股东大会选举产生新任非执行董事之日起生效。
2025-11-25CITIC Securities board approved the nomination of 6 director candidates (including executive director Zhang Changyi) and renewal of related-party framework agreements with controlling shareholder CITIC Group until Dec 31, 2028.中信证券董事会同意增补6名董事候选人（含执行董事张长义），并与控股股东中信集团续签关联框架协议至2028年12月31日。
2026-01-12Non-executive director Wang Shuhui resigned from CITIC Securities due to job change, effective January 12, 2026.非执行董事王恕慧因工作变动辞去中信证券职务，自2026年1月12日起生效。
2026-03-11CITIC Securities board meeting scheduled for March 26 to consider and approve 2025 audited annual results and final dividend proposal.中信证券董事会会议将于3月26日举行，审议2025年度经审计业绩及末期股息建议。
2026-04-10CITIC Securities board approved revisions to the Investor Relations Management System, Annual Report Disclosure Error Accountability System, Internal Information Management Guidelines, and the Management Committee Working Rules.中信证券董事会通过修订《投资者关系管理制度》《年报信息披露重大差错责任追究制度》《内部信息管理工作指引》及《经营管理委员会工作细则》。
2026-05-22CITIC Securities board preliminarily approves amendment to Articles of Association to adjust business scope, following transfer of 21 branches to CITIC Securities South China.中信证券董事会预审通过修订《公司章程》调整经营范围，此前已完成向中信证券华南转让21家分支机构。
Capital & Bond Issuance (Domestic)国内资本与债券发行
32 · 2024-01-10 → 2026-04-28
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Issuance of various domestic bonds (corporate, short-term, perpetual subordinated) and related approvals/ratings.发行各类国内债券（公司债、短期债、永续次级债）及相关批准/评级。
2024-01-10CITIC Securities issued the first tranche of 2024 short-term corporate bonds (up to RMB 5 billion) to professional institutional investors, with a coupon rate of 2.53%.中信证券面向专业机构投资者公开发行2024年第一期短期公司债券，发行规模不超过50亿元，票面利率2.53%。
2024-01-16CITIC Securities delayed the book-building end time for its 2024 first tranche corporate bonds (up to RMB 20 billion) to 19:00 due to market volatility.中信证券因市场波动，将2024年第一期公司债券（面值不超过200亿元）簿记建档结束时间延长至19点。
2024-01-26CITIC Securities issued perpetual subordinated bonds (first tranche 2024, '24 Zhongzheng Y1') of up to RMB 3 billion with a coupon rate of 3.01%.中信证券发行2024年第一期永续次级债券（24中证Y1），规模不超过30亿元，票面利率3.01%。
2024-01-29CITIC Securities submitted an application to the Shanghai Stock Exchange for a public issuance of up to RMB 30 billion in corporate bonds to professional institutional investors; the application was accepted.中信证券向上交所提交面向专业机构投资者公开发行不超过300亿元公司债券的申请，项目状态更新为“已受理”。
2024-02-22CITIC Securities files for 200 billion yuan public corporate bond issuance (tranche 2 up to 3 billion yuan) to repay debt and replenish working capital; status updated to 'accepted'.中信证券面向专业投资者公开发行不超过200亿元公司债券（本期发行不超过30亿元），用于偿还公司债券及补充营运资金，项目状态更新为“已受理”。
2024-02-23CITIC Securities issues up to 3 billion yuan corporate bond '24 Zhongzheng G3' at a coupon rate of 2.75%.中信证券发行不超过30亿元公司债券“24中证G3”，票面利率为2.75%。
2024-03-20CITIC Securities issued the fourth tranche of 2024 corporate bonds to professional investors, with a scale of up to RMB 4.2 billion, 3-year term, rated AAA, proceeds to repay existing corporate bonds.中信证券发行2024年面向专业机构投资者第四期公司债券，规模不超过42亿元，期限3年，评级AAA，募集资金用于偿还公司债券。
2024-04-11CITIC Securities received CSRC approval to publicly issue up to 20 billion yuan in corporate bonds to professional investors, valid for 24 months.中信证券获中国证监会批复，可向专业投资者公开发行不超过200亿元公司债券，批复24个月内有效。
2024-08-02CITIC Securities issued the third tranche of 2024 perpetual subordinated bonds to professional investors, with issue size up to 5 billion yuan and coupon rate of 2.12%, listed on SSE on August 12 as '24 Zhong Zheng Y3' (code 240915).中信证券完成2024年面向专业机构投资者公开发行永续次级债券（第三期），发行规模不超过50亿元，票面利率2.12%，8月12日在上交所上市，简称“24中证Y3”。
2024-10-14CITIC Securities issued a short-term corporate bond (second tranche) to professional investors, rated A-1 by China Chengxin International Credit Rating.中信证券面向专业机构投资者公开发行短期公司债券（第二期），获中诚信国际A-1评级。
2024-10-22CITIC Securities cancelled the issuance of its 2024 subordinated bond (first tranche) for professional investors, originally up to 6 billion yuan, due to lead underwriter Kaiyuan Securities being suspended from bond underwriting by the CSRC.中信证券取消发行2024年面向专业机构投资者公开发行次级债券（第一期），原规模不超过60亿元，因主承销商开源证券被证监会暂停债券承销业务。
2024-11-04CITIC Securities issued subordinated bonds (Tranche 1, Varieties 1 and 2) to professional institutional investors, listed on Shanghai Stock Exchange on November 5, 2024, with short names '24中SC1' and '24中证C2'.中信证券面向专业机构投资者公开发行次级债券（第一期）（品种一和品种二），于2024年11月5日在上交所上市，简称“24中SC1”和“24中证C2”。
2024-11-07CITIC Securities received 'AAA' rating from China Chengxin International for its 2024 subordinated bonds (Tranche 2, Variety 1) to professional institutional investors.中诚信国际给予中信证券2024年面向专业机构投资者公开发行次级债券（第二期）（品种一）“AAA”评级。
2024-12-03CITIC Securities listed its 2024 4th tranche short-term corporate bonds (for professional investors) on Shanghai Stock Exchange on December 4.中信证券2024年面向专业机构投资者公开发行短期公司债券（第四期）于12月4日在上交所上市。
2024-12-25China Chengxin International assigned AAA rating to CITIC Securities' 2024 5th tranche corporate bonds (tranche 2) for professional investors.中诚信国际授予中信证券2024年面向专业机构投资者公开发行公司债券（第五期）（品种二）AAA评级。
2024-12-30CITIC Securities listed its 2024 4th tranche perpetual subordinated bonds (for professional investors) on Shanghai Stock Exchange on December 31.中信证券2024年面向专业机构投资者公开发行永续次级债券（第四期）于12月31日在上交所上市。
2024-12-31CITIC Securities listed its 2024 5th tranche corporate bonds (tranche 1) on Shanghai Stock Exchange on January 2, 2025.中信证券2024年面向专业机构投资者公开发行公司债券（第五期）（品种一）于2025年1月2日在上交所上市。
2025-01-21CITIC Securities issued perpetual subordinated bonds (Phase 1, 2025) to professional institutional investors, listed on the Shanghai Stock Exchange under code '25中证Y1' (242329).中信证券2025年面向专业机构投资者公开发行永续次级债券（第一期）在上交所上市，债券简称“25中证Y1”，代码242329。
2025-03-10CITIC Securities' 2025 first tranche corporate bonds for professional investors (code 242486, short name '25 Zhongzheng G1') were listed on Shanghai Stock Exchange on March 11, 2025.中信证券2025年面向专业机构投资者公开发行公司债券（第一期）（证券代码242486，简称'25中证G1'）于2025年3月11日起在上交所上市。
2025-05-29CITIC Securities' 2025 first tranche corporate bond (public issuance to professional investors, continuation) received an 'AAA' rating from China Chengxin International.中信证券2025年面向专业机构投资者公开发行公司债券(第一期)(续发行)获中诚信国际'AAA'评级。
2025-06-03CITIC Securities received CSRC approval to issue up to 15 billion yuan of科技创新公司债券 (tech innovation corporate bonds) to professional investors, valid for 24 months.中信证券获中国证监会批复，可向专业投资者公开发行不超过150亿元科技创新公司债券，批复24个月内有效。
2025-06-13CITIC Securities received PBOC approval to issue up to 15 billion yuan of科技创新债券 (tech innovation bonds), valid for two years.中信证券获中国人民银行批准，发行不超过150亿元科技创新债券，额度两年内有效。
2025-06-30CITIC Securities received CSRC approval to issue up to 30 billion yuan of永续次级公司债券 (perpetual subordinated corporate bonds) to professional investors, valid for 24 months.中信证券获中国证监会批复，可向专业投资者公开发行不超过300亿元永续次级公司债券，批复24个月内有效。
2025-07-01CITIC SEC receives CSRC approval to publicly issue up to RMB 30 billion perpetual subordinated corporate bonds to professional investors, valid for 24 months.中信证券获中国证监会批准，向专业投资者公开发行不超过300亿元永续次级公司债券，有效期24个月。
2025-08-01Shanghai Stock Exchange approved the listing of CITIC Securities' 2025 first tranche of short-term科技创新 corporate bonds (for professional investors), code '25ZSK1' (243444), starting August 4, 2025, eligible for pledged repo.上交所同意中信证券2025年面向专业机构投资者公开发行科技创新短期公司债券（第一期）‘25中SK1’（243444）于2025年8月4日起上市，可参与质押式回购。
2025-08-08China Chengxin International rated CITIC Securities' 2025 fourth tranche of short-term corporate bonds (for professional investors) as 'A-1'.中诚信国际评定中信证券2025年面向专业机构投资者公开发行短期公司债券(第四期)信用等级为‘A-1’。
2025-08-11Shanghai Stock Exchange approved the listing of CITIC Securities' 2025 second tranche of corporate bonds (for professional investors, tranche 2), code '25ZhongZhengG2' (243508), starting August 12, 2025, eligible for pledged repo.上交所同意中信证券2025年面向专业机构投资者公开发行公司债券（第二期）（品种二）‘25中证G2’（243508）于2025年8月12日起上市，可参与质押式回购。
2025-09-01CITIC SEC filed a 50 billion yuan small public bond issuance plan with the Shanghai Stock Exchange; 21 billion yuan for debt repayment and 29 billion yuan for working capital.中信证券向上交所提交500亿元小公募债发行计划，其中210亿元用于偿还公司债，290亿元用于补充流动资金。
2025-11-11CITIC Securities received CSRC approval to publicly issue short-term corporate bonds to professional investors with an outstanding principal balance not exceeding RMB 50 billion, valid for 24 months.中信证券获中国证监会批复，可向专业投资者公开发行面值余额不超过500亿元的短期公司债券，批复自注册之日起24个月内有效。
2025-11-25Shanghai Stock Exchange approved the listing of CITIC Securities' 2025 short-term corporate bond (7th tranche) for professional investors, with bond code 244267, starting Nov 26, 2025.上交所批准中信证券2025年面向专业机构投资者公开发行的短期公司债券（第七期）上市，证券代码244267，自2025年11月26日起挂牌。
2026-02-26CITIC Securities receives CSRC approval to publicly issue up to RMB 80 billion in corporate bonds to professional investors, valid for 24 months.中信证券获得中国证监会批复，可向专业投资者公开发行不超过800亿元公司债券，批复有效期24个月。
2026-04-28CITIC Securities won the bid as lead underwriter for Sichuan Jiuzhou Investment Holding Group's 2026 non-public perpetual corporate bond, with a bid amount of RMB 1.03 million.中信证券中标四川九洲投资控股集团2026年非公开发行可续期公司债券主承销商项目，中标金额103万元。
Shareholder & Capital Actions股东与资本运作
19 · 2024-01-12 → 2026-06-18
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Major shareholder stake changes, lock-up extensions, share sales, capital reductions, and related-party transactions.主要股东持股变动、锁定期延长、股份出售、资本减少及关联交易。
2024-01-12CITIC Securities' largest shareholder, CITIC Financial Holdings, increased its H-share holdings by approximately 150.215 million shares (1.01% of total issued shares) via centralized竞价 trading from September 4, 2023 to January 11, 2024, raising its total stake from 18.45% to 19.46%.中信证券第一大股东中信金控于2023年9月4日至2024年1月11日期间，通过集中竞价交易方式合计增持约1.5亿股H股股份（占已发行股份的1.01%），持股比例从18.45%增至19.46%。
2024-03-08Shareholder Yuexiu Capital and its subsidiary voluntarily extended the lock-up period for 931,347,773 A-shares of CITIC Securities by 6 months to September 10, 2024.股东越秀资本及子公司自愿延长所持中信证券9.31亿股A股限售期6个月至2024年9月10日。
2024-06-20CITIC Securities extends the validity period of the shareholders' resolution for its GDR issuance and listing on the SIX Swiss Exchange, as the issuance could not be completed within the original timeframe.中信证券延长发行GDR并在瑞士证券交易所上市的股东大会决议有效期，因原有效期内未能完成发行。
2024-09-04CITIC Securities' 931 million restricted shares (6.28% of total shares) from the 2020 asset swap for Guangzhou Securities become tradable on Sep 11, 2024, involving Yuexiu Capital and Guangzhou Yuexiu Capital.中信证券2020年换股收购广州证券形成的9.31亿股限售股（占总股本6.28%）于2024年9月11日上市流通，涉及越秀资本和广州越秀资本。
2024-11-12Yuexiu Capital (000987) announced plans to sell up to 1% of CITIC Securities' total shares via secondary market, having already sold 0.28 billion shares (0.19% of total) as of November 12, 2024.越秀资本（000987）公告拟通过二级市场出售不超过中信证券总股本1%的股份，截至2024年11月12日已累计出售0.28亿股（占总股本0.19%）。
2024-12-19CITIC Securities Investment plans to sell up to 16.78 million shares (1% of total) of China Gold (600916) via centralized竞价 within 3 months.中信证券投资计划在3个月内通过集中竞价减持中国黄金（600916）不超过1678.11万股（占总股本1%）。
2025-03-26CITIC Securities completed a USD 916 million capital increase for CITIC Securities International in 2024, with year-end total assets reaching USD 50.6 billion.中信证券2024年完成对中信证券国际9.16亿美元增资，年末总资产规模达506亿美元。
2025-05-30CITIC Securities Investment Co., Ltd. reduced its registered capital from RMB 17 billion to RMB 13 billion, a decrease of approximately 24%.中信证券投资有限公司注册资本由170亿元减至130亿元，降幅约24%。
2025-06-05CITIC Jinshi Investment, a wholly-owned subsidiary of CITIC Securities, reduced its registered capital from 3 billion yuan to 2.1 billion yuan (30% decrease).中信证券全资子公司中信金石投资有限公司注册资本由30亿元减至21亿元，降幅30%。
2025-06-23CITIC Securities Investment plans to reduce its stake in China Gold (中国黄金) by up to 13.9194 million shares (0.83% of total) via centralized auction from July 16 to October 15, 2025.中信证券投资计划通过集中竞价减持中国黄金不超过1391.94万股（占总股本0.83%），减持期间为2025年7月16日至10月15日。
2025-06-27CITIC Securities Investment plans to reduce its stake in Bona Film Group (博纳影业) by up to 14.4635 million shares (1.0589% of total) via block trade or auction from July 21 to October 20, 2025.中信证券投资计划通过大宗交易或竞价交易减持博纳影业不超过1446.35万股（占总股本1.0589%），减持期间为2025年7月21日至10月20日。
2025-06-28CITIC Securities board approved the transfer of 100% equity of Jinshi Zexin Investment Management Co., Ltd. to the company at no consideration, and adjusted board committee members.中信证券董事会审议通过无偿受让金石泽信投资管理有限公司100%股权，并调整董事会专门委员会成员。
2025-07-17CITIC SEC board approves resolution to waive preemptive rights in the capital increase of Xinjiang Equity Exchange Center Co., Ltd.中信证券董事会审议通过放弃新疆股权交易中心有限公司同比例增资优先认缴权的议案。
2025-10-15CITIC Securities Investment completed reduction of 13.9194 million shares in China Gold (中国黄金), representing 0.83% of total shares, at price range 8.23-9.00 yuan/share, total proceeds approx. 118 million yuan.中信证券投资完成减持中国黄金1391.94万股，占总股本0.83%，减持价格区间8.23-9.00元/股，实际减持金额约1.18亿元。
2026-01-16Yuexiu Capital (second largest shareholder, 8.54% stake) plans to sell up to 1% of CITIC Securities total shares via secondary market, valid until Dec 31, 2026.越秀资本（第二大股东，持股8.54%）拟通过二级市场出售不超过中信证券总股本1%的股份，授权期限至2026年12月31日。
2026-05-28CITIC Securities plans to issue 794 million H-shares to controlling shareholder CITIC Financial Holdings at HKD 23.13 each, raising RMB 16 billion for international business expansion.中信证券拟向控股股东中信金控定向发行7.94亿股H股，发行价23.13港元/股，募资160亿元人民币，全部用于国际化业务发展。
2026-05-28CITIC Securities board approves future three-year (2026-2028) shareholder return plan, with minimum annual dividend of 20% of net profit.中信证券董事会审议通过未来三年（2026-2028年）股东回报规划，每年利润分配规模不低于归母净利润的20%。
2026-06-01CITIC Securities completes 16 billion yuan H-share private placement, boosting international strategy.中信证券160亿元H股定增落地，国际化战略升级。
2026-06-18CITIC Securities postpones dispatch of circular for H-share issuance to CITIC Financial Holdings to no later than July 17, 2026.中信证券延迟向中信金控发行H股的通函寄发日期至不迟于2026年7月17日。
Regulatory & Compliance Actions监管与合规行动
32 · 2024-01-12 → 2026-06-08
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Regulatory warnings, penalties, investigations, and compliance actions from CSRC, stock exchanges, and other bodies.来自证监会、交易所等机构的监管警告、处罚、调查及合规行动。
2024-01-12CSRC issued a warning letter to CITIC Securities for its role as sponsor on Hengyi Petrochemical's convertible bond project, where the issuer recorded a loss and a >50% decline in operating profit in the year of issuance.证监会对中信证券保荐的恒逸石化可转债项目出具警示函，因发行人证券发行上市当年即亏损且营业利润下滑50%以上。
2024-01-19Market rumors that CITIC Securities suspended margin securities lending to some clients after regulatory window guidance; the company denied the rumor, stating business continues normally.市场传闻中信证券在接受监管窗口指导后暂停对部分客户的融券业务并提高机构门槛；公司否认，称业务正常进行。
2024-02-27CITIC Securities issues notice on its APP to comply with CSRC ban on providing margin financing for intraday round-trip trading (de facto T+0) via securities lending.中信证券在其APP发布提示，落实证监会严禁向利用融券实施日内回转交易（变相T+0交易）的投资者提供融券的要求。
2024-03-01A wholly-owned subsidiary of CITIC Securities, Nanjing Zhaoshang Qisheng Real Estate, was warned and fined approximately RMB 221,000 for exceeding electricity pricing authority.中信证券全资下属企业南京招商启盛房地产有限公司因超越电价管理权限制定电价被警告并罚款约22.1万元。
2024-03-15CITIC Securities was issued a warning letter by Shenzhen Securities Regulatory Bureau for inadequate reliability management of information systems and insufficient infrastructure in its data center, related to a June 2023 cybersecurity incident.中信证券因2023年6月网络安全事件中存在机房基础设施建设安全性不足、信息系统设备可靠性管理疏漏等问题，被深圳证监局出具警示函。
2024-03-22Shenzhen Stock Exchange initiated an on-site supervision of CITIC Securities as the sponsor for Liangang Optoelectronics' IPO, citing insufficient responses to three rounds of inquiries.深交所对联纲光电保荐人中信证券启动现场督导，因其对三轮审核问询的回复不够充分。
2024-04-12CITIC Securities and its wholly-owned subsidiary CITIC Zhongzheng Capital were placed under investigation by the CSRC for suspected illegal activities in the transfer of Zhonghe Taibai's 2023 private placement shares.中信证券及全资孙公司中信中证资本因在相关主体违反限制性规定转让中核钛白2023年非公开发行股票过程中涉嫌违法违规，被中国证监会立案调查。
2024-04-19CITIC Securities received a CSRC advance notice of administrative penalty for assisting in illegal share transfer in the Zhonghe Taibai case; it will be fined 23.25 million yuan and disgorged 1.91 million yuan in illegal gains.中信证券收到中国证监会《行政处罚事先告知书》，因在中核钛白案中协助违规转让股票，拟被没收违法所得191.07万元并处罚款2325万元。
2024-04-30CITIC Securities received the final CSRC administrative penalty decision for the Zhonghe Taibai case: disgorgement of 1.91 million yuan in illegal gains and a fine of 23.25 million yuan.中信证券收到中国证监会《行政处罚决定书》，因中核钛白案被没收违法所得191.07万元并处罚款2325万元。
2024-05-05CITIC Securities received an Administrative Penalty Decision from the CSRC for assisting clients in fixed-placement arbitrage involving Zhonghe Taibai (中核钛白) shares, including illegal securities lending and short selling.中信证券因协助客户进行中核钛白定增套利（包括非法融券卖空）收到中国证监会《行政处罚决定书》。
2024-05-10Guangdong CSRC issued a warning letter to CITIC Securities and its sponsor representatives Ling Peng and Pu Ruihang for inadequate due diligence in the continuous supervision of Guangdong Quanwei Technology (泉为科技) IPO, including insufficient verification of paraxylene trade authenticity and related-party relationships.广东证监局对中信证券及保荐代表人凌鹏、浦瑞航出具警示函，因在广东泉为科技IPO持续督导中尽职调查不足，包括对二甲苯贸易真实性和关联关系核查不充分。
2024-05-28Shanghai Stock Exchange issued a regulatory letter requiring CITIC Securities to fulfill its continuous supervision responsibilities for Guandian Defense (观典防务), which had a qualified audit opinion and negative internal control opinion for 2023.上交所对中信证券发出监管工作函，要求切实履行对观典防务的持续督导责任，该公司2023年年报被出具保留意见和内控否定意见。
2024-08-09Shenzhen Stock Exchange issued a regulatory letter to CITIC Securities sponsor representatives Xie Bowei and Zhang Qiang for inadequate verification of major client Erecton in the Bonate Precision IPO project.深交所对中信证券保荐代表人谢博维、张强出具监管函，因在博纳精密IPO项目中对主要客户Erecton核查程序执行不到位。
2024-08-12Guizhou CSRC issued warning letters to CITIC Securities and its sponsor representatives Chen Jianjian and Zhao Qian for the Ande Technology (An Da Ke Ji) IPO project, where the company posted a net loss of 634 million yuan in the year of listing (2023).贵州证监局对中信证券及保荐代表人陈健健、赵倩出具警示函，因其保荐的安达科技在上市当年（2023年）即亏损6.34亿元。
2024-08-12Zhejiang CSRC issued a warning letter to CITIC Securities Zhejiang Branch for employees repeatedly providing answers to account-opening knowledge assessments and risk-rating tests to clients.浙江证监局对中信证券浙江分公司出具警示函，因其部分员工屡次向客户提供开户知识测评或风险测评答案。
2024-08-26Beijing Stock Exchange issued self-regulatory warning letters to CITIC Securities and sponsor representatives Chen Jianjian and Zhao Qian for Ande Technology's loss in the year of listing (2023 net loss of ~634 million yuan).北交所对中信证券及保荐代表人陈健健、赵倩出具警示函，因安达科技上市当年（2023年）亏损约6.34亿元。
2024-11-08Shenzhen Stock Exchange issued a regulatory letter to CITIC Securities for failing to adequately verify the actual controller identification and control stability in the Haojida IPO project, and imposed a 6-month ban on two sponsor representatives from signing issuance documents.深交所对中信证券出具监管函，因其在皓吉达IPO项目中未充分核查实际控制人认定和控制权稳定性，并对两名保荐代表人给予六个月不接受其签字文件的纪律处分。
2024-12-02Jiangsu CSRC issued a warning letter to CITIC Securities Jiangsu Branch for compliance failures, including failure to enforce real-name account management and employee misconduct at Zhenjiang and Xuzhou branches.江苏证监局对中信证券江苏分公司出具警示函，因其合规管理不到位，包括未执行账户实名制管理及镇江、徐州营业部员工违规行为。
2024-12-02Jiangsu CSRC issued a warning letter to employee Xu Juan at CITIC Securities Zhenjiang Branch for promising illegal benefits to clients and failing to report account实名制 violations.江苏证监局对中信证券镇江分公司员工徐娟出具警示函，因其向客户承诺违规事项且未报告账户实名制违规。
2024-12-20Shenzhen CSRC issued a warning letter to CITIC Securities for deficiencies in brokerage and OTC derivatives businesses, including account registration and counterparty due diligence.深圳证监局对中信证券出具警示函，因其经纪业务和场外衍生品业务存在客户开户信息采集不规范、交易对手核查不深入等问题。
2025-05-14Shanghai Stock Exchange issued a regulatory warning to CITIC Securities and four sponsor representatives (Li Ning, Wu Peng, Huang Yibin, Li Wanlu) for failing to report that the firm was ineligible for the refinancing classification review mechanism due to a prior disciplinary action.上交所对中信证券及四名保荐代表人（李宁、吴鹏、黄艺彬、李婉璐）予以监管警示，因其未及时报告公司因受纪律处分不得适用再融资分类审核机制。
2025-05-30Former CITIC Securities senior manager Li Haipeng fined and confiscated RMB 4.26 million by Anhui CSRC for using non-public information to trade 128 stocks, with convergent trading of RMB 29 million with a fund account.时任中信证券信息技术中心高级经理李海鹏因利用未公开信息违规交易128只股票，趋同交易2900万元，被安徽证监局罚没426万元。
2025-06-01CITIC Securities IT senior manager used CRM system to access client account info and followed Gao Yi Asset's DENG Xiaofeng's positions for trading, earning illegal gains of 2.13 million yuan; fined and confiscated 2.13 million yuan by Anhui CSRC.中信证券信息技术中心高级经理利用CRM系统获取客户账户信息，跟随高毅资产邓晓峰持仓交易，违法所得213.14万元，被安徽证监局没收并罚款213.14万元。
2025-06-06Shenzhen Stock Exchange issued a regulatory letter to CITIC Securities and criticized two sponsors for three violations in the IPO of辉芒微电子 (HuiMang Microelectronics), including inadequate verification of distributor revenue internal controls.深交所对中信证券及两名保荐代表人出具监管函，因在辉芒微电子IPO项目中存在未充分核查经销收入内部控制等三项违规行为。
2025-06-29Zhejiang CSRC fined CITIC Securities Shaoxing branch investment consultant WU Xuechang for providing test answers, returning performance bonuses, and giving illegal investment advice; branch also penalized for internal control failures.浙江证监局对中信证券绍兴分公司投资顾问吴雪嫦违规行为开出罚单，因其提供测试答案、返还业绩奖励及违规提供投资建议，分公司因内控不力被追责。
2025-07-11CITIC SEC receives regulatory sanctions: Shenzhen Stock Exchange issues supervision letter and two sponsor representatives (Chen Yuda, Wang Bin) receive criticism for inadequate verification of distributor revenue internal controls.中信证券因未充分核查发行人经销收入内部控制有效性，被深交所出具监管函，保荐代表人陈禹达、王彬被通报批评。
2025-11-21Chen Jun, former head of CITIC Securities' investment banking business and executive committee member, was reportedly taken away for investigation by authorities, with several subordinates also implicated.中信证券原投行业务负责人、执行委员会委员陈军被有关部门带走调查，多名下属被牵涉。
2025-12-04CITIC Securities' subsidiary CITIC Securities South China (formerly Guangzhou Securities) was named as one of 37 defendants in a securities misrepresentation lawsuit involving Dongxu Optoelectronics. The Hebei High Court ruled to apply ordinary representative litigation. 11 plaintiffs claim 1.8282 million yuan in damages. CITIC said potential losses were fully considered in the 2020 acquisition of Guangzhou Securities and will not materially impact profits.中信证券子公司中信证券华南（原广州证券）因东旭光电证券虚假陈述责任纠纷被列为37名被告之一，河北高院裁定适用普通代表人诉讼程序，11名原告索赔182.82万元。中信证券称潜在损失已在2020年收购广州证券时充分考虑，对利润无重大影响。
2026-01-09CITIC Securities was publicly named by Shenzhen Stock Exchange for failing to verify fund occupation issues in Sichuang Yihui's IPO sponsorship, issuing untrue commitment letters.中信证券因在思创医惠IPO保荐中未核查资金占用问题、出具不真实承诺函，被深交所点名。
2026-03-10CITIC Securities Hong Kong subsidiary raided by SFC and ICAC; one employee questioned; documents seized.中信证券香港子公司遭香港证监会及廉政公署搜查，带走部分文件，一名员工被问话。
2026-04-17CITIC Securities employee Han Wei at Hangzhou Qingchun East Road sales office issued a warning letter by Zhejiang CSRC for weak compliance awareness.中信证券杭州庆春东路营业部员工韩炜因合规意识不强被浙江证监局出具警示函。
2026-06-08CITIC Securities issues warning about fraudulent activities using its logo and employee info to impersonate the firm.中信证券发布声明，警示有不法分子利用其商标和员工信息冒充公司实施诈骗。
Market Making & Liquidity Services做市与流动性服务
34 · 2024-01-19 → 2026-06-01
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Being selected or approved as a market maker or liquidity provider for various ETFs, bonds, and other securities.被选为或批准为各类ETF、债券及其他证券的做市商或流动性提供者。
2024-01-19CITIC Securities was awarded '2023 Annual Excellent Market Maker' by the Beijing Stock Exchange for its market-making services on 39 stocks.中信证券荣获北京证券交易所2023“年度优秀做市商”，为39只股票提供做市服务。
2024-02-05CITIC Securities selected as liquidity provider for ChinaAMC CSI Low Volatility Dividend ETF (159547) starting Feb 6.中信证券自2月6日起被选为华夏中证红利低波动ETF（159547）的流动性服务商。
2024-02-22CITIC Securities selected as liquidity provider for ChinaAMC ChiNext Composite ETF (159563) starting Feb 23.中信证券自2月23日起被选为华夏创业板综合ETF（159563）的流动性服务商。
2024-05-14Shanghai Stock Exchange approved CITIC Securities as the primary market maker for the Huaxia CSI Auto Parts ETF (562700), effective from May 14, 2024.上交所同意中信证券自2024年5月14日起为华夏中证汽车零部件ETF（562700）提供主做市服务。
2024-05-24CITIC Securities served as the liquidity service provider for Tianhong ChiNext ETF (159977), selected by Tianhong Fund Management, effective May 24, 2024.天弘基金选定中信证券自2024年5月24日起为天弘创业板ETF（159977）的流动性服务商。
2024-07-10CITIC Securities becomes a market maker for GF CSI China State-Owned Enterprises HK Connect Dividend ETF (520900) on the Shanghai Stock Exchange.中信证券为广发中证国新港股通央企红利ETF（520900）提供上交所做市服务。
2024-07-31CITIC Securities is added as a liquidity service provider for the Guotai CSI HK Dividend High-Yield Investment ETF (159331) on the Shenzhen Stock Exchange, effective August 1, 2024.中信证券自2024年8月1日起新增为国泰中证港股通高股息投资ETF（159331）的深交所流动性服务商。
2024-08-12CITIC Securities became a redemption agency for Boshi Gold ETF (159937) spot physical contract subscription and redemption.中信证券自2024年8月12日起成为博时黄金ETF（159937）现货实盘合约申购赎回业务办理机构。
2024-10-09Shanghai Stock Exchange agreed CITIC Securities to act as a market maker for the Vanguard CSI All-Share Utilities ETF from 2024-10-09.上交所同意中信证券自2024年10月9日起为万家中证全指公用事业ETF提供做市服务。
2024-12-26Shanghai Stock Exchange approved CITIC Securities as a main market maker for three ETFs: CCB Sci-Tech Innovation Chip, CSI Sci-Tech Innovation Chip Design, and Huatai-PineBridge Sci-Tech Innovation 200.上交所同意中信证券为汇添富上证科创板芯片ETF、国联安上证科创板芯片设计主题ETF、华泰柏瑞上证科创板200ETF提供主做市服务。
2024-12-27Shanghai Stock Exchange approved CITIC Securities as a main market maker for Huatai-PineBridge Hang Seng Innovation Drug ETF (QDII) from December 27.上交所同意中信证券自12月27日起为华泰柏瑞恒生创新药ETF（QDII）提供主做市服务。
2025-01-22CITIC Securities began acting as the primary market maker for the Southern SSE Benchmark Corporate Bond ETF (511070) on the Shanghai Stock Exchange.中信证券自2025年1月22日起为南方上证基准做市公司债ETF（511070）提供主做市服务。
2025-01-23CITIC Securities began acting as the primary market maker for the GF SSE STAR AI ETF (588760) on the Shanghai Stock Exchange.中信证券为广发上证科创板人工智能ETF（588760）提供主做市服务。
2025-01-24CITIC Securities began acting as the primary market maker for the China Merchants Hang Seng High Dividend Low Vol ETF (520550) on the Shanghai Stock Exchange.中信证券为招商恒生港股通高股息低波动ETF（520550）提供主做市服务。
2025-03-03Shanghai Stock Exchange agreed CITIC Securities to act as the main market maker for Penghua SSE STAR 200 ETF (588240) from March 3, 2025.上交所同意中信证券自2025年3月3日起为鹏华上证科创板200ETF（588240）提供主做市服务。
2025-03-19Shanghai Stock Exchange agreed CITIC Securities to act as the main market maker for China Southern CSI All Securities ETF (512900) from March 19, 2025.上交所同意中信证券自2025年3月19日起为南方中证全指证券公司ETF（512900）提供主做市服务。
2025-04-07Shanghai Stock Exchange approved CITIC Securities to act as the primary market maker for Guotai SSE STAR Chip ETF (589100) starting April 7, 2025.上交所同意中信证券自2025年4月7日起为国泰上证科创板芯片ETF（589100）提供主做市服务。
2025-04-14Shanghai Stock Exchange approved CITIC Securities to act as the primary market maker for China Merchants CSI A50 ETF (512250) starting April 14, 2025.上交所同意中信证券自2025年4月14日起为招商中证A50 ETF（512250）提供主做市服务。
2025-04-24Shanghai Stock Exchange approved CITIC Securities to act as the primary market maker for Fullgoal CSI 800 Free Cash Flow ETF (563990) starting April 24, 2025.上交所同意中信证券自2025年4月24日起为富国中证800自由现金流ETF（563990）提供主做市服务。
2025-04-30Shanghai Stock Exchange approved CITIC Securities to act as the primary market maker for Huatai-PineBridge SSE 180 ETF (530300) starting April 30, 2025.上交所同意中信证券自2025年4月30日起为华泰柏瑞上证180 ETF（530300）提供主做市服务。
2025-08-06CITIC Securities provided general market-making services for the Tianhong CSI Shanghai-Hong Kong-Shenzhen Cloud Computing ETF (517390) on the Shanghai Stock Exchange starting August 6, 2025.中信证券自2025年8月6日起为天弘中证沪港深云计算产业ETF（517390）提供一般做市服务。
2025-08-08CITIC Securities provided general market-making services for the E Fund Hang Seng ETF (QDII) (513210) on the Shanghai Stock Exchange starting August 8, 2025.中信证券自2025年8月8日起为易方达恒生ETF（QDII）（513210）提供一般做市服务。
2025-08-14CITIC Securities provided primary liquidity services for the China AMC CSI Hong Kong Stock Connect Healthcare Thematic ETF (520510) on the Shanghai Stock Exchange starting August 14, 2025.中信证券自2025年8月14日起为华夏中证港股通医疗主题ETF（520510）提供主流动性服务。
2025-08-29CITIC Securities provided general market-making services for the China Merchants MSCI China A International ETF (515160) on the Shanghai Stock Exchange starting August 29, 2025.中信证券自2025年8月29日起为招商MSCI中国A股国际通ETF（515160）提供一般做市服务。
2025-09-01CITIC SEC became the primary market maker for Huabao CSI Subdivision Food & Beverage Industry ETF (515710) on the Shanghai Stock Exchange from Sep 1, 2025.中信证券自2025年9月1日起成为华宝中证细分食品饮料产业主题ETF（515710）的主做市商。
2025-09-09CITIC SEC became a general market maker for Ping An CSI A500 Low Volatility Dividend ETF (561680) on the Shanghai Stock Exchange from Sep 9, 2025.中信证券自2025年9月9日起成为平安中证A500红利低波动ETF（561680）的一般做市商。
2026-01-22Shanghai Stock Exchange approved CITIC Securities as principal market maker for Tianhong SSE STAR Chip Design ETF (Code: 589070) from January 23, 2026.上交所同意中信证券自2026年1月23日起为天弘上证科创板芯片设计ETF（代码589070）提供主做市服务。
2026-01-22CITIC Securities began market-making for Huafeng Test & Control (688200) on the STAR Market from January 23, 2026.中信证券自2026年1月23日起对科创板股票华峰测控（688200）开展做市交易业务。
2026-01-27Shanghai Stock Exchange approved CITIC Securities as principal market maker for China Merchants SSE Composite Enhanced Strategy ETF (Code: 563930) from January 28, 2026.上交所同意中信证券自2026年1月28日起为招商上证综合增强策略ETF（代码563930）提供主做市服务。
2026-02-27Shanghai Stock Exchange approves CITIC Securities as primary market maker for Boshi CSI Photovoltaic Industry ETF (560310) from March 2, 2026.上交所同意中信证券自2026年3月2日起为博时中证光伏产业ETF（560310）提供主做市服务。
2026-03-04Shanghai Stock Exchange approved CITIC Securities as principal market maker for 'Ganggu Shengwu' (HK Biotech, 520760) from March 5.上交所同意中信证券自3月5日起为“港股生物”（520760）提供主做市服务。
2026-03-09Shanghai Stock Exchange approved CITIC Securities as principal market maker for 'Dianwang E' (Grid Equipment, 560390) from March 10.上交所同意中信证券自3月10日起为“电网E”（560390）提供主做市服务。
2026-03-25Shanghai Stock Exchange approved CITIC Securities as principal market maker for 'Ganggu Tongche' (HK Auto, 520680) from March 26.上交所同意中信证券自3月26日起为“港股通车”（520680）提供主做市服务。
2026-06-01CITIC Securities becomes main market maker for Huaxia CSI HK-High-Tech ETF (526000) from June 2.中信证券自2026年6月2日起为华夏中证港股通信息技术ETF（526000）提供主做市服务。
Financial Results & Dividends财务业绩与分红
32 · 2024-01-23 → 2026-06-03
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Quarterly, semi-annual, and annual financial results, dividend proposals, and related announcements.季度、半年度和年度财务业绩、分红提案及相关公告。
2024-01-23CITIC Securities released 2023 preliminary results: revenue of RMB 60.047 billion (-7.77% YoY), net profit attributable to parent of RMB 19.686 billion (-7.65% YoY), basic EPS of RMB 1.29.中信证券发布2023年业绩快报：营业收入600.47亿元（同比-7.77%），归母净利润196.86亿元（同比-7.65%），基本每股收益1.29元。
2024-03-26CITIC Securities released 2023 annual report: revenue RMB 60.068 billion (-7.74% YoY), net profit RMB 19.721 billion (-7.49% YoY), proposed cash dividend of RMB 4.75 per 10 shares, total dividend of RMB 7.039 billion.中信证券发布2023年年报：营业收入600.68亿元（同比-7.74%），净利润197.21亿元（同比-7.49%），拟每10股派发现金红利4.75元，合计分红70.39亿元。
2024-04-01CITIC Securities 2023 annual report: net profit 19.721 billion yuan, down 7.49% YoY; A-share IPO underwriting scale down 66.61% YoY; overseas equity project underwriting scale down 25.22% YoY; client assets 10 trillion yuan level, up 4% YoY.中信证券2023年年报：归母净利润197.21亿元，同比下降7.49%；A股IPO主承销规模同比下降66.61%；境外股权项目承销规模同比下降25.22%；客户资产保持10万亿级，同比增长4%。
2024-04-26CITIC Securities Q1 2024 results: revenue 13.755 billion yuan, down 10.38% YoY; net profit 4.959 billion yuan, down 8.47% YoY; total assets exceeded 1.5 trillion yuan.中信证券2024年一季度业绩：营业收入137.55亿元，同比下降10.38%；归母净利润49.59亿元，同比下降8.47%；总资产突破1.5万亿元。
2024-06-03CITIC Securities board approves 2024 interim cash dividend plan, with total payout not exceeding 40% of attributable net profit for the period.中信证券董事会批准2024年中期现金分红预案，分红总额不超过当期归母净利润的40%。
2024-06-28CITIC Securities 2023 annual general meeting approves the 2024 interim profit distribution plan, with cash dividend not exceeding 40% of attributable net profit for the first half of 2024.中信证券2023年度股东大会通过2024年度中期利润分配议案，现金分红总额不超过2024年上半年归母净利润的40%。
2024-08-15CITIC Securities implemented 2023 annual A-share cash dividend of 0.475 yuan per share (total ~5.795 billion yuan for A-shares), with record date August 23 and ex-dividend date August 26.中信证券实施2023年度A股权益分派，每股派发现金红利0.475元（含税），A股合计派发约57.95亿元，股权登记日8月23日，除权除息日8月26日。
2024-08-28CITIC Securities reported H1 2024 revenue of 30.183 billion yuan, down 4.18% YoY; net profit of 10.57 billion yuan, down 6.51% YoY; proposed interim dividend of 2.40 yuan per 10 shares (total ~3.557 billion yuan).中信证券披露2024年半年报，上半年营业收入301.83亿元，同比下降4.18%；净利润105.7亿元，同比下降6.51%；拟每10股派发现金红利2.40元（合计约35.57亿元）。
2024-09-30CITIC Securities proposes 2024 interim cash dividend of RMB 2.40 per 10 shares (total RMB 3.557 billion), representing 34.89% of 1H2024 net profit attributable to ordinary shareholders.中信证券拟实施2024年中期现金分红，每10股派发人民币2.40元（含税），合计派发35.57亿元，占2024年上半年归母净利润的34.89%。
2024-10-29CITIC Securities reported Q3 2024 net profit of 6.229 billion yuan, up 21.94% YoY; revenue of 15.958 billion yuan, up 11.54% YoY.中信证券2024年第三季度净利润62.29亿元，同比增长21.94%；营业收入159.58亿元，同比增长11.54%。
2024-10-29CITIC Securities reported 9M 2024 net profit of 16.799 billion yuan, up 2.35% YoY; revenue of 46.142 billion yuan, up 0.73% YoY.中信证券2024年前三季度净利润167.99亿元，同比增长2.35%；营业收入461.42亿元，同比增长0.73%。
2025-01-17CITIC Securities released 2024 preliminary results: revenue RMB 63.789 billion (+6.19% YoY), net profit attributable to parent RMB 21.704 billion (+10.06% YoY), basic EPS RMB 1.41.中信证券发布2024年度业绩快报：营业收入637.89亿元（同比增长6.19%），归母净利润217.04亿元（同比增长10.06%），基本每股收益1.41元。
2025-03-19CITIC Securities announced it will hold its 2024 annual results conference via webcast on March 27, 2025, from 09:00 to 10:00.中信证券公告将于2025年3月27日9:00-10:00通过网络直播方式召开2024年度业绩发布会。
2025-03-26CITIC Securities reported 2024 annual results: revenue RMB 63.789 billion (+6.20% YoY), net profit RMB 21.704 billion (+10.06% YoY), total assets RMB 1.711 trillion (+17.71% YoY).中信证券发布2024年年报：营业收入637.89亿元（同比+6.20%），净利润217.04亿元（同比+10.06%），总资产1.71万亿元（同比+17.71%）。
2025-03-26CITIC Securities proposed a final dividend of RMB 2.80 per 10 shares, bringing total 2024 cash dividend to RMB 7.707 billion (RMB 5.20 per 10 shares), payout ratio 36.88%.中信证券拟每10股派发现金红利2.80元，2024年全年现金分红总额77.07亿元（每10股5.20元），分红比例36.88%。
2025-04-08CITIC Securities issued a positive profit alert for Q1 2025, expecting net profit attributable to parent of approximately RMB 6.545 billion, up about 32% YoY, driven by wealth management and investment trading income.中信证券发布2025年第一季度业绩预增提示性公告，预计归母净利润约65.45亿元，同比增长约32%，主要因财富管理和投资交易业务收入增加。
2025-04-08CITIC Securities published its 2024 annual report: revenue RMB 63.789 billion (+6.20% YoY), net profit attributable to parent RMB 21.704 billion (+10.06% YoY). Total compensation for directors, supervisors and senior management fell 69.61% to RMB 28.7573 million.中信证券发布2024年年报：营业收入637.89亿元（同比+6.20%），归母净利润217.04亿元（同比+10.06%）。董监高薪酬总额下降69.61%至2875.73万元。
2025-04-29CITIC Securities reported Q1 2025 results: revenue RMB 17.761 billion (+29.13% YoY), net profit attributable to parent RMB 6.545 billion (+32% YoY), EPS RMB 0.42.中信证券发布2025年第一季度报告：营业收入177.61亿元（同比+29.13%），归母净利润65.45亿元（同比+32%），基本每股收益0.42元。
2025-05-06CITIC Securities Q1 2025 revenue/net profit attributable to parent of 17.76/6.545 billion yuan, +29.1%/+32.0% YoY, in line with guidance; investment income drove earnings growth.中信证券2025年第一季度营收/归母净利润177.6/65.5亿元，同比+29.1%/+32.0%，与业绩预告一致；投资改善驱动盈利增长。
2025-08-28CITIC Securities reported H1 2025 revenue of RMB 33.039 billion (up 20.44% YoY) and net profit attributable to shareholders of RMB 13.719 billion (up 29.80% YoY), a record high for an interim period.中信证券发布2025年半年度报告，营业收入330.39亿元（同比增长20.44%），归母净利润137.19亿元（同比增长29.80%），创历史中期最好水平。
2025-08-28CITIC Securities proposed an interim dividend of RMB 2.9 per 10 shares (tax included), totaling approximately RMB 4.298 billion, representing 32.53% of H1 2025 net profit.中信证券拟每10股派发现金红利2.9元（含税），合计派发约42.98亿元，占2025年中期归母净利润的32.53%。
2025-09-01CITIC SEC released 2025 half-year report: net profit attributable to parent reached 13.72 billion yuan, up 29.8% YoY; total assets 1,807.73 billion yuan, up 20.9% YoY.中信证券发布2025年半年报：归母净利润137.2亿元，同比增长29.8%；总资产18077.3亿元，同比增长20.9%。
2025-10-24CITIC Securities Q3 2025 revenue 22.775 billion yuan, +55.71% YoY; net profit 9.44 billion yuan, +51.54% YoY. 9M revenue 55.815 billion yuan, +32.70%; net profit 23.159 billion yuan, +37.86%.中信证券2025年第三季度营收227.75亿元，同比增长55.71%；净利润94.4亿元，同比增长51.54%。前三季度营收558.15亿元，同比增长32.70%；净利润231.59亿元，同比增长37.86%。
2026-01-14CITIC Securities 2025 annual results: revenue RMB 74.83 billion (+28.75% YoY), net profit RMB 30.051 billion (+38.46% YoY); total assets RMB 2.08 trillion (+21.79% YoY).中信证券2025年度业绩快报：营业收入748.3亿元（同比+28.75%），净利润300.51亿元（同比+38.46%）；总资产2.08万亿元（同比+21.79%）。
2026-03-26CITIC Securities 2025 annual results: revenue RMB 74.854bn (+28.79% YoY), net profit RMB 30.076bn (+38.58% YoY); proposed final dividend RMB 0.41 per share (full-year RMB 0.70 per share).中信证券2025年年报：营业收入748.54亿元（同比+28.79%），净利润300.76亿元（同比+38.58%）；拟每股派发现金红利0.41元（全年合计0.70元）。
2026-03-26CITIC Securities 2025 annual results: total assets exceeded RMB 2 trillion for the first time; ROE 10.58%; cumulative cash dividends over RMB 93bn since A-share listing.中信证券2025年总资产首次突破2万亿元；ROE达10.58%；A股上市以来累计分红超930亿元。
2026-03-27CITIC Securities 2025 annual report: full-year full-year cash dividend total RMB 10.374bn, highest since listing; payout ratio ~36%.中信证券2025年全年现金分红总额103.74亿元，创上市以来最高；派息率约36%。
2026-04-09CITIC Securities Q1 2026 results: revenue RMB 23.155 billion (+40.91% YoY), net profit RMB 10.216 billion (+54.60% YoY).中信证券2026年第一季度业绩：营业收入231.55亿元（同比增长40.91%），净利润102.16亿元（同比增长54.60%）。
2026-04-27CITIC Securities 2025 annual report: revenue RMB 74.854 billion (+17.35% YoY), net profit RMB 30.076 billion (+38.58% YoY), EPS RMB 1.96.中信证券2025年年报：营业收入748.54亿元（同比增长17.35%），净利润300.76亿元（同比增长38.58%），每股收益1.96元。
2026-05-06CITIC Securities 2025 annual cash dividend totals 10.374 billion yuan, a record high, up nearly 35% YoY.中信证券2025年度现金红利总额达103.74亿元，创历史新高，同比增长近35%。
2026-05-15CITIC Securities 2026 second EGM approves 2025 annual report and profit distribution plan: 4.10 yuan per 10 shares, total cash dividend ~6.076 billion yuan.中信证券2026年第二次临时股东会审议通过2025年年报及利润分配方案：每10股派4.10元，合计派发现金红利约60.76亿元。
2026-06-03CITIC Securities announces 2025 annual dividend: 0.41 yuan per share (A-share), total 6.08 billion yuan; full-year dividend 0.70 yuan per share, total 10.37 billion yuan.中信证券公布2025年度分红：A股每股派发现金红利0.41元（含税），合计派发60.76亿元；全年每股0.70元，合计103.74亿元。
Strategic Partnerships & Client Engagements战略合作与客户接洽
7 · 2024-01-23 → 2026-02-28
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Signing comprehensive cooperation agreements, strategic MOUs, and high-level meetings with key clients and government entities.与关键客户和政府实体签署全面合作协议、战略备忘录及高层会晤。
2024-01-23CITIC Securities, as plan manager, entered into an asset-backed securities subscription agreement with Shenzhen China Merchants (subsidiary of China Merchants Properties), under which Shenzhen China Merchants subscribed for RMB 137 million of subordinated Class B ABS, representing 100% of that tranche and about 16.96% of the total issuance.中信证券作为计划管理人与招商局置地间接全资附属公司深圳招商局订立资产支持证券认购协议，深圳招商局认购1.37亿元次级B类资产支持证券，占该档100%及总发行约16.96%。
2024-06-05CITIC Securities and CITIC Bank Shanghai Branch sign comprehensive cooperation agreement with Hozon New Energy Auto (Neta Auto) covering supply chain financing, investment, and international settlement.中信证券、中信银行上海分行与合众新能源汽车（哪吒汽车）签署全面合作协议，涵盖供应链融资、投资理财、国际结算等。
2024-07-31CITIC Securities Chairman Zhang Youjun meets with Moutai Group Chairman Zhang Deqin in Maotai to discuss deepening cooperation amid market changes.中信证券董事长张佑君与茅台集团董事长张德芹在茅台座谈，就进一步深化合作进行沟通交流。
2024-08-01CITIC Securities Chairman Zhang Youjun met with Guizhou Governor Li Bingjun, agreeing to deepen cooperation in capital market cultivation, key industry development, and enterprise 'going global'.中信证券董事长张佑君会见贵州省省长李炳军，双方同意在资本市场培育、重点产业发展、推动企业“走出去”等方面深化合作。
2024-08-19CITIC Securities held discussions with Fujian Light Industry (Fujian Qingfang) on产融合作 (industry-finance cooperation), including capital management, project exchange, and information sharing, aiming to cultivate more listed companies.福建轻纺与中信证券座谈交流，双方就资本管理、项目交流、信息共享等产融合作深入探讨，争取培育更多上市公司。
2025-08-29CITIC Securities signed a comprehensive strategic cooperation agreement with the Shanghai Gold Exchange (SGE) in Beijing to deepen trading business collaboration and explore cross-border business.中信证券与上海黄金交易所在北京签署全面战略合作协议，深化交易业务协同，推动跨境业务合作。
2026-02-28CITIC Securities Chairman Zhang Youjun visits Moutai Group to discuss deepening cooperation, with CITIC offering financial services to support Moutai's diversified investment.中信证券董事长张佑君到访茅台集团，双方就深化合作进行交流，中信证券将为茅台提供多元化投资金融服务。
Analyst Ratings & Research分析师评级与研究
3 · 2024-01-24 → 2026-04-22
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Issuance of research reports, rating changes, and initiation of coverage on specific companies.发布研究报告、评级变更及对特定公司启动覆盖。
2024-01-24CITIC Securities issued a research report upgrading FAW Jiefang to 'Buy' from 'Accumulate' with a target price of RMB 9.6.中信证券发布研报，将一汽解放评级从“增持”上调至“买入”，目标价9.6元。
2024-04-01CITIC Securities downgraded Sunac Services rating to hold.中信证券将融创服务评级下调至持有。
2026-04-22CITIC Securities initiated coverage on 51World (五一视界, 6651.HK) with a 'Buy' rating and target price of HKD 68, citing its role as a digital twin and physical AI infrastructure provider.中信证券首次覆盖五一视界（6651.HK），给予“增持”评级，目标价68港元，看好其数字孪生与物理AI基础设施价值。
IPO Sponsorship (A-Share & BSE)A股与北交所IPO保荐
74 · 2024-01-29 → 2026-06-08
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Sponsorship of IPOs on the Shanghai, Shenzhen, and Beijing stock exchanges, including filings, approvals, and withdrawals.在上海、深圳和北京证券交易所的IPO保荐，包括申报、批准和撤回。
2024-01-29CITIC Securities submitted a prospectus to the Hong Kong Stock Exchange as the sole sponsor for the IPO of Zhejiang TYK Pharmaceuticals.中信证券作为独家保荐人，向港交所提交浙江同源康医药股份有限公司上市申请。
2024-01-29CITIC Securities signed an IPO辅导 agreement with Tiandi No.1 Beverage for a Shenzhen main board listing, submitting辅导 filing to CSRC Guangdong bureau.中信证券与天地壹号签署首次公开发行股票并上市辅导协议，计划在深市主板上市，并向广东证监局提交辅导备案。
2024-02-02CITIC Securities acts as sole sponsor for APT Electronics (Guangdong Jingke Electronics) IPO on HKEX main board.中信证券担任广东晶科电子股份有限公司港交所主板上市的独家保荐人。
2024-02-05CITIC Securities signs a tripartite supervision agreement with Hangzhou Bank for Hangzhou Honghua Digital Technology's special account for the 3,520-unit industrial digital inkjet equipment intelligent production line project.中信证券与杭州银行、宏华数科签署募集资金专户存储三方监管协议，用于年产3520套工业数码喷印设备智能化生产线项目。
2024-02-06CITIC Securities withdraws sponsorship for Yi Yang Yi Tou Niu (Adopt a Cow) IPO on Shanghai main board; SSE terminates review.中信证券撤销对认养一头牛控股集团沪市主板IPO的保荐，上交所终止审核。
2024-02-07CITIC Securities and Haitong International act as joint sponsors for Autostreets Development's HKEX main board IPO filing.中信证券与海通国际担任汽车街发展有限公司港交所主板上市的联席保荐人。
2024-02-22CITIC Securities signs a four-party supervision agreement for Yingli Auto's new energy vehicle non-metallic parts project, with a dedicated account of 42.3757 million yuan.中信证券与英利汽车等签署四方监管协议，为新能源汽车非金属零部件产业化建设项目设立募集资金专户，存放金额4237.57万元。
2024-02-22CITIC Securities sponsors Shandong Aoyang New Energy Technology's IPO filing on Shandong CSRC for main board listing.中信证券担任山东奥扬新能源科技股份有限公司首次公开发行股票并上市的辅导券商，已在山东证监局办理辅导备案。
2024-02-27CITIC Securities signs a five-party supervision agreement with Shaanxi Energy for the use of 834.5586 million yuan in over-raised funds for the Shangluo Power Plant Phase II 2x660MW project.中信证券与陕西能源等签署五方监管协议，使用首发超募资金83455.86万元用于陕投商洛电厂二期2×660MW机组项目建设。
2024-02-28CITIC Securities acts as sole sponsor for Tianjudihe (Suzhou) Technology's HKEX main board IPO filing.中信证券担任天聚地合（苏州）科技股份有限公司港交所主板上市的独家保荐人。
2024-04-03CITIC Securities acted as the sole sponsor for Mengjin Gold Jewelry Group's IPO application to the Hong Kong Stock Exchange.中信证券作为梦金园黄金珠宝集团独家保荐人，向港交所提交上市申请。
2024-04-04CITIC Securities withdrew the IPO applications for Zhouyu Design Group (Shenzhen main board) and Shenzhen Haojida Electronics (ChiNext), and the Shenzhen Stock Exchange terminated the reviews.中信证券撤回洲宇设计集团（深交所主板）和深圳市皓吉达电子（创业板）的发行上市申请，深交所终止审核。
2024-04-12CITIC Securities acted as the exclusive sponsor and lead underwriter for Kede Numerical Control's 600 million yuan private placement, supporting new quality productive forces.中信证券作为独家保荐机构和主承销商，助力科德数控完成6亿元定增，服务新质生产力发展。
2024-05-20CITIC Securities, as sponsor, issued a verification opinion on the 2023 annual report inquiry letter for Guangli Technology (光力科技), confirming that its semiconductor intelligent manufacturing base project (Phase I) was delayed to September 2024.中信证券作为保荐机构，就光力科技2023年年报问询函出具核查意见，确认其半导体智能制造产业基地项目（一期）延期至2024年9月。
2024-06-14CITIC Securities acts as sole sponsor for Huisuansuan Holdings (Huizhang) in its second submission of a listing application to the Hong Kong Stock Exchange main board.中信证券作为慧算账控股第二次向港交所主板提交上市申请的独家保荐人。
2024-06-14CITIC Securities-sponsored IPO of Zhejiang Xinna New Material Technology Co., Ltd. (Xinna Technology) on the Shenzhen Main Board is terminated after the issuer withdrew its application.中信证券保荐的浙江新纳材料科技股份有限公司深主板IPO终止，发行人撤回申请。
2024-06-17CITIC Securities, as sponsor, signs a new four-party supervision agreement with Novogene Co., Ltd. for the change of use of raised funds from a terminated gene testing reagent R&D project to a new laboratory construction project in Tianjin Wuqing.中信证券作为保荐机构，与诺禾致源就终止的基因检测试剂研发项目募集资金变更用途至天津武清实验室新建项目签订新的四方监管协议。
2024-06-17CITIC Securities-sponsored IPO of Tianyuan Hangcai (Yingkou) Technology Co., Ltd. (Tianyuan Hangcai) on the ChiNext Board is terminated after the issuer withdrew its application.中信证券保荐的天元航材（营口）科技股份有限公司创业板IPO终止，发行人撤回申请。
2024-06-20CITIC Securities-sponsored IPO of Yongqi (China) Vehicle Industry Co., Ltd. (Yongqi Vehicle) on the Shanghai Main Board is terminated after the issuer withdrew its application.中信证券保荐的永祺（中国）车业股份有限公司沪主板IPO终止，发行人撤回申请。
2024-06-20CITIC Securities-sponsored IPO of Shanghai Xihua Testing Technology Services Co., Ltd. (Xihua Testing) on the ChiNext Board is terminated after the issuer withdrew its application.中信证券保荐的上海熙华检测技术服务股份有限公司创业板IPO终止，发行人撤回申请。
2024-06-21CITIC Securities-sponsored IPO of Zhejiang Yahu Auto Parts Co., Ltd. (Zhejiang Yahu) on the ChiNext Board is terminated after the issuer withdrew its application.中信证券保荐的浙江雅虎汽车部件股份有限公司创业板IPO终止，发行人撤回申请。
2024-06-23CITIC Securities-sponsored IPO of Hangzhou Yugu Technology Co., Ltd. (Yugu Technology) on the ChiNext Board is terminated after the issuer and sponsor withdrew the application.中信证券保荐的杭州宇谷科技股份有限公司创业板IPO终止，发行人与保荐人撤回申请。
2024-06-24CITIC Securities-sponsored IPO of Sichuan Huadun Defense Technology Co., Ltd. (Huadun Defense) on the STAR Market is terminated after the issuer and sponsor withdrew the application.中信证券保荐的四川省华盾防务科技股份有限公司科创板IPO终止，发行人与保荐人撤回申请。
2024-06-24CITIC Securities-sponsored IPO of Guangdong Deju Technology Co., Ltd. (Deju Technology) on the STAR Market is terminated after the issuer and sponsor withdrew the application.中信证券保荐的广东德聚技术股份有限公司科创板IPO终止，发行人与保荐人撤回申请。
2024-06-27CITIC Securities-sponsored IPO of Hunan Wuxin Intelligent Technology Co., Ltd. (Wuxin Technology) on the Shanghai Main Board is terminated after the issuer withdrew its application.中信证券保荐的湖南五新智能科技股份有限公司沪主板IPO终止，发行人撤回申请。
2024-06-29CITIC Securities-sponsored IPO of Beijing Boke Testing System Co., Ltd. (Boke Testing) on the ChiNext Board passes the listing committee review.中信证券保荐的北京博科测试系统股份有限公司创业板IPO通过上市委会议审议。
2024-06-29CITIC Securities-sponsored IPO of Hangzhou Hengtai Technology Co., Ltd. (Hengtai Technology) on the ChiNext Board passes the listing committee review.中信证券保荐的杭州衡泰技术股份有限公司创业板IPO通过上市委会议审议。
2024-06-29CITIC Securities-sponsored IPO of Shanghai Jianfa Zhixin Medical Technology Group Co., Ltd. (Jianfa Zhixin) on the ChiNext Board passes the listing committee review.中信证券保荐的上海建发致新医疗科技集团股份有限公司创业板IPO通过上市委会议审议。
2024-07-04IPO of Guangdong Fuqiang Technology (富强科技) on Shenzhen Stock Exchange terminated (withdrawn); CITIC Securities was the sponsor, with proposed fundraising of 1.001 billion yuan.广东富强科技深交所IPO终止（撤回），中信证券保荐，拟融资10.01亿元。
2024-07-05IPO of China Southern General Aviation (南航通航) on Shenzhen Stock Exchange terminated (withdrawn); CITIC Securities was the sponsor, with proposed fundraising of 590 million yuan.南航通用航空深交所IPO终止（撤回），中信证券保荐，拟融资5.90亿元。
2024-07-08IPO of Guangzhou Beibetter Medicine (必贝特) on Shanghai Stock Exchange submitted for registration; CITIC Securities is the sponsor, with proposed fundraising of 2.005 billion yuan.广州必贝特医药上交所IPO提交注册，中信证券保荐，拟融资20.05亿元。
2024-07-10IPO of Ouyeel Cloud Business (欧冶云商) on Shenzhen Stock Exchange terminated (withdrawn); CITIC Securities was the sponsor, with proposed fundraising of 1.501 billion yuan.欧冶云商深交所IPO终止（撤回），中信证券保荐，拟融资15.01亿元。
2024-07-11IPO of Shanghai SKE Intelligent Equipment (思客琦) on Shenzhen Stock Exchange terminated (withdrawn); CITIC Securities was the sponsor, with proposed fundraising of 566 million yuan.上海思客琦智能装备深交所IPO终止（撤回），中信证券保荐，拟融资5.66亿元。
2024-08-23CITIC Securities' IPO project Suzhou Hongan Machinery (Hong An Ji Xie) was terminated (withdrawn) on the Shenzhen Stock Exchange; the company had planned to raise 450 million yuan.中信证券保荐的苏州鸿安机械股份有限公司深交所IPO终止（撤回），原拟融资金额4.50亿元。
2024-08-26CITIC Securities' IPO project Suzhou Sepax Technologies (Sai Fen Ke Ji) received registration approval on the Shanghai Stock Exchange, planning to raise 800 million yuan.中信证券保荐的苏州赛分科技股份有限公司上交所IPO注册生效，拟融资金额8.00亿元。
2024-08-26CITIC Securities' IPO project Beijing Boke Testing System (Bo Ke Ce Shi) submitted registration on the Shenzhen Stock Exchange, planning to raise 750 million yuan.中信证券保荐的北京博科测试系统股份有限公司深交所IPO提交注册，拟融资金额7.50亿元。
2024-09-05CITIC Securities and client Nano Micro Technology (Nawell, 688690) withdraw the application for issuing convertible bonds to unspecified investors; CITIC Securities was the sponsor.中信证券及客户苏州纳微科技股份有限公司（纳微科技，688690）撤回向不特定对象发行可转换公司债券的申请。
2024-09-09CITIC Securities acts as sponsor for Chengdu Jiachi Electronic Technology's IPO registration becoming effective on Shanghai Stock Exchange.中信证券保荐的成都佳驰电子科技股份有限公司IPO注册生效，拟在上交所上市。
2024-09-11CITIC Securities' IPO client Hangzhou Jingjie Biotechnology (Jingjie Bio) withdraws its Shenzhen Stock Exchange IPO application; CITIC Securities was the sponsor.中信证券保荐的杭州景杰生物科技股份有限公司（景杰生物）撤回深交所IPO申请。
2024-09-25CITIC Securities' IPO client Guangdong Fenke Technology (Fenke Tech) withdraws its Shenzhen Stock Exchange IPO application; CITIC Securities was the sponsor.中信证券保荐的广东芬尼科技股份有限公司（芬尼科技）撤回深交所IPO申请。
2024-10-10CITIC Securities, as sponsor, submitted the IPO registration for Air China Cargo (国货航) on the Shenzhen Stock Exchange, with a proposed fundraising of 3.5 billion yuan.中信证券作为保荐机构，为国货航深交所IPO提交注册，拟融资金额35亿元。
2024-11-13Moore Threads (Mole Thread) filed for A-share IPO辅导 with Beijing CSRC, with CITIC Securities as the sponsor, marking its official start of the listing process.摩尔线程智能科技（北京）股份有限公司在北京证监局办理A股上市辅导备案，辅导机构为中信证券。
2024-11-15Jiangxi Jiangnan New Material Technology Co., Ltd. (Jiangnan New Materials) IPO passed the Shanghai Stock Exchange listing committee review, with CITIC Securities as sponsor, planning to raise 384 million yuan.江西江南新材料科技股份有限公司（江南新材）IPO获上交所上市委会议通过，保荐机构为中信证券，拟融资3.84亿元。
2024-11-28Hangzhou Hengtai Technology Co., Ltd. (Hengtai Technology) terminated its Shenzhen Stock Exchange IPO (withdrawn), with CITIC Securities as sponsor, originally planning to raise 601 million yuan.杭州衡泰技术股份有限公司（衡泰技术）深交所IPO终止（撤回），保荐机构为中信证券，原拟融资6.01亿元。
2025-01-08CITIC Securities completed its IPO coaching for Qichacha Technology Co., Ltd., a corporate credit information platform with over 600 million users, and filed a completion report with the CSRC.中信证券完成对企查查科技股份有限公司的上市辅导工作，并向证监会提交了辅导完成报告。企查查是一个拥有超6亿用户的企业信用信息平台。
2025-02-24Jiangsu Hanbon Science & Technology Co., Ltd. submitted its IPO registration to the Shanghai Stock Exchange, with CITIC Securities as sponsor, planning to raise RMB 598 million.江苏汉邦科技股份有限公司上交所IPO提交注册，保荐机构为中信证券，拟融资金额5.98亿元。
2025-02-27Insta360 (Yingshi Innovation Technology Co., Ltd.) obtained Shanghai Stock Exchange IPO registration effectiveness, with CITIC Securities as sponsor, planning to raise RMB 464 million.影石创新科技股份有限公司上交所IPO注册生效，保荐机构为中信证券，拟融资金额4.64亿元。
2025-03-07CITIC Securities became the IPO辅导机构 for Jinchuan Group Nickel Cobalt Co., Ltd., a subsidiary of state-owned Jinchuan Group, which filed for IPO guidance in Gansu.中信证券成为金川集团镍钴股份有限公司的IPO辅导机构，该公司已在甘肃证监局完成辅导备案。
2025-03-13Shandong Dongyue Future Hydrogen Energy Materials Co., Ltd. restarted IPO guidance with CITIC Securities as the new sponsor, replacing CSC Financial, after previously withdrawing filings twice.山东东岳未来氢能材料股份有限公司重启IPO辅导，辅导机构由中信建投证券变更为中信证券。
2025-03-25Shenzhen Hengyunchang Vacuum Technology Co., Ltd. disclosed completion of IPO guidance with CITIC Securities as the sponsor.深圳市恒运昌真空技术股份有限公司披露IPO辅导工作完成报告，辅导机构为中信证券。
2025-04-16CITIC Securities disclosed the first-phase IPO辅导 progress report for Shandong Dongyue Future Hydrogen Energy Materials (东岳未来氢能), with辅导 agreement signed on March 10, 2025 and filing accepted on March 12, 2025.中信证券披露山东东岳未来氢能材料股份有限公司IPO辅导工作进展报告（第一期），辅导协议于2025年3月10日签署，3月12日获受理。
2025-04-24CITIC Securities published the seventh-phase IPO辅导 progress report for Guilin Bank, which has been preparing for IPO since August 2023. The bank's total assets reached RMB 556.845 billion as of September 2024.中信证券发布桂林银行第七期上市辅导工作进展报告，该行自2023年8月启动IPO筹备，截至2024年9月末总资产达5568.45亿元。
2025-04-26CITIC Securities, as the sponsor, issued a no-objection opinion on Yonyou Network's subsidiary using up to RMB 220 million of idle raised funds to temporarily supplement working capital.中信证券作为保荐人，对用友网络全资子公司使用不超过2.2亿元闲置募集资金临时补充流动资金事项出具无异议核查意见。
2025-04-28CITIC Securities was appointed as the辅导机构 (sponsor) for AI company AISpeech (思必驰)'s IPO listing辅导 filing, marking its second attempt after a 2022 rejection.中信证券担任人工智能企业思必驰IPO辅导备案的辅导机构，这是其2022年科创板被否后再次冲击资本市场。
2025-06-11CITIC Securities acted as sole sponsor and lead underwriter for影石创新 (Insta360)'s IPO on the STAR Market, raising 1.938 billion yuan.中信证券担任影石创新科创板IPO独家保荐机构和牵头主承销商，募集资金19.38亿元。
2025-06-18摩尔线程 (Moore Threads) IPO coaching status changed to coaching acceptance with CITIC Securities as the coaching institution.摩尔线程智能科技股份有限公司IPO辅导状态变更为辅导验收，辅导机构为中信证券。
2025-07-18CITIC SEC appointed as the IPO sponsor for Unitree Technology, a humanoid robot company, which begins its pre-listing辅导 (tutoring) process; Unitree targets IPO filing by October 2025.中信证券担任宇树科技IPO辅导机构，其人形机器人公司启动上市辅导，预计最快2025年10月提交IPO申请。
2025-07-29CITIC SEC replaces CICC as the IPO tutoring institution for Suzhou Tongxin Medical Technology (同心医疗), a ventricular assist device (artificial heart) developer.中信证券取代中金公司，成为同心医疗（心室辅助装置/人工心脏研发商）的IPO辅导机构。
2025-08-07Guangzhou Beibite Pharmaceutical (必贝特) received registration effectiveness for its Shanghai Stock Exchange IPO, with CITIC Securities as the sponsor, aiming to raise RMB 2.005 billion.广州必贝特医药股份有限公司上交所IPO注册生效，保荐机构为中信证券，拟融资金额20.05亿元。
2025-09-05CITIC SEC replaced its sponsor representative for Lead Intelligent Equipment (300450.SZ) from Miao Tao to Ai Hua due to job change.中信证券因原保荐代表人苗涛工作变动，委派艾华接替其担任先导智能（300450.SZ）持续督导保荐代表人。
2025-10-29CITIC Securities as sponsor for Fatide Technology (法特迪科技) A-share IPO filing, registered for辅导备案 with CSRC.中信证券作为辅导券商，苏州法特迪科技股份有限公司办理A股上市辅导备案登记。
2025-11-03CITIC Securities was selected as the IPO辅导 institution for Shanghai Enflame Technology, which filed for IPO辅导 registration with the Shanghai CSRC Bureau.中信证券被选为上海燧原科技IPO辅导机构，该公司已向上海证监局办理辅导备案登记。
2025-11-13CITIC Securities was selected as the IPO辅导 institution for Shanghai Diluo Medical Devices, which filed for IPO辅导 registration.中信证券被选为上海蒂螺医疗器械IPO辅导机构，该公司已办理辅导备案登记。
2025-11-15CITIC Securities completed the IPO辅导 for Unitree Robotics, confirming the company meets listing prerequisites for a domestic A-share IPO.中信证券完成宇树科技IPO辅导工作，确认其具备上市条件，拟申请境内首次公开发行股票。
2026-01-21CITIC Securities started IPO coaching for Guangdong Lanrui Technology Group, a precision components and thermal solutions manufacturer serving Amazon, NVIDIA, AMD.中信证券启动对广东岚瑞技术集团（精密结构件及散热方案制造商，客户含亚马逊、英伟达、AMD）的IPO辅导。
2026-01-30CITIC Securities filed as sponsor for Jiangsu Luyi Instruments' IPO辅导 registration with CSRC; Luyi is a semiconductor equipment company.中信证券担任江苏鲁汶仪器（半导体设备公司）IPO辅导机构，已向江苏证监局办理辅导备案。
2026-02-26Shengzhou Mosang Hi-Tech Co., Ltd. files IPO辅导备案 with Zhejiang CSRC for Beijing Stock Exchange listing, with CITIC Securities as sponsor; company is China's first industrial silkworm rearing firm with full-age artificial feed.嵊州陌桑高科股份有限公司在浙江证监局完成IPO辅导备案，拟登陆北交所，辅导机构为中信证券；公司为国内首家全龄人工饲料工业化养蚕企业。
2026-04-13CITIC Securities submitted the first phase of the IPO tutoring progress report for Hangzhou Youyun Technology Co., Ltd. (杭州优云科技) to Zhejiang CSRC for its planned Beijing Stock Exchange listing.中信证券向浙江证监局提交杭州优云科技股份有限公司北交所上市辅导工作进展情况报告（第一期）。
2026-04-25CITIC Securities completed the IPO辅导 (pre-listing tutoring) for xFusion Digital Technologies Co., Ltd. (超聚变数字技术), confirming the company is ready for an A-share listing.中信证券完成超聚变数字技术股份有限公司的IPO辅导工作，确认其具备上市条件。
2026-05-14Zhuhai Quyin Technology files for IPO辅导 filing with CSRC; CITIC Securities is the辅导机构.珠海趣印科技向广东证监局办理辅导备案登记，辅导机构为中信证券。
2026-05-19Yangtze Memory Technologies Holdings files for IPO辅导 filing with CSRC; CITIC Securities and CITIC Construction Securities are辅导机构.长江存储控股股份有限公司在湖北证监局办理辅导备案登记，辅导券商为中信证券、中信建投证券。
2026-05-28CITIC Securities is sponsor for Unitree Technology's IPO; its subsidiary Jinshi Growth Fund holds 4.152% stake.中信证券为宇树科技IPO保荐人，旗下金石成长基金持股4.152%。
2026-05-29MiniMax signs IPO辅导 agreement with CITIC Securities, starting A-share IPO process.MiniMax与中信证券签署上市辅导协议，正式启动A股IPO进程。
2026-06-08CITIC Securities starts listing辅导 for Lanzhi Dezhi New Energy Materials (致德新材) with Zhejiang Securities.中信证券与浙商证券启动对兰溪致德新能源材料股份有限公司的上市辅导。
Bond Interest & Maturity Events债券付息与到期事件
9 · 2024-02-06 → 2024-10-14
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Scheduled interest payments and maturity/delisting of various corporate bonds.各类公司债券的定期付息和到期/摘牌。
2024-02-06CITIC Securities pays interest on bond '20 Zhongzheng G2' at 3.31% on Feb 21, 2024; per 1,000 yuan face value pays 33.10 yuan.中信证券于2024年2月21日支付“20中证G2”债券利息，票面利率3.31%，每手（面值1000元）派发利息33.10元。
2024-02-06CITIC Securities short-term corporate bond '23 Zhongzheng S8' (code 115842) matures and is delisted on Feb 21, 2024; final interest at 2.12% and principal paid.中信证券短期公司债券“23中证S8”（代码115842）于2024年2月21日摘牌，支付最后一个年度利息（票面利率2.12%）及本金。
2024-02-23CITIC Securities pays interest on bond '21 Zhongzheng 05' at 4.10% on Mar 1, 2024; per 1,000 yuan face value pays 41.00 yuan.中信证券于2024年3月1日支付“21中证05”债券利息，票面利率4.10%，每手（面值1000元）派发利息41.00元。
2024-02-23CITIC Securities bond '21 Zhongzheng 04' (code 175765) matures and is delisted on Mar 1, 2024; final interest at 3.60% and principal paid.中信证券债券“21中证04”（代码175765）于2024年3月1日摘牌，支付最后一个年度利息（票面利率3.60%）及本金。
2024-05-11CITIC Securities announced the maturity and delisting of its 23 CITIC G8 bond (115352) on May 17, 2024, with a final coupon payment at 2.53%.中信证券公告23中证G8债券（115352）于2024年5月17日摘牌，支付最后一年利息（票面利率2.53%）及本金。
2024-05-19CITIC Securities announced the maturity and delisting of its 23 CITIC S7 bond (115415) on May 24, 2024, with a final coupon payment at 2.47%.中信证券公告23中证S7债券（115415）于2024年5月24日摘牌，支付最后一年利息（票面利率2.47%）及本金。
2024-05-22CITIC Securities announced the maturity and delisting of its 23 CITIC S14 short-term bond (240316) on May 29, 2024, with a final coupon payment at 2.64%.中信证券公告23中S14短期公司债券（240316）于2024年5月29日摘牌，支付最后一年利息（票面利率2.64%）及本金。
2024-06-18CITIC Securities pays annual interest on its corporate bond '15 CITIC 02' (15中信02) at a coupon rate of 5.10%, with RMB 51.00 per lot (face value RMB 1,000) on June 25, 2024.中信证券支付“15中信02”公司债年度利息，票面利率5.10%，每手（面值1000元）派发利息51.00元（含税），付息日为2024年6月25日。
2024-10-14CITIC Securities announced interest payment on bond '23 CITIC 24' at a coupon rate of 2.90%, paying 29.00 yuan per lot (face value 1,000 yuan) on 2024-10-21.中信证券发布“23中证24”债券付息公告，票面利率2.90%，每手（面值1000元）派发利息29.00元。
Asset Management & Fund Operations资产管理及基金运营
41 · 2024-02-08 → 2026-06-25
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Actions by CITIC Securities Asset Management, including fund manager changes, subscription suspensions, product transfers, and stake increases in listed companies.中信证券资产管理公司的行动，包括基金经理变更、申购暂停、产品转移及增持上市公司股份。
2024-02-08CITIC Securities releases 2023 annual results of subsidiary China Asset Management (ChinaAMC): total assets 18.794 billion yuan, net profit 2.013 billion yuan, AUM 1.823564 trillion yuan.中信证券公告控股子公司华夏基金2023年度业绩快报：总资产187.94亿元，净利润20.13亿元，母公司管理资产规模18235.64亿元。
2024-03-26CITIC Securities 2023 annual report disclosed that its asset management scale totaled RMB 1.388461 trillion, with a 13.71% market share in private securities asset management, ranking first in the industry.中信证券2023年年报披露，资产管理规模合计1.39万亿元，私募资产管理业务市场份额13.71%，排名行业第一。
2024-05-17CITIC Securities Asset Management suspended large subscriptions (over 20 million yuan) for its short-term bond collective plan from May 20, 2024, to protect holder interests.中信证券资产管理自2024年5月20日起暂停中短债债券型集合资产管理计划的大额申购（超过2000万元），以保护持有人利益。
2024-05-24CITIC Securities Asset Management suspended subscriptions for its bond optimization one-year holding period collective plan from May 27, 2024.中信证券资产管理自2024年5月27日起暂停债券优化一年持有期债券型集合资产管理计划的申购。
2024-06-17CITIC Securities Asset Management - No.3 Single Asset Management Plan increases stake in Bank of China (03988.HK) by approximately 104 million shares at an average price of HKD 3.756 per share, totaling about HKD 390 million.中信证券资管-三号单一资产管理计划增持中国银行（03988.HK）约1.04亿股，均价3.756港元，总金额约3.9亿港元。
2024-07-11CITIC Securities Asset Management extends the duration of two large collective products ('CITIC Securities Quality Life Hybrid' and 'CITIC Securities Wealth Select One-Year Holding Period Hybrid FOF') to January 2025, to align with public fund license application strategy.中信证券资管将“中信证券品质生活混合型”和“中信证券财富优选一年持有期混合型FOF”两只大集合产品存续期延长至2025年1月，为申请公募牌照争取时间。
2024-08-06CITIC Securities announced that its subsidiary China Asset Management (Huaxia Fund) had H1 2024 revenue of 3.669 billion yuan, net profit of 1.062 billion yuan, and parent-managed AUM of 2.158489 trillion yuan as of June 30, 2024.中信证券公告，控股子公司华夏基金2024年上半年实现营业收入36.69亿元，净利润10.62亿元，截至2024年6月30日母公司管理资产规模为21,584.89亿元。
2024-09-27CITIC Securities Asset Management suspends subscriptions for 'CITIC Securities Bond Enhanced Six-Month Holding Period Bond Collective Asset Management Plan' from Oct 8, 2024.中信证券资产管理有限公司自2024年10月8日起暂停中信证券债券增强六个月持有期债券型集合资产管理计划的申购（含转换转入、定期定额投资）。
2024-10-22CITIC Securities Asset Management suspended large subscriptions (over 100,000 yuan) for the CITIC Securities Zengli One-Year Regular Open Bond Collective Asset Management Plan to protect holders.中信证券资产管理有限公司暂停中信证券增利一年定期开放债券型集合资产管理计划大额申购（含转换转入），上限10万元。
2025-01-15CITIC Securities Asset Management agreed with China Asset Management (华夏基金) to transfer the management of two publicly-offered reformed large-collection products (CITIC Securities Quality Life Hybrid and CITIC Securities Wealth优选 One-Year Holding FOF) to China AMC.中信证券资管与华夏基金协商一致，拟将中信证券品质生活混合型集合资管计划和中信证券财富优选一年持有期混合型FOF两只参公改造大集合产品的管理人变更为华夏基金。
2025-02-05CITIC Securities announced that its subsidiary China Asset Management (Huaxia Fund) reported 2024 net profit of 2.158 billion yuan, revenue of 8.031 billion yuan, and total AUM of 2.46 trillion yuan.中信证券公告，其子公司华夏基金2024年净利润21.58亿元，营业收入80.31亿元，母公司管理资产规模2.46万亿元。
2025-02-18CITIC Securities Asset Management appointed Li Tianying as fixed-income investment manager for several bond funds (CITIC Bond Enhanced, Bond Optimized, Xinying One-Year, Zengli One-Year).中信证券资产管理有限公司增聘李天颖为中信证券债券增强、债券优化、信盈一年、增利一年等债券型集合资产管理计划的固定收益投资经理。
2025-04-07CITIC Securities Asset Management suspended申购 (subscription) and conversion of its 'CITIC Securities Bond Enhanced Six-Month Holding Period Bond Collective Asset Management Plan' from April 8, 2025 to protect unitholder interests.中信证券资产管理有限公司自2025年4月8日起暂停中信证券债券增强六个月持有期债券型集合资产管理计划的申购（含转换转入、定期定额投资），以保护持有人利益。
2025-05-23CITIC Securities Asset Management increased its stake in CGN Power (01816.HK) by 12.042 million shares at HKD 2.6705 per share, raising its holding to 5.11%.中信证券资管增持中广核电力1204.2万股，每股2.6705港元，持股比例升至5.11%。
2025-06-17CITIC Securities Asset Management increased its stake in CGN Power (01816.HK) by 23.11 million shares at HK$2.7112 per share, totaling HK$62.66 million; holding rose from 6.84% to 7.05%.中信证券资管增持中广核电力2311万股，每股均价2.7112港元，涉资约6265.58万港元，持股比例由6.84%升至7.05%。
2025-06-25CITIC Securities - Kaiyuan single asset management plan increased its stake in CGN Power (01816.HK) by 17.819 million shares at HK$2.663 per share, totaling HK$47.452 million; holding rose from 5.99% to 6.16%.中信证券-开元单一资产管理计划增持中广核电力1781.9万股，每股作价2.663港元，涉资约4745.2万港元，持股比例由5.99%升至6.16%。
2025-07-09CITIC SEC Asset Management increases stake in Aluminum Corporation of China (02600.HK) by 14.086 million shares at HKD 5.2322/share, spending ~HKD 73.7 million, raising holding to 6.12%.中信证券资管增持中国铝业(02600.HK)1408.6万股，每股5.2322港元，涉资约7370万港元，持股升至6.12%。
2025-07-10CITIC SEC - Kaiyuan single asset management plan increases stake in CGN Power (01816.HK) by 9.821 million shares at HKD 2.7833/share, spending ~HKD 27.33 million, raising holding to 7.08%.中信证券-开元单一资管计划增持中广核电力(01816.HK)982.1万股，每股2.7833港元，涉资约2733万港元，持股升至7.08%。
2025-07-18CITIC SEC reports financial product AUM reaches RMB 600 billion, with buyer-side advisory AUM of RMB 110 billion and allocation-type FOF AUM of RMB 10 billion as of July 2025.中信证券披露截至2025年7月，金融产品保有规模达6000亿元，买方投顾资产保有规模1100亿元，配置型FOF保有规模100亿元。
2025-07-22CITIC SEC Asset Management transfers management of 9 collective asset management plans to China Asset Management (华夏基金), converting them into public funds (4 bond, 4 hybrid, 1 equity).中信证券资管旗下9只集合资管计划正式变更为华夏基金旗下公募基金产品，包括4只债券型、4只混合型及1只股票型。
2025-07-29CITIC SEC Asset Management increases stake in CGN Power (01816.HK) by 22.179 million shares at HKD 2.9588/share, spending ~HKD 65.62 million, raising holding to 10.19%.中信证券资管增持中广核电力(01816.HK)2217.9万股，每股2.9588港元，涉资约6562万港元，持股升至10.19%。
2025-08-01CITIC Securities' 'Kaiyuan' single asset management plan increased its stake in Aluminum Corporation of China (02600.HK) by 6.36 million shares at an average price of HKD 6.5821 per share, totaling approximately HKD 41.8622 million, raising its holding ratio from 6.89% to 7.05%.中信证券-开元单一资产管理计划以每股均价6.5821港元增持中国铝业(02600.HK)636万股，涉资约4186.22万港元，持股比例由6.89%升至7.05%。
2025-08-05CITIC Securities Asset Management increased its stake in Aluminum Corporation of China (02600.HK) by 6.152 million shares at an average price of HKD 6.1693 per share, totaling approximately HKD 37.9535 million, raising its holding ratio from 8.93% to 9.09%.中信证券资产管理有限公司以每股均价6.1693港元增持中国铝业(02600.HK)615.2万股，涉资约3795.35万港元，持股比例由8.93%升至9.09%。
2025-08-06CITIC Securities announced that its subsidiary China Asset Management (华夏基金) reported H1 2025 revenue of RMB 4.258 billion, net profit of RMB 1.123 billion, and parent company AUM of RMB 2.851237 trillion as of June 30, 2025.中信证券公告，子公司华夏基金2025年上半年营业收入42.58亿元，净利润11.23亿元，截至2025年6月30日母公司管理资产规模为28512.37亿元。
2025-08-07CITIC Securities Asset Management increased its stake in CGN Power (01816.HK) by 16.415 million shares at an average price of HKD 3.005 per share, totaling approximately HKD 49.3271 million, raising its holding ratio from 10.87% to 11.01%.中信证券资产管理有限公司以每股均价3.005港元增持中广核电力(01816.HK)1641.5万股，涉资约4932.71万港元，持股比例由10.87%升至11.01%。
2025-08-12China Asset Management (华夏基金) announced that three collective asset management plans previously managed by CITIC Securities Asset Management were officially converted into public mutual fund products under China Asset Management.华夏基金公告，原由中信证券资管管理的3只集合资产管理计划正式变更为华夏基金旗下的公募基金产品。
2025-09-02CITIC SEC's Kaiyuan single asset management plan increased its stake in CGN Power (01816.HK) by 15.335 million shares at HKD 2.9864 per share on Aug 28, 2025, raising its holding to 11.07%.中信证券-开元单一资产管理计划于2025年8月28日以每股2.9864港元增持中广核电力（01816.HK）1533.5万股，持股比例升至11.07%。
2025-09-09CITIC SEC's shareholding in Bank of China H-shares rose to 19%.中信证券对中国银行H股的持股比例升至19%。
2025-10-24CITIC Securities subsidiary China Asset Management (Huaxia Fund) Q3 2025 net profit approx. 866 million yuan (unaudited); parent AUM approx. 3.0068 trillion yuan as of Sep 30, 2025.中信证券子公司华夏基金2025年第三季度净利润约8.66亿元（未经审计）；截至2025年9月30日母公司管理资产规模约30068.21亿元。
2025-11-10CITIC Securities' asset management plan increased its stake in CGN Power (01816.HK) by 16.16 million shares at HKD 3.0868 per share, raising its holding to 12.14%.中信证券-开元单一资产管理计划增持中广核电力1616万股，每股均价3.0868港元，持股比例升至12.14%。
2025-11-12CITIC Securities' asset management plan further increased its stake in CGN Power by 17.373 million shares at HKD 3.1334 per share, raising its holding to 13.05%.中信证券-开元单一资产管理计划再增持中广核电力1737.3万股，每股均价3.1334港元，持股比例升至13.05%。
2025-11-21CITIC Securities asset management company increased its stake in CGN Power by 12.371 million shares at HKD 2.9671 per share, raising its holding to 15.03%.中信证券资管公司增持中广核电力1237.1万股，每股均价2.9671港元，持股比例升至15.03%。
2026-01-06CITIC Securities - Yunfan single asset management plan increased its stake in CGN Power (01816) by 28.886 million shares at HKD 2.999 each, holding 5.18%.中信证券-云帆单一资产管理计划增持中广核电力（01816）2888.6万股，每股2.999港元，持股升至5.18%。
2026-01-26CITIC Securities - Kaiyuan single asset management plan increased its stake in CGN Power (01816) by 12.932 million shares at HKD 3.1201 each, holding 15.09%.中信证券-开元单一资产管理计划增持中广核电力（01816）1293.2万股，每股3.1201港元，持股升至15.09%。
2026-03-17CITIC Securities Asset Management reduced stake in Aluminum Corporation of China (02600.HK) by 30.5mn shares at avg HK$13.7986, holding 9.29%.中信证券资管减持中国铝业(02600.HK)3050万股，均价13.7986港元，持股降至9.29%。
2026-03-19CITIC Securities - Kaiyuan single asset management plan reduced stake in Aluminum Corporation of China (02600.HK) by 12mn shares at avg HK$12.1805, holding 6.70%.中信证券-开元单一资管计划减持中国铝业(02600.HK)1200万股，均价12.1805港元，持股降至6.70%。
2026-03-27CITIC Securities 2025 annual report: China Asset Management (subsidiary) revenue RMB 9.626bn, net profit RMB 2.396bn; AUM RMB 3.01 trillion.中信证券2025年年报：华夏基金营收96.26亿元，净利润23.96亿元，管理资产规模3.01万亿元。
2026-05-18CITIC Securities Asset Management reduces stake in Aluminum Corporation of China (02600) by 12.63 million shares at ~HKD 10.62 each.中信证券资管公司减持中国铝业(02600)1263万股，每股均价约10.62港元。
2026-05-27CITIC Securities - Yunfan single asset management plan reduces stake in CGN Power (01816) by 13.196 million shares at HKD 3.1083 each.中信证券-云帆单一资产管理计划减持中广核电力(01816)1319.6万股，每股均价3.1083港元。
2026-06-04CITIC Securities Asset Management reduces stake in Sinopharm Group (01099) by 1.7752 million shares at HKD 16.9396 per share, totaling ~HKD 30.07 million.中信证券资产管理有限公司减持国药控股(01099)177.52万股，每股均价16.9396港元，总金额约3007.12万港元。
2026-06-25CITIC Securities (via Huaxia Equity Investment) establishes Huaxia Rong'an No.1 Equity Investment Fund (Beijing) partnership with 5 million yuan capital.中信证券通过华夏股权投资等成立华夏荣安壹号股权投资基金（北京）合伙企业，出资额500万元。
Trusteeship & Bondholder Services受托管理与债券持有人服务
7 · 2024-02-26 → 2026-01-14
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Fulfilling trustee duties for bond issuances, including reporting on debt restructuring, financial changes, and convening bondholder meetings.履行债券发行的受托管理职责，包括报告债务重组、财务变动及召集债券持有人会议。
2024-02-26CITIC Securities, as trustee for CFLD (China Fortune Land Development) bond '20 Xingfu 01', reports that as of Jan 31, 2024, CFLD has restructured 188.576 billion yuan of financial debt, with 19.499 billion yuan in interest/fine reductions; overdue debt totals 30.623 billion yuan.中信证券作为华夏幸福“20幸福01”债券受托管理人披露：截至2024年1月31日，华夏幸福已签约债务重组金额累计1885.76亿元，减免利息罚息194.99亿元，累计未能如期偿还债务306.23亿元。
2024-05-21CITIC Securities, as trustee, reported that Tianshan Materials (天山材料) approved repurchasing and canceling 1.553 billion shares from China Building Materials at a total price of 1 yuan, reducing registered capital from 8.663 billion yuan to 7.110 billion yuan.中信证券作为受托管理人报告，天山材料同意以1元总价回购并注销中国建材持有的15.53亿股，注册资本从86.63亿元变更为71.10亿元。
2024-07-08CITIC Securities issues a temporary trusteeship report on Three Gorges Capital Holdings' transfer of Changjiang Securities shares; the transaction will affect Three Gorges Capital's investment income for the year, and it will no longer hold Changjiang Securities equity.中信证券发布三峡资本控股转让长江证券股份的临时受托报告，交易完成后三峡资本不再持有长江证券股权。
2024-07-29CITIC Securities issues a temporary trusteeship report on Joy City Property (大悦城控股)'s change of use of proceeds from '23 Joy City 01' corporate bond (20 billion yuan issued), adjusting the debt repayment schedule.中信证券发布大悦城控股“23大悦01”公司债券（发行规模20亿元）募集资金用途变更的临时受托报告。
2024-08-01CITIC Securities announced that China North Industries Group (China Bingqi) had changes in more than one-third of its directors (3 out of 5 changes in 2024); CITIC Securities acts as bond trustee.中信证券公告，中国兵器工业集团有限公司三分之一以上董事发生变动（2024年初至今变动5人，本次3人），中信证券作为债券受托管理人持续关注。
2025-10-28CITIC Securities as convener held bondholders meeting for '20 Xingfu 01' (华夏控股) but meeting failed due to insufficient attendance (0 voting rights present).中信证券作为召集人召开华夏控股“20幸福01”债券持有人会议，因出席表决权数额为0，会议未能有效召开。
2026-01-14CITIC Securities as bond trustee called a meeting for Vanke's '21 Vanke 02' bondholders to discuss adjusting principal and interest repayment arrangements.中信证券作为债券召集人，召开万科“21万科02”债券持有人会议，审议本息兑付安排调整事项。
Technology & Fintech技术与金融科技
5 · 2024-02-28 → 2026-03-19
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Development of fintech platforms, AI tools, and IT infrastructure, as well as related awards and tenders.金融科技平台、AI工具和IT基础设施的开发，以及相关奖项和招标。
2024-02-28CITIC Securities wins three second prizes in PBoC 2022 Fintech Development Awards: privacy-preserving securities management platform, quantitative trading platform (CATS), and dual-stack digital transformation project.中信证券三个项目荣获中国人民银行2022年度金融科技发展奖二等奖：基于隐私保护计算的证券行业一体化管理和风控平台、量化交易平台（CATS）、基于双栈可靠架构的数字化转型项目。
2025-04-03CITIC Securities developed and launched a dedicated HarmonyOS (Hongmeng) mobile app to support Huawei's ecosystem.中信证券开发并上线了鸿蒙专属APP应用，以支持华为生态系统。
2025-11-27CITIC Securities launched its proprietary intelligent agent development platform CITICS Agent, built on Volcano Engine's HiAgent, to support AI applications in research, investment advisory, and risk control.中信证券依托火山引擎HiAgent搭建专属智能体开发平台CITICS Agent，支持投研、投顾、风控等核心业务场景的AI应用。
2025-12-05CITIC Securities issued a tender for a 'Large Model CANN Computing Platform' project with a maximum bid price of 65 million yuan (tax included), covering servers, network switches, firewalls, scheduling management software, and integration services.中信证券发布《大模型CANN算力平台》招标公告，最高投标限价6500万元（含税），采购服务器、网络交换机、硬件防火墙等设备及配套调度管理软件和集成服务。
2026-03-19CITIC Securities issued tender announcement for 'New Generation PaaS Cloud Platform Expansion and Disaster Recovery Construction Project' with budget RMB 16.8mn.中信证券发布《新一代PaaS云平台扩容及灾备建设项目》招标公告，预算1680万元。
Business Restructuring & Branch Network业务重组与营业网点
8 · 2024-03-01 → 2026-01-11
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Transfer of branches to subsidiaries, branch closures, business scope adjustments, and related restructuring activities.向子公司转让营业部、关闭营业部、业务范围调整及相关重组活动。
2024-03-01CITIC Securities Board approved the transfer of 21 branches in five southern provinces to its wholly-owned subsidiary CITIC Securities South China, at a price not lower than the latest audited net asset value, and provided a net capital guarantee commitment of up to RMB 6 billion.中信证券董事会批准向全资子公司中信证券华南转让华南五省21家分支机构，转让价格不低于最近一期经审计账面净资产值，并提供不超过60亿元人民币的净资本担保承诺。
2024-04-17CITIC Securities decided to close its Yueyang Avenue and Chenzhou Nanhu Road securities branches in Hunan province to optimize the business network.中信证券决定撤销岳阳大道证券营业部和郴州南湖路证券营业部，以优化经营网点布局。
2024-07-25CITIC Securities announces the transfer of 21 branches in five southern provinces to CITIC Securities South China, with customer accounts and assets to be migrated on August 23, 2024, to avoid intra-group competition.中信证券公告将华南五省21家分支机构转让给中信证券华南，客户账户及资产将于2024年8月23日迁移，以避免同业竞争。
2025-06-20CSRC approved CITIC Securities South China to reduce its business scope by removing securities underwriting and sponsorship, and limiting margin financing to specific regions.证监会核准中信证券华南股份有限公司减少证券保荐业务，并将融资融券业务范围限定于特定区域。
2025-09-05CITIC SEC decided to close its Nanjing Lushan Road securities business office, with services transferred to its Nanjing Yunji Road office.中信证券决定撤销南京庐山路证券营业部，原有服务由南京云锦路证券营业部承接。
2025-11-18CITIC Securities submitted two applications to the CSRC to reduce its business scope, including core businesses like securities brokerage, underwriting, margin trading, and market making, as a follow-up to the acquisition of Guangzhou Securities.中信证券向证监会递交两份减少业务种类申请，涉及证券经纪、承销、融资融券、做市等核心业务，系收购广州证券后续事项。
2026-01-10CITIC Securities decided to close Hangzhou Jinhua Road securities branch, effective January 17, 2026; customers transferred to Hangzhou Qingchun East Road branch.中信证券决定撤销杭州金华路证券营业部，自2026年1月17日起关闭，客户平移至杭州庆春东路营业部。
2026-01-11CSRC confirmed that CITIC Securities' reduction of margin financing business in five southern provinces (excluding Shenzhen) was a normal post-acquisition adjustment after acquiring Guangzhou Securities.证监会确认中信证券在五个南方省份（除深圳）缩减融资融券业务是收购广州证券后的正常业务调整。
Wealth Management & Product Launches财富管理与产品发布
5 · 2024-03-01 → 2026-03-27
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Launch of new wealth management brands, products (e.g., warrants, cross-boundary investment), and related business updates.推出新的财富管理品牌、产品（如权证、跨境投资）及相关业务更新。
2024-03-01CITIC Securities Brokerage obtained authorization from HKEX to become a structured product issuer, launching its first call and put warrants linked to Trip.com Group.中信证券经纪有限公司获香港交易所授权成为结构性产品发行商，推出首批挂钩携程集团的认购证及认沽证。
2024-12-04CITIC Securities completed the first Cross-Boundary Wealth Management Connect investments for clients via its subsidiaries CITIC Securities South China and CITIC Securities (Hong Kong).中信证券通过子公司中信证券华南和中信证券经纪（香港）完成首批跨境理财通投资。
2025-12-12CITIC Securities held its 2025 Investor Open Day and launched the 'Xin 100' wealth management brand, covering four sub-brands (Xin Ju, Xin Ying, Xin You, Xin Fu) for cash management, investment appreciation, insurance/pension, and wealth inheritance, targeting full-lifecycle wealth management for individuals and families.中信证券举办2025年投资者开放日并发布“信100”财富管理品牌，涵盖信聚（零钱管理）、信盈（投资增值）、信佑（保险及养老保障）、信福（财富传承）四大子品牌，覆盖个人和家庭全生命周期财富管理需求。
2026-03-18Qianhe Weiyu purchased RMB 100mn of CITIC Securities income certificates (product term: Mar 18, 2026 - Mar 18, 2027).千禾味业购买中信证券1亿元收益凭证（期限2026年3月18日至2027年3月18日）。
2026-03-27CITIC Securities 2025 annual report: full-year wealth management custodied client assets exceeded RMB 15 trillion, ranked No.1 in industry.中信证券2025年财富管理托管客户资产规模超15万亿元，行业排名第一。
Custody & trust services托管与信托服务
2 · 2024-03-01 → 2024-09-04
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Provision of custodial, trust, or asset management services for clients.为客户提供托管、信托或资产管理服务。
2024-03-01CITIC Financial Asset announced it will entrust up to RMB 40 billion to CITIC Securities and up to RMB 60 billion in total to CITIC Securities and CITIC Jian Tou for asset management plans to invest in high-quality assets.中信金融资产公告称，拟委托中信证券及中信建投设立资管计划，合计不超过600亿元，投资境内外优质资产。
2024-09-04CITIC Securities enters a four-party custodial agreement with Ping An Electric (client) and Bank of China Hubei branch for a RMB 68 million loan to subsidiary Tongcheng Tongli Fiberglass for a production base project.中信证券与平安电工、中国银行湖北省分行签订四方募集资金监管协议，涉及向子公司同力玻纤提供不超过6800万元借款用于生产基地项目。
REITs & Infrastructure FundsREITs与基础设施基金
8 · 2024-03-03 → 2026-01-14
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Involvement in the filing, listing, and market-making of real estate investment trusts (REITs) and infrastructure funds.参与房地产投资信托基金（REITs）和基础设施基金的申报、上市和做市。
2024-03-03CITIC Securities, together with China Asset Management, submitted registration and listing application for a public REITs project of BBMG Group to the regulatory authorities.中信证券与华夏基金共同向监管部门提交了金隅集团公募REITs的注册上市申请。
2024-06-12CITIC Securities acts as the special plan manager for the 'CITIC Securities - Nanjing Transportation Expressway Infrastructure No.1 Asset Support Special Plan', underlying the 'Huaxia Nanjing Transportation Expressway Closed-end Infrastructure Securities Investment Fund' submitted to the Shanghai Stock Exchange.中信证券作为“中信证券-南京交通高速公路基础设施1号资产支持专项计划”的计划管理人，该专项计划对应的“华夏南京交通高速公路封闭式基础设施证券投资基金”已申报至上交所。
2024-07-02CITIC Securities becomes the main market maker for TBEA REIT (508089) on the Shanghai Stock Exchange, effective July 2, 2024.中信证券自2024年7月2日起为特变REIT（508089）提供上交所主做市服务。
2024-10-06CITIC Securities and China Asset Management jointly helped the 'Huaxia Dayuecheng Commercial REIT' successfully list.中信证券联合华夏基金助力“华夏大悦城商业REIT”成功上市。
2025-08-15CITIC Securities provided general liquidity services for the Huatai Zijin Nanjing Jianye Industrial Park Closed-end Infrastructure REIT (508097) on the Shanghai Stock Exchange starting August 15, 2025.中信证券自2025年8月15日起为华泰紫金南京建邺产业园封闭式基础设施证券投资基金（508097）提供一般流动性服务。
2025-08-21CITIC Securities provided general market-making services for the Ping An Ningbo Jiaotou Hangzhou Bay Bridge Closed-end Infrastructure REIT (508036) on the Shanghai Stock Exchange starting August 21, 2025.中信证券自2025年8月21日起为平安宁波交投杭州湾跨海大桥封闭式基础设施证券投资基金（508036）提供一般做市服务。
2025-10-30China Asset Management (Huaxia Fund) Huarun Youchao rental housing closed-end infrastructure REIT expansion plan updated to 'registration effective' on Shanghai Stock Exchange. Plan manager: CITIC Securities.华夏基金华润有巢租赁住房封闭式基础设施证券投资基金扩募发售状态更新为“注册生效”。专项计划管理人为中信证券。
2026-01-14CITIC Securities won a RMB 5 million bid as financial advisor for Shaanxi Energy Investment's infrastructure REIT project.中信证券中标陕西能源投资基础设施公募REITs财务顾问项目，中标金额500万元。
Minority investments & stakes少数股权投资与持股
5 · 2024-03-18 → 2026-01-27
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Equity stake changes, share transfers, and pre-IPO placements in listed or unlisted companies.在上市公司或非上市公司中的股权变动、股份转让及IPO前配售。
2024-03-18CITIC Securities Board agreed to allow Tianjin Haipeng to transfer its 10% stake in China Asset Management (ChinaAMC) at a price no less than USD 490 million, and waived its pre-emptive right to purchase the stake.中信证券董事会同意天津海鹏转让所持华夏基金10%股权，转让金额不低于4.9亿美元，并放弃优先购买权。
2024-12-31CITIC Securities increased its stake in Sinopharm Group (01099.HK) by 231,200 shares at HKD 21.6569 per share, raising its holding to 9.00%.中信证券增持国药控股（01099.HK）23.12万股，每股均价21.6569港元，持股比例升至9.00%。
2025-10-15CITIC Securities sold 200 shares of ENN Energy (新奥能源) at 18.57 yuan per share, total 3,714 yuan, as a connected person of the offeror.中信证券作为要约人有关连联系人，于2025年10月15日卖出200股新奥能源普通股，每股18.57元，总金额3714元。
2025-10-24CITIC Securities as connected person bought 1,000 shares of ENN Energy (新奥能源) at 18.44 yuan per share, total 18,440 yuan, via index tracking ETF trade.中信证券作为要约人有关连联系人，于2025年10月23日通过追踪指数ETF交易买入1000股新奥能源普通股，每股18.44元，总金额18440元。
2026-01-27CITIC Securities organized a placement of pre-IPO shares for Jiulian Technology (688038) via询价转让 to institutional investors.中信证券组织实施九联科技（688038）首发前股东向特定机构投资者询价转让。
Underwriting & Placement Deals承销与配售交易
22 · 2024-03-26 → 2026-06-24
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Acting as lead underwriter, placing agent, or organizer for equity and debt offerings, including private placements and block trades.担任股票和债券发行的主承销商、配售代理或组织者，包括私募和大宗交易。
2024-03-26CITIC Securities 2023 annual report showed it completed 140 A-share main underwriting projects with a scale of RMB 277.913 billion, ranking first in market share (24.50%); bond underwriting of 4,200 issues totaling RMB 1.909992 trillion, ranking first among peers.中信证券2023年年报显示，完成A股主承销项目140单，规模2779.13亿元，市场份额24.50%排名第一；承销债券4200只，规模1.91万亿元，同业排名第一。
2024-05-10CITIC Securities completed the share transfer of PaiNeng Technology (派能科技) via a placement to institutional investors, acting as the organizing institution for shareholder Pai Li (Ningbo) Venture Capital Partnership.中信证券作为组织方，完成派能科技股东派锂（宁波）创投合伙企业向特定机构投资者的询价转让。
2024-05-16CITIC Securities acted as the lead underwriter for ICBC's inaugural TLAC non-capital bond issuance (400 billion yuan, 3+1 year tranche at 2.25%), the first such bond by a Chinese G-SIB.中信证券担任工商银行首单总损失吸收能力（TLAC）非资本债券（400亿元，3+1年期利率2.25%）的主承销商，系中国全球系统重要性银行首单。
2024-05-17CITIC Securities completed the share transfer of Transsion Holdings (传音控股) via a placement to institutional investors, acting as the organizing institution for shareholder Shenzhen Transsion Investment.中信证券作为组织方，完成传音控股股东深圳市传音投资有限公司向特定机构投资者的询价转让。
2024-06-07CITIC Securities is entrusted by shareholder Chang Jing to organize the first pre-IPO share placement for Beijing Roborock Technology Co., Ltd. (Stone Technology) via a qualified institutional investor inquiry transfer.中信证券受石头科技股东昌敬委托，组织实施首发前股东向特定机构投资者询价转让。
2024-07-04CITIC Securities organizes the pre-IPO shareholder placement of Espressif Systems (688018) via a询价转让 (placement to qualified institutional investors) for shareholder Loxin (HK) Investment, with the mandate received on June 28, 2024.中信证券受乐鑫科技股东乐鑫（香港）投资委托，组织实施其首发前股东询价转让。
2024-07-22CITIC Securities organizes the pre-IPO shareholder placement of Kingsemi (芯源微, 688037) via a询价转让 (placement to qualified institutional investors) for shareholder Shenyang Advanced Manufacturing Technology Industry, with the mandate received on July 19, 2024.中信证券受芯源微股东沈阳先进制造技术产业有限公司委托，组织实施其首发前股东询价转让。
2024-08-28CITIC Securities' H1 2024 securities underwriting revenue fell 54.62% YoY to 1.723 billion yuan; A-share lead underwriting 28 projects with 31.896 billion yuan, market share 18.44% (ranked first).中信证券2024年上半年证券承销业务收入17.23亿元，同比下降54.62%；完成A股主承销项目28单，主承销规模318.96亿元，市场份额18.44%（排名第一）。
2024-10-25CITIC Securities won the bid for the Wangcheng City Development Group inter-bank market dealer product underwriting project.中信证券中标望城城发集团银行间交易商协会产品承销商招标项目。
2024-10-30CITIC Securities won the bid for the Fudian Bank pledged stock public disposal project (second round).中信证券中标富滇银行抵债股票公开处置项目（二次）。
2025-03-26CITIC Securities completed 55 A-share lead underwriting projects in 2024 with a scale of RMB 70.359 billion, market share 21.87%, ranking first in both IPO and refinancing underwriting scale.中信证券2024年完成A股主承销项目55单，承销规模703.59亿元，市场份额21.87%，IPO与再融资承销规模均排名市场第一。
2025-04-19CITIC Securities acted as a joint sponsor for Postal Savings Bank of China's (PSBC) A-share private placement to specific investors.中信证券担任邮储银行向特定对象发行A股股票的联席保荐人。
2025-06-23CITIC Securities acted as lead sponsor and joint bookrunner for China Construction Bank's capital replenishment, and participated in all four state-owned large commercial banks' private placements in this round.中信证券担任建设银行资本补充项目的牵头保荐机构和联席主承销商，并参与了本轮全部四家国有大型商业银行的定增工作。
2025-07-04CITIC SEC acts as placing agent for Lepu Biopharma's H-share top-up placement of 93.825 million shares at HKD 5.02/share, raising approximately HKD 463 million.中信证券担任乐普生物H股配售代理，以每股5.02港元配售9382.5万股，融资约4.63亿港元。
2026-01-06CITIC Securities ranked first in Asia-Pacific (ex-Japan) investment banking fees ($1.45 billion, 5.8% share) and bond underwriting ($299 billion, 5.95% share) in 2025, per LSEG.伦敦证券交易所集团数据显示，中信证券2025年亚太（除日本）投行费用排名第一（14.5亿美元，份额5.8%），债券承销募资额2990亿美元（份额5.95%）。
2026-01-28CITIC Securities ranked second in 2025 treasury bond spot trading volume among non-bank members, according to Ministry of Finance.财政部公布2025年记账式国债承销团非银行类成员国债现货交易量排名，中信证券位列第二。
2026-03-27CITIC Securities 2025 annual report: full-year Sci-Tech Innovation Board, ChiNext and BSE equity underwriting scale RMB 54.7bn; Sci-Tech bond underwriting RMB 235.4bn, both ranked No.1.中信证券2025年科创板、创业板、北交所股权承销规模547亿元，科创债承销2354亿元，均排名市场第一。
2026-03-27CITIC Securities 2025 annual report: A-share equity underwriting 72 projects, scale RMB 270.646bn, market share 24.36%, ranked No.1.中信证券2025年完成A股主承销项目72单，承销金额2706.46亿元，市场份额24.36%，排名第一。
2026-03-27CITIC Securities 2025 annual report: full-year A-share equity underwriting scale up 245.42% YoY; debt underwriting scale exceeded RMB 2 trillion for second consecutive year.中信证券2025年A股股权融资发行规模同比大增245.42%，债券承销规模连续两年突破2万亿元。
2026-03-27CITIC Securities 2025 annual report: full-year Hong Kong IPO underwriting scale USD 7.549bn, ranked No.2; offshore RMB bond underwriting ranked No.1.中信证券2025年港股IPO承销规模75.49亿美元，排名第二；中资离岸债承销规模排名第一。
2026-06-11CITIC Securities acts as joint lead underwriter for SPIC Capital (电投产融) private placement; announcement contains typo 'Shenzhen Gaoshan District'.中信证券担任电投产融向特定对象发行股票的联席主承销商；上市公告书出现'深圳市高山区'笔误。
2026-06-24CITIC Securities ranks first in A-share equity underwriting in 2026 YTD with 138.248 billion yuan and 32.88% market share.2026年以来中信证券A股股权承销金额1382.48亿元，市场份额32.88%，排名第一。
Corporate Governance & Strategy公司治理与战略
7 · 2024-03-27 → 2026-03-26
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Amendments to articles of association, governance rule updates, strategic direction announcements, and shareholder return plans.修订公司章程、更新治理规则、宣布战略方向及股东回报计划。
2024-03-27CITIC Securities held a performance briefing; Chairman Zhang Youjun stated the company will serve new quality productive forces through direct financing, M&A, industrial research, and equity investment, and will build a first-class investment bank.中信证券举行业绩说明会，董事长张佑君表示将通过直接融资、并购重组、产业研究、股权投资等方式服务新质生产力，建设一流投资银行。
2024-06-21CITIC Securities board approves a resolution to amend the company's articles of association.中信证券董事会审议通过修订公司章程的议案。
2024-06-28CITIC Securities publishes its 2024 'Improve Quality, Increase Efficiency, and Emphasize Returns' action plan, focusing on six areas including function fulfillment, investor returns, and serving new productive forces.中信证券发布2024年度“提质增效重回报”行动方案，涵盖功能发挥、提升投资者回报、服务新质生产力等六个方面。
2025-11-07CITIC Securities announced it will abolish its supervisory board, with the board's audit committee exercising supervisory powers, in line with the new Company Law and regulatory requirements.中信证券公告拟不再设置监事会，由董事会审计委员会行使监事会职权，以符合新《公司法》及监管要求。
2025-12-02CITIC Securities announced that it will hold an extraordinary general meeting on December 19 to vote on abolishing the board of supervisors, expanding the board from 9 to 15 members, re-electing directors, renewing related-party transaction framework agreements with CITIC Group, and a 2025 interim dividend of 2.90 yuan per 10 shares (total ~4.298 billion yuan).中信证券公告将于12月19日召开临时股东大会，审议不再设置监事会、董事会由9人扩至15人、增补董事、续签与中信集团关联交易框架协议及2025年中期利润分配方案（每10股派2.90元，合计约42.98亿元）。
2025-12-31CITIC Securities revised multiple internal governance rules: Information Disclosure Management System, Information Disclosure Suspension and Exemption System, Nomination Committee Rules, Risk Management Committee Rules, Director and Senior Management Shareholding Management Measures, Board Secretary Work Rules, Related-Party Transaction Control Committee Rules, and Related-Party Transaction Management Measures, all approved by the 42nd meeting of the 8th Board of Directors.中信证券修订了《信息披露事务管理制度》《信息披露暂缓与豁免管理制度》《董事会提名委员会议事规则》《董事会风险管理委员会议事规则》《董事和高级管理人员持有本公司股份及其变动管理办法》《董事会秘书工作细则》《董事会关联交易控制委员会议事规则》《关联交易管理办法》等多项内部治理制度，经第八届董事会第四十二次会议审议通过。
2026-03-26CITIC Securities board approved 2026 daily/continuing connected transactions proposal.中信证券董事会审议通过2026年度日常关联/持续性关连交易议案。
Rumor Refutation & Fraud Warnings辟谣与防诈骗警告
2 · 2024-03-28 → 2024-09-27
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Official statements refuting market rumors or warning about fraudulent activities impersonating the firm.官方声明驳斥市场谣言或警告冒充公司的欺诈活动。
2024-03-28CITIC Securities issued a statement refuting false and defamatory online rumors about its IPO sponsorship practices, stating it will reserve the right to pursue legal liability.中信证券发布声明，驳斥网络上关于其IPO保荐业务的虚假不实信息，表示将保留追究法律责任的权利。
2024-09-27CITIC Securities responds to rumors of 'short position blow-up' at CITIC Futures, stating the short positions were client activities and the reported RMB 6.632 billion loss figure was misleading AI calculation by East Money.中信证券回应“中信期货空单爆仓”传闻，称空单为客户行为，东方财富统计的66.32亿元亏损为AI误导性计算。
Other其他
7 · 2024-04-07 → 2026-06-10
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Miscellaneous events including headcount changes, forced liquidation, repo transactions, and competitive rankings.杂项事件，包括人员变动、强制平仓、回购交易及竞争排名。
2024-04-07CITIC Securities transferred over 100 investment banking equity staff to other positions to ease pressure from the IPO slowdown.中信证券对100余名总部投行股权业务人员进行调岗，以缓解IPO降速带来的人员压力。
2024-08-28CITIC Securities' total group employees were 26,043 as of June 30, 2024, a reduction of 779 from the beginning of the year; parent company headcount fell by 581.截至2024年6月30日，中信证券集团员工人数26043人，较年初减少779人，其中母公司减少581人。
2025-07-17CITIC SEC initiates forced liquidation of 4.4873 million shares (1% of total) of Focused Photonics (300203.SZ) held by controlling shareholder Ruiyang Technology due to margin call default.中信证券因控股股东睿洋科技融资融券合约逾期违约，对其持有的聚光科技(300203.SZ)448.73万股（占总股本1%）进行强制平仓。
2025-08-06China Bohai Bank and CITIC Securities completed a pledged repo transaction using the '25 Nongfa Qingfa Kechuang Bond 01' as collateral, worth RMB 50 million, the first of its kind for a Tianjin corporate legal person financial institution.渤海银行与中信证券以‘25农发清发科创债01’为押品完成0.5亿元质押式回购交易，为天津地区法人金融机构首单。
2025-08-18CITIC Securities announced its 2024 annual A-share dividend implementation: RMB 0.28 per share (tax included), with a total cash dividend of approximately RMB 4.15 billion, and a full-year 2024 cash dividend of RMB 0.52 per share.中信证券发布2024年度A股权益分派实施公告，每股派发现金红利0.28元（含税），共计派发约41.5亿元，2024年全年现金红利为每股0.52元。
2025-09-04CITIC SEC lost its half-year net profit top spot to the newly merged Guotai Haitong Securities, which posted 16.321 billion yuan vs CITIC SEC's 13.72 billion yuan; CITIC SEC still led in revenue with 33.039 billion yuan.中信证券上半年净利润被新合并的国泰海通证券超越（国泰海通163.21亿元 vs 中信137.2亿元），但营收仍以330.39亿元居首。
2026-06-10Fitch Ratings assigns CITIC Securities and CITIC Securities International first-time 'A-' long-term issuer rating with stable outlook; first Chinese broker to receive this rating.惠誉评级首次授予中信证券及中信证券国际'A-'长期发行人主体评级，展望稳定；为国内首家获此评级的证券公司。
Strategic cooperation MoUs战略合作备忘录
3 · 2024-05-28 → 2025-03-25
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Partnership agreements, fund distribution deals, and joint product launches with other financial institutions.与其他金融机构的合作协议、基金代销协议及联合产品发行。
2024-05-28CITIC Securities and Puyin Ample Fund jointly launched the 'CITIC Securities-Puyin Ample Fund 0-5 Year Central Enterprise Bond Basket' for the interbank bond market.中信证券与浦银安盛基金合作推出'中信证券-浦银安盛基金0-5年期央企债券篮子'，面向银行间债券市场。
2025-02-26CITIC Securities and its affiliates (CITIC Securities Shandong, CITIC Securities South China, CITIC Futures) signed a fund distribution agreement with Huatai Baoxing Fund Management to sell its funds starting Feb 26, with fee discounts.中信证券及其中信证券（山东）、中信证券华南、中信期货与华泰保兴基金管理有限公司签署基金销售协议，自2月26日起销售其旗下基金并提供费率优惠。
2025-03-25CITIC Securities, CITIC Securities (Shandong), and CITIC Securities (South China) were added as primary dealers by CICC Fund Management Co., Ltd. from March 25, 2025.中金基金管理有限公司自2025年3月25日起增加中信证券、中信山东、中信华南为一级交易商。
Litigation & Legal Disputes诉讼与法律纠纷
3 · 2024-06-14 → 2026-05-25
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Involvement in lawsuits as defendant or plaintiff, including securities fraud claims and wealth product disputes.作为被告或原告参与诉讼，包括证券欺诈索赔和理财产品纠纷。
2024-06-14CITIC Securities, as sponsor, is named as defendant in a securities fraud lawsuit filed by Huichuan Technology (Huichen Shares) for false statements in its IPO prospectus and annual reports.中信证券作为保荐机构，因慧辰股份招股书及年报虚假记载被列为证券虚假陈述责任纠纷案被告。
2025-12-25A court in Shenzhen issued a first-instance verdict ordering CITIC Securities to compensate Shenzhen Fuanna Bedding and Furnishing Co., Ltd. approximately 29.29 million yuan for principal loss on the overdue 'Fu'an No.1' fixed-income wealth management product. Future liquidation proceeds from the asset management plan will be split 50/50 between Fuanna and CITIC Securities.深圳市福田区人民法院一审判决中信证券向富安娜赔偿“富安1号”固定收益类理财产品逾期兑付的本金损失约2928.63万元，涉案资管计划后续清算回款由双方各分50%。
2026-05-25CITIC Securities is plaintiff in a securities misrepresentation lawsuit (case No. 2025 Jing 74 Min Chu 2451) at Beijing Financial Court, hearing set for July 2, 2026.中信证券作为原告涉及一宗证券虚假陈述责任纠纷案（案号(2025)京74民初2451号），审理法院为北京金融法院，开庭日期2026年7月2日。
Asset-Backed Securities (ABS)资产支持证券（ABS）
44 · 2024-07-10 → 2026-06-17
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Creation, approval, and listing of various asset-backed special plans (ABS) on the Shenzhen Stock Exchange.在深圳证券交易所创建、批准和上市各类资产支持专项计划（ABS）。
2024-07-10Shenzhen Stock Exchange approves the transfer service for 'Shiqiao CITIC Securities Huinong Phase 10 Asset-Backed Special Plan' (狮桥惠农10期) via multiple trading methods, effective July 11, 2024.深交所自2024年7月11日起为“狮桥中信证券惠农10期资产支持专项计划”提供转让服务。
2024-09-04CITIC Securities launches 'CITIC Securities-Liuhua Exhibition Trade Center Asset-Backed Special Plan' (Liuhua Zhanmao 2024-1) on Shenzhen Stock Exchange, with senior tranche '24 Liuhua You' (code 144530) maturing Jul 28, 2045.中信证券“中信证券-流花展贸中心资产支持专项计划”（流花展贸2024-1）在深交所挂牌，优先级证券“24流花优”（代码144530）到期日为2045年7月28日。
2024-09-06CITIC Securities launches 'CITIC Securities-S.F. Small Loan Phase 2 Asset-Backed Special Plan' (Shunfeng Xiaodai 2) on Shenzhen Stock Exchange, with senior tranche 'He Feng 2A' (code 144517) maturing Aug 17, 2026.中信证券“中信证券-顺丰小贷第2期资产支持专项计划”（顺丰小贷2期）在深交所挂牌，优先级证券“合丰2A”（代码144517）到期日为2026年8月17日。
2024-09-12CITIC Securities launches 'CITIC Securities-Yuexiu Leasing Kunpeng Phase 17 Green Asset-Backed Special Plan (Sustainability-Linked)' on Shenzhen Stock Exchange, with senior tranche 'Kunpeng 17A1' (code 144519) maturing Jul 28, 2025.中信证券“中信证券-越秀租赁鲲鹏第17期绿色资产支持专项计划（可持续挂钩）”在深交所挂牌，优先级证券“鲲鹏17A1”（代码144519）到期日为2025年7月28日。
2024-09-18CITIC Securities' 'CITIC Securities-Beautiful Life 2024 Phase 1 Series 1-20 Asset-Backed Special Plan' (RMB 5 billion ABS, issuer Chongqing Meituan SanKuai Xiaodai) receives 'feedback' status on Shanghai Stock Exchange.中信证券“中信证券-美好生活2024年1期1-20号资产支持专项计划”（50亿元ABS，发行人为重庆美团三快小额贷款有限公司）在上交所状态更新为“已反馈”。
2024-09-19CITIC Securities launches 'CITIC Securities-Joy City Shopping Center No.1 Asset-Backed Special Plan' on Shenzhen Stock Exchange, with subordinated tranche 'R Joy City 01' (code 121583) maturing Sep 7, 2048.中信证券“中信证券-大悦城购物中心1号资产支持专项计划”在深交所挂牌，次级证券“R大悦01”（代码121583）到期日为2048年9月7日。
2024-09-29CITIC Securities-Yuexiu Commercial Holding-Type Real Estate Asset-Backed Special Plan project status updated to 'feedback' on Shenzhen Stock Exchange.中信证券-越秀商业持有型不动产资产支持专项计划在深交所状态更新为“已反馈”。
2024-10-16Shenzhen Stock Exchange approved the transfer of 'Shiqiao CITIC Securities Huinong 2 Phase 1 Asset-Backed Special Plan' from 2024-10-17.深交所自2024年10月17日起为“狮桥中信证券惠农2号1期资产支持专项计划”提供转让服务。
2024-10-18Shenzhen Stock Exchange approved the transfer of 'CITIC Securities-Yuexiu Leasing Kunpeng Phase 19 Green Asset-Backed Special Plan' from 2024-10-21.深交所自2024年10月21日起为“中信证券-越秀租赁鲲鹏第19期绿色资产支持专项计划”提供转让服务。
2024-10-22Shenzhen Stock Exchange approved the transfer of 'CITIC Securities-Gangzhong Mansion Asset-Backed Special Plan' from 2024-10-23.深交所自2024年10月23日起为“中信证券-港中旅大厦资产支持专项计划”提供转让服务。
2024-10-29The 'CITIC Securities-Yuexiu Commercial Holding Real Estate Asset-Backed Special Plan' (14.13 billion yuan) was approved by the Shenzhen Stock Exchange.“中信证券-越秀商业持有型不动产资产支持专项计划”（拟发行14.13亿元）在深交所项目状态更新为“通过”。
2024-11-13CITIC Securities completed the issuance of 'CITIC Securities-Jiaxing Phase 1 Natural Gas Toll Revenue Green Asset Support Special Plan' on Shanghai Stock Exchange, raising 594 million yuan.中信证券-嘉兴1期天然气收费收益权绿色资产支持专项计划在上交所完成发行，发行规模5.94亿元。
2024-11-26Shenzhen Stock Exchange approved the transfer service for 'CITIC Securities-Yuexiu Lease Kunpeng Phase 20 Green Asset Support Special Plan', effective November 27, 2024.深交所为“中信证券-越秀租赁鲲鹏第20期绿色资产支持专项计划”提供转让服务，自2024年11月27日起生效。
2024-12-18CITIC Securities issued the CITIC Securities-Sichuan Road & Bridge Phase 2 asset-backed special plan, raising RMB 1.75 billion from institutional investors.中信证券发行中信证券-四川路桥2期资产支持专项计划，募集资金17.5亿元。
2024-12-23Shenzhen Stock Exchange approved the listing of the CITIC Securities-Yuexiu Commercial Holding-type Real Estate Asset-backed Special Plan for transfer from December 24.深交所同意中信证券-越秀商业持有型不动产资产支持专项计划自12月24日起提供转让服务。
2025-01-08CITIC Securities' asset-backed special plan 'CITIC Securities-Shandong High-speed Road & Bridge-Shangao Factoring Phase 4' began trading on the Shenzhen Stock Exchange.“中信证券-山东高速路桥-山高保理第4期资产支持专项计划”在深交所开始转让。
2025-01-10CITIC Securities' asset-backed special plan 'Shiqiao CITIC Securities Huinong Phase 2 Series 3' began trading on the Shenzhen Stock Exchange.“狮桥中信证券惠农2号3期资产支持专项计划（两新）”在深交所开始转让。
2025-02-12Shenzhen Stock Exchange approved the listing and transfer of 'CITIC Securities-Xiaoman 2 Phase 1 Asset-Backed Special Plan' (Xiaoman 2 Phase 1), established on 2025-01-10, with priority and subordinated tranches.深交所为“中信证券-小满2号第1期资产支持专项计划”（小满2号1期）提供转让服务，该计划设立于2025年1月10日，含优先级和次级证券。
2025-03-13Shenzhen Stock Exchange agreed to provide transfer services for the 'Shiqiao CITIC Securities Huinong 2 Phase 4' asset-backed special plan (codes 146125, 146126) from March 14, 2025.深交所自2025年3月14日起为'狮桥中信证券惠农2号4期资产支持专项计划'（证券代码146125、146126）提供转让服务。
2025-08-07Shenzhen Stock Exchange approved the transfer service for 'Shiqiao CITIC Securities Huinong 2 Phase 7 Asset-Backed Special Plan' (subordinated tranche 'Shiqiao 59A2', code 146637) starting August 8, 2025.深交所为‘狮桥中信证券惠农2号7期资产支持专项计划’（次优级‘狮桥59A2’，代码146637）自2025年8月8日起提供转让服务。
2025-08-13Shenzhen Stock Exchange approved the transfer service for 'CITIC Securities-Shenzhen Guarantee Group-1 Asset-Backed Special Plan (AI)' (senior tranche '25ShenDan1A', code 146684) starting August 14, 2025.深交所为‘中信证券-深担集团-1号资产支持专项计划（人工智能）’（优先级‘25深担1A’，代码146684）自2025年8月14日起提供转让服务。
2025-08-28Shenzhen Stock Exchange approved the transfer service for 'CITIC Securities-Hongsheng 1 Phase 2 Asset-Backed Special Plan' (senior tranche 'Hongsheng 1 Phase 2 Priority A', code 146751) starting August 29, 2025.深交所为‘中信证券-泓晟1号第2期资产支持专项计划’（优先级‘泓晟1号2期优先A级’，代码146751）自2025年8月29日起提供转让服务。
2025-09-01CITIC SEC's 'Hongyuan No.1 Phase 2' asset-backed special plan (code 146748) was approved for transfer on the Shenzhen Stock Exchange from Sep 2, 2025, with maturity on Jul 13, 2026.中信证券“泓远1号第2期”资产支持专项计划（代码146748）获深交所批准自2025年9月2日起提供转让服务，到期日为2026年7月13日。
2025-09-10CITIC SEC's 'Shenzhen Guarantee Group No.2' asset-backed special plan (code 146784) for SME intellectual property was approved for transfer on the Shenzhen Stock Exchange from Sep 11, 2025, maturing May 22, 2026.中信证券“深担集团-2号”资产支持专项计划（园区中小微企业知识产权专项，代码146784）获深交所批准自2025年9月11日起提供转让服务，到期日为2026年5月22日。
2025-10-14CITIC Securities-Hongyuan 1 Phase 3 asset-backed special plan (泓远1号第3期) approved for trading on Shenzhen Stock Exchange from Oct 15, 2025. Plan established Sep 16, 2025.中信证券-泓远1号第3期资产支持专项计划获深交所批准自2025年10月15日起转让。计划设立日期为2025年9月16日。
2025-10-23CITIC Securities-Shenzhen Guarantee Group 3rd IP asset-backed special plan (深担3号) approved for trading on Shenzhen Stock Exchange from Oct 24, 2025. Plan established Sep 24, 2025.中信证券-深担集团-3号知识产权资产支持专项计划（河套深港科技创新合作区）获深交所批准自2025年10月24日起转让。计划设立日期为2025年9月24日。
2025-10-23Shiqiao CITIC Securities Huinong 2 Phase 8 asset-backed special plan (狮桥惠农2号8期) approved for trading on Shenzhen Stock Exchange from Oct 24, 2025. Plan established Sep 16, 2025.狮桥中信证券惠农2号8期资产支持专项计划获深交所批准自2025年10月24日起转让。计划设立日期为2025年9月16日。
2025-10-30CITIC Securities-Shenzhen Guarantee Group 5th IP asset-backed special plan (深担5号) approved for trading on Shenzhen Stock Exchange from Oct 31, 2025. Plan established Sep 30, 2025.中信证券-深担集团-5号知识产权资产支持专项计划（罗湖盐田中小企业）获深交所批准自2025年10月31日起转让。计划设立日期为2025年9月30日。
2025-10-30CITIC Securities-China Overseas Commercial Asset 1 asset-backed special plan (R中海01) approved for trading on Shenzhen Stock Exchange from Oct 31, 2025. Plan established Oct 20, 2025.中信证券-中海商业资产1号资产支持专项计划获深交所批准自2025年10月31日起转让。计划设立日期为2025年10月20日。
2025-11-06Shenzhen Stock Exchange approved the listing and transfer of 'CITIC Securities-Hongtuo Phase 1 Asset-Backed Special Plan' (Hongtuo 1), established on Oct 17, 2025, with maturity on Jul 19, 2027.深交所为“中信证券-弘拓第1期资产支持专项计划”提供转让服务，该计划设立于2025年10月17日，到期日为2027年7月19日。
2025-11-11Shenzhen Stock Exchange approved the listing of 'CITIC Securities-Hongsheng No.1 Phase 4 Asset-Backed Special Plan (SME Financing Support)', established on Oct 16, 2025, with maturity on Oct 16, 2026.深交所为“中信证券-泓晟1号第4期资产支持专项计划（中小微企业融资支持）”提供转让服务，设立于2025年10月16日，到期日2026年10月16日。
2025-11-17Shenzhen Stock Exchange approved the listing of 'CITIC Securities-Hongtuo Phase 2 Asset-Backed Special Plan' (Hongtuo 2), established on Oct 29, 2025, with maturity on Jul 29, 2027.深交所为“中信证券-弘拓第2期资产支持专项计划”提供转让服务，设立于2025年10月29日，到期日2027年7月29日。
2025-11-20Shenzhen Stock Exchange approved the listing of 'Shiqiao CITIC Securities Huinong No.2 Phase 9 Asset-Backed Special Plan', established on Oct 28, 2025, with maturity on Jun 1, 2027.深交所为“狮桥中信证券惠农2号9期资产支持专项计划”提供转让服务，设立于2025年10月28日，到期日2027年6月1日。
2025-11-21Shenzhen Stock Exchange approved the listing of 'CITIC Securities-Sichuan Energy Development Clean Energy Holding-type Real Estate ABS', established on Nov 4, 2025, with maturity on Feb 28, 2070.深交所为“中信证券-四川能源发展清洁能源持有型不动产资产支持专项计划”提供转让服务，设立于2025年11月4日，到期日2070年2月28日。
2026-03-16Shenzhen Stock Exchange approved listing of 'CITIC Securities-Hongze Phase 1 Asset-Backed Special Plan' (ABS) for trading from March 17.深交所同意“中信证券-弘泽第1期资产支持专项计划”自3月17日起提供转让服务。
2026-03-16Shenzhen Stock Exchange approved listing of 'CITIC Securities-Hongsheng No.1 Phase 7 Asset-Backed Special Plan (SME Support)' for trading from March 17.深交所同意“中信证券-泓晟1号第7期资产支持专项计划（中小微企业支持）”自3月17日起提供转让服务。
2026-03-20Shenzhen Stock Exchange approved listing of 'CITIC Securities-Hongyuan No.1 Phase 7 Asset-Backed Special Plan' for trading from March 23.深交所同意“中信证券-泓远1号第7期资产支持专项计划”自3月23日起提供转让服务。
2026-03-25Shenzhen Stock Exchange approved listing of 'CITIC Securities-Yangzhou Guojin Leasing Phase 1 Asset-Backed Special Plan' for trading from March 26.深交所同意“中信证券-扬州国金租赁第1期资产支持专项计划”自3月26日起提供转让服务。
2026-04-03Shenzhen Stock Exchange approved the listing of 'Shiqiao CITIC Securities Huinong No.2 Phase 12 Asset-Backed Special Plan' (狮桥惠农2号12期) for transfer from April 3, 2026.深交所自2026年4月3日起为“狮桥中信证券惠农2号12期资产支持专项计划”提供转让服务。
2026-04-07Shenzhen Stock Exchange approved the listing of 'CITIC Securities-Yuexiu Leasing Kunpeng Phase 33 Carbon-Neutral Green Asset-Backed Special Plan (Climate Theme)' (越秀租赁鲲鹏33期) for transfer from April 8, 2026.深交所自2026年4月8日起为“中信证券-越秀租赁鲲鹏第33期碳中和绿色资产支持专项计划（气候主题）”提供转让服务。
2026-04-10Shenzhen Stock Exchange approved the listing of 'CITIC Securities - Zhongran - Hongxin No.1 Phase 1 Supply Chain Asset-Backed Special Plan' (中燃1号) for transfer from April 13, 2026.深交所自2026年4月13日起为“中信证券-中燃-宏信1号第1期供应链资产支持专项计划”提供转让服务。
2026-04-24Shenzhen Stock Exchange approved the listing of 'CITIC Securities - Hongze Phase 2 Asset-Backed Special Plan' (弘泽2期) for transfer from April 27, 2026.深交所自2026年4月27日起为“中信证券-弘泽第2期资产支持专项计划”提供转让服务。
2026-06-17CITIC Securities' 'Hongze Phase 4' asset-backed special plan (弘泽4期) approved for trading on Shenzhen Stock Exchange from June 18.中信证券-弘泽第4期资产支持专项计划自2026年6月18日起在深交所提供转让服务。
2026-06-17CITIC Securities' 'Yuexiu Leasing Kunpeng Phase 35' carbon-neutral green ABS (climate theme) approved for trading on Shenzhen Stock Exchange from June 18.中信证券-越秀租赁鲲鹏第35期碳中和绿色资产支持专项计划（气候主题）自2026年6月18日起在深交所提供转让服务。
IPO Sponsorship (Hong Kong)香港IPO保荐
98 · 2024-07-11 → 2026-06-25
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Sponsorship of IPOs on the Hong Kong Stock Exchange, including filings, hearings, and listings.在香港证券交易所的IPO保荐，包括申报、聆讯和上市。
2024-07-11CITIC Securities is appointed as a joint sponsor for Sichuan Baili Pharmaceutical (百利天恒)'s Hong Kong IPO application, along with Goldman Sachs and JPMorgan.中信证券与高盛、摩根大通共同担任四川百利天恒药业港交所上市的联席保荐人。
2024-09-14CITIC Securities acts as sole sponsor for IVF Hospital Management Group (Aiwei Aifu) filing a Hong Kong IPO application (second attempt).中信证券作为独家保荐人，协助爱维艾夫医院管理集团向港交所递交IPO申请（第二次递表）。
2024-10-15CITIC Securities acted as the sole sponsor for Mengjin Gold Jewelry Group's IPO application on the Hong Kong Stock Exchange.中信证券作为梦金园黄金珠宝集团港交所主板上市的独家保荐人。
2024-10-28Guangdong APEX Electronics Co., Ltd. passed the Hong Kong Stock Exchange listing hearing, with CITIC Securities as the sole sponsor.广东晶科电子股份有限公司通过港交所上市聆讯，独家保荐人为中信证券。
2024-11-22Freetech (Zhejiang) Intelligent Technology Co., Ltd. filed for IPO on Hong Kong Stock Exchange, with joint sponsors including CITIC Securities, CICC, Huatai International, and HSBC.福瑞泰克（浙江）智能科技股份有限公司向港交所递交上市申请，联席保荐人包括中信证券、中金公司、华泰国际、汇丰。
2025-01-07CITIC Securities acted as joint sponsor for Mawell Biotech's Hong Kong IPO filing. Mawell Biotech is a Shanghai-listed biotech company (688062).中信证券担任迈威生物港股上市的联席保荐人。迈威生物是一家上交所科创板上市公司（688062）。
2025-02-17Chifeng Jilong Gold Mining Co., Ltd. passed the Hong Kong Stock Exchange hearing, with CITIC Securities as the sole sponsor.赤峰吉隆黄金矿业股份有限公司通过港交所上市聆讯，中信证券为独家保荐人。
2025-02-18Sany Heavy Industry (600031) plans a Hong Kong secondary listing to raise about USD 1.5 billion, with Bank of America, JPMorgan and CITIC Securities arranging the deal.三一重工(600031)计划来港第二上市，集资约15亿美元，美国银行、摩根大通及中信证券安排上市事宜。
2025-02-24Shandong Tianyue Advanced Technology Co., Ltd. (688234.SH) filed for a Hong Kong IPO, with CICC and CITIC Securities as joint sponsors.山东天岳先进科技股份有限公司(688234.SH)递表港交所，中金公司和中信证券为其联席保荐人。
2025-03-07CITIC Securities acted as the sole sponsor for Huisuanzhang Holdings Ltd., a Chinese SME financial and tax solutions provider, in its Hong Kong IPO application.中信证券担任慧算账控股有限公司港交所主板上市的独家保荐人。
2025-03-21Shenzhen Jiangbo Electronics Co., Ltd. filed a Hong Kong IPO application with joint sponsors Citigroup and CITIC Securities.深圳市江波龙电子股份有限公司向港交所提交上市申请，联席保荐人为花旗和中信证券。
2025-03-31Lens Technology Co., Ltd. filed a Hong Kong IPO application with CITIC Securities as the sole sponsor.蓝思科技向港交所提交上市申请书，中信证券为独家保荐人。
2025-04-09CITIC Securities acted as the sole sponsor for IFBH Limited's IPO application to the Hong Kong Stock Exchange.中信证券担任IFBH Limited在港交所IPO的独家保荐人。
2025-04-17CITIC Securities acted as a joint sponsor for Liuliu Guo (溜溜果园) Group's IPO application to the Hong Kong Stock Exchange.中信证券担任溜溜果园集团在港交所IPO的联席保荐人。
2025-04-18CITIC Securities acted as the sole sponsor for Nanhua Futures' IPO application to the Hong Kong Stock Exchange.中信证券担任南华期货在港交所IPO的独家保荐人。
2025-04-25CITIC Securities acted as a joint sponsor for Novosense Microelectronics (纳芯微)'s IPO application to the Hong Kong Stock Exchange.中信证券担任纳芯微在港交所IPO的联席保荐人。
2025-04-27CITIC Securities acted as the sole sponsor for Three Squirrels (三只松鼠)'s IPO application to the Hong Kong Stock Exchange.中信证券担任三只松鼠在港交所IPO的独家保荐人。
2025-04-27CITIC Securities acted as the sole sponsor for Fibocom Wireless (广和通)'s IPO application to the Hong Kong Stock Exchange.中信证券担任广和通在港交所IPO的独家保荐人。
2025-04-29CITIC Securities acted as a joint sponsor for JA Solar Technology (晶澳科技)'s IPO application to the Hong Kong Stock Exchange.中信证券担任晶澳科技在港交所IPO的联席保荐人。
2025-05-12Zijin Mining selected CITIC Securities and Morgan Stanley to arrange the Hong Kong IPO of its overseas gold business, aiming to spin off and list its gold assets.紫金矿业选择中信证券和摩根士丹利负责其海外黄金业务香港IPO事宜，拟分拆黄金资产独立上市。
2025-05-16Muyuan Foods hired CITIC Securities, Goldman Sachs, and Morgan Stanley for its planned Hong Kong listing this year, targeting to raise at least USD 1 billion.牧原股份聘请中信证券、高盛和摩根士丹利负责今年香港上市事宜，计划筹资至少10亿美元。
2025-05-22Sany Heavy Industry submitted a Hong Kong IPO application to the HKEX, with CITIC Securities as the sole sponsor.三一重工向港交所提交上市申请，中信证券为独家保荐人。
2025-05-28Lizhuo Storage Technology (力积存储) filed for Hong Kong IPO, with CITIC Securities as sole sponsor; it is a leading Chinese memory chip design firm and AI memory-computing solution provider.力积存储向港交所递交上市申请，中信证券为独家保荐人；公司是中国领先的内存芯片设计公司及AI存算解决方案供应商。
2025-05-29UISEE Technology (驭势科技) filed for Hong Kong IPO, with CITIC Securities as sole sponsor; it is a L4 autonomous driving company serving airports and factories.驭势科技向港交所递交上市申请，中信证券为独家保荐人；公司专注于L4级自动驾驶，服务机场和厂区。
2025-05-30Lin Qingxuan (林清轩) filed for Hong Kong IPO, with joint sponsors CITIC Securities and Huatai International; it is a leading high-end domestic skincare brand in China.林清轩向港交所递交招股书，联席保荐人为中信证券和华泰国际；公司是中国高端国货护肤品牌领导者。
2025-05-30ESWIN Computing (奕斯伟计算) filed for Hong Kong IPO, with sponsors CITIC Securities and CITIC Securities International; it focuses on RISC-V solutions for smart terminals and embodied AI.奕斯伟计算向港交所递交招股书，保荐人为中信证券和中信建投国际；公司专注于RISC-V架构的智能终端和具身智能解决方案。
2025-05-30Joulwatt Microelectronics (杰华特) filed for Hong Kong IPO, with CITIC Securities as sole sponsor; it is an analog IC design company with a virtual IDM model.杰华特微电子向港交所递交上市申请，中信证券为独家保荐人；公司是以虚拟IDM为经营模式的模拟集成电路设计企业。
2025-07-09CITIC SEC acts as sole sponsor and overall coordinator for Lens Technology's HKD 5.483 billion (greenshoe) A-to-H IPO on HKEX, the largest consumer tech IPO in Hong Kong this year.中信证券担任蓝思科技独家保荐人及整体协调人，完成54.83亿港元（绿鞋后）A转H上市，为今年港股消费科技最大IPO。
2025-07-23CITIC SEC acts as sole sponsor for Tianyu Semiconductor's HKEX Main Board IPO application; Tianyu is China's largest SiC epitaxial wafer supplier by revenue and volume in 2024.中信证券担任天域半导体港交所主板上市独家保荐人；天域半导体2024年在中国碳化硅外延片行业收入及销量均排名第一。
2025-07-29CITIC SEC and CMB International serve as joint sponsors for Zhonghui Yuantong (中慧元通), which passes HKEX listing hearing; its core product is China's first approved quadrivalent influenza subunit vaccine (Huierkangxin).中信证券与招银国际担任中慧元通联席保荐人，公司通过港交所上市聆讯；核心产品为中国首款获批的四价流感病毒亚单位疫苗（慧尔康欣）。
2025-07-30CITIC SEC and Goldman Sachs act as joint sponsors for Sunwoda Electronic's (300207.SZ) HKEX Main Board IPO application; Sunwoda is the world's #1 mobile phone battery maker with 34.3% market share in 2024.中信证券与高盛担任欣旺达(300207.SZ)港交所主板上市联席保荐人；欣旺达2024年全球手机电池市场份额34.3%，位居第一。
2025-07-31CITIC SEC and ABC International serve as joint sponsors for Danuo Pharmaceutical's HKEX IPO application; its core drug TNP-2198 is the world's first novel entity candidate for H. pylori infection.中信证券与农银国际担任丹诺医药港交所上市联席保荐人；核心产品利福特尼唑(TNP-2198)为全球首个治疗幽门螺杆菌感染的新分子实体候选药物。
2025-08-01CITIC Securities is the sole sponsor for Wangshan Wangshui's (Winsun) IPO application on the Hong Kong Stock Exchange; the company focuses on small-molecule drugs for viral infections, neuropsychiatry, and reproductive health.中信证券担任旺山旺水（Winsun）港交所上市申请的独家保荐人；该公司专注于病毒感染、神经精神及生殖健康领域的小分子药物。
2025-08-18Huaren Biotechnology (华芢生物科技) submitted an IPO application to the Hong Kong Stock Exchange, with CITIC Securities and Huatai International as joint sponsors.华芢生物科技向港交所主板提交上市申请，中信证券和华泰国际担任联席保荐人。
2025-08-19Luxshare Precision (立讯精密) submitted an IPO application to the Hong Kong Stock Exchange, with CITIC Securities, Goldman Sachs, and CICC as joint sponsors.立讯精密向港交所主板递交上市申请，由中信证券、高盛、中金公司担任联席保荐人。
2025-08-25Xinhuaxin (信华信) submitted an IPO application to the Hong Kong Stock Exchange, with CITIC Securities and Daiwa as joint sponsors.信华信向港交所主板递交上市申请，中信证券和大和担任联席保荐人。
2025-08-25Jingfang Pharmaceutical (劲方医药) passed the Hong Kong Stock Exchange listing hearing, with CITIC Securities as its sole sponsor.劲方医药通过港交所上市聆讯，中信证券为其独家保荐人。
2025-08-26Yingshi Biotechnology (应世生物) submitted an IPO application to the Hong Kong Stock Exchange, with CITIC Securities and CCB International as joint sponsors.应世生物向港交所主板递交上市申请，中信证券和建银国际为其联席保荐人。
2025-08-26Nazhen Technology (纳真科技) submitted an IPO application to the Hong Kong Stock Exchange, with Citigroup and CITIC Securities as joint sponsors.纳真科技向港交所提交上市申请，花旗和中信证券为其联席保荐人。
2025-08-27Tianxing Medical (天星医疗) submitted an IPO application to the Hong Kong Stock Exchange, with CITIC Securities and CCB International as joint sponsors.天星医疗向港交所提交上市申请，中信证券、建银国际为联席保荐人。
2025-09-03CITIC SEC acted as lead sponsor for Zhejiang Leapmotor Technology Co., Ltd. (9863.HK) in its 2.6 billion yuan private placement of domestic shares completed on Aug 29, 2025.中信证券担任浙江零跑科技（9863.HK）26亿元内资股定向发行的主办券商，发行于2025年8月29日完成。
2025-10-09CITIC Securities appointed as joint sponsor for Haoyisheng Cloud Medical (好医生云医疗) HK IPO.中信证券获委任为好医生云医疗港交所上市联席保荐人。
2025-10-09CITIC Securities appointed as joint sponsor for Bochewang (博车网) HK IPO.中信证券获委任为博车网港交所上市联席保荐人。
2025-10-10CITIC Securities appointed as one of sponsors for Zhiyuan Robot (智元机器人) planned HK IPO, target valuation USD 5.1-6.4 billion.中信证券获委任为智元机器人计划港交所上市保荐人之一，目标估值51亿至64亿美元。
2025-10-13CITIC Securities as sole sponsor for SANY Heavy Industry (三一重工) HK IPO, which passed listing hearing.中信证券作为独家保荐人，三一重工已通过港交所主板上市聆讯。
2025-10-21CITIC Securities as sole sponsor for Wangshan Wangshui (旺山旺水) HK IPO, which passed listing hearing.中信证券作为独家保荐人，旺山旺水已通过港交所主板上市聆讯。
2025-10-22CITIC Securities as sole sponsor for Tianyu Semiconductor (天域半导体) HK IPO, which passed listing hearing. Company is China's largest SiC epitaxial wafer maker by revenue and volume in 2024.中信证券作为独家保荐人，天域半导体已通过港交所主板上市聆讯。该公司2024年为中国碳化硅外延片市场收入及销量第一。
2025-10-22CITIC Securities as joint sponsor for Baili Tianheng (百利天恒) HK IPO, which passed listing hearing.中信证券作为联席保荐人，百利天恒已通过港交所主板上市聆讯。
2025-10-27CITIC Securities as joint sponsor for Le Comfort (乐舒适) HK IPO, which passed listing hearing.中信证券作为联席保荐人，乐舒适已通过港交所主板上市聆讯。
2025-10-29CITIC Securities as joint sponsor for Liuliu Orchard (溜溜果园) HK IPO filing.中信证券作为联席保荐人，溜溜果园向港交所主板提交上市申请。
2025-10-31CITIC Securities as joint sponsor for Hansoft (汉森软件) HK IPO filing.中信证券作为联席保荐人，汉森软件向港交所主板提交上市申请。
2025-10-31CITIC Securities as joint sponsor for Xinbridge Bio (新桥生物) HK IPO filing.中信证券作为联席保荐人，新桥生物向港交所主板提交上市申请。
2025-11-02CITIC Securities acted as the sole sponsor for Lupeng Pharmaceutical's IPO application to the Hong Kong Stock Exchange.中信证券担任麓鹏制药港交所主板上市申请的独家保荐人。
2025-11-02CITIC Securities acted as the sole sponsor for Smart-Hitch Technology's IPO application to the Hong Kong Stock Exchange.中信证券担任智慧互通科技港交所主板上市申请的独家保荐人。
2025-11-02CITIC Securities acted as the sole sponsor for Taotao Vehicle's IPO application to the Hong Kong Stock Exchange.中信证券担任涛涛车业港交所主板上市申请的独家保荐人。
2025-11-02CITIC Securities acted as the sole sponsor for Nanhua Futures' IPO application to the Hong Kong Stock Exchange (second submission).中信证券担任南华期货港交所主板上市申请的独家保荐人（第二次递表）。
2025-11-09CITIC Securities acted as a joint sponsor for Berghaus Outdoor Sports Group's IPO application to the Hong Kong Stock Exchange.中信证券担任伯希和户外运动集团港交所主板上市申请的联席保荐人。
2025-11-13CITIC Securities acted as a joint sponsor for Jiangsu Zejing Automotive Electronics' IPO application to the Hong Kong Stock Exchange.中信证券担任江苏泽景汽车电子港交所主板上市申请的联席保荐人。
2025-11-19CITIC Securities acted as a joint sponsor for Novosense Microelectronics, which passed the Hong Kong Stock Exchange listing hearing.中信证券担任纳芯微港交所主板上市联席保荐人，该公司已通过上市聆讯。
2025-11-19CITIC Securities acted as a joint sponsor for Dongshan Precision Manufacturing's IPO application to the Hong Kong Stock Exchange.中信证券担任东山精密港交所主板上市申请的联席保荐人。
2025-11-25CITIC Securities acted as a joint sponsor for Mingyu Pharmaceutical's IPO application to the Hong Kong Stock Exchange.中信证券担任明宇制药港交所主板上市申请的联席保荐人。
2025-11-25CITIC Securities acted as the sole sponsor for Elpiscience Biopharmaceuticals' IPO application to the Hong Kong Stock Exchange.中信证券担任科望医药港交所主板上市申请的独家保荐人。
2025-11-25CITIC Securities acted as the sole sponsor for Chengdu Olin Biotechnology's IPO application to the Hong Kong Stock Exchange.中信证券担任成都欧林生物科技港交所主板上市申请的独家保荐人。
2025-11-26CITIC Securities acted as the sole sponsor for New Guodu's IPO application to the Hong Kong Stock Exchange.中信证券担任新国都港交所主板上市申请的独家保荐人。
2025-11-27CITIC Securities acted as a joint sponsor for Baoji Pharmaceutical, which passed the Hong Kong Stock Exchange listing hearing.中信证券担任宝济药业港交所主板上市联席保荐人，该公司已通过上市聆讯。
2025-11-28CITIC Securities acted as a joint sponsor for Avatr Technology's IPO application to the Hong Kong Stock Exchange.中信证券担任阿维塔科技港交所主板上市申请的联席保荐人。
2026-01-09CITIC Securities acted as sole sponsor for Xizi Health's IPO application to HKEX; Xizi Health is a sports nutrition and functional food company with brands FoYes, fiboo, etc.中信证券担任西子健康（运动营养及功能性食品公司，品牌包括FoYes、fiboo等）港交所IPO独家保荐人。
2026-01-13CITIC Securities acted as sole sponsor for Joulwatt Microelectronics' IPO application to HKEX; Joulwatt is an analog IC design company.中信证券担任杰华特微电子（模拟集成电路设计公司）港交所IPO独家保荐人。
2026-01-14CITIC Securities acted as joint sponsor (with Deutsche Bank and ABCI) for Sunmi Technology's IPO application to HKEX; Sunmi is the world's largest Android BIoT solution provider.中信证券担任商米科技（全球最大安卓端BIoT解决方案提供商）港交所IPO联席保荐人（与德意志银行、农银国际）。
2026-01-14CITIC Securities acted as joint sponsor (with BOCI) for Jinxing Beer's IPO application to HKEX; Jinxing is China's 8th largest beer company and 3rd largest craft beer company.中信证券担任金星啤酒（中国啤酒行业第八大、精酿啤酒第三大企业）港交所IPO联席保荐人（与中银国际）。
2026-01-16CITIC Securities acted as sole sponsor for Huawutang (Dream Garden brand) IPO application to HKEX; Huawutang is a leading Chinese skin and personal care brand.中信证券担任花物堂（半亩花田品牌，中国领先皮肤及个人护理品牌）港交所IPO独家保荐人。
2026-01-18CITIC Securities acted as sole sponsor for Moganshan Home's IPO application to HKEX; Moganshan is China's 3rd largest green wood-based panel service provider.中信证券担任莫干山家居（中国第三大绿色人造板服务商）港交所IPO独家保荐人。
2026-01-18CITIC Securities acted as joint sponsor (with Shenwan Hongyuan HK) for Shanghai Fuiou Payment Services' IPO application to HKEX; Fuiou is a multi-channel digital payment provider.中信证券担任富友支付（多渠道数字支付服务商）港交所IPO联席保荐人（与申万宏源香港）。
2026-01-20CITIC Securities acted as sole sponsor for Shandong Extreme Vision Technology's IPO application to HKEX; Extreme Vision is an AI computer vision solutions provider.中信证券担任极视角（AI计算机视觉解决方案提供商）港交所IPO独家保荐人。
2026-01-21CITIC Securities acted as joint sponsor (with Morgan Stanley and Goldman Sachs) for Muyuan Foods' HKEX listing hearing; Muyuan passed hearing, IPO may raise up to USD 1.5 billion.中信证券担任牧原股份（生猪养殖龙头）港交所上市联席保荐人（与摩根士丹利、高盛）；已通过聆讯，IPO募资或达15亿美元。
2026-01-22CITIC Securities acted as joint sponsor (with Minsheng Bank Capital) for Puqi Pharma's IPO application to HKEX; Puqi focuses on immuno-inflammatory diseases.中信证券担任普祺医药（专注免疫炎症领域生物科技公司）港交所IPO联席保荐人（与民银资本）。
2026-01-27CITIC Securities acted as joint sponsor (with CICC) for Shunyu Zhixing's IPO application to HKEX; Shunyu is the world's largest automotive camera solution provider by 2024 shipments.中信证券担任舜宇智行（全球最大车载相机解决方案提供商）港交所IPO联席保荐人（与中金公司）。
2026-01-28CITIC Securities acted as sole sponsor for Xinquan Shares' IPO application to HKEX; Xinquan is China's 2nd largest automotive interior trim system provider.中信证券担任新泉股份（中国第二大汽车饰件系统解决方案提供商）港交所IPO独家保荐人。
2026-01-28CITIC Securities acted as joint sponsor (with CICC and CMB International) for Deye Shares' IPO application to HKEX; Deye is the world's largest residential energy storage inverter maker by 2024 revenue.中信证券担任德业股份（全球户用储能逆变器龙头）港交所IPO联席保荐人（与中金公司、招银国际）。
2026-01-29CITIC Securities acted as sole sponsor for Gemilai Holdings' IPO application to HKEX; Gemilai is China's 2nd largest coffee machine brand and largest semi-automatic espresso machine brand.中信证券担任格米莱（中国咖啡机行业第二大品牌、半自动意式咖啡机第一大品牌）港交所IPO独家保荐人。
2026-01-30CITIC Securities acted as sole sponsor for Taili Biotech's IPO application to HKEX; Taili is a clinical-stage biopharma focused on KRAS G12D inhibitors.中信证券担任泰励生物（临床阶段生物制药公司，专注KRAS G12D抑制剂）港交所IPO独家保荐人。
2026-01-30CITIC Securities acted as sole sponsor for Sirio Pharma's IPO application to HKEX; Sirio is a global nutritional health food solutions provider.中信证券担任仙乐健康（全球营养健康食品解决方案提供商）港交所IPO独家保荐人。
2026-01-30CITIC Securities acted as joint sponsor (with CSC Financial) for Bole Technology's IPO application to HKEX; Bole is the world's largest pure electric autonomous mining truck provider by 2024 shipments.中信证券担任伯镭科技（全球最大纯电自动驾驶矿卡提供商）港交所IPO联席保荐人（与中信建投国际）。
2026-02-27Guangzhou Guanghe Technology passes Hong Kong Stock Exchange listing hearing, with CITIC Securities and HSBC as joint sponsors.广州广合科技通过港交所上市聆讯，中信证券、汇丰为其联席保荐人。
2026-04-25Media reported that Eoptolink Technology (新易盛, 300502.SZ) may have selected CITIC Securities and JPMorgan to arrange its Hong Kong IPO, targeting at least USD 3 billion.据媒体报道，光模块企业新易盛可能选定中信证券和摩根大通安排其香港上市，募资至少30亿美元。
2026-05-10Yunyinggu Technology passes Hong Kong Stock Exchange hearing; CITIC Securities is joint sponsor for its IPO.云英谷科技通过港交所上市聆讯，中信证券为联席保荐人。
2026-05-17Honghe Electronic Materials submits IPO application to HKEX; CITIC Securities is sole sponsor.宏和电子材料科技向港交所提交上市申请，中信证券为独家保荐人。
2026-05-18Aide Tai Technology submits IPO application to HKEX; CITIC Securities and Jefferies are joint sponsors.爱德泰科技向港交所提交上市申请，中信证券与Jefferies担任联席保荐人。
2026-05-27Liuliu Mei passes HKEX hearing for IPO; CITIC Securities and Guoyuan International are joint sponsors.溜溜梅通过港交所上市聆讯，中信证券、国元国际为联席保荐人。
2026-05-28Kewang Pharma Group submits IPO application to HKEX; CITIC Securities is sole sponsor.科望医药集团向港交所提交上市申请，中信证券为独家保荐人。
2026-05-28Lupeng Pharma submits IPO application to HKEX; CITIC Securities is sole sponsor.麓鹏制药向港交所提交上市申请，中信证券为独家保荐人。
2026-05-29Zhejiang China Commodity City Group submits IPO application to HKEX; HSBC and CITIC Securities are joint sponsors.浙江中国小商品城集团向港交所提交上市申请，汇丰、中信证券为联席保荐人。
2026-06-01CITIC Securities serves as sole sponsor for Zhejiang Force Memory Technology's HKEX IPO filing (second submission).中信证券担任浙江力积存储科技股份有限公司港交所上市独家保荐人（第二次递表）。
2026-06-01CITIC Securities serves as sole sponsor for Huajian Future (Chengdu) Technology passing HKEX listing hearing.中信证券担任华健未来（成都）科技股份有限公司港交所上市独家保荐人，公司通过上市聆讯。
2026-06-08CITIC Securities serves as sole sponsor for Suzhou Qunce Technology (群策科技) HKEX IPO filing; it is China's largest FCBGA and FCCSP substrate supplier by revenue in 2025.中信证券担任苏州群策科技股份有限公司港交所上市独家保荐人；该公司为2025年中国大陆FCBGA及FCCSP载板市场最大供应商。
2026-06-11CITIC Securities serves as sole sponsor for Anhui Huachuang New Material (华创新材) HKEX IPO filing; world's third-largest electrolytic copper foil producer by 2025 shipments (~5.4% share).中信证券担任安徽华创新材料股份有限公司港交所上市独家保荐人；该公司按2025年出货量计为全球第三大电解铜箔生产商（市场份额约5.4%）。
2026-06-15CITIC Securities serves as joint sponsor for Lingke Pharma (凌科药业) HKEX IPO filing.中信证券担任凌科药业（浙江）股份有限公司港交所上市联席保荐人。
2026-06-25CITIC Securities serves as joint sponsor for Ab Studio (岸迈生物) HKEX IPO filing.中信证券担任岸迈生物科技有限公司港交所上市联席保荐人。
Underwriting & bond issuance承销与债券发行
3 · 2024-07-15 → 2025-05-14
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Debt underwriting milestones, bond subscriptions, and credit risk mitigation warrant creation.债券承销里程碑、债券认购及信用风险缓释凭证创设。
2024-07-15CITIC Securities subscribes 70 million yuan of '24 Tangzu V1' (乡村振兴 corporate bond) issued by Datang Financial Leasing, as a related-party underwriter.中信证券作为关联方认购大唐融资租赁“24唐租V1”乡村振兴公司债券7000万元。
2025-03-26CITIC Securities' domestic debt underwriting volume exceeded RMB 2 trillion for the first time in 2024, ranking first in the industry across financial bonds, corporate bonds, and ABS.中信证券2024年境内债券承销规模首次突破2万亿元，金融债、公司债、企业债、资产证券化承销规模均排名同业第一。
2025-05-14CITIC Securities completed creation of 2025 first-phase credit risk mitigation warrant (CRMW) for Shandong Hongqiao's sci-tech bond, with 0.50% fee rate; actual created principal was RMB 0.中信证券完成2025年第一期25鲁宏桥MTN005（科创债）信用风险缓释凭证创设，费率0.50%，实际创设名义本金为0元。
M&A Advisory & Independent Financial Advisor并购顾问与独立财务顾问
6 · 2024-07-22 → 2026-01-31
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Acting as independent financial advisor or M&A advisor for major corporate transactions, including share swaps and asset acquisitions.担任重大公司交易（包括换股和资产收购）的独立财务顾问或并购顾问。
2024-07-22CITIC Securities acts as the independent financial advisor for Shenyang Machine Tool (000410)'s proposed issuance of shares to acquire assets and raise matching funds in a related-party transaction.中信证券担任沈阳机床（000410）发行股份购买资产并募集配套资金暨关联交易的独立财务顾问。
2024-10-15CITIC Securities issued a temporary trusteeship report on Haitong Securities' major asset restructuring, involving a share swap merger with Guotai Junan Securities.中信证券发布关于海通证券重大资产重组的临时受托管理事务报告，涉及国泰君安换股吸收合并海通证券。
2025-01-24CITIC Securities acted as independent financial advisor for China State Shipbuilding Corporation's (中国船舶) share swap to absorb China Shipbuilding Industry Corporation (中国重工).中信证券担任中国船舶工业股份有限公司换股吸收合并中国船舶重工股份有限公司的独立财务顾问。
2025-04-26CITIC Securities acted as the independent financial advisor for ENN Natural Gas (新奥股份)'s major asset acquisition and related-party transaction.中信证券担任新奥天然气股份有限公司重大资产购买暨关联交易的独立财务顾问。
2025-08-15CITIC Securities acted as the independent financial advisor for China Shenhua Energy's (中国神华) proposed asset acquisition and share issuance transaction.中信证券担任中国神华能源股份有限公司发行股份及支付现金购买资产并募集配套资金暨关联交易事项的独立财务顾问。
2026-01-31CITIC Securities issued a commitment letter for the absorption merger of Zhenyang Development by Zhejiang Huhangyong Expressway via share swap.中信证券就浙江沪杭甬高速公路换股吸收合并浙江镇洋发展出具承诺函。
M&A advisory & restructuring并购顾问与重组
2 · 2024-07-24 → 2025-08-13
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Advisory roles in mergers, acquisitions, and restructuring of other companies.为其他公司并购、收购及重组提供顾问服务。
2024-07-24CITIC Securities reports that the controlling shareholder and actual controller of Guodu Securities may change; CSRC has accepted the application for change of major shareholders, with Zhejiang Securities planning to acquire 34.2546% of Guodu Securities shares.中信证券公告国都证券第一大股东及实际控制人可能变更，浙商证券拟受让国都证券34.2546%股份，证监会已受理申请。
2025-08-13Liquidators of China Evergrande Group hired UBS and CITIC Securities to find a buyer for its subsidiary Evergrande Property Services (6666.HK).中国恒大集团清盘人聘请瑞银和中信证券为子公司恒大物业(6666.HK)寻找买家。
Private Equity & Investments私募股权与投资
11 · 2024-08-20 → 2026-06-25
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Establishment of investment partnerships, direct investments in private companies, and related capital actions.设立投资合伙企业、直接投资私营公司及相关资本运作。
2024-08-20CITIC Securities became the sole shareholder of Wuhan Shouju Commercial Management Co., Ltd. (formerly Wuhan Shouchuang Juda Outlets) and Jinan Shouju Real Estate Co., Ltd., acquiring two outlet-related assets from Beijing Shouchuang Commercial Management.中信证券全资收购武汉首钜商业管理有限公司（原武汉首创钜大奥莱）和济南首钜置业有限公司，从北京首创商业管理有限公司手中取得两家奥特莱斯相关资产。
2024-08-21CITIC Securities reduced its stake in Meixin Yishen (Meixin Yishen, 873833) by 500,000 shares via block trade at 11.16 yuan/share, cashing out 5.58 million yuan, reducing its holding to zero.中信证券通过大宗交易减持美心翼申（873833）50万股，减持均价11.16元/股，套现558万元，减持后不再持股。
2025-11-14CITIC Securities, together with Kweichow Moutai's industrial development fund and Moutai private equity fund, established the Jinshi G&Shen (Guizhou) Digital Technology Equity Investment Partnership with a registered capital of RMB 2 billion.中信证券与茅台旗下产业发展基金、茅台私募基金共同设立金石深合（贵州）数字科技股权投资合伙企业，注册资本20亿元。
2025-12-26CITIC Securities Investment and its concert parties plan to reduce their holdings in Bona Film Group by up to 27.4661 million shares (1.9982% of total shares); shareholder Zhejiang Dongyang Damai Entertainment plans to reduce holdings by up to 13.7331 million shares (0.9991%).中信证券投资及其一致行动人计划减持博纳影业不超过2746.61万股（占总股本1.9982%）；股东浙江东阳大麦娱乐计划减持不超过1373.31万股（占总股本0.9991%）。
2026-03-17CITIC Securities Investment reduced stake in Bona Film Group by 4.8473mn shares via block trades (Jan 21-Mar 16), holding 2.96%.中信证券投资减持博纳影业484.73万股（1月21日至3月16日），持股降至2.96%。
2026-03-17CITIC Securities Xinlaifu employee strategic placement plan reduced 415,100 shares in Xinlaifu (0.40% of total) at avg RMB 56.85, holding 0.44%.中信证券新莱福员工战配资管计划减持新莱福41.51万股（均价56.85元），持股降至0.44%。
2026-04-22CITIC Securities Investment participated in the Series A round of Ningbo Free Trade Zone Haitian Zhisheng Metal Forming Equipment Co., Ltd. (海天智胜), an investee of Haitian Group, with undisclosed amount.中信证券投资参与海天集团旗下宁波保税区海天智胜金属成型设备有限公司A轮融资，金额未披露。
2026-05-06CITIC Securities Investment participates in D-round financing of Liyang Tianmu Xian Dao Battery Materials, a silicon anode materials company.中信证券投资参与溧阳天目先导电池材料科技有限公司D轮融资，该公司专注于锂离子电池硅负极材料。
2026-06-16CITIC Securities (via CITIC Jinshi Investment) establishes Jinshi Haohang (Qingdao) Equity Investment Partnership with ~200 million yuan capital.中信证券旗下中信金石投资等成立金石灏航（青岛）股权投资合伙企业，出资额约2亿元。
2026-06-17CITIC Securities (via CITIC Jinshi Investment) establishes Jinshi Lingshu (Jiaxing) Enterprise Management Partnership with 102 million yuan capital.中信证券旗下中信金石投资等成立金石翎枢（嘉兴）企业管理合伙企业，出资额1.02亿元。
2026-06-25CITIC Securities employee strategic placement plan for Newlife (新莱福) announces plan to reduce stake by up to 459,200 shares (0.43% of total) from July 17 to Oct 16, 2026.中信证券新莱福员工参与创业板战略配售集合资产管理计划计划在2026年7月17日至10月16日期间减持不超过45.92万股（占总股本0.43%）。
Subsidiary Results & Capital Actions子公司业绩与资本运作
3 · 2024-08-29 → 2026-03-26
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Financial results, capital injections, and capital reductions of key subsidiaries like China Asset Management and CITIC Securities International.华夏基金和中信证券国际等关键子公司的财务业绩、资本注入和资本减少。
2024-08-29CITIC Securities International (wholly-owned subsidiary) recorded H1 2024 total revenue of $980 million and net profit of $230 million, up 22.2% and 68.4% YoY respectively under HKFRS.中信证券全资子公司中信证券国际按香港财务报告准则，上半年录得总收入9.8亿美元，净利润2.3亿美元，同比分别增长22.2%和68.4%。
2025-03-26CITIC Securities International achieved record revenue of USD 2.26 billion (+41% YoY) and net profit of USD 530 million (+116% YoY) in 2024.中信证券国际2024年实现营业收入22.6亿美元（同比+41%），净利润5.3亿美元（同比+116%），创历史最好水平。
2026-03-26CITIC Securities International 2025 revenue USD 3.3bn (+48% YoY), net profit USD 900mn (+72% YoY); Hong Kong ECM completed 51 IPOs and 32 follow-ons.中信证券国际2025年收入33亿美元（同比+48%），净利润9亿美元（同比+72%）；香港市场完成51单IPO和32单再融资。
Sponsor Representative Changes保荐代表人变更
7 · 2024-09-13 → 2026-06-18
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Changes in sponsor representatives for ongoing IPO and refinancing projects due to job changes or other reasons.因工作变动等原因变更持续督导的IPO和再融资项目的保荐代表人。
2024-09-13CITIC Securities changes its sponsor representative for Gongtong Pharmaceutical (300966) from Liu Weihua to Liao Zhenhong due to job change.中信证券变更共同药业（300966）持续督导保荐代表人，由刘卫华改为廖振宏。
2025-03-20CITIC Securities replaced sponsor representative Liu Zhenfeng with Wang Jinyang for Tianxiaxiu's non-public issuance ongoing supervision project.中信证券委派王金杨接替刘振峰担任天下秀非公开发行股票持续督导项目的保荐代表人。
2026-02-26CITIC Securities changes sponsor representative for CITIC Bank's rights offering project; Hu Yanzhen replaced by Hu Zhangtuo.中信证券变更中信银行配股项目的保荐代表人，胡雁被胡张拓接替。
2026-02-26CITIC Securities changes sponsor representative for NanoMicro Tech's IPO持续督导; Wang Qi replaced by Shao Caijie.中信证券变更纳微科技持续督导保荐代表人，王琦被邵才捷接替。
2026-03-03CITIC Securities replaced sponsor representative for Kanglongda convertible bond project: Zhang Yujie replaced by Zhang Junhui.中信证券更换康隆达可转债项目持续督导保荐代表人，张宇杰由张俊晖接替。
2026-03-25CITIC Securities replaced sponsor representative for Hongbai New Materials convertible bond project: Liu Chunqin replaced by Gao Mingze.中信证券更换宏柏新材可转债项目持续督导保荐代表人，刘纯钦由高铭泽接替。
2026-06-18CITIC Securities changes sponsor representatives for Cathay Biotech (688065) and Gaote Electronics (高特电子) due to work arrangements.中信证券因工作安排变更凯赛生物（688065）和高特电子的持续督导保荐代表人。
Regulatory & policy engagement监管与政策参与
2 · 2024-10-11 → 2024-10-18
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Participation in regulatory programs, policy proposals, and responses to CSRC or PBOC initiatives.参与监管项目、政策建议及对证监会或央行举措的响应。
2024-10-11CITIC Securities submitted a SFISF (Securities, Funds, Insurance Companies Swap Facility) plan to the PBOC with a reported quota of about 10 billion yuan, being one of only two securities firms with primary dealer status.中信证券向央行上报互换便利（SFISF）方案，上报额度约100亿元，是仅有的两家拥有公开市场业务一级交易商资格的券商之一。
2024-10-18CITIC Securities received a letter from the CSRC with no objection to its participation in the SFISF (Securities, Funds, Insurance Companies Swap Facility).中信证券获得中国证监会复函，对其参与互换便利（SFISF）无异议。
IPOs & fundraising projectsIPO与募资项目
3 · 2024-10-24 → 2026-03-25
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Verification opinions on IPO fundraising projects, project delays, and capital use changes.对IPO募资项目、项目延期及资金用途变更的核查意见。
2024-10-24CITIC Securities issued a verification opinion on Dingtai High-Tech's partial postponement of certain raised-fund investment projects.中信证券发布关于鼎泰高科部分募集资金投资项目延期的核查意见。
2026-03-19CITIC Securities issued verification opinion on Aimeike's IPO fundraising project closure and permanent replenishment of working capital.中信证券就爱美客IPO募投项目结项及节余资金永久补流出具核查意见。
2026-03-25CITIC Securities issued verification opinion on Huitai Medical's partial fundraising project closure and extension.中信证券就惠泰医疗部分募投项目结项及延期出具核查意见。
Executive & governance高管与治理
10 · 2024-11-12 → 2026-03-26
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Events related to general manager Zou Yingguang's public appearances, proposals, and board governance decisions.与总经理邹迎光公开露面、提案及董事会治理决策相关的事件。
2024-11-12CITIC Securities held its 2025 capital market annual conference in Shenzhen, with new GM Zou Yingguang making his first public appearance, stating that China's capital market stands at a new reform starting line.中信证券在深圳召开2025年资本市场年会，新任总经理邹迎光首次公开亮相，称中国资本市场站上新的改革起跑线。
2025-03-02CITIC Securities general manager Zou Yingguang proposed at a financial support symposium to increase support for M&A of hard-tech private enterprises, guide venture capital and public funds to become long-term partners, and establish a national-level S-fund trading platform.中信证券总经理邹迎光在金融支持座谈会上建议，加力支持'硬科技'民企并购重组，引导私募创投基金、公募基金做'长跑搭档'，建立国家级S基金交易平台。
2025-03-26CITIC Securities appointed KPMG Huazhen and KPMG as its 2024 external auditors, with Wang Guobei and Cheng Hailiang as signing accountants.中信证券聘任毕马威华振会计师事务所及毕马威会计师事务所为2024年外部审计机构，由王国蓓、程海良等负责签字。
2025-03-27CITIC Securities held its 2024 annual results conference; new general manager Zou Yingguang stated that the investment banking business situation is gradually improving in 2025.中信证券召开2024年度业绩说明会，新任总经理邹迎光表示2025年投行业务形势逐渐好转。
2025-03-27CITIC Securities' 2024 total compensation for directors, supervisors and senior management was RMB 28.7573 million, down 69.61% from RMB 94.6306 million in 2023.中信证券2024年董监高薪酬总额为2875.73万元，较2023年的9463.06万元缩水69.61%。
2025-05-09CITIC Securities board approved proposal to reappoint KPMG Huazhen and KPMG as external auditors for 2025, with total audit/review fees of RMB 3.8 million.中信证券董事会审议通过续聘毕马威华振和毕马威为2025年度外部审计师，审计及审阅费用合计380万元。
2025-06-27CITIC Securities 2024 annual general meeting approved a cash dividend of 2.80 yuan per 10 shares (total ~4.15 billion yuan), and other resolutions including self-investment limits and related-party transactions.中信证券2024年度股东大会审议通过每10股派发现金红利2.80元（合计约41.5亿元）等议案。
2025-10-16CITIC Securities general manager and China Asset Management chairman Zou Yingguang attended and gave keynote speech at 2025 Sustainable Global Leaders Conference.中信证券总经理、华夏基金董事长邹迎光出席2025可持续全球领导者大会并做主题演讲。
2026-03-26CITIC Securities board approved 2026 financing guarantee plan up to USD 78bn equivalent and RMB 100mn for subsidiaries.中信证券董事会审议通过2026年度融资类担保计划，总额不超过780亿美元等值及1亿元人民币。
2026-03-26CITIC Securities board approved accounting policy change for standard warehouse receipt trading, reclassifying sales revenue to investment income.中信证券董事会批准会计政策变更，将标准仓单买卖差价从销售收入重分类至投资收益。
Offshore Debt Issuance (CSI MTN)境外债务发行（CSI MTN）
38 · 2024-12-03 → 2026-05-22
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Issuance of notes and medium-term notes by CITIC Securities' offshore subsidiary CSI MTN Limited, guaranteed by CITIC Securities International.中信证券境外子公司CSI MTN Limited发行票据和中期票据，由中信证券国际提供担保。
2024-12-03CITIC Securities' offshore subsidiary CSI MTN Limited issued USD 12 million notes under its MTN program, guaranteed by CITIC Securities International.中信证券境外子公司CSI MTN Limited在中票计划下发行1200万美元票据，由中信证券国际提供担保。
2024-12-19CITIC Securities' offshore subsidiary CSI MTN Limited issued RMB 750 million notes under its MTN program, guaranteed by CITIC Securities International.中信证券境外子公司CSI MTN Limited在中票计划下发行7.5亿元人民币票据，由中信证券国际提供担保。
2025-01-24CITIC Securities provided a guarantee of RMB 550 million for the Euro-commercial paper issuance by its indirect overseas subsidiary CITIC Securities Finance MTN Co., Ltd.中信证券为境外全资子公司中信证券国际的附属公司CITIC Securities Finance MTN Co., Ltd.发行欧洲商业票据提供5.5亿元人民币担保。
2025-02-05CITIC Securities' offshore subsidiary CSI MTN Limited issued USD 6 million notes under its USD 3 billion medium-term note programme, bringing outstanding notes to USD 2.215 billion.中信证券境外子公司CSI MTN Limited在30亿美元中期票据计划下发行600万美元票据，已发行票据本金余额合计22.15亿美元。
2025-02-08CITIC Securities' wholly-owned subsidiary CITIC Securities International guaranteed a USD 5.3 million note issuance by CSI MTN Limited under the offshore MTN programme.中信证券全资子公司中信证券国际为CSI MTN Limited在境外中期票据计划下发行的530万美元票据提供担保。
2025-02-14CITIC Securities' indirect subsidiary CSI MTN Limited issued USD 285 million in medium-term notes on Feb 12-13, guaranteed by CITIC Securities International. Total guarantees reached RMB 158.183 billion (58.84% of net assets).中信证券间接子公司CSI MTN Limited于2月12-13日发行2.85亿美元中期票据，由中信证券国际担保。担保总额达1581.83亿元（占净资产58.84%）。
2025-03-04CITIC Securities' offshore subsidiary CSI MTN Limited issued USD 30 million notes under its USD 3 billion MTN program on Feb 28, 2025, bringing outstanding notes to USD 2.59 billion.中信证券境外子公司CSI MTN Limited于2025年2月28日在30亿美元中票计划下成功发行3000万美元票据，已发行票据本金余额累计达25.90亿美元。
2025-03-19CITIC Securities' offshore subsidiary CSI MTN Limited issued notes of USD 25 million, HKD 250 million, and USD 6 million in March 2025; total guarantees by CITIC Securities reached RMB 162.836 billion.中信证券境外子公司CSI MTN Limited于2025年3月发行2500万美元、2.5亿港元、600万美元票据，公司担保总额达1628.36亿元人民币。
2025-04-16CITIC Securities provided a guarantee of HKD 156 million for a medium-term note issuance by its offshore subsidiary CSI MTN Limited, bringing the total outstanding principal under the MTN program to USD 2.741 billion.中信证券为境外子公司CSI MTN Limited发行的1.56亿港元中期票据提供担保，中票计划下本金余额合计27.41亿美元。
2025-05-09CITIC Securities issued two tranches of medium-term notes via CSI MTN Limited on May 8 and 9, totaling USD 14.4 million, guaranteed by CITIC Securities International.中信证券通过CSI MTN Limited于5月8日和9日发行两笔中期票据，合计1440万美元，由中信证券国际提供担保。
2025-05-16CITIC Securities indirect subsidiary CSI MTN Limited issued USD 7.8 million in medium-term notes on May 16, guaranteed by CITIC Securities International; guarantee balance reached USD 2.318 billion.中信证券间接子公司CSI MTN Limited于5月16日发行780万美元中期票据，由中信证券国际担保；担保余额达23.18亿美元。
2025-06-04CITIC Securities' indirect subsidiary CSI MTN Limited issued two notes totaling $194 million under its offshore MTN program, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited在其境外中期票据计划下发行两笔票据，金额合计1.94亿美元，由中信证券国际提供担保。
2025-06-05CITIC Securities' subsidiary CSI MTN Limited issued a $500 million note under its offshore MTN program, guaranteed by CITIC Securities International; total outstanding under program reached $3.381 billion.中信证券子公司CSI MTN Limited发行5亿美元票据，由中信证券国际担保，中票计划下已发行票据余额合计33.81亿美元。
2025-06-24CITIC Securities' subsidiary CSI MTN Limited issued two notes totaling $35 million under its offshore MTN program on June 20 and 23, guaranteed by CITIC Securities International; total outstanding reached $3.408 billion.中信证券子公司CSI MTN Limited于6月20日和23日发行两笔票据合计3500万美元，由中信证券国际担保，余额达34.08亿美元。
2025-06-27CITIC Securities' subsidiary CSI MTN Limited issued three notes totaling $20.5 million under its MTN program, guaranteed by CITIC Securities International; total guarantee balance reached $3.429 billion.中信证券子公司CSI MTN Limited发行三笔票据合计2050万美元，由中信证券国际担保，担保余额达34.29亿美元。
2025-07-11CITIC SEC's indirect subsidiary CSI MTN Limited issues USD 4.3 million notes under its USD 5 billion medium-term note program, guaranteed by CITIC SEC International.中信证券间接子公司CSI MTN Limited在50亿美元中期票据计划下发行430万美元票据，由中信证券国际提供担保。
2025-07-17CITIC SEC's indirect subsidiary CSI MTN Limited issues USD 605.2 million medium-term notes under its MTN program, guaranteed by CITIC SEC International.中信证券间接子公司CSI MTN Limited在中期票据计划下发行6.052亿美元中期票据，由中信证券国际提供担保。
2025-07-25CITIC SEC's indirect subsidiary CSI MTN Limited issues USD 1.8 million notes under its MTN program, guaranteed by CITIC SEC International; outstanding principal reaches USD 2.88 billion.中信证券间接子公司CSI MTN Limited在中期票据计划下发行180万美元票据，由中信证券国际担保；已发行本金余额达28.8亿美元。
2025-08-07CITIC Securities issued USD 365 million in medium-term notes through its offshore subsidiary CSI MTN Limited, guaranteed by CITIC Securities International, bringing the outstanding principal under the MTN program to USD 3.245 billion.中信证券通过境外子公司CSI MTN Limited发行3.65亿美元中期票据，由中信证券国际提供担保，中票计划下已发行本金余额合计32.45亿美元。
2025-08-09CITIC Securities issued USD 40.9 million in medium-term notes through its offshore subsidiary CSI MTN Limited, guaranteed by CITIC Securities International, bringing the outstanding principal under the MTN program to USD 3.276 billion.中信证券通过境外子公司CSI MTN Limited发行4090万美元中期票据，由中信证券国际提供担保，中票计划下未偿本金余额达32.76亿美元。
2025-08-19CITIC Securities issued USD 20.5 million in medium-term notes through its offshore subsidiary CSI MTN Limited, guaranteed by CITIC Securities International, bringing the outstanding principal under the MTN program to USD 3.279 billion.中信证券通过境外子公司CSI MTN Limited发行2050万美元中期票据，由中信证券国际提供担保，中票计划下未偿本金余额达32.79亿美元。
2025-10-21CITIC Securities indirect subsidiary CSIMTN Limited issued two notes under MTN program: USD 10.3 million and HKD 120 million. Outstanding principal under program reaches USD 2.68 billion.中信证券间接子公司CSIMTN Limited在中期票据计划下发行两笔票据：1030万美元和1.2亿港元。计划下已发行票据本金余额合计26.80亿美元。
2025-11-01CITIC Securities' indirect subsidiary CSI MTN Limited issued medium-term notes of USD 7.5 million, guaranteed by CITIC Securities International, with total outstanding principal under the MTN program reaching USD 2.711 billion.中信证券间接子公司CSI MTN Limited发行750万美元中期票据，由中信证券国际提供担保，中票计划下已发行票据本金余额合计27.11亿美元。
2025-12-04CITIC Securities' indirect subsidiary CSI MTN Limited issued two notes totaling US$183.2 million under its MTN program on December 3-4, guaranteed by CITIC Securities International. Post-issuance outstanding principal balance is US$2.779 billion.中信证券间接子公司CSI MTN Limited于12月3-4日在中票计划下发行两笔票据合计1.832亿美元，由中信证券国际提供担保，发行后已发行票据本金余额合计27.79亿美元。
2025-12-12CITIC Securities' indirect subsidiary CSI MTN Limited issued US$1.3 million in notes under its MTN program, guaranteed by CITIC Securities International. Post-issuance outstanding principal balance is US$2.711 billion.中信证券间接子公司CSI MTN Limited在中票计划下发行130万美元票据，由中信证券国际提供担保，发行后已发行票据本金余额合计27.11亿美元。
2026-01-17CITIC Securities' indirect subsidiary CSI MTN Limited issued USD 20.1 million medium-term notes, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行2010万美元中期票据，由中信证券国际提供担保。
2026-01-22CITIC Securities' indirect subsidiary CSI MTN Limited issued two tranches of notes totaling USD 670 million under MTN program, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited在中期票据计划下发行两笔合计6.7亿美元票据，由中信证券国际担保。
2026-01-30CITIC Securities' indirect subsidiary CSI MTN Limited issued USD 1.1 million medium-term notes, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行110万美元中期票据，由中信证券国际提供担保。
2026-03-06CITIC Securities indirect subsidiary CSI MTN Limited issued USD 10mn medium-term notes under EMTN programme, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行1000万美元中期票据，由中信证券国际提供担保。
2026-03-10CITIC Securities indirect subsidiary CSI MTN Limited issued USD 9.8mn medium-term notes under EMTN programme, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行980万美元中期票据，由中信证券国际提供担保。
2026-03-13CITIC Securities indirect subsidiary CSI MTN Limited issued USD 8mn in two tranches of medium-term notes, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行两笔合计800万美元中期票据，由中信证券国际提供担保。
2026-03-30CITIC Securities indirect subsidiary CSI MTN Limited issued USD 13.3mn in two tranches of medium-term notes, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited发行两笔合计1330万美元中期票据，由中信证券国际提供担保。
2026-04-16CITIC Securities' indirect subsidiary CSI MTN Limited issued HKD 58 million and USD 105.5 million in medium-term notes under its offshore MTN program, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited在境外中期票据计划下发行5800万港元及1.055亿美元票据，由中信证券国际提供担保。
2026-04-16CITIC Securities' indirect subsidiary CSI MTN Limited issued an additional USD 13.1 million in medium-term notes under its MTN program, guaranteed by CITIC Securities International.中信证券间接子公司CSI MTN Limited额外发行1310万美元中期票据，由中信证券国际提供担保。
2026-05-07CITIC Securities International's subsidiary CSI MTN Limited issues USD 5 million note under offshore MTN program, guaranteed by CITIC Securities International.中信证券国际附属公司CSI MTN Limited在境外中期票据计划下发行500万美元票据，由中信证券国际提供担保。
2026-05-15CITIC Securities International's subsidiary CSI MTN Limited issues two notes: USD 35 million and HKD 100 million under MTN program.中信证券国际附属公司CSI MTN Limited在中期票据计划下发行两笔票据：3500万美元和1亿港元。
2026-05-19CITIC Securities International's subsidiary CSI MTN Limited issues USD 10 million note under MTN program.中信证券国际附属公司CSI MTN Limited在中期票据计划下发行1000万美元票据。
2026-05-22CITIC Securities International's subsidiary CSI MTN Limited issues USD 5 million note under offshore MTN program.中信证券国际附属公司CSI MTN Limited在境外中期票据计划下发行500万美元票据。
Research institutes & subsidiaries研究机构与子公司
4 · 2025-03-25 → 2026-04-09
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Activities of research institutes, subsidiary operations, and related service procurement.研究机构活动、子公司运营及相关服务采购。
2025-03-25CITIC Securities won the bid for Everbright Securities' 2025 external securities research institute sell-side service procurement project with a bid amount of RMB 1.30 million.中信证券中标光大证券2025年度外部券商研究所卖方服务采购项目，中标金额130.00万元。
2025-10-21CITIC Securities selected Deloitte (Shanghai) as winning supplier for 'Pillar Two' tax advisory service procurement.中信证券选定上海德勤税务师事务所有限公司北京分所为“支柱二”税务咨询服务中选供应商。
2026-03-17CITIC Securities to host 8th 'Tan Jing Lun Ce' forum in Beijing on April 9, gathering policy makers and top think tank scholars.中信证券将于4月9日在北京举办第八届“谈经论策”论坛，汇聚政策制定部门与顶尖智库学者。
2026-04-09CITIC Securities held its 8th 'Tan Jing Lun Ce' (谈经论策) forum in Beijing on April 9, 2026, gathering policymakers and scholars to discuss global geopolitics and the macro economy.中信证券于2026年4月9日在北京举办第八届“谈经论策”论坛，汇聚政策制定者与学者讨论全球地缘与宏观经济。
Guarantees & financing担保与融资
2 · 2025-12-31 → 2026-04-15
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External guarantee disclosures, financing guarantee plans, and margin/leverage metrics.对外担保披露、融资担保计划及保证金/杠杆指标。
2025-12-31CITIC Securities announced that as of the disclosure date, the total external guarantees of the company and its subsidiaries amounted to 204.636 billion yuan, accounting for 69.82% of the latest audited net assets.中信证券公告截至披露日，公司及控股子公司对外担保总额为2046.36亿元，占最近一期经审计净资产的比例为69.82%。
2026-04-15CITIC Securities disclosed total external guarantees of RMB 208.123 billion as of the announcement date, accounting for 65.05% of its latest audited net assets.中信证券公告截至公告日对外担保总额为2081.23亿元，占最近一期经审计净资产的65.05%。
Annual reports & financial results年报与财务业绩
11 · 2026-03-19 → 2026-03-27
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Disclosure of annual financial results, operating metrics, and internal control reports.年度财务业绩、经营指标及内控报告的披露。
2026-03-19CITIC Securities announced 2025 annual results conference to be held via webcast on March 27, 9:00-10:00.中信证券拟于3月27日9:00-10:00通过网络直播召开2025年度业绩发布会。
2026-03-27CITIC Securities 2025 annual report: full-year A-share ADT up 62.6% YoY; QFII trading volume up 162.7% YoY.中信证券2025年A股日均成交额同比+62.6%；合格境外投资者交易量同比+162.7%。
2026-03-27CITIC Securities 2025 annual report: full-year net operating cash flow declined 57% QoQ; Q4 net profit down 27% QoQ.中信证券2025年经营活动现金流净额同比骤降57%；第四季度净利润环比下滑27%。
2026-03-27CITIC Securities 2025 annual report: full-year A-share and H-share rights issue funds fully utilised; all projects closed; remaining RMB 97.54mn permanently replenished working capital.中信证券2025年A股及H股配股资金已全部使用完毕，募投项目全部结项，节余9753.77万元永久补流。
2026-03-27CITIC Securities 2025 internal control audit report: no material weaknesses in financial reporting internal control; effective conclusion.中信证券2025年度内部控制审计报告：财务报告内部控制无重大缺陷，评价结论有效。
2026-03-27CITIC Securities 2025 annual report: full-year public fund A+H share trading volume market share 7.65%; Wind public fund commission ranking No.1.中信证券2025年公募基金A+H股交易量市场份额7.65%，Wind公募基金佣金分仓排名第一。
2026-03-27CITIC Securities 2025 annual report: full-year operating leverage 4.8x, highest since 2021; adjusted leverage ratio ~4.8x.中信证券2025年经营杠杆4.8倍，为2021年以来最高；经调整杠杆比率约4.8倍。
2026-03-27CITIC Securities 2025 annual report: full-year securities investment (proprietary) income RMB 27.605bn (+14.83% YoY); securities underwriting income RMB 6.055bn (+50.12% YoY).中信证券2025年证券投资业务收入276.05亿元（同比+14.83%），证券承销业务收入60.55亿元（同比+50.12%）。
2026-03-27CITIC Securities 2025 annual report: full-year brokerage income RMB 20.787bn (+25.55% YoY); asset management income RMB 14.294bn (+24.59% YoY).中信证券2025年经纪业务收入207.87亿元（同比+25.55%），资管业务收入142.94亿元（同比+24.59%）。
2026-03-27CITIC Securities 2025 annual report: full-year overseas business income RMB 15.519bn (+41.75% YoY); overseas subsidiary total assets RMB 490.662bn.中信证券2025年境外业务收入155.19亿元（同比+41.75%），境外子公司资产总额4906.62亿元。
2026-03-27CITIC Securities 2025 annual report: full-year margin balance RMB 207.7bn (+50% YoY), market share 8.2%.中信证券2025年两融余额2077亿元（同比+50%），市场份额8.2%。
Green & Sustainable Finance绿色与可持续金融
2 · 2026-03-27 → 2026-03-27
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Issuance of green ABS, sustainability-linked bonds, and related ESG reporting.发行绿色ABS、可持续发展挂钩债券及相关ESG报告。
2026-03-27CITIC Securities 2025 annual report: full-year green bond (incl carbon-neutral) underwriting volume RMB 77.6bn, ranked No.1 in industry.中信证券2025年绿色债（含碳中和）承销规模776亿元，行业排名第一。
2026-03-27CITIC Securities 2025 sustainability report: MSCI ESG rating maintained at AA; identified climate change as financially material; conducted 101 ESG training sessions.中信证券2025年可持续发展报告：MSCI ESG评级维持AA级，识别气候变化为财务重要性议题，开展101场ESG培训。
