China Securities Industry Report, 2007-2008
  • Jan/2008
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This report gives a general description of China securities market, analyzes and forecasts the development trends. It provides you a detailed study regarding market competition of traditional business and newly-created service in the securities industry. The report also probes 19 domestic securities companies, such as China Galaxy Securities Co., CITIC Group, Guotai Junan Securities Co., and Shenyin & Wanguo Securities Co.

According to data from the Shanghai and Shenzhen securities markets, the combined turnover of stock, fund and warrant on the Shanghai and Shenzhen stock exchanges totaled RMB 54.7 trillion in 2007, nearly four times the figure in 2006, among which RMB46.06 trillion was from stock transactions, five times the 2006 figure. Up to November of 2007, Galaxy Securities' turnover of stock, fund and warrant on Shanghai and Shenzhen stock exchanges reached RMB 5.79 trillion, in which stock turnover reached 5.45 trillion, nearly four times the 2006 figure.



From the above two tables, we can see that the proportions of Galaxy Security's turnover of stock and warrant has been on the upward trend, while that of bond has been on the downward trend. An important reason leading to the rise in the proportion of stock turnover is that in recent years the good market sentiment has  boosted resident demand for financial investment. The average disposable income of resident in urban area in the first half of 2007 was RMB7,052, up 17.6% year on year. After allowing for inflation, the real growth was 14.2%, which has laid a solid financial foundation for the sustained growth of investment demand.

When securities firms share the gains on bull market, however, the average turnover of sales department of a securities firm is not directly proportional to the scale of the security firm. Those medium security firms, like Merchant Security, Guosen Security,  generally have advantages in the average turnover of sales department, which are attibuted to the locations of sales departments, the research level and service provided.


China's securities market was in a "exciting" stage in both 2006 and 2007. The top 20 brokers in 2006 took up 62.16% of the shares of the entire broking market,  indicating that the market shares were falling into hands of the predominant companies. In addition, commercial banks are actively developing securities, fund, and trust business. These banks develop the business through establishing their own fund management companies and financial releasing companies, purchasing shares of trust companies and cooperating with securities companies.


1.Brief Introduction of China Securities Industry
1.1 Macro Circumstance for China Securities Industry
1.1.1 Systematic Circumstance
1.1.2 Supervision and Regulaiton Circumstance
1.2 Status Quo of China Securities Industry
1.2.1 Explosive Growth Brought by the Prosperous Industry
1.2.2 Investment in Financial Keeps Rising
1.2.3 Traditional Business Brings More Profits
1.3 Development Trend of China Securities Industry
1.3.1 Newly-Developed Businesses Improve the Industry Structure
1.3.2 Financial Disintermediation becomes a Definite Trend
1.3.3 Mixed Management Pattern Pushes Win-Win Strategy
1.3.4 Merger and Acquisition is an Inevitable Trend

2. Competition among Traditional Businesses on China Securities Market
2.1 Broking Service
2.1.1 Competition
2.1.2 Development Trend
2.2 Security Underwriting Business
2.2.1 Public Issuing Business
2.2.2 Additional Stock Issuing Business
2.2.3 Development Trend of Securities Underwriting Business
2.3 Self-Run Business
2.4 Income from Traditional Businesses can't make Stable Profits

3. Competition among Newly-Developed Businesses in China Securities Industry
3.1 Collective Assets Management Planning Business
3.2 Warrant Creation Business
3.3 Direct Investment Business
3.4 Stock Index Futures Dealing

4. Main Security Firms
4.1 China Galaxy Securities Co., Ltd
4.1.1 Company Profile
4.1.2 Competition
4.1.3 Latest Trends
4.1.4 Development Strategy
4.2 CITIC Securities Co., Ltd.
4.2.1 Company Profile
4.2.2 Competition
4.2.3 Latest Trends
4.2.4 Development Strategy
4.3 Hongyuan Security Co., Ltd
4.3.1 Company Profile
4.3.2 Competition 
4.3.3 Latest Trends
4.3.4 Development Strategy
4.4 Northeast Securities Co. ,Ltd
4.4.1 Company Profile
4.4.2 Competition 
4.4.3 Latest Trends
4.4.4 Development Strategy
4.5 Guoyuan Securities Co.,Ltd
4.5.1 Company Profile
4.5.2 Competition 
4.5.3 Latest Trends
4.5.4 Development Strategy
4.6 Changjiang Securities Co.,Ltd.
4.6.1 Company Profile
4.6.2 Competition 
4.6.3 Latest Trends
4.6.4 Development Strategy
4.7 Guotai Junan Securities Co. Ltd
4.7.1 Company Profile
4.7.2 Competition 
4.7.3 Latest Trends
4.7.4 Development Strategy
4.8 Shenyin & Wanguo Securities Co. Ltd.
4.8.1 Company Profile
4.8.2 Competition 
4.8.3 Latest Trends
4.8.4 Development Strategy
4.9 GF Securities Co., Ltd
4.9.1 Company Profile
4.9.2 Competition 
4.9.3 Latest Trends
4.9.4 Development Strategy
4.10 Guosen Securities Co., Ltd
4.10.1Company Profile
4.10.2 Competition 
4.10.3 Latest Trends
4.10.4 Development Strategy
4.11 Merchant Securities Co., Ltd
4.11.1 Company Profile
4.11.2 Competition 
4.11.3 Latest Trends
4.11.4 Development Strategy
4.12 China Securities Co., Ltd. 
4.12.1 Company Profile
4.12.2 Competition 
4.12.3 Latest Trends
4.12.4 Development Strategy
4.13 China Jianyin Investment Securities Co., Ltd
4.13.1 Company Profile
4.13.2 Competition 
4.13.3 Latest Trends
4.13.4 Development Strategy
4.14 Everbright Securities Co., Ltd
4.14.1 Company Profile
4.14.2 Competition 
4.14.3 Latest Trends
4.14.4 Development Strategy
4.15 Oriental Securities Co., Ltd
4.15.1 Company Profile
4.15.2 Competition 
4.15.3 Latest Trends
4.15.4 Development Strategy
4.16 Industrial Securities Co., Ltd
4.16.1 Company Profile
4.16.2 Competition 
4.16.3 Latest Trends
4.16.4 Development Strategy
4.17 BOC International (China) Limited
4.17.1 Company Profile
4.17.2 Competition 
4.17.3 Latest Trends
4.17.4 Development Strategy
4.18 Huaxi Securities Co., Ltd
4.18.1 Company Profile
4.18.2 Competition 
4.18.3 Latest Trends
4.18.4 Development Strategy
4.19 PingAn Securities Co., Ltd
4.19.1 Company Profile
4.19.2 Competition 
4.19.3 Latest Trends
4.19.4 Development Strategy
Stock Turnover and Link Relative Ratio 2006-2007
Newly-Increased A Share Individual Accounts 2006-2007 
Newly-Increased Fund Individual Accounts 200601-200709 
Securities Turnover Structure in 2006
Changing Trend of Stock and Fund Turnover, 2001-2007
Market Shares Taken by Broking Service in 2006 
Average Turnover of Main Securities Companies, Jan-Dec 2007 
Changing Trend of Financing in Underwriting Business, Jan-Oct 2007 
Changing Trend of Underwriting Amount by Securities Firms, 2002-2006  
Concentration Degree of Underwriting Business, 2006
Change of Price Differential Income from Self-run Business of Securities Firms, 2002-2007
Proportion of Self-Run Service Turnover and Proportion of Stock Held to Net Assets of Partial Securities Firms
Average Turnover Structure of Partial Innovative Brokers, 2006-1H 2007
Changing Trends of Galaxy Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Galaxy Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Sum of Money Underwritten by Galaxy Securities, 2001-2007
Changing Trend of CITIC Securities Broking Service Turnover, 2005-2009
CITIC Securities Proportion (%) 2005-2009
Commission Charge, Self-Run and Issuing Businesses of CITIC Securities, 2005-2009
Changing Trends of CITIC Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of CITIC Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Proportion of Turnover in Xinjiang to the Whole Nation
Hongyuan Securities Turnover Structure, H1 2007
Changing Trends of Hongyuan Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007
Changing Proportions of Hongyuan Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007
Northeast Securities Turnover Structure
Changing Trend of Northeast Securities Broking Service, 2005-2009
Changing Trends of Guoyuan Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of CITIC Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Prime Operating Income, Floating Debts, and Total Assets of Changjiang Securities, 2006-2007
 Turnover, Floating Debts, and Total Assets of Changjiang Securities, 2003-2006
Changing Trends of Changjiang Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Changjiang Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Guotai Junan Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Guotai Junan Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Sum of Money Underwritten by Guotai Junan Securities, 2004-2007
Changing Trends of Shenyin& Wanguo Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Shenyin & Wanguo Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of GF Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of GF Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Guosen Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Guosen Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Merchants Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Merchants Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of China Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of China Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of China Jianyin Investment Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of China Jianyin Investment Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Everbright Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Everbright Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Oriental Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Oriental Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Industrial Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Industrial Securities'Stock, Fund, Bond and Warrant  Turnover, 2004-2007 
Changing Trends of BOC Int'l Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of BOC Int'l Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of West China Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of West China Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Trends of Ping'an Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Changing Proportions of Ping'an Securities'Stock, Fund, Bond and Warrant Turnover, 2004-2007 
Disciplines in Security Industry
Main Industrial Policies and Forthcoming Policies, 2007
Stock Turnover and Like Relative Ratio, 200601-200709
Development Security Industry in Main Newly Created Fields
Stock and Fund Turnover of Partial Security Firms
Ranking of Broking Service in Market, 2006
Price Difference of Self-Run Business in Partial Security Firms, 2002-2007
Assets Management Scale of partial Security Firms in 2007
Characteristics of Direct Investment
Future Commodity Turnover and Commission Charge, Forecasted, 2008-2010
Shareholders of Galaxy Securities
Galaxy Securities'Turnover from Each Service
Main Shareholders of CITIC Securities
CITIC Securities'Turnover from Commission Charge, Self-Run Services and Issuing Service, 2005-2009 
CITIC Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Hongyuan Securities
Hongyuan Securities Broking Service Turnover Changing
Main Shareholders of Northeast Securities
Main Indicators of Northeast Securities
Main Shareholders of Guoyuan Securities
Hongyuan Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Changjiang Securities
Changjiang Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Guotai Jun’an Securities
Guotai Jun'an Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Shenyin & Wanguo Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of GF Securities
GF Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Merchants Securities
Merchants Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
China Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
China Jianyin Investment Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Everbright Securities
Everbright Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Oriental Securities
Oriental Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Main Shareholders of Industrial Securities
Industrial Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
BOC International Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
West China Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007
Ping'an Securities'Stock, Fund, Bond, and Warrant Turnover 2004-2007

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