2016 ENVIRONMENTAL, SOCIAL AND GOVERNANCE REPORT
Extracted ESG KPIs
KPIs are organized by ESG aspects.
Direct and/or indirect energy consumption by type (e.g. electricity, gas or oil) in total (kWh in '000s) and intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Electricity consumption (10000 kWh) | 10000 kWh | 2847.49 | 43 |
| Electricity consumption per capita | 10000 kWh | 2.03 | 43 |
| Natural gas consumption (m3) | m3 | 1075997.8 | 43 |
| Natural gas consumption per capita | m3 | 766.38 | 43 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Water consumption (t) | t | 88139 | 43 |
| Water consumption per capita | t | 62.78 | 43 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Additional jobs offered | jobs | 753 | 42 | ||
| Fresh graduates recruited | graduates | 331 | 42 | ||
| Gold Management Team in China's Futures Companies (Huatai Futures) | Awarded | 9 | |||
| Internship base of Peking University in Jiangsu - undergraduate interns | undergraduate interns | 249 | 42 | ||
| Number of share placement projects completed by Huatai Hong Kong investment banking business | project | 1 | 24 | ||
| Staff costs | RMB'000 | 2521883 | 4412186 | 4338369 | 7 |
| Total assets | RMB'000 | 272226036 | 452614615 | 401450397 | 7 |
| Total equity attributable to shareholders | RMB'000 | 41298556 | 80789425 | 84357457 | 7 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Number of WeChat courses developed | courses | 18 | 37 |
| Number of annual training curriculum sessions | courses | 247 | 37 |
| Number of e-learning courses developed | courses | 68 | 37 |
| Number of internal trainers developed | trainers | 162 | 37 |
| Number of off-site trainings conducted | trainings | 155 | 37 |
| Number of participants in centralized trainings and internet trainings | participants | 1500 | 37 |
| Number of participants in on-site and off-site trainings | participants | 2864 | 37 |
The average training hours completed per employee by gender and employee category.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Number of centralized trainings conducted | trainings | 35 | 37 |
| Number of hours of internal trainer courses delivered | hours | 339 | 37 |
Number of suppliers by geographical region.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| 'Taurus' Passive Investment Fund Company (China Southern Asset Management) | Awarded | 9 | |
| Balance of margin trading business of the parent company | RMB billion | 55143 | 19 |
| Collective asset management schemes - aggregate amount | RMB billion | 129.474 | 22 |
| Number of collective asset management schemes | 92 | 22 | |
| Number of overseas bond issuance projects completed | projects | 6 | 24 |
| Outstanding Member Award (Huatai Futures) | Awarded | 9 | |
| Outstanding Member in Market Development, Outstanding Member in Industrial Services, Outstanding Member in Varieties Industrial Services and Outstanding Business Office (Huatai Futures) | Awarded | 9 | |
| Special asset management schemes - aggregate amount | RMB billion | 35.141 | 22 |
Description of practices relating to engaging suppliers, number of suppliers where the practices are being implemented, and how they are implemented and monitored.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Active management capacity in fixed income sector | RMB billion | 235 | 22 |
| Number of targeted asset management schemes | 588 | 22 |
Percentage of total products sold or shipped subject to recalls for safety and health reasons.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| 2015 'Taurus' Fund Management Company (China Southern Asset Management) | Awarded | 9 | |||
| 2015 'Taurus' Passive Investment Fund Company (China Southern Asset Management) | Awarded | 9 | |||
| 2015 Gold Fund - Bond Return on Investment Fund Management Company (Huatai PineBridge) | Awarded | 9 | |||
| 2015 Top 1 Investment Bank in China M&A Market (domestic) by ChinaVenture (Huatai United) | Awarded | 9 | |||
| 2015 Top 5 Investment Bank in China M&A Market (cross-border) by ChinaVenture (Huatai United) | Awarded | 9 | |||
| 2016 'Pilot China' Outstanding Brand of the Year Award (Huatai Futures) | Awarded | 9 | |||
| 2016 ABS Most Powerful Manager Award (Huatai Asset Management) | Awarded | 9 | |||
| 2016 Best Active Asset Management Award (Huatai Asset Management) | Awarded | 9 | |||
| 2016 Best Securities Assets Management Company (Huatai Asset Management) | Awarded | 9 | |||
| 2016 Top 10 Innovative Asset Management/Fund Products (Huatai Asset Management) | Awarded | 9 | |||
| Basic earnings per share (yuan/share) | yuan/share | 0.8 | 1.65 | 0.88 | 7 |
| Best All-round Securities Investment Bank (Huatai United) | Awarded | 9 | |||
| Dividends per 10 shares (RMB yuan, tax inclusive) | RMB yuan | 5 | 5 | 5 | 33 |
| Net profit attributable to the shareholders of the Company in the consolidated statements for the dividend year | RMB | 4486276132.08 | 10968708759.92 | 6270611459.43 | 33 |
| Profit for the year - attributable to shareholders | RMB'000 | 4486276 | 10696871 | 6270912 | 7 |
| Shenwan Hongyuan Securities - broker ranking in income | rank | 1 | 20 | ||
| Shenwan Hongyuan Securities - broker ranking in net assets | rank | 4 | 20 | ||
| Shenwan Hongyuan Securities - broker ranking in net profit | rank | 3 | 20 | ||
| Shenwan Hongyuan Securities - broker ranking in total assets | rank | 5 | 20 | ||
| Total assets of Huatai Asset Management | RMB billion | 883.32 | 22 |
Number of products and service related complaints received and how they are dealt with.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Business tax and extra charges | RMB'000 | 574148 | 1744997 | 608375 | 7 |
| China's Best Futures Company (Huatai Futures) | Awarded | 9 | |||
| China's Gold Futures Research Institute (Huatai Futures) | Awarded | 9 | |||
| Market share of margin trading business of the parent company | % | 5.87 | 19 | ||
| Number of IPO projects completed by Huatai Hong Kong investment banking business | projects | 3 | 24 | ||
| Number of analyst and investor visits for research or telephone interviews | visits | 138 | 31 | ||
| Number of batches of visits from brokerage firms and fund companies | batches | 40 | 31 | ||
| Number of financial advisory projects completed by Huatai Hong Kong investment banking business | projects | 13 | 24 | ||
| Number of guests received in on-site interviews | persons/times | varies by event | 32 | ||
| Number of guests received in telephone interviews | persons/times | varies by event | 32 | ||
| Number of mezzanine financing projects completed | projects | 7 | 24 | ||
| Number of telephone interviews with institutional investors | interviews | 8 | 32 | ||
| Transaction issuance amount for IPO and share placement projects | billion USD | 1.63 | 24 | ||
| Transaction issuance amount for Peak Sports via contractual arrangements | billion HKD | 2.4 | 24 | ||
| Transaction issuance amount for overseas bond issuance projects | billion USD | 1.9 | 24 | ||
| Undistributed profit | RMB'000 | 10319188 | 15232023 | 16194936 | 7 |
| VAT | RMB'000 | 699176 | 7 | ||
| Weighted average return on net assets (%) | % | 11.74 | 17.09 | 7.73 | 7 |
Description of practices relating to observing and protecting intellectual property rights.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Size of owned customer equity (including agency trading members) | RMB billion | 21336 | 19 |
Description of quality assurance process and recall procedures.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Best Capital Operations Development Award (Huatai Futures) | Awarded | 9 | |
| Best Consumer Finance Project Manager (Huatai United) | Awarded | 9 | |
| Best Financial Futures Service Award (Huatai Futures) | Awarded | 9 |
Description of consumer data protection and privacy policies, and how they are implemented and monitored.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Securities Investor Protection Fund | RMB'000 | 49253 | 123410 | 169431 | 7 |
Number of concluded legal cases regarding corrupt practices brought against the issuer or its employees during the reporting period and the outcomes of the cases.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Amount of cash dividends (tax inclusive) | RMB | 2800000000 | 3581384400 | 3581384400 | 33 |
| Distributed cash dividends | RMB'000 | 840000 | 2800000 | 3581384 | 7 |
| GRGBanking non-public offering amount raised | billion RMB | 3.137 | 21 | ||
| Number of private equity investment funds set up by Huatai Zijin | 17 | 22 |
Description of preventive measures and whistle-blowing procedures, and how they are implemented and monitored.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Corporate income tax | RMB'000 | 1195620 | 2360287 | 3658644 | 7 |
| Number of on-site interviews with institutional investors | interviews | 18 | 32 | ||
| Number of special asset management schemes | 34 | 22 |
Focus areas of contribution (e.g. education, environmental concerns, labour needs, health, culture, sport).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Aluminum Industry Service Award (Huatai Futures) | Awarded | 9 | |
| Best Futures Private Equity Incubation Award (Huatai Futures) | Awarded | 9 | |
| Best Industrial Service Award (Huatai Futures) | Awarded | 9 | |
| Best Institutional Expansion Award (Huatai Futures) | Awarded | 9 | |
| Best Institutional Service Award (Huatai Futures) | Awarded | 9 | |
| Best Investment Bank in Overseas Markets (Huatai United) | Awarded | 9 | |
| Best Investment Bank in Real Estate and Financial Industries (Huatai United) | Awarded | 9 | |
| Best Investment Bank in the TMT Industry (Huatai United) | Awarded | 9 | |
| Best Local Investment Bank (Huatai United) | Awarded | 9 | |
| Best Local M&A Investment Bank (Huatai United) | Awarded | 9 | |
| Best M&A Investment Bank (Huatai United) | Awarded | 9 | |
| China Southern Asset Management - asset scale of mutual fund | billion RMB | 391.486 | 23 |
| China Southern Asset Management - asset scale of non-mutual fund | billion RMB | 253.731 | 23 |
| China Southern Asset Management - number of mutual fund products under management | funds | 116 | 23 |
| Natural Rubber Industry Service Award (Huatai Futures) | Awarded | 9 | |
| Outstanding Trading Award of the Year (Huatai Asset Management) | Awarded | 9 | |
| Ranking of margin trading business of the parent company in the market | NO.2 | 19 | |
| Silver Industry Service Award (Huatai Futures) | Awarded | 9 | |
| Steel Industry Service Award (Huatai Futures) | Awarded | 9 | |
| The 11th China Fund Industry Star Fund Award - 2015 Top 10 Star Fund Companies (China Southern Asset Management) | Awarded | 9 | |
| The 13th China 'Gold Fund' TOP Company Award (China Southern Asset Management) | Awarded | 9 | |
| Top 30 Outstanding Members (Huatai Futures) | Awarded | 9 |
Resources contributed (e.g. money or time) to the focus area.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Guangzhou Friendship non-public offering amount raised | billion RMB | 10 | 21 | ||
| HUAAN SECURITIES initial public offering amount raised | billion RMB | 5.128 | 21 | ||
| Huatai PineBridge - asset scale of mutual fund | billion RMB | 97.488 | 23 | ||
| Huatai PineBridge - mutual fund dividends achieved | billion RMB | 1.134 | 23 | ||
| Huatai PineBridge - number of mutual fund products issued during the year | funds | 11 | 23 | ||
| Huatai PineBridge - number of mutual fund products managed | funds | 46 | 23 | ||
| Huatai Zijin private equity funds - registered capital | RMB billion | 6 | 22 | ||
| Percentage of net profit attributable to the shareholders of the Company in the consolidated statements | % | 62.41 | 33.48 | 57.11 | 33 |
| Public welfare donations | RMB'000 | 1554 | 6067 | 10833 | 7 |
| Targeted asset management schemes - aggregate amount | RMB billion | 718.705 | 22 |
Direct and/or indirect energy consumption by type (e.g. electricity, gas or oil) in total (kWh in '000s) and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Grid Electricity Consumption | kWh | 28474900 |
| Natural Gas Consumption | m3 | 1075997.8 |
| Purchased Electricity | kWh | 28474900 |
| Total Indirect Energy Consumption | kWh | 28474900 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Water Consumption | t | 88139 |
Description of the significant climate-related issues which have impacted, and those which may impact, the issuer, and the actions taken to manage them.
| Standard Indicator | Unit |
|---|---|
| Investment in Climate Change Management | billion RMB |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Number of Interns | persons | 249 |
| Number of New Employees | persons | 753 |
| Number of Total Employees | persons | |
| Percentage of Bachelor's Degree Employees | percent | |
| Percentage of Below Junior College Employees | percent | |
| Percentage of Doctoral Degree Employees | percent | |
| Percentage of Master's Degree Employees | percent |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Average Spend on Training and Development per FTE | currency | None |
| Investment in Environmental Training | currency | None |
| Percentage of Employees Trained | % | None |
| Total Cost of Training | currency | None |
The average training hours completed per employee by gender and employee category.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Total Training Hours | hours | 339 |
Resources contributed (e.g. money or time) to the focus area.
| Standard Indicator | Unit | 2014 | 2015 | 2016 |
|---|---|---|---|---|
| Donations to Disaster Relief Contributions to Public Welfare | RMB | |||
| Investment in Targeted Poverty Alleviation | RMB | |||
| Number of Employees Participating in Volunteer Activities | employees | |||
| Total Public Welfare Donations | RMB | 1554000 | 6067000 | 10833000 |
| Total Social Investment | RMB |