China Merchants Securities Co., Ltd. 2016 Environmental, Social and Governance Report
Extracted ESG KPIs
KPIs are organized by ESG aspects.
Total non-hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Double-sided office printing | documents | 7265 | 37 |
| Double-sided office printing (sheets) | sheets | 159600 | 37 |
Description of how hazardous and non-hazardous wastes are handled, and a description of reduction target(s) set and steps taken to achieve them.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Paper saved per issue of E-Paper | pieces | 3520000 | 37 |
| Paper saved through E-Paper | reams | 3000 | 37 |
| Shredded classified documents for recycling | boxes | 158 | 37 |
Description of energy use efficiency target(s) set and steps taken to achieve them.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Number of energy-saving environmental protection companies sponsored to be listed on the NEEQ | companies | 18 | 32 |
| Office air conditioner temperature | degrees Celsius | 26 | 37 |
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Scale of underwritten bonds | 1 | 30 | |
| Ten-billion corporate bonds to promote the new energy industry | billion RMB | 11.2 | 5 |
| Ten-billion green bond to build national grid | billion RMB | 10 | 5 |
| Ten-billion green bond to build national grid (allocated as supplementary working capital) | billion RMB | 5 | 5 |
| Ten-billion green bond to build national grid (allocated to Ximeng-Shandong 1000kV UHV AC power transmission project) | billion RMB | 5 | 5 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Number of employees (staff and sales reps) | 10817 | 3 | |||
| Number of employees involved in NEEQ investment and potential institutional investors | 1000 | 14 | |||
| Number of non-sales staff | 5064 | 21 | |||
| Number of projects completed for overseas investment banking business | projects | 35 | 32 | ||
| Number of sales staff | 5735 | 21 | |||
| Share of employees working in Shenzhen headquarter | % | 31.41 | 21 | ||
| Share of non-sales staff aged 30 or below | % | 17 | 21 | ||
| Share of non-sales staff aged 31 to 40 | % | 41 | 21 | ||
| Share of non-sales staff aged 41 or above | % | 42 | 21 | ||
| Share of non-sales staff who are female | % | 39.74 | 21 | ||
| Share of non-sales staff who are male | % | 60.26 | 21 | ||
| Share of non-sales staff with PhD | % | 1.54 | 21 | ||
| Share of non-sales staff with bachelor degree | % | 49.05 | 21 | ||
| Share of non-sales staff with master degree | % | 48.43 | 21 | ||
| Share of non-sales staff with other education | % | 0.98 | 21 | ||
| Share of sales staff aged 30 or below | % | 15 | 21 | ||
| Share of sales staff aged 31 to 40 | % | 44 | 21 | ||
| Share of sales staff aged 41 or above | % | 41 | 21 | ||
| Share of sales staff who are female | % | 56.25 | 21 | ||
| Share of sales staff who are male | % | 43.75 | 21 | ||
| Share of sales staff with bachelor degree | % | 59.1 | 21 | ||
| Share of sales staff with master degree | % | 1.69 | 21 | ||
| Share of sales staff with other education | % | 39.21 | 21 | ||
| Total cash dividends distributed | million RMB | 1914.9 | 11 | ||
| Total number of employees | 10817 | 21 | |||
| WeChat platform users | users | 8252 | 37 | ||
| Year-on-year increase rate of net consolidated profit attributable to parent company | 63% | 40% | -50% | 30 |
Employee turnover rate by gender, age group and geographical region.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| WeChat platform users added in 2016 | users | 5000 | 37 |
Description of occupational health and safety measures adopted, and how they are implemented and monitored.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Employees used shared pedal self-examination via vehicles | employees | 38000 | 37 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| E-Paper copies published | copies | 465 | 37 | ||
| E-Paper issues published | issues | 47 | 37 | ||
| Number of exam courses | 9 | 23 | |||
| Number of general courses | 121 | 23 | |||
| Number of management courses | 10 | 23 | |||
| Number of provinces covered by securities practitioner training courses | provinces | 14 | 29 | ||
| Number of trainees | 10k persons | 4.5 | 6.3 | 6.6 | 23 |
| Number of training courses for securities practitioners | courses | 33 | 29 | ||
| Total number of courses | 496 | 23 |
The average training hours completed per employee by gender and employee category.
| Indicator | Unit | 2014 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|
| Average training hours per person | 61 | 23 | |||
| Number of specialized courses | 356 | 23 | |||
| Standard hours of exam courses | 89 | 23 | |||
| Standard hours of general courses | 64 | 23 | |||
| Standard hours of management courses | 8 | 23 | |||
| Standard hours of specialized courses | 423 | 23 | |||
| Total standard hours of courses | 584 | 23 | |||
| Total training hours | 10k hours | 38.4 | 48.5 | 61 | 23 |
| Training hours categorized by function (Non-Salespeople) | 10k hours | 64 | 23 | ||
| Training hours categorized by function (Salespeople) | 10k hours | 58.2 | 23 | ||
| Training hours categorized by gender (Female) | 10k hours | 48.7 | 23 | ||
| Training hours categorized by gender (Male) | 10k hours | 48.2 | 23 |
Number of suppliers by geographical region.
| Indicator | Unit | 1991 | 1996 | 2001 | 2006 | 2011 | 2016 | Report Pages |
|---|---|---|---|---|---|---|---|---|
| Balance of margin financing and securities lending | 6 | 30 | ||||||
| Balance of securities-based lending | 7 | 30 | ||||||
| Financing amount for Huaguang Culture | billion RMB | 1.27 | 15 | |||||
| Financing amount for Tiandi No.1 Beverage INC. | million RMB | 380 | 15 | |||||
| Financing for new and emerging industries (National Equities Exchange and Quotations) | billion RMB | 44 | 5 | |||||
| Nationwide branches cover large and medium-sized cities | cities | 113 | 3 | |||||
| Number of NEED listed companies | 2 | 30 | ||||||
| Number of NEEQ accounts opened | 9808 | 14 | ||||||
| Number of NEEQ companies served with market-making services | 205 | 15 | ||||||
| Number of WFOE institutions in Beijing, Shanghai, and Shenzhen | 20 | 14 | ||||||
| Number of companies sponsored to be listed on the NEEQ | companies | 309 | 32 | |||||
| Number of custody and outsourcing service managers | 2200 | 14 | ||||||
| Number of custody and outsourcing service products | 11638 | 14 | ||||||
| Number of institutional clients for stock options | 217 | 14 | ||||||
| Number of new securities branches | 26 | 19 | ||||||
| Number of new securities branches in Beijing | 4 | 19 | ||||||
| Number of new securities branches in Gansu | 1 | 19 | ||||||
| Number of new securities branches in Guangdong | 6 | 19 | ||||||
| Number of new securities branches in Hebei | 1 | 19 | ||||||
| Number of new securities branches in Heilongjiang | 1 | 19 | ||||||
| Number of new securities branches in Henan | 1 | 19 | ||||||
| Number of new securities branches in Hunan | 1 | 19 | ||||||
| Number of new securities branches in Jiangxi | 1 | 19 | ||||||
| Number of new securities branches in Liaoning | 1 | 19 | ||||||
| Number of new securities branches in Shaanxi | 1 | 19 | ||||||
| Number of new securities branches in Shandong | 1 | 19 | ||||||
| Number of new securities branches in Shanghai | 2 | 19 | ||||||
| Number of new securities branches in Sichuan | 1 | 19 | ||||||
| Number of new securities branches in Zhejiang | 1 | 19 | ||||||
| Number of raw materials companies sponsored to be listed on the NEEQ | companies | 27 | 32 | |||||
| Number of securities branches | 1 | 16 | 25 | 54 | 91 | 222 | 25 | |
| Overseas direct financing | billion RMB | 1.994 | 3 |
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 |
|---|---|---|---|
| Number of companies provided with marketing making services | companies | 15 | 32 |
| Number of eco-agriculture companies sponsored to be listed on the NEEQ | companies | 6 | 32 |
| Number of securities branches covered by Zhisheng Forum sessions | branches | 60 | 20 |
Description of practices used to identify environmental and social risks along the supply chain, and how they are implemented and monitored.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Financed 5 companies (environment friendly) on National Equities Exchange and Quotations | million RMB | 25 | 5 |
| Financed Hunan Jinweida Membrane Protection Co., Ltd. | million RMB | 20 | 5 |
| Financed Qiangdao Jinneng Environmental Protection Co., Ltd. | million RMB | 30 | 5 |
| Financed Rongcheng Longmen Hi-tech Material Co., Ltd. | million RMB | 30 | 5 |
| Financed Shenzhen EIT Environmental Development Co., Ltd. | million RMB | 25 | 5 |
| Financed environment friendly companies on National Equities Exchange and Quotations | million RMB | 170 | 5 |
Percentage of total products sold or shipped subject to recalls for safety and health reasons.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Sales of Taifut Mutual Gold | billion RMB | 2.8 | 14 |
| Sales of mutual fund products | billion RMB | 20 | 14 |
| Sales of private equity fund products | billion RMB | 3.1 | 14 |
Number of products and service related complaints received and how they are dealt with.
| Indicator | Unit | 1991 | 1996 | 2001 | 2006 | 2011 | 2015 | 2016 | Report Pages |
|---|---|---|---|---|---|---|---|---|---|
| Client complaint resolution rate | % | 82 | 20 | ||||||
| Client complaint response rate | % | 100 | 20 | ||||||
| Client satisfaction rate (95556 hotline) | % | 98.34 | 20 | ||||||
| Client satisfaction rate (all clients surveyed) | % | 99.52 | 20 | ||||||
| Cumulative new shares wins reminders sent via WeChat account | 4100 | 19 | |||||||
| Cumulative thumb-ups on official microblog | 47777 | 19 | |||||||
| Increase in client service center revisits | % | 74.91 | 20 | ||||||
| Market share of the trading volume of stock and funds | 8 | 30 | |||||||
| NEED underwriting amount | 2 | 30 | |||||||
| Net assets attributed to shareholders at the end of the year | billion RMB | 59.826 | 3 | ||||||
| Number of accounts for stock options | 13352 | 14 | |||||||
| Number of client service center revisits (previous year) | visits | 35300 | 20 | ||||||
| Number of client service center visits | visits | 292200 | 20 | ||||||
| Number of client service center visits (revisited) | visits | 61600 | 20 | ||||||
| Number of clients | 55 | 280000 | 1030000 | 1450000 | 3580000 | 6000000 | 25 | ||
| Number of clients completed launching and operation of public fund outsourcing | 290 | 14 | |||||||
| Number of clients seeking listing on NEEQ and other boards | 40 | 15 | |||||||
| Number of clients served for public fund outsourcing | 290 | 14 | |||||||
| Number of complaints decreased by | % | 97 | 20 | ||||||
| Number of medical and health care companies sponsored to be listed on the NEEQ | companies | 10 | 32 | ||||||
| Number of new stock options listed | 17 | 14 | |||||||
| Number of non-performing ABS products underwritten | 11 | 11 | |||||||
| Number of off-site client accounts served | accounts | 1974000 | 20 | ||||||
| Number of private equity funds for hosting and outsourcing services | 1 | 30 | |||||||
| Number of private placement structured notes issued | 56 | 14 | |||||||
| Number of targeted private placement services provided | sessions | 74 | 32 | ||||||
| Prime brokerage custody and outsourcing service scale | billion RMB | 181 | 14 | ||||||
| Proportion of transactions by individual investors conducted online | percent | 53.84 | 37 | ||||||
| Proportion of transactions by individual investors conducted via mobile phone | percent | 9.12 | 37 |
Description of practices relating to observing and protecting intellectual property rights.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Number of biotechnology companies sponsored to be listed on the NEEQ | companies | 6 | 32 |
| Number of software and Internet companies sponsored to be listed on the NEEQ | companies | 56 | 32 |
| Number of structured notes issued | 65 | 14 |
Description of quality assurance process and recall procedures.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Product expiration reminders published via WeChat account | 126 | 19 |
Description of consumer data protection and privacy policies, and how they are implemented and monitored.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Electronic office documents processed | documents | 130000 | 37 |
| Followers on official WeChat account | 500000 | 19 | |
| Messages for new shares wins and product expiration sent via WeChat account | 16561 | 19 | |
| Number of binding clients on official WeChat account | 110000 | 19 |
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 |
|---|---|---|---|---|---|
| Corporate tax (including withholding) paid | RMB billion | 2.781 | 7.858 | 6.445 | 38 |
| Funds raised as co-sponsor for HK IPO of Meitu by CMS (Hong Kong) | million USD | 630 | 16 | ||
| Funds raised by CMSAM No. 1-YHDIC Qusheng highway vehicle toll earnings ABS | million RMB | 315 | 16 | ||
| Funds raised by CMSAM No. 2-YHDIC-CMB-CMBC-Rong Ju Yuyuan highway vehicle toll earnings ABS | billion RMB | 5 | 16 | ||
| Funds raised by CMSAM-SZQHYF-Hengrong ABS 2016-1 | billion RMB | 10 | 16 | ||
| Funds raised by China Cinda Asset Management Co., Ltd. preferred stock issuance | billion USD | 3.2 | 16 | ||
| Funds raised by HanHua microloan ABS No. 1 | million RMB | 350 | 16 | ||
| Funds raised by Yestock ABS 2016-2 | million RMB | 360 | 16 | ||
| Hong Kong stock market underwriting amount | 12 | 30 | |||
| Private placement structured notes issued | billion RMB | 3.279 | 14 |
Description of preventive measures and whistle-blowing procedures, and how they are implemented and monitored.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Number of compliance related books compiled | books | 5 | 29 |
| Structured notes issued in large scale | billion RMB | 2.782 | 14 |
| Structured notes issued in small scale | billion RMB | 1.9996 | 14 |
Description of anti-corruption training provided to directors and staff.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| AA rating in Class A (consecutive years) | years | 9 | 3 |
| ABS underwriting amount | 1 | 30 | |
| Number of anti-corruption activities organized | activities | 5 | 29 |
| Number of anti-money laundering training and promotion activities | activities | 300 | 29 |
| Number of anti-money laundering training and promotion sessions | sessions | 300 | 29 |
| Number of strategic cooperation agreements signed with investors | 200 | 14 |
Focus areas of contribution (e.g. education, environmental concerns, labour needs, health, culture, sport).
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Donation by Shenzhen CMS Charity Foundation | million RMB | 10 | 11 |
| Foreign direct financing for domestic enterprises to go global | billion dollars | 13.94 | 5 |
| Number of Zhisheng Forum investor education sessions conducted | sessions | 60 | 20 |
| Number of cultural media companies sponsored to be listed on the NEEQ | companies | 12 | 32 |
| Number of new energy companies sponsored to be listed on the NEEQ | companies | 4 | 32 |
| Number of people reached by Zhisheng Forum sessions | people | 4500 | 20 |
| Tax paid (including tax paid on behalf of other individuals) | billion RMB | 6.485 | 3 |
Resources contributed (e.g. money or time) to the focus area.
| Indicator | Unit | 2016 | Report Pages |
|---|---|---|---|
| Annual revenue | million RMB | 1852.6 | 11 |
| Charity donations | million RMB | 10 | 3 |
| Donated a total of RMB to society | million | 63 | 33 |
| Funds raised for HNA Group private placement bond underwriting | million USD | 100 | 16 |
| Funds raised through IPO in H Shares | billion HK$ | 10.695 | 3 |
| Mutual fund underwriting amount | 2 | 30 | |
| Number of small and micro business loan financing projects completed at Bozhou Huishang Bank | projects | 2 | 32 |
| Number of small and micro business loan financing projects completed at Hefei Huishang Bank | projects | 8 | 32 |
| Number of small and micro business loan financing projects completed at Huishang Bank | projects | 16 | 32 |
| Revenue | billion RMB | 18.552 | 3 |
| Total amount of RMB loan for the issuance of small and micro business loans at Huishang Bank | billion RMB | 1 | 32 |
| Total amount of underwriting services for NEEQ companies | billion RMB | 5.964 | 15 |
Direct (Scope 1) and energy indirect (Scope 2) greenhouse gas emissions (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit |
|---|---|
| Total GHG Emissions | tonnes |
Total non-hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Paper Waste | sheets | 159600 |
Description of energy use efficiency target(s) set and steps taken to achieve them.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Number of Energy-saving and Carbon Reduction Demonstration Projects Achieved | companies | 18 |
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Total Investment in Ecological Restoration | billion RMB | 21.2 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Number of Total Employees | 10817 | |
| Percentage of Employees in Mainland China | % | 31.41 |
| Percentage of Female Employees | % | 39.74 |
| Percentage of Male Employees | % | 60.26 |
Lost days due to work injury.
| Standard Indicator | Unit |
|---|---|
| Lost Days Due to Work-related Injuries |
Description of occupational health and safety measures adopted, and how they are implemented and monitored.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Number of People Receiving Training on Work Safety | employees | 38000 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Standard Indicator | Unit | 2014 | 2015 | 2016 |
|---|---|---|---|---|
| Percentage of Employees Trained | 10k persons | 4.5 | 6.3 | 6.6 |
The average training hours completed per employee by gender and employee category.
| Standard Indicator | Unit | 2014 | 2015 | 2016 |
|---|---|---|---|---|
| Average Training Hours per Employee | hours | 61 | ||
| Total Training Hours | hours | 384000 | 485000 | 610000 |
Number of products and service related complaints received and how they are dealt with.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Complaint Growth Rate | % | -97 |
| Complaints Handling Rate | % | 82 |
| Satisfaction Rate of Customer Complaint Handling | % | 98.34 |
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.
| Standard Indicator | Unit | 2014 | 2015 | 2016 |
|---|---|---|---|---|
| Number of Concluded Corruption Lawsuits | Full Disclosure | Full Disclosure | Full Disclosure |
Description of anti-corruption training provided to directors and staff.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Number of Anti-corruption Training Session | sessions | 300 |
Resources contributed (e.g. money or time) to the focus area.
| Standard Indicator | Unit | 2016 |
|---|---|---|
| Investment in Education Donation | million RMB | 2.334 |
| Investment in Targeted Poverty Alleviation | million RMB | 1 |
| Total Cash Donations | million RMB | 63 |
| Total Public Welfare Donations | million RMB | 63 |
| Total Social Investment | million RMB | 63 |