Environmental, Social and Governance Report 2017
Extracted ESG KPIs
KPIs are organized by ESG aspects.
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Industry Pioneer (International Pioneer Management Organization Awards) | Awarded | 24 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Newly promoted and appointed cadres who were reserve cadres | % | 60 | 16 |
| Number of domestic employees | people | 14439 | 15 |
| Number of employee representative assemblies organized and convened | 3 | 16 | |
| Number of employees aged 30 and below | people | 5436 | 15 |
| Number of employees aged 31-40 | people | 5608 | 15 |
| Number of employees aged 41-50 | people | 3032 | 15 |
| Number of employees aged 51 and above | people | 801 | 15 |
| Number of female employees | people | 6546 | 15 |
| Number of male employees | people | 8331 | 15 |
| Number of overseas employees | people | 438 | 15 |
| Total number of employees | people | 14877 | 15 |
| Year-end balance of stock-pledged business | RMB billion | 90.772 | 19 |
Employee turnover rate by gender, age group and geographical region.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Employee turnover rate (aged 30 and below) | % | 13.35 | 15 |
| Employee turnover rate (aged 31-40) | % | 7.26 | 15 |
| Employee turnover rate (aged 41-50) | % | 4.57 | 15 |
| Employee turnover rate (aged 51 and above) | % | 4.79 | 15 |
| Employee turnover rate (female employees) | % | 7.28 | 15 |
| Employee turnover rate (male employees) | % | 10.45 | 15 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Best ABS Team | Awarded | 25 | |
| Number of face-to-face training participants | participants | 15754 | 15 |
| Number of face-to-face trainings organized | sessions | 531 | 15 |
| Number of international talents selected for learning and training sessions in Hong Kong, New York and other places | 20 | 16 | |
| Number of online courses launched | courses | 38 | 15 |
| Number of online training topics | topics | 85 | 15 |
| Number of people selected for Shanghai Leading Financial Talent Program | 2 | 16 | |
| Number of people selected for Shanghai Outstanding Leader Program | 1 | 16 | |
| Number of people selected for Shanghai Overseas Financial Talent Program | 2 | 16 | |
| Number of people selected for Shanghai Youth Financial Talent Program | 4 | 16 | |
| Number of staff participated in online or mobile trainings | people | 8613 | 15 |
| Reserve cadres promoted or participated in exchanges and important trainings | % | 35 | 16 |
| Training coverage rate (headquarter) | % | 98.6 | 15 |
| Training coverage rate (subsidiaries) | % | 92.65 | 15 |
The average training hours completed per employee by gender and employee category.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Annual training expenses of parent company | million RMB | 27.5 | 15 |
| Per capita training hours (headquarter) | hours | 66.04 | 15 |
| Per capita training hours (subsidiaries) | hours | 58.68 | 15 |
| Total face-to-face training hours | hours | 8841 | 15 |
| Total online learning hours completed | hours | 356000 | 15 |
| Total training cost of subsidiaries | million RMB | 4.45 | 15 |
Number of suppliers by geographical region.
| Indicator | Unit | 2015 | 2016 | 2017 | Report Pages |
|---|---|---|---|---|---|
| Increase in institutional clients compared to previous year | 11.14% | 14 | |||
| Number of institutional clients served | 26000 | 14 | |||
| Outstanding Hedging Quantitative Strategy Award | Awarded | 25 | |||
| Outstanding Operation Team Award for Securities firms’ APP | Awarded | 25 | |||
| Proportion of dividend in net profit | 30.11% | 30.22% | 35.27% | 9 |
Number of products and service related complaints received and how they are dealt with.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| China Broker Asset Management Equity Award (Yinghua Awards) | Awarded | 24 | |
| China BrokerAsset Management FICCAward (Yinghua Awards) | Awarded | 24 | |
| China Wealth Management Agency Jun Ding Award | Awarded | 24 | |
| China's Best BrokerAsset Management Award (Yinghua Awards) | Awarded | 24 | |
| China’s Best Wealth Management Securities Company | Awarded | 25 | |
| Customer Satisfaction Award for Securities firms’ APP | Awarded | 25 | |
| Increase in personal finance accounts compared to previous year | 22% | 14 | |
| Number of mobile terminal users | 22000000 | 14 | |
| Number of personal finance accounts opened | 11100000 | 14 | |
| Securities underwritten amount | RMB billion | 351.409 | 19 |
Description of practices relating to observing and protecting intellectual property rights.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| BrokerActive Asset Management Management Jin Fan Award | Awarded | 25 | |
| Most Powerful BrokerAsset Management | Awarded | 25 | |
| Most Trusted Wealth Management Securities Company | Awarded | 25 | |
| Top Ten Brands of Securities Companies’ APP | Awarded | 25 |
Description of quality assurance process and recall procedures.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Best Fixed Income Team | Awarded | 25 | |
| Securities Industry Innovation Award | Awarded | 24 |
Description of consumer data protection and privacy policies, and how they are implemented and monitored.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Best Wealth Management Mobile Client | Awarded | 24 | |
| Increase in mobile terminal users compared to previous year | 83% | 14 | |
| Smart Service Broker | Awarded | 25 |
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 | 2015 | 2016 | 2017 | Report Pages |
|---|---|---|---|---|---|
| Amount of cash dividend | hundred million of RMB | 47.275 | 29.7375 | 34.8557 | 9 |
| Most Influential Research Institute | First Prize | 25 | |||
| Number of major mergers, acquisitions and reorganization projects completed | 12 | 19 |
Description of preventive measures and whistle-blowing procedures, and how they are implemented and monitored.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Pioneer Investment Bank in Bond Underwriting | Awarded | 24 | |
| Pioneer Investment Bank in IPO | Awarded | 24 | |
| Pioneer Investment Bank in Merger, Acquisition and Reorganization | Awarded | 24 |
Description of anti-corruption training provided to directors and staff.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| All-Round Investment Bank in China | Awarded | 24 | |
| Bond Investment Bank in China | Awarded | 24 |
Focus areas of contribution (e.g. education, environmental concerns, labour needs, health, culture, sport).
| Indicator | Unit | 2016 | 2017 | Report Pages |
|---|---|---|---|---|
| Best Listed Company adopting New Media Branding Strategies | Awarded | 25 | ||
| Best Securities Asset Management Company (China Asset Management Jin Bei Award) | Awarded | 24 | ||
| Ninth place among Top 100 Enterprises in High-end Service Industry in Shanghai Huangpu District | place | 9 | 24 | |
| Number of cross-border mergers and acquisitions projects launched | 13 | 19 | ||
| Number of investment projects completed | 13 | 19 | ||
| Outstanding Case of Financial Marketing Communication of the Year (China Outstanding Financial Brands Awards) | Awarded | 24 | ||
| Outstanding Contribution Award for the Gold Auction Market of Shanghai Gold Exchange | Awarded | 24 | ||
| Second prize in Shanghai Financial Innovation Award | prize | 2 | 24 |
Resources contributed (e.g. money or time) to the focus area.
| Indicator | Unit | 2017 | Report Pages |
|---|---|---|---|
| Funds raised for local infrastructure construction | RMB billion | 56.49 | 19 |
| Gold Award in Corporate Awards | Awarded | 25 | |
| Outstanding Chinese securities firms – HK Stock Connect | Awarded | 25 | |
| Total investment amount of investment projects completed | RMB million | 580 | 19 |
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 |
|---|---|
| Direct GHG Emissions (Scope 1) | ton of carbon dioxide equivalent |
| GHG Emissions from Natural Gas | ton of carbon dioxide equivalent |
| Indirect Energy Emissions (Scope 2) | ton of carbon dioxide equivalent |
| Total GHG Emissions | tons |
| Total GHG Emissions Intensity (By Area) | tons per sq.m. |
| Total GHG Emissions Intensity (By Employee) | tons |
| Total Other Indirect Energy Emissions (Scope 3) | ton of carbon dioxide equivalent |
Total non-hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit |
|---|---|
| Paper Waste | million sheets |
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 |
|---|---|
| Electric Power Consumption Intensity (By Area) | kWh per sq.m. |
| Gasoline Consumption | L |
| Grid Electricity Consumption | kWh |
| Natural Gas Consumption | cubic meters |
| Purchased Electricity | kWh |
| Total Indirect Energy Consumption | kWh |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | A2.2 |
|---|---|---|
| Water Consumption | cubic meter | 321900 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Standard Indicator | Unit | 2017 |
|---|---|---|
| Number of Employees Aged 30-50 | people | 8640 |
| Number of Employees Aged Above 50 | people | 801 |
| Number of Employees Aged Below 30 | people | 5436 |
| Number of Employees in Overseas | people | 438 |
| Number of Female Employees | people | 6546 |
| Number of Male Employees | people | 8331 |
| Number of Total Employees | people | 14877 |
| Percentage of Female Employees | % | 44 |
| Percentage of Male Employees | % | 56 |
Employee turnover rate by gender, age group and geographical region.
| Standard Indicator | Unit | 2017 |
|---|---|---|
| Turnover Rate of Employees Aged 30-50 | % | 11.83 |
| Turnover Rate of Employees Aged Above 50 | % | 4.79 |
| Turnover Rate of Employees Aged Below 30 | % | 13.35 |
| Turnover Rate of Female Employees | % | 7.28 |
| Turnover Rate of Male Employees | % | 10.45 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Standard Indicator | Unit | 2017 |
|---|---|---|
| Percentage of Employees Trained | % | 98.6 |
| Percentage of Trained Mainland China Employees | % | 98.6 |
The average training hours completed per employee by gender and employee category.
| Standard Indicator | Unit | 2017 |
|---|---|---|
| Average Training Hours (General Employees) | hours | 58.68 |
| Average Training Hours per Employee | hours | 66.04 |
| Total Training Hours | hours | 364841 |
Resources contributed (e.g. money or time) to the focus area.
| Standard Indicator | Unit | 2017 |
|---|---|---|
| Investment in Education Donation | million RMB | |
| Number of Employees Participating in Volunteer Activities | volunteers | |
| Total In-kind Donations | sets | |
| Total Public Welfare Donations | RMB | |
| Total Social Investment | million RMB | 580 |