2018 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 | 2018 | Report Pages |
|---|---|---|---|
| Electricity consumption (office buildings in Shanghai and Beijing) | kWh | 13530960.83 | 48 |
| Gas consumption (office buildings in Shanghai and Beijing) | m3 | 126017.19 | 48 |
| Gasoline consumption (office buildings in Shanghai and Beijing) | Litre | 44740.74 | 48 |
| Number of old vehicles eliminated at headquarters | vehicles | 5 | 46 |
| Total green bond projects completed with actual financing size | million RMB | 10671 | 45 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Water consumption (office buildings in Shanghai and Beijing) | m3 | 39961.58 | 48 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Number of employees | 10000 | 3 | |
| Number of employees aged 30 and below | 2950 | 29 | |
| Number of employees aged 31-40 | 3548 | 29 | |
| Number of employees aged 41-50 | 2569 | 29 | |
| Number of employees aged 51 and over | 697 | 29 | |
| Number of employees in Administration | employees | 438 | 30 |
| Number of employees in Beijing | employees | 1181 | 30 |
| Number of employees in Enterprise finance | employees | 656 | 30 |
| Number of employees in Financial Accounting | employees | 261 | 30 |
| Number of employees in Hong Kong and other overseas regions | employees | 350 | 30 |
| Number of employees in Information Technology | employees | 712 | 30 |
| Number of employees in Institutional services and trading | employees | 559 | 30 |
| Number of employees in Investment management | employees | 347 | 30 |
| Number of employees in Legal Compliance and Risk Management | employees | 501 | 30 |
| Number of employees in Liquidation | employees | 180 | 30 |
| Number of employees in Other business types | employees | 332 | 30 |
| Number of employees in Other regions of mainland China | employees | 3955 | 30 |
| Number of employees in Personal finance | employees | 5778 | 30 |
| Number of employees in Shanghai | employees | 3294 | 30 |
| Number of employees in Xinjiang | employees | 984 | 30 |
| Number of female employees | 4496 | 29 | |
| Number of male employees | 5268 | 29 | |
| Operating revenue | million RMB | 15277 | 7 |
| Proportion of employees in Administration | percent | 4.5% | 30 |
| Proportion of employees in Beijing | percent | 12.1% | 30 |
| Proportion of employees in Enterprise finance | percent | 6.7% | 30 |
| Proportion of employees in Financial Accounting | percent | 2.7% | 30 |
| Proportion of employees in Hong Kong and other overseas regions | percent | 3.6% | 30 |
| Proportion of employees in Information Technology | percent | 7.3% | 30 |
| Proportion of employees in Institutional services and trading | percent | 5.7% | 30 |
| Proportion of employees in Investment management | percent | 3.6% | 30 |
| Proportion of employees in Legal Compliance and Risk Management | percent | 5.1% | 30 |
| Proportion of employees in Liquidation | percent | 1.8% | 30 |
| Proportion of employees in Other business types | percent | 3.4% | 30 |
| Proportion of employees in Other regions of mainland China | percent | 40.5% | 30 |
| Proportion of employees in Personal finance | percent | 59.2% | 30 |
| Proportion of employees in Shanghai | percent | 33.7% | 30 |
| Proportion of employees in Xinjiang | percent | 10.1% | 30 |
| Total assets | billion RMB | 347.7 | 3, 7 |
| Total number of employees | employees | 9764 | 29, 30 |
| Total proportion of employees | percent | 100% | 30 |
Employee turnover rate by gender, age group and geographical region.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Operating income | billion RMB | 15.277 | 3 |
The percentage of employees trained by gender and employee category (e.g. senior management, middle management).
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Number of micro-videos on investor education organized | videos | 2 | 22 |
The average training hours completed per employee by gender and employee category.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Average training time of middle and grassroots employees | hours | 36 | 31 |
| Average training time of senior management | hours | 40 | 31 |
| Proportion of training time for middle and grassroots employees | % | 98.16 | 31 |
| Proportion of training time for senior management | % | 1.84 | 31 |
Number of suppliers by geographical region.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Aggregate amount of agricultural products purchased by Group headquarters from Xinjiang and Huining | RMB | 100000 | 41 |
| Aggregate amount of agricultural products purchased from Gaobei Village, Shibing County, Guizhou Province | RMB | 973000 | 41 |
| Aggregate amount of characteristic agricultural products purchased by Hongyuan Futures from Jimunai County, Xinjiang | RMB | 288000 | 41 |
| Aggregate amount of characteristic agricultural products purchased by Shenyin Wanguo Futures from Maigaiti County, Xinjiang | RMB | 305200 | 41 |
| Aggregate amount of linseed oil, minor coarse cereals and other agricultural and sideline products purchased from Huining County | million RMB | 1.6 | 41 |
| Aggregate amount of stock-backed lending provided to over 200 clients for development of real economy | RMB billion | 30 | 15 |
| Equity financing transactions aggregate amount | RMB billion | 10 | 14 |
| Financing services provided to enterprise clients | billion RMB | 80 | 3 |
| Financing through green bonds | billion RMB | 10 | 3 |
| Investment scale of Group Company and subsidiaries (Hongyuan Huizhi, Industrial Investment Company, Hongyuan Huifu) | RMB billion | 14 | 14 |
| Number of branch offices | 48 | 6 | |
| Number of futures branches | 40 | 6 | |
| Number of institutional clients served | 1000 | 3 | |
| Number of securities branches | 310 | 6 | |
| Overseas fixed-price issuance of 3-year bonds for Sichuan Development | US$ million | 500 | 14 |
| Total market value of assets held on behalf of brokerage clients | trillion RMB | 2.4 | 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 | 2018 | Report Pages |
|---|---|---|---|
| Number of vehicles updated at branches | vehicles | 12 | 46 |
Number of products and service related complaints received and how they are dealt with.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Fixed income underwriting amount | RMB billion | more than 70 | 14 |
| Net assets | billion RMB | 69.4 | 3 |
| Net assets attributable to shareholders | billion RMB | 69.4 | 7 |
| Number of clients served by speaking tours | clients | 8000 | 22 |
| Number of monthly average active clients of mobile app | million | 2.8 | 3 |
| Number of online collective reception day activities | activities | 2 | 22 |
| Percentage of fund receivers that are shareholders of private listed companies | more than 90% | 15 | |
| Shenwan Hongyuan - CFCED First Accounts Receivable Assets-backed Special Plan amount | RMB billion | 3 | 14 |
| Year-on-year increase in operating revenue | % | 14.29 | 7 |
Description of practices relating to observing and protecting intellectual property rights.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Number of recommendation and issuance projects completed through National Equities Exchange and Quotations System | projects | 104 | 14 |
| Registered domain names | count | 121 | 25 |
| Registered software copyrights (including unpublished) | count | 70 | 25 |
| Registered trademarks | count | 124 | 25 |
Description of quality assurance process and recall procedures.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Bid winning ratio for poverty alleviation credit bonds | % | 8.5 | 42 |
Description of consumer data protection and privacy policies, and how they are implemented and monitored.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Number of personal finance clients served | million | 6.5 | 3 |
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 | 2018 | Report Pages |
|---|---|---|---|
| Enterprise bonds and corporate bonds underwriting amount | RMB billion | close to 30 | 14 |
| Major asset restructuring projects aggregate amount | RMB billion | 13 | 14 |
| Year-on-year decrease in net profit attributable to shareholders | % | 9.55 | 7 |
Description of anti-corruption training provided to directors and staff.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| ABS project of Nanchang Expressway issuance size | RMB billion | 1.045 | 14 |
Focus areas of contribution (e.g. education, environmental concerns, labour needs, health, culture, sport).
| Indicator | Unit | 2013 | 2014–2018 | 2018 | Report Pages |
|---|---|---|---|---|---|
| Accumulated number of people lifted out of poverty in Huining County | 130000 | 38 | |||
| Class A AA rating consecutive years | years | 8 | 3 | ||
| Donation for organizing 16 'Best Rural Teachers' in Baiyu County, Sichuan Province | RMB | 200000 | 41 | ||
| Donation to support playground construction of Ningsiyuan Experimental School | million RMB | 2 | 41 | ||
| Number of cities covered by speaking tours | cities | 26 | 22 | ||
| Number of on-site activities of visiting listed company for medium and small investors | activities | 17 | 22 | ||
| Number of poverty alleviation credit bonds issued with approval of National Association of Financial Market Institutional Investors | bonds | 14 | 42 | ||
| Number of professionals selected to temporarily serve as deputy magistrate, deputy director general of the Bureau of Industry and Information Technology, and deputy director of the Poverty Alleviation Office of Huining County | persons | 3 | 43 | ||
| Number of questionnaire surveys for investor protection funds and investors of stock exchange completed | surveys | 51 | 22 | ||
| Number of shareholders served | 300000 | 3 | |||
| Number of speaking tours on 'Simple Finance, Fulfillment of Dreams' organized | tours | 31 | 22 | ||
| Participation rate of poverty alleviation credit bonds issued | % | 100 | 42 | ||
| Poverty incidence in Huining County | % | 31.44 | 7.5 | 3, 38 | |
| Total investment in poverty alleviation funds in Huining County | million RMB | 36 | 38 |
Resources contributed (e.g. money or time) to the focus area.
| Indicator | Unit | 2018 | Report Pages |
|---|---|---|---|
| Donation of books to Huining County Experimental High School | RMB | 24000 | 41 |
| Donations received by 225 poor families in Huining County | RMB | 300000 | 41 |
| Number of special interest rate bonds for poverty alleviation subscribed | bonds | 12 | 42 |
| Online trade turnover of Huining poverty alleviation section | million yuan | 2.72 | 42 |
| Poverty alleviation funds invested by Shenyin Wanguo Futures in Maigaiti County, Xinjiang | RMB | 249200 | 41 |
| Poverty alleviation funds invested in Baiyu County, Sichuan Province | RMB | 280000 | 41 |
| Poverty alleviation funds invested in Jinyang County, Sichuan Province | RMB | 372000 | 41 |
| Poverty alleviation funds invested in Maigaiti County, Xinjiang | RMB | 2821900 | 41 |
| Poverty alleviation investment | million RMB | 44 | 3 |
| Targeted poverty alleviation investment for Huining County, Gansu Province | million RMB | 36 | 3 |
| Total bid winning amount for poverty alleviation credit bonds | billion RMB | 1.25 | 42 |
| Total bid winning amount for special interest rate bonds for poverty alleviation | million RMB | 900 | 42 |
| Year-on-year increase in investment scale of Group Company and subsidiaries | more than 30% | 14 |
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) | tCO2e |
| GHG Emissions from Natural Gas | tCO2e |
| GHG Emissions from Purchased Electricity | tCO2e |
| Indirect Energy Emissions (Scope 2) | tCO2e |
| Mobile Combustion Emissions | tCO2e |
| Scope 3 GHG Emissions (Purchased Goods/Services) | tCO2e |
| Stationary Combustion Emissions | tCO2e |
| Total GHG Emissions | tCO2e |
| Total Other Indirect Energy Emissions (Scope 3) | tCO2e |
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 | 2018 |
|---|---|---|
| Gasoline Consumption | Litre | 44740.74 |
| Grid Electricity Consumption | kWh | 13530960.83 |
| Natural Gas Consumption | m3 | 126017.19 |
| Purchased Electricity | kWh | 13530960.83 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2018 |
|---|---|---|
| Water Consumption | m3 | 39961.58 |
| Water Consumption in Office | m3 | 39961.58 |
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Standard Indicator | Unit |
|---|---|
| Total Investment in Ecological Restoration | billion RMB |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Standard Indicator | Unit | 2018 |
|---|---|---|
| Number of Employees Aged 30-50 | employees | 3548 |
| Number of Employees Aged Above 50 | employees | 697 |
| Number of Employees Aged Below 30 | employees | 2950 |
| Number of Employees in Hong Kong | employees | 350 |
| Number of Employees in Mainland China | employees | 3955 |
| Number of Female Employees | employees | 4496 |
| Number of Full-time Employees | employees | 10000 |
| Number of Male Employees | employees | 5268 |
| Number of Total Employees | employees | 9764 |
| Percentage of Employees in Hong Kong | percent | 3.6 |
| Percentage of Employees in Mainland China | percent | 40.5 |
The average training hours completed per employee by gender and employee category.
| Standard Indicator | Unit | 2018 |
|---|---|---|
| Average Training Hours (General Staff) | hours | 36 |
| Average Training Hours (Middle Management) | hours | 36 |
| Average Training Hours (Senior Management) | hours | 40 |
| Average Training Hours per Employee | hours | 36 |
Description of practices relating to observing and protecting intellectual property rights.
| Standard Indicator | Unit | 2018 |
|---|---|---|
| Number of Intellectual Property Rights Obtained by the Company | count | 315 |
| Number of Trademark Registrations | count | 124 |
Resources contributed (e.g. money or time) to the focus area.
| Standard Indicator | Unit | 2018 |
|---|---|---|
| Investment in Education Donation | RMB | 24000 |
| Investment in Targeted Poverty Alleviation | million RMB | 44 |
| Total Public Welfare Donations | RMB | 2821900 |