Haitong Securities Co., Ltd.

After more than ten years of development, Haitong Securities has accumulated rich experience in securities operation and management during its operations. In terms of internal control mechanisms, the company has established and improved a relatively complete compliance and risk management organizational system. In recent years, the company has continuously strengthened compliance and risk management, and the level of internal control has continued to improve. In 2017, the company obtained the classified regulatory rating from the China Securities Regulatory Commission for the second consecutive year, and its compliance and internal controls were strict and orderly. As one of the first batch of compliance pilot brokers, the company took the lead in completing the compliance pilot work. By establishing and improving compliance management systems and organizational systems, the company carried out compliance consulting, training, audits, real-time monitoring, etc., and deepened complia... [Details]