中国证券行业调查报告-D.docx

Mainland China Securities Survey 2020 调查报告二中零国二证零券年业 调查报告 金融服务Financial services 金融服务 01 01 Introduction 引言 01 02 02 Market overview 市场回顾 03 Industry trends 行业趋势 05 29 Contents 目录0444Business dynamics 业务动态 Contents 目录 04 44 05 05 Conclusion 结语 06 Appendices 附录 62 66 Appendix 1 附录1 Appendix 2 附录2 Appendix 3 附录3 Appendix 4 附录4 Appendix 5 附录5 Appendix 6 附录6 Appendix 7 附录7 Appendix 8 附录8 Appendix 9 附录9 Appendix 10 附录10 Appendix 11 附录11 Appendix 12 附录12 Financial highlights 财务摘要二零一九年行业排名Sector ranking for 2019 财务摘要 二零一九年行业排名 中外合资证券公司一览Overview of Sino-foreign joint venture securities company 中外合资证券公司一览 年证监会对证券公司的评级2020 rating of securities companies by the CSRC 2020 年证监会对证券公司的评级 合格境外机构投资者Qualified Foreign Institutional Investors (QFII) 合格境外机构投资者 人民币合格境外机构投资者RMB Qualified Foreign Institutional Investors (RQFII) 人民币合格境外机构投资者 合格境内机构投资者Qualified Domestic Institutional Investors (QDII) 合格境内机构投资者 内地期货公司名单Mainland Futures Companies 内地期货公司名单 内地基金公司名单Mainland Fund Management Companies 内地基金公司名单 内地基金公司子公司名单Subsidiaries of Mainland Fund Management Companies 内地基金公司子公司名单 设立香港子公司的证券公司Securities companies with Hong Kong subsidiaries 设立香港子公司的证券公司 外商投资私募基金管理公司Foreign-funded enterprises that offer private fund management business 外商投资私募基金管理公司 67 157 164 167 171 184 194 201 208 215 221 223 1 二零二零年中国证券业调查报告 01 引言Introduction 引言 Introduction Mainland China Securities Survey 2020 2 While the effects of the COVID-19 pandemic have been felt across global and local markets throughout 2020, the impact on the securities industry in China has been limited compared to other sectors. China’s capital markets rebounded in 2019, and the implementation of a number of policies and reforms – including the launch of the Sci-Tech Innovation Board (STAR Market), the lifting of foreign shareholding caps, the reform of the New Third Board and amendments to the Securities Law – continues to drive significant growth opportunities for the securities industry. According to the audited annual reports of securiti