United States

CICC US Securities, Inc. (CICC US Securities) opened a New York office in 2009. As an SEC-registered broker-dealer and a member of the Financial Industry Regulatory Authority (FINRA), CICC US Securities is a hub for CICC business and operations in the Americas.

As China's leading financial intermediary in the United States, we provide equity research, sales and trading services for prominent U.S. and Canadian institutional investors with stakes in China.

In 2010, we became the first Chinese broker-dealer to provide brokerage services for securities listed on U.S. exchanges. And today, we remain the leader in this area.

Additionally, we have been increasingly serving as a trusted partner for Chinese institutional investors who are looking to diversify their portfolios through access to U.S. capital markets. We offer research products tailored specifically for Chinese institutional investors seeking expertise and insight into U.S. markets investing.

Our macro and corporate equity research product has been consistently ranked as the leader in the China research arena by global investors. And we have been ranked No. 1 by Institutional Investor magazine's annual survey of global investors every year since 2012.

As a provider of investment banking and advisory services, we have actively assisted Chinese issuers in raising capital on U.S. exchanges. And in recent years, we have been at the advisory forefront in the area of cross-border mergers and acquisitions involving Chinese and U.S. corporations.

Over the past several years, we have assisted a variety of significant global corporations and private equity firms (including Alibaba Group, Bona Film Group Limited, Concord Medical Services Holdings Limited, General Motors and Duke Energy), helping them obtain equity and/or debt financing on U.S. capital markets.

As cross-border mergers and acquisitions became more active in 2016, we assisted Haier, HNA Group, Dalian Wanda Group and others in acquiring or investing in attractive assets in the United States.

CICC opened its San Francisco office in 2017. CICC’s expanded presence will thus pave the way for better service to Chinese clients in cross-border mergers and acquisitions, and for fund-raising. At the same time, we will provide U.S. companies with access to Chinese corporations and investors. Our activity will benefit China-U.S. bilateral economic and trade cooperation and contribute to the innovative cooperation between our countries in the financial sector. CICC also recently acquired Krane Funds Advisors, LLC (KraneShares), a New York-based asset management firm best known for its China-focused KraneShares exchange traded funds (ETFs) and China investment strategies. It's an acquisition that well fits CICC’s overall strategic plan by providing remarkable growth opportunities in all business areas and to enhance our position as a full-range service provider for institutional and retail investors both at home and abroad.

As we look forward to the future, we anticipate our U.S. business will deepen, broaden and thrive as capital and investment flows between the world’s largest economies and capital markets grow. We are now uniquely positioned at the center of these developments.

CICC US Securities, Inc. has developed a Business Continuity Plan (BCP) describing how we will respond in the event of a significant business disruption (SBD), whether internal (affecting only our firm’s ability to communicate and do business) or external (preventing the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or other wide-scale, regional disruption). Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur.

CICC US Securities, Inc.’s policy is to respond to SBDs by safeguarding our employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will ensure that our customers obtain prompt access to their funds and securities.

If you have questions about this notice, please contact your account representative.

Link To FINRA’s website: http://www.finra.org/

Link To FINRA BrokerCheck: http://brokercheck.finra.org/

Link To SIPC’s website: http://www.sipc.org/