Awards

Global Finance

Stars of China 2015

Best Investment Bank in China
Best Equity Underwriting in China
Best for M&A in China

The Asset

Triple A Country Awards 2015

China Region
Best Corporate and Institutional Bank – Domestic
Best Equity House
Best M&A House
Best Deals in China
Deal of the Year/Best Bond Deal: China Life Insurance US$1.28 billion 60NC5 Core Tier 2 Capital Securities (Joint Bookrunner and Lead Manager)
Best Equity Deal: 3SBio Inc. US$818 million IPO (Joint Global Coordinator & Joint Bookrunner and Lead Manager)
Best M&A Deal: Merger of CSR Corporation and China CNR Corporation (Financial Adviser)

Institutional Investor

2015 All-China Research Team

Leaders Board (Rank 1)
Industrial Rankings (Rank 1)
Economics: Hong Liang
Porfolio Strategy: Hanfeng Wang
Banks: Junhua Mao
Insurance: Junhua Mao
Infrastructure & Transportation: Xin Yang

Asiamoney

Brokers Poll 2015

  • China(A&B Shares)

Overall Combined Research & Sales (Rank 1)
Best Local Brokerage (Rank 1)
Best for Overall Country Research (Rank 1)
Best Overall Sales Services (Rank 1)
Best Sales Trader
Kai ji  (Rank 1)
Jiachan Lv (Rank 2)
Best Salesperson
Wei Kong (Rank 3)
Best Execution (Rank 1)
Best in Sales Trading (Rank 1)
Most Improved Brokerage over the Last 12 Months (Rank 1)
Best for Events and/or Conferences (Rank 1)
Best for Roadshows and Company Visits (Rank 1)
Most Independent Research Brokerage (Rank 1)
Best Research Coverage
Strategy: Hanfeng Wang
Small Caps: Min Li
Banks: Junhua Mao
Consumer Discretionary: Haiyan Guo
Consumer Staples: Haiyan Guo
Diversified Financials: Lijuan Du
Healthcare: Jing Qiang
Real Estate: Jingbian Ning
Semiconductors & Semiconductor Equipment: Qinyi Erica Chen
Technology Hardware & Equipment: Qinyi Erica Chen
Telecommunications: Haofei Chen
Transportation: Xiaofeng Shen

  • China(H-shares, Red chips, P-chips)

Best Local Brokerage (Rank 1)
Best for Overall Country Research (Rank 1)
Best Overall Sales Services (Rank 1)
Best Sales Trader
Renee wong (Rank 1)
Andy Chan (Rank 3)
Best Salesperson
Wei Kong (Rank 2)
Xuan Cai (Rank 3)
Best Execution (Rank 1)
Best in Sales Trading (Rank 1)
Most Improved Brokerage over the Last 12 Months (Rank 1)
Best for Events and/or Conferences (Rank 1)
Best for Roadshows and Company Visits (Rank 1)
Most Independent Research Brokerage (Rank 1)
Best Research Coverage
Banks: Junhua Mao
Consumer Discretionary: Haiyan Guo
Consumer Staples: Haiyan Guo
Diversified Financials: Lijuan Du
Insurance: Junhua Mao
Software & Internet Services: Haofei Chen
Technology Hardware & Equipment: Kai Qian
Telecommunications: Haofei Chen
Transportation: Xiaofeng Shen

  • Hong Kong (non H-shares, other)

Best Execution (Rank 1)
Best in Sales Trading (Rank 1)
Most Improved Brokerage over the Last 12 Months (Rank 1)
Best for Events and/or Conferences (Rank 2)
Best for Roadshows and Company Visits (Rank 1)
Most Independent Research Brokerage (Rank 2)
Best Research Coverage
Macroeconomics: Hong Liang
Banks: Junhua Mao
Healthcare: Jing Qiang

  • Hedge Fund Services(Asia)

Best for Overall Services to Hedge Fund (Rank 2)
Best for Client Service Coverage (Rank 2)
Best Bespoke Research (Rank 1)
Best Trading Execution –Cash (Rank 3)
Best Trading Execution –Derivatives (Rank 1)
Best for Client Service Coverage
Andy Chan (Rank 3)

  • Prime Broking(Asia)

Best for Overall Services in Prime Broking (Rank 2)
Best Product Innovation for Prime Broking (Rank 1)
Best Pricing for Prime Broking(Rank 1)
Best Risk Management Advisory (Rank 1)
Best Client Service for Prime Broking (Rank 2)

  • Regional Individual(Asia)

Best Analyst for Consumer Discretionary
Haiyan Guo (Rank 2)

 

Asiamoney

Fixed Income Poll 2015

China
Overall Best for Interest Rate (Rank 1)
Best for Interest Rate Research  (Rank 1)
Best for Interest Rate Product and Sales (Rank 1)
Best for Interest Rate Derivatives (Rank 2)

Securities Times

Best Wealth Management Institution in China Awards 2015

Best Wealth Management Institution in China
Best Quantitative Investment Team in China
Top 10 Securities Brokerage Branches:
Beijing Jianguomenwai Avenue Branch of CICC

Securities Times

Best Investment Banks in China Awards 2015
Best Full-Service Investment Bank

Institutional Investor

2014 All-China Sales Team
Leaders Board (Rank 1)
2014 All-China Trading Team
Leaders Board (Rank 1)

Institutional Investor

2014 All-China Research Team
Leaders Board (Rank 1)
Industrial Rankings (Rank 1)
Banks: Junhua Mao
Basic Materials: Zheng Gao
Energy: Bin Guan
Infrastructure & Transportation: Xin Yang
Insurance: Shengbo Tang

The Asset

Triple A Country Awards 2014
China Region Best Equity House

Asiamoney

Brokers Poll 2014

  • China

Best Local Brokerage (Rank 1)
Best For Overall Country Research (Rank 1)
Best Overall Sales Service (Rank 1)
Best Execution (Rank 1)
Best In Sales Trading (Rank 3)
Most Improved Brokerage Over Last 12 Months (Rank 1)
Best For Events and/or Conferences (Rank 1)
Best for Roadshows and Company Visits (Rank 1)
Most Independent Research Brokerage (Rank 1)
Best Research Coverage (Rank 1)
Macroeconomics: Wensheng Peng
Small Caps: Min Li
Banks: Junhua Mao
Consumer Discretionary: Haiyan Guo
Consumer Staples: Haiyan Guo
Energy: Bin Guan
Healthcare: Jing Qiang
Industrials: Huimin Wu
Insurance: Shengbo Tang
Real Estate: Jingbian Ning
Semiconductors & Semiconductor Equipment: Qinyi Erica Chen
Software & Internet Services: Haofei Chen
Telecommunications: Haofei Chen
Transportation: Xin Yang
Utilities: Junhua Chen

  • Hong Kong

Best For Overall Country Research (h-share)(Rank 1)
Best Execution (Rank 2)
Most Improved Brokerage Over Last 12 Months (Rank 1)
Best For Events and/or Conferences (Rank 3)
Best for Roadshows and Company Visits (Rank 2)
Most Independent Research Brokerage (Rank 2)
Best Research Coverage (Local) (Rank 1)
Software & Internet Services: Haofei Chen
Best Research Coverage(h-share) (Rank 1)
Macroeconomics: Wensheng Peng
Banks: Junhua Mao
Diversified Financials: Lijuan Du
Industrials: Huimin Wu
Insurance: Shengbo Tang
Software & Internet Services: Haofei Chen
Transportation: Xin Yang

  • Hedge Fund Services(Asia)

Best For Overall Services to Hedge Funds (Rank2)
Best For Client Service Coverage (Rank2)
Best Bespoke Research (Rank 2)
Best Trading Execution –Cash  (Rank 2)
Best Trading Execution –Derivatives  (Rank 2)

  • Prime Broking(Asia)

Best For Overall Services in Prime Broking (Rank 2)
Best Product Innovation For Prime Broking (Rank 2)
Best Pricing For Prime Broking(Rank 2)
Best Risk Management Advisory (Rank 2)
Best Client Service For Prime Broking (Rank 2)

Asiamoney

ASIAMONEY 25th ANNIVERSARY POLL OF POLLS
The Best of the Best Banks, 2002-2013

Best Domestic Equity House in China
Best Bank Awards 2014
Best Domestic Equity House in China

Global Finance

Stars of China 2014
Domestic: Best Mergers & Acquisitions

Securities Times

Best Wealth Management Institution in China Awards 2014
Best Wealth Management Institution in China
Best Investment Consultant Brand in China
Top 100 Securities Brokerage Branches:
CICC Beijing, Shanghai and Shenzhen Securities Brokerage Branches

Finance Asia

Country Awards 2014
Best ECM House in China

Securities Times

Best Investment Banks in China Awards 2014
Best Full-Service Investment Bank
Best Investment Bank in M&A
Best M&A Deal:
Midea Group’s Merger with GD Midea Holding Co., Ltd. by Share Swap and Ensuing A-share Listing
Best Bond Underwriting:
Ping An Insurance A-share Subordinated Convertible Bond Offering
CNOOC Oversea Subsidiary Dollar Bond Offering

Institutional Investor

2013 All-China Research Team

  • Leaders Board (Rank 1)
  • Industrial Rankings (Rank 1)

Banks: MAO Junhua
Basic Materials: GAO Zheng
Consumer/Discretionary: GUO Haiyan
Consumer/Nondiscretionary: GUO Haiyan
Energy: GUAN Bin
Industrials: WU Huimin
Infrastructure & Transportation: YANG Xin
Insurance: TANG Shengbo
Metals & Mining: CAI Hongyu
Telecommunications: CHEN Haofei

Finance Asia

Country Awards 2013
Best Investment Bank in China

Global Finance

World's Best Investment Bank 2013
Best Investment Bank in China

The Asset

Triple A Country Awards 2013

  • China Region

Best domestic investment bank

Asiamoney

Brokers Poll 2013

  • China

Best Local Brokerage (Rank 1)
Best For Overall Country Research (Rank 1)
Best Overall Sales Service (Rank 1)
Best Execution (Rank 1)
Best In Sales Trading (Rank 1)
Most Improved Brokerage Over the Last 12 Months (Rank 1)
Best For Events and/or Conferences (Rank 1)
Best for Roadshows and Company Visitis (Rank 1)
Most Independent Research Brokerage (Rank 2)
Best Analyst (A-Share): GUO Haiyan(Rank 1)
Best Analyst (H-Share): GUO Haiyan(Rank 1) & Bing Qian(Rank 3)
Best Research Coverage (A-Share) (Rank 1): Strategy/ Macroeconomics/ Small Caps/ Banks/ Capital Goods/ Energy/ Insurance/ Materials/ Real Estate/ Telecommunication Services

  • Hong Kong 

Best Execution (Rank 1)
Most Improved Brokerage Over the Last 12 Months (Rank 1)
Best Research Coverage (Rank 1): Macroeconomics/ Banks
Best In Sales Trading (Rank 2)
Best For Events and/or Conferences (Rank 2)
Best for Roadshows and Company Visitis (Rank 2)
Best Overall Sales Service (Rank 3)

  • Hedge Fund Servinces(Aisa) 

Best Bespoke Research (Rank 3)
Best Trading Execution –Cash  (Rank 4)
Best For Overall Services to Hedge Funds (Rank 5)
Best Sales-Traders Servicing Hedge Funds: Alan Chan (Rank 1) & Renee Wong (Rank 5)
Best Sales People Servicing Hedge Funds : Monica Ma (Rank 5)

  • Prime Broking(Aisa)

Best For Overall Services in Prime Broking (Rank 2)
Best Product Innovation For Prime Broking (Rank 2)
Best Pricing For Prime Broking(Rank 2)
Best Risk Management Advisory (Rank 2)
Best Client Service For Prime Broking (Rank 2)

Securities Times

2013 Best Wealth Management Institution in China
Best Wealth Management Institution in China

  • Top 100 Securities Brokerage Branches

CICC Beijing, Shanghai and Shenzhen Securities Brokerage Branches

  • Best Regional Securities Brokerage Branches

CICC Shenzhen Securities Brokerage Branches

Asiamoney

Best Bank Awards 2012

Best Equity House in China

Institutional Investor

2012 All-China Research Team

  • Leaders Board (Rank 1)
  • Industrial Rankings

Energy: GUAN Bin (Rank 1)
Infrastructure & Transportation: YANG Xin (Rank 1)
Metals & Mining: Cai Hongyu (Rank 1)
Technology: ZHAO Xiaoguang (Rank 1)
Telecommunications: CHEN Haofei (Rank 1)
Banks: MAO Junhua (Rank 2)
Basic Materials: GAO Zheng (Rank 2)
Industrials: WU Huimin (Rank 2)
Internet: JIN Yu (Rank 2)
Consumer/Discretionary: GUO Haiyan (Rank 3)
Consumer/Nondiscretionary: GUO Haiyan (Rank 3)
Basic Materials: LUO Wei (R/U)
Basic Materials: GAO Bing (R/U)
Consumer/Nondiscretionary: YUAN Feiyang (R/U)
Economics: PENG Wensheng (R/U)
Industrials: LUO Wei (R/U)
Insurance: TANG Shengbo (R/U)
Metals & Mining: LUO Wei (R/U)
Real Estate: BAI Hongwei (R/U)

Global Finance

World's Best Investment Bank 2012

  • Regional Awards (Asia)

Best Investment Bank
Best Debt Bank

  • Country Awards (China)

Best Investment Bank

Securities Times

Best Investment Banks in China Awards 2012

Best Investment Bank
Best Investment Bank in Risk Control
Best Investment Bank in Refinancing
Best Investment Bank in M&A
Best IPO: A+H IPO of New China Life
Best M&A Deal: Ping An Insurance’s Acquisition of Shenzhen Development Bank
Best Refinancing Deal: A+H Right Issue of China Citic Bank
Most Innovative Deal: Back Door Listing of BesTV New Media
Best Bond Underwriting Deal: Subordinated Bonds of China Life

  • Individual Awards:

Best Refinancing Sponsor: FANG Baorong
Best Bond Underwriter: LIU Yunhe

Finance Asia

Achievement Awards 2015

Best IPO: CGN Power's $3.6 billion HK IPO
Most Innovative Deal: Rmb 4 billion 3-Yr Baosteel Exchangeable Bond Public Offering

The Asset

Triple A Regional Deal Awards 2015

Best Domestic M&A: Merger of CSR Corporation and China CNR Corporation
Best Bond: China Life Insurance US$1.28 Billion 60NC5 Core Tier 2 Capital Securities
Best Block Trade: CAR Inc. US$401 Million Block Trade

Institutional Investor

2015 All-China Sales Team

Leaders Board (Rank 1)

Thomason Reuters

StarMine Analyst Awards 2015 (Asia)

Top Most Award-Winning Brokers (Rank 2)
Top Stock Pickers:
Automobiles:Feng, Wei (Rank 1)
Metals & Mining:Cai, Hongyu (Rank 3)
Top Earnings Estimator:
Electronic Equipment:Chen, Haofei (Rank 1)
Transportation:Yang, Xin (Rank 1)
Metals & Mining:Cai, Hongyu (Rank 2)

Thomason Reuters

2015 Starmine Analyst Awards (Mainland China & HK)

Top Overall Stock Pickers:
Liao, Mingbing (Rank 7)
Top Stock Pickers:
Healthcare: Zou, Peng (Rank 1)
Software & Internet Services:Lu, Ting (Rank 3)

IFR

Structured Equity Awards 2015

Asia-Pacific Structured Equity Issue:
Baosteel’s Rmb4bn Bond Exchangeable into New China Life

IFR Asia

2015 Regional Awards

Structured Equity Issue: Baosteel Group's Rmb4bn Exchangeable Bond

IFR Asia

2015 COUNTRY AWARDS

Hong Kong Equity Issue: China International Capital Corp’s HK$7.22bn IPO

China Securities Journal

2014 Best Asset Management Products Awards

Best Collection 3-years Asset Management Plan:CICC Anxin Huibao

China Venture

2014 China Venture Awards

2014 Top 50 Best PE Institutions in China: CICC Jiacheng (Rank 14)
2014 Top 30 Best Domestic PE Institutions in China: CICC Jiacheng (Rank 7)
2014 Top 10 Best PE of Investment Bank in China: CICC Jiacheng (Rank 3)
2014 Top 5 Best Investment Bank of Chinese M&A Market (Domestic):CICC
2014 Top 5 Best Investment Bank of Chinese M&A Market (Cross-border):CICC
2014 Top 5 Best Investment Bank of Chinese IPO Market (Domestic):CICC
2014 Top 5 Best Investment Bank of Chinese IPO Market (Cross-border):CICC

JRJ.com

2015 Lead the Chinese Advance Awards

Best Brand in Securities Industry (CICC)
Best Financial Service (CICC Goldennet)

Capital Week

2015 Ninth Crystal Ball Analysts Awards

Overall List
Bond Research (Rank 1)
Public Fund Sector
Bond Research (Rank 1)
Private Fund Sector
Bond Research (Rank 1)

Capital Week

14th Vision Cup Global Macroeconomic Forecast
Global Macroeconomic Forecast (Rank 1)
Global Market Forecast (Rank 2)
China Economic Monthly Forecast (Rank 2)

Hexun.com

The 12th China’s Financial Annual Champion Awards
Best Securities Research (CICC)
Best Strategy Research (Hanfeng WANG’s Team)

China Times

9th Gold Cicada Awards

2013 Best International Investment Bank

21st Century Business Her

2015 China Security Companies Golden Orientation Awards

Best Investment Bank in China

China Securities Journal

2013 Best Asset Management Products Awards
Best Collection Asset Management Plan:CICC Anxin Huibao

China Venture

2013 China Venture VC and PE Awards
2013 Top 10 China Best PE of Investment Bank: CICC Jiacheng (Rank 4)
2013 Top 10 Best Investment Bank in Chinese M&A Market(domestic):CICC (Rank 4)
2013 Top 10 Best Investment Bank in Chinese IPO Market:CICC (Rank 4)

HK Commercial Daily

2012 Best China and HK Most Welcomed Brokers
Outstanding Research Team

Institutional Investor

2013 All-Asia Research Team
Leaders Board (Rank 13)

II China Online

Best China Investment Banks Poll
2012 Best Investment Banks

Global Finance

Stars of China 2013
Domestic: Best Investment Bank

Euromoney

Deals of the Year 2013
Best H-Share IPO in HK: PICC Group’s $3.56bn H-share IPO

New Fortune

11th New Fortune Analysts Awards
Best Overseas Market Research (Rank 1)

New Fortune

7th China Best Investment Bank Poll

  • Best Domestic Investment Bank (Rank 5)
  • Best Refinancing Deal

BOCOM A-Share Non-Public Offering (Rank 1)
CSR A-Share Non-Public Offering (Rank 3)
CNR Right Issue (Rank 4)
AVIC A-Share Non-Public Offering (Rank 9)

  • Best Corporate Bond Offerings

Sinopec Corporate Bond Issuance (Rank 1)
Guodian Technology & Environment (Rank 4)
China Shipping Development Corporate Bond Issuance (Rank 5)

  • Best Enterprise Bond Offerings

Jiangsu Guoxin Enterprise Bond Issuance (Rank 2)

China Venture

Seventh China Venture VC and PE Awards
2012 Top 30 China Best PE Institutions: CICC (Rank 9)

Shanghai Securities News

6th Best Chinese Securities Brokers
Best Securities Broker in Institutional Investor Services

Shanghai Securities News

7th Best Chinese Investment Bank
Best Team in Corporate Bond Offering

Securities Times

Best Investment Banks in China Awards 2013
Best Investment Bank in Risk Control
Best Corporate Bond Underwriter
Best Investment Bank in M&A
Best Re-financing Deal: BOCOM A-share Non-Public Offering
Best Bond Underwriting: 2012 Financial Bond of Shanghai Pudong Development Bank

Forbes (China)

Top Analysts Poll 2012

  • Top 50 Analysts in China

Commerce: GUO Haiyan (Rank 3)
Transportation: YANG Xin (Rank 46)

  • Top 20 Analysts in Value Discovery

Commerce: GUO Haiyan (Rank 15)

  • Best Profit Estimator

Commerce: GUO Haiyan (Rank 3)

Forbes (China)

Best Joint Venture Leader and Institution and Best PE House
Best PE Investment Institution: CICC PE (Rank 11)

IFR Asia

IFR China Best Investment Banks Poll

  • Investment Bank of the Year
  • Best Equity-Linked Deal

CSIC's RMB 8.05 Billion (USD 1.269 Billion) A-Share Convertible Bonds Offering

IFR Asia

Roll of Honor 2012

  • Asia Region

China Equity House

The Asset

Triple A Country Awards 2012

  • China Region

Best Domestic Investment Bank
Best Equity House

The Asset

Region's Best Local Currency Bond Salespeople, Traders and Research Analysts for 2012
China Research: Xiaoqing XU (Rank 1)

Thomason Reuters

Awards for Excellence–2012 Starmine Analyst Awards (Mainland & HK)
Best Earnings Estimators: CAI Hongyu (Rank 5)
Energy & Chemicals: GUAN Bin (Rank 3)

Thomason Reuters

Awards for Excellence–2012 Starmine Analyst Awards (Asia)
Best Earnings Estimators: CAI Hongyu (Rank 5)
Construction & Engineering: WU Huimin (Rank 3)

Asiamoney

Brokers Poll 2012——China
Best Local Brokerage (Rank 1)
Best Overall Country Research (Rank 1)
Best Execution (Rank 1)
Best Overall Sales Service (Rank 1)
Best In Sales Trading (Rank 1)
Most Improved Brokerage Over the Last 12 Months (Rank 1)
Best For Events and/or Conferences (Rank 1)
Best for Roadshows and Company Visitis (Rank 1)
Most Independent Research Brokerage (Rank 2)
Best Analysts (A-Share): GUO Haiyan
Best Analysts (H-Share): GUO Haiyan

  • Best Research Coverage (A-Share)

Strategy (Rank 1)
Macroeconomics (Rank 1)
Small Caps (Rank 1)
Capital Goods (Rank 1)
Real Estate (Rank 1)
Banking (Rank 1)
Energy (Rank 1)
Insurance (Rank 1)
Materials (Rank 1)
Telecommunication Services (Rank 1)

  • Best Research Coverage (H-Share)

Strategy (Rank 1)
Macroeconomics (Rank 1)
Capital Goods (Rank 1)
Banking (Rank 1)
Energy (Rank 1)
Materials (Rank 1)
Telecommunication Services (Rank 1)

Institutional Investor

2012 All-China Trading Team
Leaders Board (Rank 1)

Institutional Investor

2012 All-China Sales Team
Leaders Board (Rank 1)

Institutional Investor

2012 All-Asia Trading Team
Leaders Board (Rank 11)

Institutional Investor

2012 All-Asia Sales Team
Leaders Board (Rank 12)
China's Best Brokerage

Institutional Investor

2012 All-Asia Research Team

  • Leaders Board (Rank 10)
  • Industrial Rankings

Best Research Analysts in China: Team led by Haizhou HUANG & Jin QIU (R/U)
Bank: Team led by MAO Junhua & Sally NG (R/U)
Consumer: Team led by GUO Haiyan & YUAN Feiyang (R/U)
Industrials: Team led by LUO Wei (R/U)
Metals & Mining: Team led by CAI Hongyu & LUO Wei (R/U)
Oil & Gas: Team led by GUAN Bin (R/U)
Technology/IT Services & Software: Team led by CHEN Haofei (R/U)
Telecommunications: Team led by CHEN Haofei (R/U)

II China Online

Best China Investment Banks Poll
2011 Best Investment Banks (Rank 1)

Global Finance

Stars of China 2012
Domestic: Best Mergers and Acquisitions

New Fortune

Tenth New Fortune Analysts Awards
Best Overseas Market Research (Rank 1)
Most Influential Research Institute (Rank 5)
Electronic (Rank 1)
Banking (Rank 3)
Chemicals (Rank 4)
Media & Culture (Rank 5)
Macroeconomics (R/U)
Wholesale (R/U)
Fixed Income: XU Xiaoqing, ZHANG Jiqiang, JI Jiangfan, CHEN Jianheng, ZHANG Li, XU Yan, LI Yishuo, LIU Mingxi (Rank 2)
Most Outstanding Analyst: GUO Haiyan, XU Xiaoqing

New Fortune

Sixth China Best Investment Bank Poll
Best Domestic Investment Bank (Rank 2)
Best Investment Bank in Large Deal Execution (Rank 2)

  • Best Mainboard IPO

New China Life Insurance (Rank 1)
Phoenix Media (Rank 4)

  • Best FollowOn Offering

Hebei Iron & Steel (Rank 1)
SDIC Power (Rank 2)

  • Best Right Issue

China CITIC Bank (Rank 1)
Best Convertible Bond Deal
Sinopec Convertible Bond (Rank 1)
Convertible Bond of SDIC Power (Rank 3)

  • Best Corporate Bond Deal

11 Daqin 01 (Rank 1)

  • Best Financial Advisor

CSIC Whole Listing (Rank 1)

Capital Week

Sixth “Crystal Ball Analysts Awards”

  • Private Sector

Most Influential Research Team (Rank 3)
Most Independent Research Team (Rank 3)
Best Sales Service Team (Rank 2)
Best Events and/or Conferences (Rank 2)
Best Roadshow and Company Visitor (Rank 2)
Chemicals: GAO Zheng, GAO Bing (Rank 1)
Electronics: ZHAO Xiaoguang (Rank 1)
Wholesale & Retail: GUO Haiyan, QIAN Bing (Rank 1)
Bond: XU Xiaoqing, ZHANG Jiqiang, JI Jiangfan, CHEN Jianheng, ZHANG Li, XU Yan, LI Yishuo, LIU Mingxi (Rank 1)
Macroeconomics: PENG Wensheng, LIN Tun, BIAN Quanshui, SUN Miaoling (Rank 2)
Home Appliance: HE Wei, GUO Haiyan (Rank 2)
Power Equipment: CHEN Hua, SHI Ran (Rank 3)
Transportation: YANG Xin, SHEN Xiaofeng, REN Zhong, NIE Dizhong (Rank 3)
Power, Gas & Utilities: CHEN Junhua, CHEN Shuwei (Rank 4)
Textiles and Apparel: GUO Haiyan (Rank 4)
Media: WANG Yumei, JIN Yu (Rank 4)
Strategy: HUANG Haizhou, HOU Zhenhai, LI Zhiyong, CHANG Yuliang, WANG Chao, WANG Hui (Rank 5)
Agriculture: YUAN Feiyang, ZHOU Xuefan (R/U)
Coals: CAI Hongyu, LIAO Mingbing (R/U)
Non-metals Materials: LUO Wei, GUAN Xue (R/U)
Telecommunications: CHEN Haofei, HAN Hao (R/U)
New Energy: CHEN Hua, SHI Ran (R/U)

  • Public Sector

Most Independent Research Team (Rank 3)
Most Influential Research Team (Rank 4)
Electronics: ZHAO Xiaoguang (Rank 1)
Bond: XU Xiaoqing, ZHANG Jiqiang, JI Jiangfan, CHEN Jianheng, ZHANG Li, XU Yan, LI Yishuo, LIU Mingxi (Rank 2)
Banking: LUO Jing, HUANG Jie, MAO Junhua (Rank 3)
Chemicals: GAO Zheng, GAO Bing (Rank 5)
Media: WANG Yumei, JIN Yu (R/U)

Securities Times

2012 Best Wealth Management Institution in China

  • General

Best Brand in Investment Institutions of China
Best Institutional Investor Service Provider

  • Asset Management Related

Best Chinese FI Product of Asset Management: CICC No.1 Debt Fund
Most Innovative AM Product: CICC Index Future Arbitrary Strategy Segregated Account

  • Channel Trading

Best Institution in Specialized Brokerage
Top 100 Securities Branches: CICC Beijing and Shenzhen Securities Brokerage Branches
Best Brokerage Branch in Institutional Investor Service: CICC Beijing Securities Brokerage Branch

CBN

CFV 2012
Best Securities Brokerage Branch: CICC Beijing Jianguomenwai Branch

CBN

2012 CBN Best Analysts Poll
Best Sell-Side Analysts of the Year (Rank 8)

China Association of SME

2012 China Best Service Provider for Listing Companies "Golden Finger"
Best Institution for Sponsorship

China Securities Journal

First Best China Investment Bank Poll
Best Investment Bank (Rank 6)
Best Re-Financing Investment Bank (Rank 3)
Best Debt Financing Investment Bank (Rank 5)

The Asset

Triple A Investment Awards 2011
Investment Product Awards: Highly Recommended Investment Product, Retail

The Asset

2011 Regional Best Local Currency Bond Salespeople, Traders and Research Analysts
China's Best Bond Research Analyst: Xiaoqing XU (Rank 1); Hanfei XU (Rank 4)

The Asset

Regional Awards 2010
Best Equity-Linked Deal Award (China Unicom US$1.84 bn Convertible Bonds)
Best Domestic M&A/Best Privatization Award (Guangzhou Automotive Group US$3.2 billion privatization of Denway Motors and H-share IPO)

Thomason Reuters

Awards for Excellence – 2011 Starmine Analyst Awards

  • China and Hong Kong Region

Stock Picker
Retailing: Bing QIAN (Rank 2)
Estimator
Health Care: Liang SUN (Rank 1)
Real Estate & Construction: WU Huimin (Rank 2)
Retailing: Bing Qian (Rank 3)

Finance Asia

2011 Achievement Awards
Best IPO (Sun Art $1.2 bn IPO)
Best Equity Deal (Sun Art $1.2 bn IPO)

Finance Asia

Country Awards 2011
Best Investment Bank in China
Best Bond House in China

Global Finance

Stars of China 2011
Domestic Mergers and Acquisitions Bank

Global Finance

World's Best Investment Bank 2011
Best Investment Bank in China & HK

Institutional Investor

2011 All-Asia Research Team

  • Leaders Board (Rank 12)
  • Industrial Rankings

Best Research Analysts in China: Team led by Haizhou HUANG & Jin QIU (R/U)
Telecommunications: Team led by Haofei CHEN (R/U)
Transportation: Vivian TAO, Xin YANG (R/U)

Institutional Investor

2011 All–China Research Team

  • Leaders Board (Rank 2)
  • Industrial Rankings

Telecommunications: Haofei CHEN (Rank 1)
Infrastructure & Transportation: Xin YANG (Rank 1)
Banks: Junhua MAO (Rank 2)
Base Metals: Hongyu CAI (Rank 3)
Consumer/Discretionary: Haiyan GUO (Rank 3)
Consumer/Nondiscretionary: Haiyan GUO (R/U)
Energy (Bin GUAN) (R/U)
Insurance: Guang ZHOU (R/U)
Real Estate: Hongwei BAI (R/U)

Institutional Investor

2011 China A-Share Research Team

  • Leaders Board (Rank 1)
  • Industrial Rankings

Banks: Junhua MAO (Rank 1)
Basic Materials:
Zheng GAO (Rang 1)
Wei LUO (Rank 2)
Consumer/Discretionary: Haiyan GUO (Rank 1)
Consumer/Nondiscretionary: Haiyan GUO (Rank 1)
Energy:Zheng GAO (Rank 1)
Health Care: Liang SUN (Rank 2)
Infrastructure & Transportation: Xin YANG (Rank 1)
Insurance: Guang ZHOU (Rank 1)
Real Estate: Hongwei BAI (Rank 1)
Technology: Xiaoguang ZHAO (Rank 1)
Telecommunications:
Haofei CHEN (Rank 1)
Yu JIN (Rank 3)
Small& Mid-capitalization Stocks: Lingbo ZENG (Rank 1)

Asiamoney

Brokers Poll 2011

  • Prime Broking & Hedge Fund Services

Best for Overall Services to Hedge Funds (Rank 10)
Best for Overall Services to Prime Broking (Rank 9)

  • Hedge Fund

Best for Idea Generation (Rank 8)
Best for Client Service Coverage (Rank 10)
Best Depth & Quality of Inventory for Stock Loan (Rank 11)
Best Trading Execution – Cash (Rank 10)
Best Trading Execution – Derivatives (Rank 12)
Best Sales Coverage – Cash (Rank 10)
Best Sales Coverage –Derivatives (Rank 12)
Best Bespoke Research (Rank 7)

  • Prime Broking

Best Product Innovation (Rank 11)
Best Pricing (Rank 9)
Best for Capital Introduction (Rank 11)
Best Client Service (Rank 11)
Best Risk Management Advisory Service (Rank 7)
Best for Quantitative Research (Rank 13)
Best for Customized Reporting (Rank 8)
Best for Futures (Rank 12)
Best Bespoke Solutions (Rank 7)
Best Sales People Servicing Hedge Funds
Gordon LU (Rank 5)
Kong WEI (Rank 22)
Best Sales Traders Servicing Hedge Funds
Renee Wong (Rank 8)
Luke Fowler (Rank 25)

  • China Region

Research
Overall Country Research (Rank 1)
Strategy (Rank 2)
Macroeconomics (Rank 2)
Small Caps (Rank 3)
Banks (Rank 1)
Energy (Rank 1)
Insurance (Rank 1)
Material (Rank 1)
Telecommunication Service(Rank 1)
Most Independent Research Brokerage (Rank 2)
Best Analysts
Haiyan GUO (Rank 2)
Zheng GAO (Rank 3)
Wei LUO (Rank 7)
Hongyu CAI (Rank 8)
Junhua MAO (Rank 22)
Sales & Others
Best Local Brokerage (Rank 1)
Overall Sales Services (Rank 1)
Execution (Rank 1)
Sales Trading (Rank 1)
Events and/or Conferences (Rank 3)
Roadshows and Company Visit (Rank 1)
Most Improved Brokerage (Rank 2)
Best Salesperson
Kong WEI (Rank 11)
Gordon LU (Rank 13)
Natalie WAN (Rank 22)

  • Hong Kong

Research
Overall Country Research (Rank 12)
Strategy (Rank 9)
Macroeconomics (Rank 11)
Small Caps (Rank 19)
Capital Goods (Rank 12)
Insurance (Rank 6)
Real Estate (Rank 11)
Utilities (Rank 13)
Most Independent Research Brokerage (Rank 7)
Best Analysts
Haiyan GUO (Rank 3)
Sales & Others
Overall Sales Services (Rank 10)
Execution (Rank 9)
Sales Trading (Rank 12)
Events and/or Conferences (Rank 14)
Roadshows and Company Visit (Rank 8)
Most Improved Brokerage (Rank 13)

Asiamoney

Best Domestic Bank Awards 2011
Best Domestic Equity House in China

New Fortune

Ninth New Fortune Analysts Awards

  • 1st Place Awards:

Best Overseas Market Research
Electronics (Xiaoguang ZHAO)
Bond team (Xiaoqing XU, Jiqiang ZHANG, Jiangfan JI, Jianheng CHEN, Hanfei XU, Yishuo LI, Yan XU, Li ZHANG)

  • 2nd Place Awards:

Wholesale (Haiyan GUO, Bing QIAN)

  • 3rd Place Awards:

Banking (Jing LUO, Junhua MAO)

  • Other Awards:

Chemicals (Zheng GAO, Bing GAO)
Telecommunications (Equipment & Services) (Haofei CHEN and the team)
Best Sales and Trading Team
Best Sales Manager in Guangdong and Shenzhen (Hongmei GUO)

New Fortune

Fifth “China Investment Bank Awards”

  • 1st Place Awards:

Best Domestic Investment Bank
Best Main Board IPO (IPO of Agricultural Bank of China)
Best Financial Advisor Deal (Shanghai Pharmaceutical)
Best Convertible Bond Deal (ICBC Convertible Bond)
Best Bond Deal (2010 CSR Phase 1 MTN)

  • 2nd Place Awards:

Most Respected Investment Bank
Best Investment Bank in Large Project Execution
Best Re-financing Deal (Zoomlion)

  • Other Awards:

Best Main Board IPO (CEB IPO)
Best Right Issue Deal (China Construction Bank, China Merchant Bank)
TOP 100 Sponsors: Baorong FANG, Jianyang WANG (ABC IPO), Xin HE, Chao ZHU (ICBC Right Issue, ICBC Convertible Bond), Hongbin LV, Lei SUN (China XD Electric IPO)

CapitalWeek

Fifth “Crystal Ball Analysts Awards”

  • 1st Place Awards

Bond team (Xiaoqing XU, Jiqiang ZHANG, Jiangfan JI, Jianheng CHEN, Hanfei XU, Yan XU, Yishuo LI, Li ZHANG)
Electronics (Xiaoguang ZHAO)
Wholesale (Haiyan GUO, Bing QIAN)
Thirty Golden Stocks: Media & Culture (Yu JIN, Wenming ZHONG, Wanting YU)

  • 2nd Place Awards

Telecommunications (Haofei CHEN)

  • 3rd Place Awards

Most Influential Research Team
Home appliance (Haiyan GUO, HUANG Wenqian)
Transportation (Xin YANG, REN Zhong, Dizhong NIE)
Banking (Junhua MAO, Jing LUO)

  • 4th Place Awards

Shenzhen and Guangzhou best sales managers (Hongmei GUO, Junmin HUANG, Ji LV, Shan WU, Zhibin CHEN)
Best Local Research Team
Iron & Steel (Wei LUO, Yue DING)

  • 5th Place Awards

Best Sales Team
Chemicals (Zheng GAO)
Other Awards
Macroeconomics (Wensheng PENG, Miaoling SUN)
Strategy (Haizhou HUANG, Zhenhai HOU, Yuliang CHANG, Zhiyong LI, Chao WANG, Hui WANG)
Agriculture (Feiyang YUAN)
Food and Beverage (Feiyang YUAN, Yijia SUN)
Textiles and Apparel (Haiyan GUO, Fang HUANG)
Oil and Gas (Bin GUAN)
Real Estate (Hongwei BAI, Jingbian NING)
Media and Culture (Yu JIN, Wenming ZHONG, Wanting YU)

Securities Times

Fourth Best Brokerage Branch Awards in China
Most Distinguished Stock Broker in China
Top 20 Star Brokerage Branches: CICC Beijing Securities Brokerage Branch; CICC Shanghai Securities Brokerage Branch

Securities Times

Best Investment Banks in China Awards 2011
Best Influential Investment Bank
Best Investment Bank in Main Board
Best Investment Bank in Refinancing
Best Investment Bank in M&A
Best Bond House
Best IPO (IPO of Agriculture Bank of China)
Best M&A Deal (Pingan’s Acquisition of Shenzhen Development Bank)
Best Refinancing Deal (Daqing A-share Follow-on Offering)
Best Innovative Deal (Shanghai Pharm Restructuring)
Best Bond Underwriting Deals (2010 Phase I Bond Issuance of Central Huijin; Sinopec 2010 Corporate Bond Issuance)

Shanghai Securities News

Fifth “Best Investment Banks in China Awards”
Outstanding Investment Bank

Shanghai Securities News

Fourth “Best Securities Brokers Awards”
Most Innovative Service Brokers in China
Top 10 Securities Brokerage Branches: CICC Shanghai Securities Brokerage Branch

Asiamoney

Best Domestic Bank Awards 2010
Best Domestic Equity House in China
Best Deals of the Year
Best Equity-linked Offering (China Unicom US$18.4bn 0.75% Convertible Bonds due 2015)
Brokers Poll 2010

  • China

Best for Overall Country Research (Rank 1)
Small Caps (Rank 1)
Banks (Rank 1)
Energy (Rank 1)
Insurance (Rank 1)
Telecommunication Services (Rank 1)
Best Local Brokerage (Rank 1)
Best Overall Sales Services (Rank 1)
Best Execution (Rank 1)
Best Sales Trading (Rank 1)
Most improved brokerage over the last 12 months (Rank 1)
Real Estate (Rank 2)
Most Independent Research Brokerage (Rank 2)
Macroeconomics (Rank 2)
Best for Roadshows and Company Visits (Rank 2)
Strategy (Rank 3)
Overall Events and/or Conferences (Rank 3)
Best Analyst (GUO Haiyan, CAI Hongyu, MAO Junhua, HA Jiming, CHEN Haofei)
Best Salesperson (Natalie WAN, Wei KONG, Jianyang WANG, Gordon LV, Paul CHEONG, Carol CHEN, Kathy TEO)

  • Hong Kong

Best for Overall Country Research in Hong Kong
Most Independent Research Brokerage
Diversified Finance
Macroeconomics
Retailing
Banks
Strategy
Real Estate
Utilities
Small Caps
Best Sales Services
Best Execution
Best Sales Trading
Best Events and/or Conferences
Best for Roadshows and Company Visits
Most improved brokerage over the last 12 months
Best Salesperson (Carol CHEN, Natalie WAN, Paul CHEONG)

Financial Times (UK)

Asia-Pacific M&A Awards 2010
Financial Advisor of the Year (China)

The Asset

2010 Regional Best Local Currency Bond Salespeople, Traders and Research Analysts
China's Best Research Analyst: XU Xiaoqing
Country Awards 2010
Best Domestic Investment Bank
Best Deal: A+H IPO of Agriculture Bank of China

Institutional Investor

2010 All-Asia Research Team
Insurance
2010 All China Research Team
Top Ten Institutions
Technology, Media & Telecommunications Industry: CHEN Haofei (Rank 2)
Financials Industry: MAO Junhua (Rank 3)

IFRAsia

Roll of Honour 2010
China Equity House
China Bond House
Equity-linked Deal (China Unicom US$1.84bn Convertible Bond)
Equity Deal (Agricultural Bank of China US$22.1bn IPO)

FinanceAsia

Country Awards 2010
Best Investment Bank in China
2010 Achievement Awards
Best China Deal - Agricultural Bank of China’s $22.1 billion IPO
Best Domestic M&A Deal - Guangzhou Auto’s $4 billion privatisation of Denway and relisting
Best Equity - Linked Deal - China Unicom's $1.8 billion convertible bond

Global Finance

2010 Stars of China
Best Domestic Mergers and Acquisitions Bank

Global Finance

World's Best Investment Bank 2010
Best Investment Bank in China

New Fortune

Eighth New Fortune Analysts Awards

  • First-place awards:

Outstanding research leader: CICC (QIU Jin)
Fixed income research (XU Xiaoqing, CHEN Jianheng, XU Hanfei, JI Jiangfan, XU Yan, ZHANG Jiqiang)
Electronics (ZHAO Xiaoguang)
Media and Culture (JIN Yu, ZHONG Wenming)
Best sales team in Guangzhou and Shenzhen

  • Second-place awards:

Banking (MAO Junhua, LUO Jing)
Best sales managers in Guangzhou and Shenzhen (ZHU Yingwei)

  • Third-place awards:

Most influential research team
Best sales team
Wholesale (GUO Haiyan, QIAN Bing)
Home appliance (GUO Haiyan, HUANG Wenqian)

  • Other awards:

Best local research team
Food and Beverage (YUAN Feiyang, SUN Yijia)
Best sales managers in Guangzhou and Shenzhen (GUO Hongmei)

New Fortune

Fourth “China Investment Bank Awards”

  • First-place awards:

Most Respected Investment Bank
Best Investment Bank in Large Project Execution
Most Innovative Investment Bank
Best IPO: CSCEC A-share IPO
Best Bond Deal: Financial Street 09 1st Corporate Bond Issuance
Best Re-financing Deal: China Eastern Airlines Re-financing
Best Financial Advisor Deal: Pangang Group Restructuring)
Best Representatives of Sponsor:
SHI Fang, YAO Xudong (CSCEC A-share IPO)
XIA Yuyang, LIU Shulin (China Eastern Airlines Re-financing)

  • Second-place awards:

Best Domestic Investment Bank

  • Other awards:

Best Bond Deal: Shanghai Chengtou 09 Corporate Bond

Securities Times

Best Investment Banks in China Awards 2010
Best Influential Investment Bank
Best Investment Bank in IPO
Best Investment Bank in M&A
Best Investment Bank in Innovation
Best Joint Venture Investment Bank
Best Bond House
Best Influential Deal: CSCEC A-share IPO
Best M&A Deal: China Eastern Airlines Merge with Shanghai Airlines
Best Innovative Deal: Shanghai Pharmaceutical’s Major Asset Restructuring; Northeast Expressway’s Split
Best Bond Issuance: RMB30 bn Mid-Term Notes Issuance of PetroChina; Sub-bond Deal of Agricultural Bank of China

MoneyWeek

2010 The Golden Orientation On Securities Company Awards In China
The Best Asset Management: Corporation/Department of Securities Company (Rank 2)

Eastmoney

Eastmoney.com Poll
2010 Best Investment Bank

National Business Daily

China Venture Capital Value Poll
Best Investment Bank

Financial News (China)

Second “Golden Dragon” Awards
Best Investment Bank of the Year

CFV

Best Prophet
Best Forecasting Financial Institution
Financial Institution of the Year
Brokerage Branch of the Year –CICC Beijing securities brokerage branch

CFO World

China CFO’s Top 100 Most Reliable Institute Poll
Best China CFO Reliable IPO Underwriting Institute

CMAA

2010 China M&A Awards
Best M&A Programme Design Award (Shanghai Pharmaceutical’s Major Asset Restructuring)

Shanghai Securities News

Third “Best Securities Brokers Awards”
CICC Shanghai Securities Brokerage Branch: 2010 Top 10 Securities Brokerage Branches
Fourth “Best Investment Banks in China Awards”
Best Investment Bank in Large Transaction Execution

CaptialWeek

Fourth “Crystal Ball Analysts Awards”

  • First-place awards:

Bond team (XU Xiaoqing, CHEN Jianheng, XU Hanfei, JI Jiangfan, XU Yan, ZHANG Jiqiang)
Electronics (ZHAO Xiaoguang)
Media and Culture (JIN Yu, ZHONG Wenming)

  • Second-place awards:

Best in conference organization
Banking (MAO Junhua, LUO Jing)
Shenzhen and Guangzhou best sales managers (LIU Man, GUO Hongmei, CHEN Zhibin, HUANG Junmin, ZHU Yingwei, LV Ji, ZHANG Hua, CHEN Xiao, JIANG Qi, WU Shan)

  • Third-place awards:

Most influential research team
Most independent research team
Home appliance (GUO Haiyan, HUANG Wenqian)
Telecommunications (CHEN Haofei)
Wholesale (GUO Haiyan, QIAN Bing)
Beijing best sales managers (KANG Chen, ZHANG Ting, YONG Yue, LONG Bo, LI Wei, CHEN Yinan, CHEN Yinan, CAI Xuan, WANG Mian, ZHANG Mo, KANG Le)

  • Other awards:

Best sales team
Agriculture (YUAN Feiyang, YANG Ke)
Food and Beverage (YUAN Feiyang, SUN Yijia)
Power (CHEN Hua)
Utilities (CHEN Junhua, HUANG Wenlong, Stephen ZHANG)
Transportation (Vivian TAO, YANG Xin)
Non-bank financial institution (ZHOU Guang, WANG Songbai)
Shanghai best sales managers (LI Qiang, GUO Minfang, CHEN Shu, YI Jianjun, DU Jingtao, DENG Liwei, YU Shaohua, XU Feng, LUO Wenwen, HU Shanshan)

CaptialWeek

Second Sell-side Analyst Poll

  • First-place awards:

Metals & Mining (HAN Yong)
Real Estate (BAI Hongwei)
Textile and Clothes (GUO Hanyan)
Ferrous Metal (LUO Wei)
Chemicals (SHI Xuesong)
Transportation (YANG Xin)
Agriculture (YUAN Feiyang)
Food and Beverage (YUAN Feiyang)
Telecommunication (LI Yuan)

  • Second-place awards:

Financial Services (ZHOU Guang)
Light Manufacturing (ZENG Lingbo)
Medical Biology (SUN Liang)
Nonferrous Metal (DING Shenwei)

Institutional Investor

2009 Asia’s Best Sales Teams
Rank 3 in China
2009 All-Asia Research Team
Rank 4 in Insurance

Euromoney

Euromoney Best Bank 2009
Best Bond House

IFRAsia

2009 Roll of Honour
Best Equity Deal

FinanceAsia

Country Awards 2009
Best Investment Bank
Best Bond House
Awards for Achievement 2009
Best IPO

Global Finance

2009 Best Banks And Companies In China
Best Banks: Mergers and Acquisitions, Domestic
World’s Best Investment Bank Awards 2009
Best Investment Bank, China/Hong Kong
Best Investment Bank, Asia
Best M&A Bank, Asia

The Asset

Triple A Country Awards 2009

  • China

Best Domestic Investment Bank
Best Debt House
Best Domestic Bond House
Most Innovative Deal

Asiamoney

Asiamoney Best Banks 2009
Best Bond House
Best Equity House
Brokers Poll 2009

  • China

Best for Overall Country Research (Rank 1)
Macroeconomics (Rank 1)
Strategy (Rank 1)
Banks (Rank 1)
Insurance (Rank 1)
Real Estate (Rank 1)
Telecommunication Services (Rank 1)
Best Local Brokerage (Rank 1)
Best Overall Sales Services (Rank 1)
Best Execution (Rank 1)
Best In Sales Trading (Rank 1)
Most Improved Brokerage Over the Last 12 Months (Rank 1)
Most Independent Research Brokerage (Rank 2)
Best for Roadshows and Company Visits (Rank 2)
Small Caps (Rank 3)
Best for Events and/or Conferences (Rank 3)
Energy (Rank 4)
Best Analyst (HA Jiming, MAO Junhua, CHEN Haofei, LEUNG Brian, BAI Hongwei)
Best Salesperson (XU Jian, LIU Man)

  • Asia ex Japan

Most Improved Brokerage Over the Last 12 Months (Rank 3)
Best Economic Research (Rank 5)
Best Economist (HA Jiming)
Most Independent Research Brokerage
Strategy
Best All-Round Solutions for Prime Broking
Best for Overall Services to Hedge Funds

New Fortune

Seventh New Fortune Analysts Awards

  • First-place awards:

Fixed Income Research (XU Xiaoqing, CHEN Jianheng, XU Hanfei, JI Jiangfan, TAO Shuo, XU Yan, ZHANG Jiqiang)
Non-bank financial institution  (ZHOU Guang, WANG Songbai, ZHAO Huiying)
Media (JIN Yu, ZHONG Wenming)
Best Sales Service Team

  • Second-place awards:

Macroeconomics (HA Jiming, LIU Olin, SHEN Jianguang, XING Ziqiang)
Banking (MAO Junhua, LUO Jing)
Telecommunications (CHEN Haofei, LI Yuan)
Most Influential Research Team
Best Sales Managers in Guangshen Area (ZHU Yingwei)

  • Third-place awards:

Property (BAI Hongwei, NING Jingbian)
Chemicals (SHI Xuesong)
Food and Beverage (YUAN Feiyang, SUN Yijia)
Best Sales Managers in Guangshen Area (LIU Man)

  • Other awards:

Best Local Research Team
Wholesale and Retail (GUO Haiyan, QIAN Bing)
Best Sales Managers in Shanghai Area (GENG Dejian)
Strategy (CHU Gang, GAO Ting, HOU Zhenhai, WANG Hanfeng, LI Bin, ZENG Lingbo)
Transportation (TAO Vivian, YANG Xin, ZHENG Dong, HUANG Wenlong)
Best Sales Managers in Guangshen Area (GUO Hongmei)
Best Sales Managers in Beijing Area (LONG Bo)

New Fortune

Third “China Investment Bank Awards”

  • First-place awards:

Most Respected Investment Bank
Best Investment Bank in Exploring Enterprise Values
Best Investment Bank in Pricing Capability
Best Investment Bank in Service Quality
Best IPO: CSR IPO (CICC acted as Joint Sponsor (Lead Manager) in A-share IPO and Joint Global Coordinator, Joint Bookrunner, Joint Sponsor and Joint Lead Manager in H-share IPO)

  • Second-place awards:

Best Domestic Investment Bank
Most Innovative Investment Bank
Most Market-oriented Investment Bank
Best Offline Placement: COSCO (CICC acted as Sole Sponsor (Lead Manager))

  • Other awards

Best Bond Deal: 2008 COFCO Bond (Rank 5) (CICC acted as Sole Lead Manager and Bookrunner)
Best Representatives of Sponsor: LV Hongbin, SUN Lei (2008 Sinopec Bond, Sinopec CWB1 and CSR IPO)

CapitalWeek

Third “Crystal Ball Analysts Awards”

  • First-place awards:

Best team leader (Qiu Jin)
Best in roadshow and client visit
Bond team (XU Xiaoqing, CHEN Jianheng, XU Hanfei, JI Jiangfan, TAO Shuo, XU Yan, ZHANG Jiqiang)
Non-bank financial institution team (ZHOU Guang, ZHAO Huiying, WANG Songbai)
Banking team (MAO Junhua, LUO Jing)
Media and Culture (JIN Yu)
Best sales managers: Shenzhen & Guangzhou sales team (LIU Man, GUO Hongmei, ZHU Yingwei, HUANG Junmin, LV Ji, ZHANG Hua, CHEN Xiao)
Best sales managers: Shanghai sales team (CHEN Shu, DU Jingtao, GUO Minfang, YANG Chongze, YI Jianjun, GENG Dejian, DENG Liwei, LUO Qiang, XU Jian, XUE Jianmin, ZHANG Xiaojun, YU Shaohua, YIN Hui, HUANG Ji, XU Feng, QIN Xiaotian)

  • Second-place award:

Best sales team
Most influential research team
Best sales managers: Beijing sales team (KANG Chen, YONG Yue, LI Wei, LONG Bo, YU Hua, CHEN Yinan, CAI Xuan, ZHANG Ting)
Telecommunications team (CHEN Haofei, Zhao Su)

  • Third-place awards:

Best in conference organization
Best local research team
Most independent research team
Most innovative research team
Macroeconomics team (HA Jiming, LIU Olin, SHEN Jianguang, XING Ziqiang)
Wholesale and retail team (GUO Haiyan, QIAN Bing)
Property team (BAI Hongwei, NING Jingbian)
Chemicals (SHI Xuesong)

  • Other awards:

Agriculture team (YUAN Feiyang, YANG Ke)
Food and beverage team (YUAN Feiyang, SUN Yijia)
Transportation team (TAO Vivian, ZHENG Dong, HUANG Wenlong, YANG Xin)

CapitalWeek

2009 Sell-side Analyst Poll

  • First-place awards:

Agriculture (YUAN Feiyang)
Chemicals (SHI Xuesong)
Electronics (JIN Yu)
Electrical equipment (CHEN Hua)
Telecommunication Equipment/Service (LI Yuan)
Computer (LI Yuan)

  • Second-place awards:

Steel (LUO Wei)
Nonferrous Metal (DING Shenwei)
Banking (MAO Junhua)
Non-bank Financial Institution (WANG Songbai)
Media (JIN Yu)
Real Estate (BAI Hongwei)

  • Third-place awards:

Auto & Auto parts (WANG Zhihui)

FinanceAsia

2008 Country Awards
Best Investment Bank in China
Best Equity House in China
2008 End of Year Awards
China Merchants Bank’s Rmb30 billion lower-tier 2 multi-tranche bank capital bond (CICC was Joint Lead Manager and Sole Bookrunner): Best Local Currency Bond
Chinalco’s $14 billion stake acquisition in Rio Tinto (CICC was Joint Financial Advisor to Chinalco): Best China Deal

IFR Asia

IFR Asia Awards 2008
China Equity House
Bond of the Year: China Merchants Bank’s Rmb30 bn Lower Tier 2 Bond: Bond of the Year (CICC was Joint Lead Manager and Sole Bookrunner)

Asiamoney

2007 Best Country Deals of the Year
PetroChina’s A-share IPO (CICC was Joint Sponsor and Lead Underwriter): Best Equity Deal 2007
Brokers Poll 2008
Best local brokerage
Best for overall country research
Best overall sales service
Best execution
Best in sales trading
Most improved brokerage over the last 12 months
Best research coverage: banks, insurance

Global Finance

Best Banks in China Awards, 2008
Best Equity Underwriting Bank
World’s Best Investment Banks 2008
Best Investment Bank in China
PetroChina’s A-share IPO (CICC was Joint Sponsor and Lead Underwriter): Deal of the Year

The Asset

Triple A Awards for Derivatives and Structured Products 2008
Jian Yuan 2008-1 NPL-backed Securities: Highly Commended, Best Structured Deal
Triple A Regional Awards 2008
30 billion RMB China Merchants Bank lower tier 2 bonds (CICC was Joint Lead Manager and Sole Bookrunner): Best Local Currency Bond

Financial Times (UK)

World’s Top Analysts
Banking research team: Top 10 Earnings Estimators–Asia

Financial Times (UK)

M&A Awards Asia 2008
Financial Advisor of the Year in Telecommunications, Media and Technology
Financial Advisor of the Year in Mainland China and Hong Kong
China Unicom Ltd (CICC was Lead Financial Advisor to China Unicom and General Coordinator of Agents): M&A Deal of the Year

CFO China

2008 Deals of the Year
Sinopec’s RMB30 billion Detachable Convertible Bond (CICC was Lead Underwriter and Joint Sponsor)
China Merchants Bank’s Rmb30 bn Lower Tier 2 Bond (CICC was Joint Lead Manager and Sole Bookrunner)
Chinalco’s minority stake acquisition in Rio Tinto (CICC was Joint Financial Advisor to Chinalco)
COSL’s acquisition of 100% shares in Awilco ASA (CICC was Financial Advisor to COSL and A-share Independent Financial Advisor)

CFV

Financial Institutions of the Year
International Development Award
Financial Products of the Year
CICC Short Term Debt – Best Collective Investment Scheme

New Fortune

Sixth New Fortune Analysts Awards

  • First-place awards:

Most influential research team
Macroeconomics team (HA Jiming, SHEN Jianguang, XING Ziqiang)
Strategy team (GAO Ting, LI Bin, Brian LEUNG, WANG Hanfeng, HOU Zhenhai)
Bank team (MAO Junhua, LUO Jing)
Non-bank financial institution team (ZHOU Guang, WANG Songbai)
Communications and culture (JIN Yu)
Best Sales Service Team

  • Second-place awards:

Property (BAI Hongwei)
Chemicals (SHI Xuesong)
Telecommunications team (LI Yuan, ZHAO Su, CHEN Haofei)
Transportation team (TAO Wei, ZHENG Dong, YANG Xin, HUANG Wenlong,)
Fixed Income Team (XU Xiaoqing, CHEN Jianheng, JI Jiangfan, XU Yan, TAO Shuo, ZHANG Jiqiang)
Best Sales Managers in Shanghai (GENG Dejian)

  • Third-place awards:

Best Local Research Team
Auto and auto-parts (WANG Zhihui)
Best Sales Managers Nationwide (LIU Man)
Best Sales Managers in Guanshen Area (LIU Man)
Best Sales Managers in Shanghai (DU Jingtao)

  • Fourth-place awards:

Steel (LUO Wei)
Petrochemicals (ZHANG Jintao)

New Fortune

Second “China Investment Bank Awards”
Most Respected Investment Bank
Best Local Investment Bank
Most Innovated Investment Bank
Best Investment Bank in Service Quality
Best Investment Bank in Large Transaction Execution
Best Investment Bank in Excavating Enterprise Value
Best Equity Deal: ICBC’s IPO (CICC was Joint Global Coordinator, Joint Bookrunner and Joint Sponsor in H-share offering and Joint Sponsor (Lead Underwriter) in A-share offering); COSCO Secondary Offering
Best Deal in Service Quality: China Life’s IPO (CICC was Joint Sponsor and Lead Underwriter)

CapitalWeek

Second “Crystal Ball Analysts Awards”

  • First-place awards:

Most influential research team
Most innovative research team
Best in conference organization
Best in roadshow and client visit
Best sales team
Best team leader (QIU Jin)
Macroeconomics team (HA Jiming, SHEN Jianguang, XING Ziqiang)
Non-bank financial Institution (ZHOU Guang)
Property (BAI Hongwei)
Communications and culture (JIN Yu)

  • Second-place awards:

Most independent research team
Strategy team (GAO Ting, Brian LEUNG, HOU Zhenhai)
Telecommunications team (CHEN Haofei, LI Yuan, ZHU Wei)
Bank team (Julia FAN, MAO Junhua, LUO Jing, ZE Kai)
Best sales managers in Shenzhen (LIU Man)

  • Third-place awards:

Most improved sales service teams
Petrochemicals (ZHANG Jintao)
Chemicals (SHI Xuesong)
Auto and auto-parts (WANG Zhihui)
Transportation team (TAO Wei, ZHENG Dong, HUANG Wenlong, YANG Xin)
Best sales managers in Shenzhen (GUO Hongmei)

  • Fourth-place awards:

Best local research team
Best sales managers nationwide (CAI Xuan)
Best sales managers in Shanghai (DU Jingtao)

  • Fifth-place awards:

Coal mining (HAN Yong)
Steel (LUO Wei)
Best sales managers nationwide (LONG Bo)

Securities Times

Best Investment Banks in China Awards 2008
Best Investment Bank in Financings
Best Joint Venture Investment Bank
Best Investment Bank in Service Quality
"Dazhihui" Cup Star Securities Brokerage Branches Awards
CICC Shanghai Securities Brokerage Branch: Top 20 star securities brokerage branches
CICC Beijing securities brokerage branch: Best regional star brokerage branch

21st Century

21st Century China Investment Bank Innovation Forum
Best QFII 2007
Best Asset Management 2007
Best Investment Bank 2007
First “21st Century Analysts Awards”
Research Team of Media’s Choice

Shanghai Securities News

Second “Best Investment Banks in China Awards”
Best Investment Bank in Large Transaction Execution
First “Best Securities Brokers Awards”
CICC Shanghai Securities Brokerage Branch: 2007 top 10 securities brokerage branches
Second “China M&A Awards”
Chinalco’s minority stake acquisition in Rio Tinto (CICC was Joint Financial Advisor to Chinalco): Best M&A Financial Advisor

Asiamoney

Brokers Poll 2007
Best Local Brokerage Firm in China
Best for Overall Country Research in China
Best Overall Sales Services in China
Best Execution in China
Best in Sales Trading in China
Most Improved Brokerage over the Last 12 Months in China
Overall Combined Research & Sales for Asia (ex Australia & Japan) – No. 10

The Asset

Triple A Regional Awards 2007
Triple A Best Domestic Investment Bank in China

IFR Asia

IFR Asia Awards 2007
China Equity House

Global Finance

World’s Best Investment Banks 2007
Best Domestic Bank in Underwriting in China
Best Investment Bank in China
Best Equity Deal: Industrial & Commercial Bank of China IPO (CICC: Global Coordinators / Joint Lead Managers for Hong Kong offering)

FinanceAsia

2007 Country Awards
Best Investment Bank in China
Best Equity House in China

Asian Legal Business

Asian Legal Business Awards 2007
China Coal IPO: Energy & Resources Deal of the Year
Industrial & Commercial Bank of China IPO: Equity Market Deal of the Year

Sohu Finance

2007 Sohu Finance Awards
Best in Research

CBN

CBN Financial Brand Ranking 2007
Top Ten Securities Firms

NEW FORTUNE

NEW FORTUNE 2007 Awards
Best Sales Service Team
Research Team: Fixed Income Research – No. 1
Most Influential Research Institution – No.3
Best Local Research Team – No. 5