Northeast Securities Co., Ltd.

Northeast Securities Co., Ltd. is a financial services provider listed on the Shenzhen Stock Exchange since 2007. The company focuses on investment banking and wealth management, particularly for small and medium-sized innovative enterprises. Northeast Securities offers a comprehensive range of securities and securities-related services, holding various business licenses that enable it to engage in activities such as securities brokerage, investment consulting, margin trading, and fund sales. The company operates through a diversified business model that includes private equity, alternative investments, and securities asset management. It has established wholly owned subsidiaries, including Bohai Futures Company and Dongfang Fund Company, and participates in Yinhua Fund Company. Northeast Securities emphasizes a client-centric approach and aims to optimize its income structure while enhancing its brand and scale advantages. With a governance structure designed for accountability and compliance, the company is committed to fostering innovation and providing a wide array of financial products and services to meet the needs of its clients.

The company has established a governance structure which is composed of general meeting of shareholders, board of directors, board of supervisors and the rank of manager. It has formed a mechanism of accountability, separation and balance between power institutions, decision-making bodies, oversight bodies and management. The company runs legal compliance and develops healthy and steady business environment. As an integrated securities service provider with full operational qualifications, the main business of the company develops balanced while the income structure is increasingly optimized. It has formed a diversified business development platform. All of the business lines have complementary advantages, intergrated innovation and coordinated development. In order to optimize the collectivized business model and build a strong scale advantage and brand advantage, the company always adheres to client-centric and client-oriented and it provides a variety of financial products and services. The company shoulders a mission which is “Financing resources and Creating wealth”. This requires the company to operate soundness, develop innovation and seek win-win in services. The company is committed to improve the profitability of this company by fully arousing the initiative of the staff. It repays the shareholders and contributes to the society.