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Capital & debt issuance (short-term financing, bonds, subordinated bonds)资本与债务发行（短融、债券、次级债）
29 · 2024-01-10 → 2026-04-03
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Regular issuance of short-term financing notes, corporate bonds, subordinated bonds, and perpetual bonds to fund operations and repay debt.定期发行短期融资券、公司债券、次级债券和永续债券，以补充运营资金和偿还债务。
2024-01-10Issued 2024 first tranche short-term financing券 (24 Guotai Junan CP001) with actual issuance of 2 billion yuan, coupon rate 2.43%, term 168 days.发行2024年度第一期短期融资券（24国泰君安CP001），实际发行总额20亿元，票面利率2.43%，期限168天。
2024-02-01Guotai Junan received CSRC approval to publicly issue corporate bonds to professional investors with a total face value of up to RMB 20 billion, valid for 24 months.国泰君安收到中国证监会批复，同意向专业投资者公开发行面值总额不超过200亿元的公司债券，批复24个月内有效。
2024-05-09Guotai Junan issued the 2024 second tranche short-term financing券 (short-term financing notes) with a total amount of 5 billion yuan, completed on May 9.国泰君安发行2024年度第二期短期融资券，总额50亿元，于5月9日发行完毕。
2024-05-15Guotai Junan announced the issuance of 2024 corporate bonds (first tranche, '24 Jun G1') for professional investors, with a scale of up to 20 billion yuan, a 3-year term, and a final coupon rate of 2.30%.国泰君安公告面向专业投资者公开发行2024年公司债券（第一期，24国君G1），规模不超过200亿元，期限3年，票面利率2.30%。
2024-06-05Guotai Junan issued a public notice for the first tranche of 2024 subordinated bonds (24 Guojun C1) for professional investors, with a maximum issuance size of 3 billion yuan, a coupon rate of 2.28%, and a term of 38 months, to replenish working capital.国泰君安面向专业投资者公开发行2024年第一期次级债券（24国君C1），发行规模不超过30亿元，票面利率2.28%，期限38个月，用于补充流动资金。
2024-06-17Guotai Junan completed the issuance of the 2024 third tranche short-term financing券 (short-term financing bill) with a total amount of 3 billion yuan, a term of 186 days, and a coupon rate of 1.93%, due on December 20, 2024.国泰君安完成2024年度第三期短期融资券发行，总额30亿元，期限186天，票面利率1.93%，兑付日为2024年12月20日。
2024-07-08Guotai Junan issued the second tranche of 2024 corporate bonds to professional investors, with a scale of up to 3 billion yuan, a 25-month term, and an AAA rating, proceeds to be used for repaying existing corporate bonds.国泰君安发行2024年第二期公司债券，规模不超过30亿元，期限25个月，评级AAA，募集资金用于偿还公司债券。
2024-10-25The Shanghai Stock Exchange approved the listing of Guotai Junan's 2024 second tranche of subordinated bonds (Tranche 2, Variety 2) for professional investors, under the short name '24 Guojun C3' (code 241804), starting October 28, 2024.上交所同意国泰君安2024年面向专业投资者公开发行次级债券（第二期）（品种二）于2024年10月28日起上市，债券简称为'24国君C3'，代码为241804。
2024-11-18Guotai Junan Securities issues the 7th tranche of 2024 short-term financing bills, with actual total issuance of RMB 4 billion, a term of 365 days, and a coupon rate of 1.93%.国泰君安证券发行2024年度第七期短期融资券，实际发行总额40亿元，期限365天，票面利率1.93%。
2024-11-26Guotai Junan Securities issues the 8th tranche of 2024 short-term financing bills, with actual total issuance of RMB 4 billion, a term of 210 days, and a coupon rate of 1.90%.国泰君安证券发行2024年度第八期短期融资券，实际发行总额40亿元，期限210天，票面利率1.90%。
2024-11-27Guotai Junan Securities issues the 9th tranche of 2024 short-term financing bills, with actual total issuance of RMB 3 billion, a term of 300 days, and a coupon rate of 1.90%.国泰君安证券发行2024年度第九期短期融资券，实际发行总额30亿元，期限300天，票面利率1.90%。
2024-12-20Guotai Junan completed the principal and interest repayment of its 2024 third short-term financing bond (3 billion yuan, coupon 1.93%, 186-day term) on the due date.国泰君安完成2024年度第三期短期融资券（30亿元，票面利率1.93%，期限186天）的本息兑付。
2025-02-19Shanghai Stock Exchange approved the listing of Guotai Junan's 2025 second tranche subordinated bonds (tranche 1, code 242384, and tranche 2) for professional investors, starting trading on Feb 20, 2025.上交所同意国泰君安2025年面向专业投资者公开发行次级债券（第二期）（品种一和品种二）于2025年2月20日起上市，债券简称“25国君C3”等。
2025-03-07Guotai Junan issued its 2025 second tranche corporate bonds (variety 2) for professional investors, listed on SSE on March 10, 2025, under code 242515.国泰君安2025年面向专业投资者公开发行公司债券（第二期）（品种二）于2025年3月10日起在上交所上市，证券代码242515。
2025-03-17Guotai Junan issued 2025 first tranche short-term corporate bonds (variety 1 and 2) for professional investors, listed on SSE on March 18, 2025, under codes 242581 and 242582.国泰君安2025年面向专业投资者公开发行短期公司债券（第一期）（品种一和品种二）于2025年3月18日起在上交所上市，证券代码242581和242582。
2025-04-07Received CSRC approval to publicly issue corporate bonds to professional investors with an aggregate face value not exceeding RMB 60 billion, valid for 24 months from registration date.收到中国证监会批复，同意公司向专业投资者公开发行面值总额不超过600亿元公司债券，自注册之日起24个月内有效。
2025-05-08Guotai Haitong plans to issue up to RMB 2 billion in science and technology innovation corporate bonds (first tranche) to professional investors, with a 3-year and a 10-year tranche, 70% of proceeds to support tech innovation fields (e.g., IC, AI, biomedicine, new energy).国泰海通拟面向专业投资者公开发行不超过20亿元科技创新公司债券（第一期），分3年期和10年期两个品种，募集资金70%用于支持集成电路、人工智能、生物医药、新能源等科技创新领域。
2025-05-13Guotai Haitong successfully issued its first science and technology innovation corporate bond on the SSE on May 9, raising RMB 2 billion (RMB 600 million at 1.70% for 3 years, RMB 1.4 billion at 2.10% for 10 years), becoming one of the first securities firms to issue such bonds.国泰海通于5月9日在上交所成功簿记发行首批证券公司科技创新公司债，金额20亿元（3年期6亿元票面1.70%，10年期14亿元票面2.10%），为首批券商科创债之一。
2025-05-14Guotai Haitong completed the repayment of its 2024 6th short-term financing note (RMB 4 billion, 1.90% coupon, 181-day tenor) on May 13, 2025.国泰海通于2025年5月13日完成2024年度第六期短期融资券（40亿元，票面利率1.90%，期限181天）的本息兑付。
2025-06-13Guotai Haitong received PBOC approval to issue up to RMB 15 billion in science-and-technology innovation bonds on the interbank market, valid from June 11, 2025 to June 10, 2027.国泰海通获中国人民银行同意在银行间债券市场发行不超过150亿元科技创新债券，有效期2025年6月11日至2027年6月10日。
2025-06-13Guotai Haitong completed the redemption of its 2024 5th short-term financing note: RMB 4 billion principal plus 2.00% interest, matured on June 13, 2025.国泰海通完成2024年度第五期短期融资券兑付：本金40亿元，票面利率2.00%，到期日2025年6月13日。
2025-06-18Guotai Haitong received CSRC approval to publicly issue up to RMB 15 billion in science-and-technology innovation corporate bonds to professional investors, valid for 24 months.国泰海通获中国证监会同意向专业投资者公开发行不超过150亿元科技创新公司债券，批复有效期24个月。
2025-07-22Guotai Haitong issued the 2025 Sci-Tech Innovation Bond (Tranche 1) for 1.9 billion yuan, 5-year tenor, coupon rate 1.72%.国泰海通成功发行2025年科技创新债券（第一期），发行总额19亿元，期限5年，票面利率1.72%。
2025-09-10Guotai Haitong received CSRC approval to publicly issue subordinated corporate bonds to professional investors with a total face value of up to 30 billion yuan, valid for 24 months.国泰海通获得中国证监会批复，同意向专业投资者公开发行面值总额不超过300亿元的次级公司债券，注册有效期为24个月。
2025-11-18Guotai Haitong completed the principal and interest repayment of its 2024 7th short-term financing note (40 billion yuan, 1-year, coupon 1.93%) on the maturity date.国泰海通完成了2024年度第七期短期融资券（发行额40亿元，票面利率1.93%，期限1年）的本息兑付工作。
2025-11-19Guotai Haitong completed the issuance of its 2025 Technology Innovation Bond (Second Tranche), with an actual total issuance of 1.1 billion yuan, 5-year term, and a coupon rate of 1.85%.国泰海通2025年科技创新债券（第二期）发行完毕，实际发行总额11亿元，期限5年，票面利率1.85%。
2025-12-30Guotai Haitong received CSRC approval to publicly issue corporate bonds to professional investors, with a total face value of up to 80 billion yuan for bonds over one year and up to 30 billion yuan for short-term bonds.国泰海通获证监会批复，同意向专业投资者公开发行公司债券，其中一年期以上债券面值总额不超过800亿元，短期公司债券面值余额不超过300亿元。
2026-03-11Guotai Haitong's application for a 35 billion yuan perpetual subordinated bond issuance to professional investors is accepted by the Shanghai Stock Exchange.国泰海通面向专业投资者公开发行350亿元永续次级债券项目获上交所受理。
2026-04-03Received regulatory approval from CSRC to publicly issue perpetual subordinated bonds to professional investors, with a registered quota of up to RMB 15 billion for technology innovation corporate bonds.获得中国证监会批复，同意向专业投资者公开发行面值总额不超过150亿元科技创新公司债券的注册申请。
Equity incentive & share buyback/cancellation股权激励与股份回购/注销
10 · 2024-01-10 → 2026-01-21
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Management of restricted A-share incentive plans, including unlocking, repurchase, and cancellation of shares.管理限制性A股激励计划，包括解锁、回购和注销股份。
2024-01-10Board approved the release of restricted A-share stock for the second lock-up period of the first grant and the first lock-up period of the reserved grant under the equity incentive plan, and approved the repurchase and cancellation of some A-share restricted stocks.董事会审议通过A股限制性股票激励计划首次授予部分第二个限售期及预留授予部分第一个限售期解除限售条件成就并解除限售，以及回购注销部分A股限制性股票的议案。
2024-01-2927.7043 million A-share restricted shares from the equity incentive plan will be unlocked and tradable on February 5, 2024, accounting for 0.31% of total share capital.2770.43万股股权激励限售股份将于2024年2月5日解禁上市，占总股本0.31%。
2024-05-22Guotai Junan repurchased and cancelled 880,196 A-share restricted shares under its equity incentive plan, involving 12 grantees, at repurchase prices of 5.87 yuan/share (first grant) and 6.74 yuan/share (reserved grant), completed on May 27.国泰君安回购注销A股限制性股票880,196股，涉及12名激励对象，首次授予部分回购价5.87元/股，预留授予部分6.74元/股，于5月27日完成注销。
2025-02-14Guotai Junan announced the repurchase and cancellation of 782,900 restricted A-shares from 24 incentive recipients due to contract termination or unmet performance targets, at repurchase prices of 5.32 yuan/share (first grant) and 6.19 yuan/share (reserved grant), total funds 4.3369 million yuan.国泰君安公告回购注销24名激励对象持有的78.29万股A股限制性股票，回购价格首次授予部分5.32元/股、预留授予部分6.19元/股，资金总额433.69万元。
2025-02-14Guotai Junan announced that the vesting conditions for its A-share restricted stock incentive plan (first grant third tranche and reserved grant second tranche) were met, covering 456 recipients and approximately 27.8 million shares; shares will not be listed until after the merger with Haitong is completed.国泰君安公告A股限制性股票激励计划首次授予部分第三个限售期和预留授予部分第二个限售期解除限售条件成就，涉及456名激励对象约2780万股，股票将在合并重组完成后再上市。
2025-04-29A-share restricted stock incentive plan: first grant third tranche and reserved grant second tranche unlocking conditions met; approximately 27.8 million shares (0.31% of total) to become tradable on May 8, 2025.A股限制性股票激励计划首次授予部分第三个限售期和预留授予部分第二个限售期解除限售条件成就，约2780万股（占总股本0.31%）将于2025年5月8日上市流通。
2025-05-29Guotai Haitong announced the repurchase and cancellation of 782,900 restricted A-shares (24 employees) at prices of RMB 5.32/share (first grant) and RMB 6.19/share (reserved grant), totaling RMB 4.3369 million, due to contract termination or performance shortfalls, reducing registered capital by RMB 782,900.国泰海通公告回购注销24名激励对象持有的78.29万股限制性股票，首次授予回购价5.32元/股，预留授予回购价6.19元/股，总金额433.69万元，注册资本减少78.29万元。
2025-08-12Guotai Haitong announced repurchase and cancellation of 782,867 A-share restricted shares from 24 incentive recipients at 5.32 yuan/share (initial grant) and 6.19 yuan/share (reserved grant).国泰海通公告回购注销24名激励对象合计78.29万股A股限制性股票，首次授予部分回购价5.32元/股，预留授予部分6.19元/股。
2026-01-20Guotai Haitong's board approved a proposal to repurchase and cancel some A-share restricted shares.国泰海通董事会审议通过回购注销部分A股限制性股票的议案。
2026-01-21Guotai Haitong announced it will repurchase and cancel 81,700 A-share restricted shares for a total of RMB 470,700, due to unmet performance targets and an employee's suspected violation of law.国泰海通公告拟回购注销8.17万股A股限制性股票，资金总额47.07万元，原因为绩效考核未达标及员工涉嫌违法犯罪。
Executive & board changes高管与董事会变动
18 · 2024-01-12 → 2026-05-20
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Changes in chairman, president, vice presidents, board secretary, and directors, including retirements and appointments.董事长、总裁、副总裁、董事会秘书及董事的变更，包括退休和任命。
2024-01-12Legal representative changed from He Qing to Zhu Jian, and the business registration was completed with the Shanghai Market Supervision Bureau.法定代表人由贺青变更为朱健，并在上海市市场监督管理局完成工商变更登记。
2024-01-23Wang Song retired as vice chairman and president due to age; Li Junjie was appointed as the new president and nominated as vice chairman.王松因到龄退休辞任副董事长、总裁；聘任李俊杰为公司总裁，并提名其为副董事长。
2024-02-06Guotai Junan announced that Vice Chairman and President Wang Song resigned due to reaching retirement age, effective immediately.国泰君安公告，副董事长、总裁王松因到退休年龄辞职，即日生效。
2024-02-28Guotai Junan appointed Li Junjie as the new President, succeeding Wang Song, effective after board approval on January 23.国泰君安聘任李俊杰为新总裁，接替王松，董事会于1月23日审议通过。
2024-02-29Guotai Junan board nominated Zhang Manhua as a candidate for non-executive director, subject to shareholder approval.国泰君安董事会提名张满华为第六届董事会非执行董事候选人，待股东大会批准。
2024-05-24Guotai Junan's board secretary and director Yu Jian resigned due to retirement; the board appointed Chen Zhongyi and Han Zhida as vice presidents, and聂小刚 (Nie Xiaogang) concurrently as board secretary.国泰君安董事、董事会秘书喻健因退休辞职；董事会聘任陈忠义、韩志达为公司副总裁，聂小刚兼任董事会秘书。
2024-05-24Guotai Junan's board held the 25th interim meeting on May 24, approving the appointment of vice presidents and other matters.国泰君安第六届董事会第二十五次临时会议于5月24日召开，审议通过聘任副总裁等议案。
2024-06-18Guotai Junan appointed Vice President Chen Zhongyi as the new director of the Research Institute, replacing Huang Yanming who stepped down in March 2024.国泰君安任命副总裁陈忠义兼任研究所所长，接替2024年3月卸任的黄燕铭。
2024-06-24Guotai Junan announced that its sixth board of directors and supervisory board will postpone the election due to ongoing nomination work; the current board and management will continue to perform duties until the election is completed.国泰君安公告第六届董事会、监事会延期换届选举，因董事、监事候选人提名工作尚未结束，现任董事会及高管继续履职。
2024-07-04Nie Xiaogang officially assumed the role of Board Secretary of Guotai Junan after obtaining the Shanghai Stock Exchange training certificate, replacing Chairman Zhu Jian who had been acting.聂小刚取得上交所董事会秘书培训证明后正式履职国泰君安董事会秘书，朱健董事长不再代行。
2024-07-16Han Zhida officially assumed the role of Vice President of Guotai Junan after passing the securities company senior management competency test; he previously served as General Manager of the Strategic Development Department and Director of the Digital Transformation Office.韩志达通过证券公司高级管理人员水平评价测试后正式任职国泰君安副总裁，此前担任战略发展部总经理、数字化转型办公室主任。
2024-08-06Director An Hongjun resigned from the board and the Strategy and ESG Committee due to work reasons.董事安洪军因工作原因辞去董事会及战略与ESG委员会委员职务。
2024-08-20Director Zhang Yipeng retired due to age and resigned from the board and the Risk Control Committee.董事张义澎因到龄退休辞去董事会及风险控制委员会委员职务。
2024-11-13Guotai Junan Futures Co., Ltd. completes industrial and commercial changes: Luo Dongyuan resigns as chairman, Jiang Tao changes from vice chairman/general manager to chairman, Zhang Yeye joins as director and vice general manager, and registered capital increases from RMB 5 billion to RMB 5.5 billion.国泰君安期货有限公司完成工商变更：罗东原卸任董事长，姜涛由副董事长、总经理变更为董事长，新增张烨烨为董事、副总经理，注册资本由50亿元增至55亿元。
2025-07-03Wu Hongwei was elected as employee director of the 7th board of directors, effective July 3, 2025.吴红伟当选公司第七届董事会职工董事，自2025年7月3日起履职。
2025-11-14Vice President Luo Dongyuan resigned due to job transfer, effective upon delivery of the resignation letter to the board.副总裁罗东原因工作调动原因申请辞去公司副总裁职务，辞职自辞职报告送达董事会之日起生效。
2026-04-24Appointed Xu Lan as the new Board Secretary, Joint Company Secretary, and Authorized Representative, replacing Nie Xiaogang who resigned but remains as Executive Director, Vice President, and Chief Risk Officer.聘任徐岚为董事会秘书、联席公司秘书和授权代表，接替因工作安排辞职的聂小刚（聂仍任执行董事、副总裁、首席风险官）。
2026-05-20Guotai Haitong Securities Research Institute's macro chief analyst Liang Zhonghua officially resigned and will join a buy-side institution; the mid-term strategy conference in early June will feature macro research co-chief analyst Wang Hao for the macro outlook.国泰海通证券研究所宏观首席分析师梁中华正式离职，下一站将加盟某买方机构；6月初中期策略会上进行宏观经济展望的已改为宏观研究联席首席分析师汪浩。
REITs (rental housing, energy heating, Lingang Park)REITs（租赁住房、能源供热、临港园区）
12 · 2024-01-12 → 2026-05-18
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Listing, expansion, and ESG reporting of public REITs including rental housing, energy heating, and Lingang innovation park.公募REITs的上市、扩募及ESG报告，包括租赁住房、能源供热和临港创新产业园。
2024-01-12Guotai Junan City Investment Kuan Ting Rental Housing REIT listed on the Shanghai Stock Exchange; it is the first rental housing public REIT in the Yangtze River Delta and the largest issuance in the market, with underlying assets of nearly 3,000 rental housing units.国泰君安城投宽庭保租房REIT在上交所上市，为长三角首单、市场发行规模最大的保租房公募REITs，底层资产近3000套租赁住房。
2024-02-27Guotai Junan City Investment Kuan Ting Rental Housing REIT announced personnel changes: CIO Zhu Xiaoli resigned, replaced by Ye Ming.国泰君安城投宽庭保租房REIT公告人员变更：首席信息官朱晓力辞职，叶明接任。
2024-04-15Guotai Junan Asset Management and Dongjiu Xinyi released the first ESG report in China's standard factory REITs field for the Guotai Junan Dongjiu New Economy REIT. As of end-2023, the average monthly occupancy rate was 99.71%, period-end occupancy rate 96.51%, and rent collection rate 99.8%.国泰君安资管与东久新宜发布全国首份标准厂房REITs领域ESG报告（国泰君安东久新经济REIT）。截至2023年末，基础设施平均月末出租率99.71%，期末出租率96.51%，租金收缴率99.8%。
2024-04-24Guotai Junan Securities, as financial advisor, held a roadshow for the ICBC Hebei Expressway REIT (工银河北高速REIT) at its Shanghai headquarters. The REIT, Hebei's first public REIT and the Beijing-Tianjin-Hebei region's first expressway public REIT, was approved on April 3.国泰君安证券作为财务顾问，在其上海总部举办工银河北高速REIT路演。该REIT于4月3日获批，系河北省首单及京津冀首单高速公路公募REITs。
2024-08-29Guotai Junan Asset Management announced plans to expand the Guotai Junan Lingang Innovation Park REIT via a directional offering to acquire the Kangqiao project in Shanghai's Zhangjiang Science City.国泰君安资管宣布拟对国泰君安临港创新产业园REIT进行定向扩募，购入上海张江科学城康桥项目。
2024-12-25China Securities Regulatory Commission approved the registration of Guotai Junan Jinan Energy Heating REIT, the first heating infrastructure public REIT in China, with Guotai Junan as financial advisor and Guotai Junan Asset Management as fund manager.证监会准予国泰君安济南能源供热REIT注册，为全国首单供热基础设施公募REIT，国泰君安担任财务顾问，国泰君安资管为基金管理人。
2025-01-07Guotai Junan Jinan Energy Heating REIT (508087) saw public offering oversubscribed; public subscription was closed early on Jan 6 with a final ratio of 0.1229%.国泰君安济南能源供热REIT（508087）公众发售提前结束募集，最终配售比例为0.12293446%。
2025-02-11Guotai Junan announced that its Guotai Junan Jinan Energy Heating Closed-end Infrastructure Securities Investment Fund (REIT, code 508087) will list on the Shanghai Stock Exchange on Feb 17, 2025.国泰君安公告，国泰君安济南能源供热封闭式基础设施证券投资基金（REIT，代码508087）将于2025年2月17日在上交所上市。
2025-05-28Guotai Haitong completed the reverse absorption merger between SPV company and project company for the Guotai Junan Jinan Energy Heating REIT, with the surviving entity's registered capital set at RMB 500 million, owned by Shanghai Guotai Junan Securities Asset Management.国泰海通完成国泰君安济南能源供热REIT项目公司与SPV公司的反向吸收合并，存续公司注册资本5亿元，股东变更为上海国泰君安证券资产管理有限公司。
2025-08-28Guotai Junan Lingang Innovation Park REIT announced 388,788,630 additional fund shares listed on Shanghai Stock Exchange from August 29, 2025.国泰君安临港创新产业园REIT公告扩募份额3.89亿份自2025年8月29日起在上交所上市交易。
2026-03-02Guotai Haitong wins a 5 million yuan financial advisory contract for Hubei Cultural Tourism Group's public REITs project.国泰海通中标湖北文化旅游集团公募REITs项目财务顾问合同，金额500万元。
2026-05-18Guotai Haitong won the bid for Shandong High-speed Group's institutional REITs lead institution selection project, with a winning bid amount of 2.50 million yuan.国泰海通中标山东高速集团机构间REITs牵头机构选聘项目，中标金额250.00万元。
Technology & AI product launches科技与AI产品发布
15 · 2024-01-12 → 2026-06-23
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Launch of Junhong APP HarmonyOS version, Junhong Lingxi large model, AI investment advisor, and other fintech innovations.发布君弘APP鸿蒙版、君弘灵犀大模型、AI投顾等金融科技产品。
2024-01-12The 'Securities Industry Next-Generation Distributed Low-Latency Trading Platform' won the 2022 Financial Technology Development Award from the People's Bank of China, using the GoldenDB distributed database.“证券行业下一代分布式低延时交易平台”获中国人民银行2022年度金融科技发展奖，采用GoldenDB分布式数据库。
2024-06-25Guotai Junan and Huawei jointly launched the HarmonyOS version of the Guotai Junan Junhong APP, the first industry one-stop financial service platform based on the HarmonyOS ecosystem, featuring native smart capabilities and distributed features.国泰君安与华为联合发布国泰君安君弘APP鸿蒙版，为首个基于鸿蒙生态的一站式金融服务平台，具备原生智能和分布式特性。
2024-07-05Guotai Junan, together with Caiyue Xingchen and Jieyue Xingchen, signed a tripartite strategic cooperation agreement to develop the most finance-savvy large model; the Junhong Lingxi large model, the first industry-level securities vertical model with hundreds of billions of parameters, has been launched.国泰君安与财跃星辰、阶跃星辰签署三方战略合作协议，打造最懂金融的大模型；君弘灵犀大模型已上线，为业内首个千亿级参数多模态证券垂直类大模型。
2025-02-18Guotai Junan upgraded its 'Credit AI Assistant' by deeply integrating the DeepSeek-R1 model, forming an intelligent solution covering the full chain of credit business, a vertical application of DS model in margin trading.国泰君安升级优化“信用AI助手”，深度整合DeepSeek-R1模型能力，形成覆盖信用业务全链条的智能解决方案，开创两融业务DS模型赋能的垂类实践。
2025-05-20Guotai Haitong registered a new software copyright for 'Junhong Lingxi Intelligent Investment Advisor Q&A System 2.0.0'.国泰海通新注册《君弘灵犀智能投顾问答系统2.0.0》项目软件著作权。
2025-05-24Guotai Haitong registered a new software copyright for 'Guotai Junan AI Investment Advisor Super Assistant System 1.0.0'.国泰海通新注册《国泰君安AI投顾超级助手系统1.0.0》项目软件著作权。
2025-07-24Guotai Haitong launched the securities industry's first full-AI intelligent APP 'Guotai Haitong Lingxi' (灵犀), featuring dialogue, live streaming, and monitoring interfaces driven by the Junhong Lingxi vertical model.国泰海通发布证券行业首个新一代全AI智能APP“国泰海通灵犀”，以AI为中枢，打造对话、直播、盯盘三大智能界面。
2025-09-09Guotai Haitong registered a new software copyright for 'Guotai Haitong Securities IT Innovation Full Business Centralized Clearing Platform 1.0'.国泰海通新注册了《国泰海通证券信创全业务集中清算平台1.0》项目的软件著作权。
2025-10-17Guotai Haitong registers two new software copyrights: Guotai Haitong Operation Center Software V1.0 and Guotai Haitong Cloud Desktop Self-Service Software V1.0.国泰海通新注册《国泰海通作业中心软件V1.0》和《国泰海通云桌面自服务软件V1.0》两项软件著作权。
2026-01-06Lingzhi Software (688588.SH) won a bid for Guotai Haitong Securities' 2025 wealth management mid-platform system development project, with a winning bid amount of RMB 1.77 million.凌志软件（688588.SH）中标国泰海通证券2025年理财中台系统开发项目，中标金额177万元。
2026-02-26Guotai Haitong Securities completed a dedicated line procurement project for 2025 Shanghai broadband dedicated line.国泰海通证券完成2025年上海宽通专线线路采购项目。
2026-02-26Guotai Haitong Securities completed a procurement project for migrating old E2 servers to the cloud (accessories).国泰海通证券完成2026年E2老旧服务器迁移上云配件采购项目。
2026-05-22Guotai Haitong's 2026 AI computing power resource pool procurement project was won by Beijing Zhongyiantu Technology Co., Ltd., with a winning bid amount of 44.70 million yuan.国泰海通2026年AI算力资源池采购项目由北京中亦安图科技股份有限公司中标，中标金额4470.00万元。
2026-06-17Hundsun Technologies won a RMB 1.2 million procurement bid for the 2026 OTC options business system customization project.恒生电子中标国泰海通2026年场外期权业务系统定制化开发采购项目，金额120万元。
2026-06-23Hundsun Technologies won a RMB 1.25 million procurement bid for the 2026 family trust management system project.恒生电子中标国泰海通2026年家族信托管理系统采购项目，金额125万元。
Regulatory penalties & disciplinary actions监管处罚与纪律处分
12 · 2024-01-16 → 2026-06-22
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Fines, warning letters, and disciplinary actions from CSRC and exchanges for compliance failures in sponsorship, bond trusteeship, and employee conduct.因保荐、债券受托管理及员工行为合规问题受到的证监会及交易所罚款、警示函和纪律处分。
2024-01-16Received a warning letter from the CSRC for failing to strictly follow professional conduct as bond trustee for Tahoe Group, including not convening bondholder meetings in time and not paying necessary attention to undisclosed material debt defaults and litigation.因作为泰禾集团公司债券受托管理人期间未严格遵守执业行为准则，未及时召集持有人会议、未对未披露重大债务逾期及诉讼事项保持必要关注，被证监会出具警示函。
2024-01-24Received a warning letter from Anhui Securities Regulatory Bureau for inadequate due diligence in sponsoring the IPO of Chuzhou Duoli Automotive Technology, including insufficient verification of fund flows of directors, supervisors, and senior management.因在保荐滁州多利汽车科技股份有限公司IPO过程中未勤勉尽责，对董监高资金流水穿透核查不充分，被安徽证监局出具警示函。
2024-02-18A former general manager of a Guotai Junan sales office was fined RMB 530,000 by the Guangxi CSRC for leaking non-public information of 17 private equity funds and trading stocks in others' names.国泰君安一营业部原总经理因泄露17只私募基金未公开信息并借他人名义买卖股票，被广西证监局罚款53万元。
2024-03-16Guotai Junan Securities' Jinan Shengli Street sales department receives a warning letter from Shandong Securities Regulatory Bureau for failing to properly manage employee conduct in margin trading business.国泰君安证券济南胜利大街证券营业部因融资融券业务适当性管理内控制度落实不到位被山东证监局出具警示函。
2024-04-22Guotai Junan Securities received 3 regulatory fines in Q1 2024. In January, Anhui CSRC issued a warning letter for insufficient due diligence in the IPO sponsorship of Chuzhou Duoli Auto Technology (多利科技), including inadequate fund flow verification for directors and executives.国泰君安证券2024年第一季度收到3张监管罚单。1月安徽证监局因在保荐滁州多利汽车科技IPO过程中未勤勉尽责（资金流水核查不充分）出具警示函。
2025-05-23Shenzhen Stock Exchange issued a disciplinary decision against Guotai Haitong and its sponsors Jia Chao and Chen Jinke for failing to adequately focus on material internal control deficiencies, unreliable financial information, and inaccurate verification opinions in the IPO of Zhongding Hengsheng (a gas equipment company). Guotai Haitong received a notice of criticism; the two sponsors were banned from signing issuance documents for six months.深交所对国泰海通及保荐人贾超、陈金科给予纪律处分，因在中鼎恒盛IPO项目中未充分关注重大内控缺陷、财务信息可靠性及核查意见不准确。国泰海通被通报批评，两名保代被禁签六个月。
2025-07-29Nanjing Intermediate Court ruled that Guotai Haitong (as former sponsor) bears 50% joint liability in Kangni Mechatronic securities misrepresentation case, with compensation of approximately 33.09 million yuan.南京中院一审判决国泰海通（原国泰君安）在康尼机电证券虚假陈述案中承担50%连带责任，赔偿约3309.31万元。
2025-12-18Shenzhen Stock Exchange issued a regulatory letter to Guotai Haitong for inadequate verification of revenue recognition in the Energy Saving Tihang M&A project; two sponsors were criticized.深交所对国泰海通出具监管函，因其在节能铁汉并购项目中收入确认核查不到位；两名主办人被通报批评。
2025-12-26Heilongjiang CSRC issued a warning letter to Guotai Haitong's Heilongjiang branch for employee misconduct including unauthorized securities trading and client account operations.黑龙江证监局对国泰海通黑龙江分公司出具警示函，因其存在员工违规买卖证券、违规操作客户账户等问题。
2026-03-20Shanghai CSRC issues a warning letter to Guotai Haitong for non-compliant continuous supervision work on Hainan Puli Pharmaceutical's two financing projects.上海证监局对国泰海通在海南普利制药两个融资项目持续督导中的不规范行为出具警示函。
2026-04-23Received a warning letter from Shanghai CSRC for two violations: (1) inadequate compliance in OTC options business; (2) individual employees assisting non-professional institutional investors in OTC options trading.因场外期权业务合规管理不到位、个别从业人员协助非专业机构投资者开展场外期权交易，被上海证监局出具警示函。
2026-06-22Jiangxi Securities Regulatory Bureau issued a warning letter to the Pingxiang Chuping East Road No.1 securities business department for failing to effectively regulate employee conduct.江西证监局对国泰海通萍乡楚萍东路第一证券营业部出具警示函，因未有效规范从业人员执业行为。
Private equity fund investments & joint ventures私募股权基金投资与合资企业
20 · 2024-01-24 → 2026-04-14
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Establishing and investing in private equity funds, industry funds, and venture capital partnerships.设立和投资私募股权基金、产业基金和创投合伙企业。
2024-01-24Shanghai Bailian Guotai Junan No.1 Private Equity Fund Partnership (limited partnership) was established with a registered capital of 450 million yuan, co-invested by Bailian Group and Guotai Junan Innovation Investment.上海百联国泰君安一号私募基金合伙企业（有限合伙）成立，注册资本4.5亿元，由百联股份、国泰君安创新投资等共同持股。
2024-07-05Guotai Junan's wholly-owned subsidiary Zhengyu Investment plans to invest up to 1 billion yuan in Shanghai's three leading industry mother funds: up to 500 million yuan in the IC fund, 250 million yuan in the biopharma fund, and 250 million yuan in the AI fund.国泰君安全资子公司证裕投资拟出资不超过10亿元参与上海三大先导产业母基金：集成电路母基金不超过5亿元、生物医药母基金不超过2.5亿元、人工智能母基金不超过2.5亿元。
2024-09-30Guotai Junan's subsidiary Baijun Commercial Brand Investment plans to invest 600 million yuan (30% stake) in the Shanghai Baijun Guotai Junan Industry Innovation Leading Fund, focusing on consumer sectors.国泰君安控股子公司百联商业品牌拟出资6亿元（持股30%）参与设立上海百联国泰君安产业创新引领基金，聚焦消费领域。
2024-12-23Shanghai Bailian Guotai Junan Chuangling Private Equity Fund Partnership (with 2 billion yuan capital) was established, jointly held by Beijing International Trust and Guotai Junan Innovation Investment.上海百联国泰君安创领私募基金合伙企业（出资额20亿元）成立，由北京国际信托与国泰君安创新投资等共同持股。
2024-12-26Zhonghong Medical announced it would invest 15 million yuan in Xiamen Guomao Guotai Junan Innovation M&A Equity Investment Fund Partnership (total 300 million yuan), holding a 5% stake, constituting a related-party transaction.中红医疗拟以1500万元认购厦门国贸国泰君安创新并购股权投资基金合伙企业（总认缴3亿元）5%出资份额，构成关联交易。
2025-01-09Guotai Junan Innovation Investment Co., Ltd. co-founded Shanghai Junhua Fuchuang Electronic Materials Industry Development Private Equity Fund (4.2 billion yuan).国泰君安创新投资等共同设立上海君华孚创电子材料产业发展私募投资基金，出资额4.2亿元。
2025-01-25Guotai Junan Innovation Investment Co., Ltd. co-founded Xiamen Guomao Guotai Junan Innovation M&A Equity Investment Fund (300 million yuan), focusing on emerging tech, biopharma, green development, and consumer sectors.国泰君安创新投资等共同设立厦门国贸国泰君安创新并购股权投资基金（3亿元），聚焦新兴科技、生物医药等赛道。
2025-02-05Guotai Junan, via its wholly-owned subsidiary Guotai Junan Innovation Investment, jointly established Xiamen Guomao Guotai Junan Innovation M&A Equity Investment Fund Partnership (limited partnership) with Zhonghong Medical and others, with a capital contribution of 300 million yuan.国泰君安通过全资子公司国泰君安创新投资有限公司与中红医疗等共同出资设立厦门国贸国泰君安创新并购股权投资基金合伙企业（有限合伙），出资额3亿元。
2025-03-18Guotai Junan's subsidiary, Shanghai Pudong Leading Area Guotai Junan Kechuang No.1 Private Fund, invested in Zhiji Auto, increasing its registered capital from RMB 13.77 billion to RMB 14.01 billion.国泰君安旗下上海浦东引领区国泰君安科创一号私募基金合伙企业入股智己汽车，注册资本由约137.7亿元增至约140.1亿元。
2025-07-31Guotai Haitong, via its subsidiary Guotai Junan Zhengyu Investment, co-founded Shanghai Guotai Haitong Zhichuang Private Investment Fund Partnership.国泰海通通过全资子公司国泰君安证裕投资有限公司等共同出资设立上海国泰海通智创私募投资基金合伙企业。
2025-11-04Guotai Haitong's subsidiary Guotai Junan Innovation Investment Co., Ltd. acted as GP and fund manager for the 'Shanghai Lingang Guotai Haitong Qihang Venture Capital Partnership (Limited Partnership)', which completed filing with AMAC, with a total size of 400 million yuan, a 10-year investment period and a 5-year exit period.国泰海通旗下国泰君安创新投资公司担任GP和基金管理人的“上海临港国泰海通启航创业投资合伙企业（有限合伙）”完成中国证券投资基金业协会备案，总规模4亿元人民币，投资期10年、退出期5年。
2025-11-05Guotai Haitong Zhongji Xuchuang Technology Equity Investment Fund (Kunshan) Partnership (Limited Partnership) was established with a registered capital of 1.5 billion yuan, with partners including Guotai Junan Innovation Investment, Zhongji Innolight, China Pacific Insurance, and Taisheng Optical.国泰海通中际旭创科技股权投资基金（昆山）合伙企业（有限合伙）成立，注册资本15亿元，合伙人包括国泰君安创新投资、中际旭创、中国太保、太辰光等。
2025-11-21Anhui Gaotou Guotai Haitong Health M&A Equity Investment Fund Partnership (Limited Partnership) was established with a capital of 500 million yuan, involving Junshi Biosciences, Anhui SME Development Phase II Fund, and Guotai Junan Innovation Investment.安徽高投国泰海通健康并购股权投资基金合伙企业（有限合伙）成立，出资额5亿元，合伙人包括君实生物、安徽省中小企业发展二期基金、国泰君安创新投资等。
2025-11-28Zhongji Innolight announced that the Guotai Haitong Zhongji Xuchuang Technology Equity Investment Fund (Kunshan) Partnership has completed filing with AMAC (filing number SBKE21); Zhongji Innolight contributed 354 million yuan as a limited partner.中际旭创公告，国泰海通中际旭创科技股权投资基金（昆山）合伙企业已完成基金业协会备案（备案号SBKE21）；中际旭创作为有限合伙人出资3.54亿元。
2025-12-15Guotai Haitong's wholly-owned subsidiary, Guotai Junan Zhengyu Investment, jointly established a 1.09 billion yuan equity investment partnership with SAIC Motor's subsidiary.国泰海通全资子公司国泰君安证裕投资与上汽集团子公司等共同出资设立10.9亿元股权投资合伙企业。
2025-12-16The 'Jiangcheng Guotai Haitong Shengong (Wuhan) Venture Capital Fund Partnership' was formally established with a total size of 200 million yuan, with Shenggong Co. contributing 60 million yuan (30%).“江城国泰海通神工（武汉）创业投资基金合伙企业”正式成立，总规模2亿元，神工股份出资6000万元（占比30%）。
2026-03-17Guotai Haitong Jigang Smart Manufacturing (Jinan) Industrial Investment Partnership (5 billion yuan) is established, with Guotai Haitong's Haitong Kaiyuan Investment and Jigang Group as shareholders.国泰海通济钢智造（济南）产业投资合伙企业（出资额5亿元）成立，由海通开元投资与济钢集团等共同持股。
2026-03-27Guotai Haitong Gongrong Green Zhanxin (Yancheng) Venture Capital Partnership (1 billion yuan) is established, with ICBC Financial Asset Investment and Guotai Junan Innovation Investment as shareholders.国泰海通工融绿色战新（盐城）创业投资合伙企业（出资额10亿元）成立，由工银金融资产投资、国泰君安创新投资等共同持股。
2026-04-13Established Jiangsu Guotai Haitong Ruipu M&A Industry Fund Partnership (limited partnership) with a capital contribution of RMB 1 billion, jointly funded by Ruipu Biology and Haithong Kaiyuan Investment.成立江苏国泰海通瑞普并购产业基金合伙企业（有限合伙），出资额10亿元，由瑞普生物、海通开元投资等共同出资。
2026-04-14Guotai Junan Innovation Investment (subsidiary) signed with ICBC Investment (AIC platform), Huanghai Jinkong Group, and Yancheng Strategic Emerging Industry Special Fund to establish the first AIC-cooperated fund: Guotai Haitong Gongrong Green Strategic Emerging (Yancheng) Venture Capital Partnership.国泰君安创新投与工银投资、黄海金控集团、盐城战新专项母基金等共同签约设立国泰海通首支与AIC合作的基金——国泰海通工融绿色战新（盐城）创业投资合伙企业。
Bond redemptions & interest payments债券兑付与付息
5 · 2024-02-06 → 2024-05-20
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Redemption of short-term financing notes and interest payments on corporate and perpetual bonds.短期融资券兑付及公司债、永续债付息。
2024-02-06Guotai Junan redeemed the 2023 4th tranche short-term financing note of RMB 4 billion, with principal and interest totaling RMB 4.07 billion.国泰君安兑付了2023年度第四期短期融资券，发行额40亿元，本息合计40.70亿元。
2024-04-02Guotai Junan Securities announced the maturity and delisting of its 2021 corporate bond (ticker 175987, '21 Guojun G1') on April 15, 2024. The 3-year fixed-rate bond with a coupon of 3.46% will pay final interest and principal.国泰君安证券公告，2021年公司债券（21国君G1，代码175987）将于2024年4月15日到期摘牌，支付最后一个年度利息及本金。该债券为3年期固定利率，票面利率3.46%。
2024-05-14Guotai Junan paid interest on its perpetual subordinated bonds '22 Jun Y1' and '23 Jun Y1', with mandatory interest payment events triggered.国泰君安对永续次级债券“22国君Y1”、“23国君Y1”进行付息，触发强制付息事件。
2024-05-14Guotai Junan paid interest on corporate bonds '21 Jun G4' at a coupon rate of 3.67%, distributing 36.70 yuan per 1,000 yuan face value.国泰君安对“21国君G4”公司债券付息，票面利率3.67%，每手（面值1000元）派发利息36.70元。
2024-05-20Guotai Junan paid interest on corporate bonds '22 Jun G5' (2.78%) and '22 Jun G6' (3.58%), distributing 27.80 yuan and 35.80 yuan per 1,000 yuan face value respectively.国泰君安对“22国君G5”（2.78%）和“22国君G6”（3.58%）公司债券付息，每手分别派发27.80元和35.80元。
Offshore bond & note issuance (MTN program)境外债券与票据发行（MTN计划）
8 · 2024-02-08 → 2026-03-05
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Issuance of USD and HKD-denominated senior bonds, medium-term notes, and exchangeable bonds by overseas subsidiaries.境外子公司发行美元和港币计价的高级债券、中期票据和可交换债券。
2024-02-08Guotai Junan provided an irrevocable guarantee of RMB 557 million for its overseas subsidiary GUOTAI JUNAN HOLDINGS LIMITED under the medium-term note program.国泰君安为境外子公司GUOTAI JUNAN HOLDINGS LIMITED提供5.57亿元不可撤销担保，涉及中期票据计划。
2024-06-18Guotai Junan plans to issue a 3-year USD-denominated senior bond under its existing medium-term note program via its offshore subsidiary Guotai Junan Holdings Limited.国泰君安拟通过境外子公司国泰君安控股有限公司发行3年期美元计价高级债券。
2024-06-28Guotai Junan's offshore subsidiary Guotai Junan Holdings Limited issued a 4 billion USD medium-term note under its 3 billion USD MTN program, with an unconditional and irrevocable guarantee from Guotai Junan; post-issuance guarantee balance is 1.954 billion USD.国泰君安境外子公司国泰君安控股有限公司在30亿美元中期票据计划下发行4亿美元中期票据，由国泰君安提供无条件不可撤销担保，发行后担保余额为19.54亿美元。
2025-06-25Guotai Haitong's wholly-owned subsidiary GUOTAI JUNAN HOLDINGS LIMITED issued USD 120 million in medium-term notes under its USD 3 billion MTN program, with an unconditional and irrevocable guarantee from Guotai Haitong.国泰海通全资附属公司GUOTAI JUNAN HOLDINGS LIMITED在30亿美元中期票据计划下发行1.2亿美元票据，由国泰海通提供无条件不可撤销担保。
2025-08-18Guotai Haitong's offshore subsidiary GUOTAI JUNAN HOLDINGS LIMITED issued 2.3 billion yuan medium-term notes under its MTN program, with a 2.453 billion yuan guarantee from the parent.国泰海通境外子公司GUOTAI JUNAN HOLDINGS LIMITED在中票计划下发行23亿元中期票据，母公司提供24.53亿元担保。
2025-11-10Guotai Haitong's Hong Kong subsidiary Guotai Junan Financial Holdings successfully priced and closed a 7-year, 3.88 billion HKD (approx. 500 million USD) zero-coupon exchangeable bond, rated BBB+ by S&P, with underlying shares of Guotai Junan International (01788.HK), setting records for the highest issuance price (103.5%) and largest negative yield (-0.49%) among offshore public zero-coupon HKD exchangeable bonds in nearly 20 years.国泰海通香港子公司国泰君安金融控股成功定价发行7年期38.8亿港元（约5亿美元）零息可交换债券，标普评级BBB+，标的股票为国泰君安国际（01788.HK），刷新近20年来中资境外公募零票息港元可交换债最高发行价格（103.5%）和最大年化负收益率（-0.49%）两项纪录。
2025-12-11Guotai Haitong's offshore subsidiary issued a 500 million yuan bond, guaranteed by Guotai Haitong Financial Holdings, with a total guarantee amount of 513 million yuan.国泰海通境外子公司发行5亿元债券，由国泰海通金融控股提供担保，担保金额5.13亿元。
2026-03-05Bank of Communications International's subsidiary acquires 8 million USD of Guotai Junan International notes (issued by Guotai Junan International Holdings, stock code 1788).交银国际全资附属公司收购800万美元国泰君安国际控股有限公司（股份代号1788）发行的票据。
ETF market making & liquidity provisionETF做市与流动性服务
30 · 2024-02-20 → 2026-05-27
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Being appointed as primary market maker or liquidity provider for various ETFs on the Shanghai and Shenzhen stock exchanges.被指定为沪深交易所多只ETF的主做市商或流动性服务商。
2024-02-20Guotai Junan was added as a primary dealer (subscription/redemption agent) for the Puyin Anzhong CSI Shanghai-Hong Kong-Shenzhen Consumer Leading ETF (code: 517760).国泰君安被增选为浦银安盛中证沪港深消费龙头ETF（代码：517760）的一级交易商（申购赎回代理券商）。
2024-02-26Guotai Junan was designated as the primary liquidity provider for the Yin Hua CSI 1000 Enhanced Strategy ETF (code: 159677).国泰君安被指定为银华中证1000增强策略ETF（代码：159677）的主流动性服务商。
2024-02-29Guotai Junan was added as a subscription agent for the Harvest CSI A50 ETF, handling cash and stock subscriptions.国泰君安被增为嘉实中证A50ETF的销售机构，办理网下现金和股票认购业务。
2024-05-31Guotai Junan was added as a subscription/redemption agent for Fullgoal ChiNext ETF (159971) under a new fund sales agreement with Fullgoal Fund Management.国泰君安新增为富国创业板ETF（159971）的申购赎回代办券商。
2024-06-24Guotai Junan was approved by the Shanghai Stock Exchange to act as the main market maker for the Haitong CSI Auto Parts Thematic ETF (code: 562260), effective from June 24, 2024.上海证券交易所同意国泰君安自2024年6月24日起为海富通中证汽车零部件主题ETF（代码：562260）提供主做市服务。
2024-07-23Guotai Junan was designated as the main market maker for CSCI Mingyang Intelligent Energy New Energy Closed-end Infrastructure Securities Investment Fund (Mingyang REIT, code: 508015) on the Shanghai Stock Exchange.国泰君安被上交所指定为中信建投明阳智能新能源REIT（508015）的主做市商。
2024-08-08Added as a liquidity service provider for the Wanjia CSI Semiconductor Materials and Equipment Theme ETF (159327).新增为万家中证半导体材料设备主题ETF（159327）的流动性服务商。
2024-08-13Approved as the main market maker for the Peng Hua SSE STAR Market New Energy ETF (588830).获准为鹏华上证科创板新能源ETF（588830）提供主做市服务。
2024-10-22The Shanghai Stock Exchange agreed to appoint Guotai Junan as the main market maker for the Morgan China A500 ETF (560530) starting October 22, 2024.上海证券交易所同意国泰君安自2024年10月22日起为摩根中证A500交易型开放式指数证券投资基金（A500ETF，基金代码560530）提供主做市服务。
2025-01-06SSE agreed Guotai Junan to act as a market maker for the Southern CSI A100 ETF (560380).上交所同意国泰君安为南方中证A100 ETF（560380）提供做市服务。
2025-02-12Shanghai Stock Exchange agreed Guotai Junan to act as the primary market maker for CICC CSI A500 ETF (code 512080) starting Feb 12, 2025.上交所同意国泰君安自2025年2月12日起为中金中证A500交易型开放式指数证券投资基金（代码512080）提供主做市服务。
2025-07-14Guotai Haitong was approved as the main market maker for two ETFs: Guolian An CSI Semiconductor ETF and Guolian An SSE STAR Chip Design ETF.上交所同意国泰海通为国联安中证全指半导体ETF和国联安上证科创板芯片设计ETF提供主做市服务。
2025-07-17Guotai Haitong was approved as the main market maker for the China Merchants CSI AAA Sci-Tech Innovation Corporate Bond ETF.上交所同意国泰海通为招商中证AAA科技创新公司债ETF提供主做市服务。
2025-10-09Guotai Haitong Securities begins acting as the primary market maker for the E Fund CSI Consumer Electronics Thematic ETF (code: 562950) on the Shanghai Stock Exchange.国泰海通证券自2025年10月9日起为易方达中证消费电子主题ETF（代码：562950）提供主做市服务。
2025-10-22Guotai Haitong Securities begins acting as the primary market maker for the Haitong CSI HK Tech ETF (code: 513860) on the Shanghai Stock Exchange.国泰海通证券自2025年10月22日起为海富通中证港股通科技ETF（代码：513860）提供主做市服务。
2025-11-11Guotai Haitong was designated as the primary market maker for the 'Industrial Bank CSI Fintech Theme ETF' (563570) on the Shanghai Stock Exchange, effective from November 11, 2025.国泰海通自2025年11月11日起为“兴业中证金融科技主题ETF”（563570）提供主做市服务。
2025-12-09Guotai Haitong was appointed as the liquidity provider for the E Fund CSI Semiconductor Materials & Equipment ETF (159558) and E Fund CSI Value 100 ETF (159263).国泰海通被易方达基金新增为易方达中证半导体材料设备ETF（159558）和易方达国证价值100ETF（159263）的流动性服务商。
2026-01-06Guotai Haitong Securities was designated as the primary market maker for Tianhong CSI Agricultural Theme ETF (512620) starting January 6, 2026.国泰海通证券自2026年1月6日起为天弘中证农业主题ETF（512620）提供主做市服务。
2026-01-15Guotai Haitong Securities was designated as the primary market maker for China Universal CSI All-Share Medical Devices ETF (562600) starting January 16, 2026.国泰海通证券自2026年1月16日起为华夏中证全指医疗器械ETF（562600）提供主做市服务。
2026-01-20Guotai Haitong Securities was designated as the primary market maker for the CSI 800 Free Cash Flow ETF (563680) starting January 21, 2026.国泰海通证券自2026年1月21日起为汇添富中证800自由现金流ETF（563680）提供主做市服务。
2026-01-22Guotai Haitong Securities was designated as the primary market maker for the Jia Shi SSE STAR Market Chip ETF (588200) starting January 23, 2026.国泰海通证券自2026年1月23日起为嘉实上证科创板芯片ETF（588200）提供主做市服务。
2026-01-26Guotai Haitong Securities was designated as the primary market maker for the Wanjia CSI 800 Free Cash Flow ETF (563580) starting January 27, 2026.国泰海通证券自2026年1月27日起为万家中证800自由现金流ETF（563580）提供主做市服务。
2026-01-28Guotai Haitong Securities was designated as the primary market maker for the Guotai CES Semiconductor Chip Industry ETF (512760) starting January 29, 2026.国泰海通证券自2026年1月29日起为国泰CES半导体芯片行业ETF（512760）提供主做市服务。
2026-03-02Guotai Haitong Securities becomes the main market maker for Huaan CSI Nonferrous Metals Mining ETF (512940) starting March 3, 2026.国泰海通证券自2026年3月3日起为华安中证有色金属矿业主题ETF（512940）提供主做市服务。
2026-03-04Guotai Haitong becomes the main market maker for Morgan Stanley Huaxin Hang Seng Biotech ETF (520760) starting March 5, 2026.国泰海通自2026年3月5日起为摩根恒生生物科技ETF（520760）提供主做市服务。
2026-03-10Guotai Haitong becomes the main market maker for Boshi CSI Fintech Theme ETF (516860) starting March 11, 2026.国泰海通自2026年3月11日起为博时中证金融科技主题ETF（516860）提供主做市服务。
2026-03-16Guotai Haitong becomes the main market maker for Southern CSI All-Share Dividend Quality ETF (515460) starting March 17, 2026.国泰海通自2026年3月17日起为南方中证全指红利质量ETF（515460）提供主做市服务。
2026-03-25Guotai Haitong becomes the main market maker for Huatai-PineBridge Hang Seng Biotech ETF (513930) starting March 26, 2026.国泰海通自2026年3月26日起为华泰柏瑞恒生生物科技ETF（513930）提供主做市服务。
2026-05-25Guotai Haitong began providing main market-making services for the E Fund Guangxi Beitou Expressway Closed-end Infrastructure Securities Investment Fund (code: 508093) from May 26, 2026.国泰海通自2026年5月26日起为易方达广西北投高速公路封闭式基础设施证券投资基金（基金代码：508093）提供主做市服务。
2026-05-27Guotai Haitong began providing main market-making services for the Hua Bao Shanghai Stock Exchange Science and Technology Innovation Board Comprehensive Enhancement Strategy Trading Open-ended Index Securities Investment Fund (code: 589280) from May 28, 2026.国泰海通自2026年5月28日起为华宝上证科创板综合增强策略交易型开放式指数证券投资基金（基金代码：589280）提供主做市服务。
IPO sponsorship & underwriting (equity capital markets)IPO保荐与承销（股权资本市场）
57 · 2024-03-01 → 2026-06-22
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Sponsoring and underwriting IPOs on STAR, ChiNext, main board, Beijing Stock Exchange, and Hong Kong Stock Exchange.在科创板、创业板、主板、北交所和港交所保荐和承销IPO。
2024-03-01Guotai Junan Securities acts as the sponsor for Oufu Electric's IPO filing on the Beijing Stock Exchange.国泰君安证券担任欧伏电气北交所上市辅导备案的辅导券商。
2024-03-01Guotai Junan Securities acts as the underwriter for Saivewei's IPO on the STAR Market; the stock opened below its issue price.国泰君安证券担任赛微微电科创板上市的保荐机构（主承销商）；该股上市首日开盘破发。
2024-03-06Guotai Junan Securities' IPO client Zhongding Hengsheng withdraws its ChiNext IPO application after being selected for on-site inspection.国泰君安证券保荐的IPO客户中鼎恒盛在被抽中现场检查后撤回创业板上市申请。
2024-03-13Guotai Junan Securities acts as the lead sponsor for Dingmei New Material Technology's application for listing on the National Equities Exchange and Quotations (NEEQ).国泰君安证券担任鼎镁新材料科技股份有限公司在全国股转系统挂牌并公开转让的主办券商。
2024-03-18Guotai Junan Securities acts as the sponsor for Chicheng Biotech's IPO filing on the Beijing Stock Exchange.国泰君安证券担任赤诚生物北交所上市辅导备案的辅导券商。
2024-03-18Guotai Junan Securities replaces the sponsor representative for Huasheng Technology's IPO due to the resignation of Jiang Huifen.国泰君安证券因姜慧芬离职，更换华生科技首次公开发行股票持续督导的保荐代表人为刘爱锋。
2024-04-02Guotai Junan Securities, as sponsor, withdrew the IPO application of Shanghai Jie Hydrogen Technology Co., Ltd. (捷氢科技) on the STAR Market; the Shanghai Stock Exchange terminated the review. The planned fundraising was 1.060189 billion yuan for fuel cell production and R&D projects.国泰君安证券作为保荐人，撤回上海捷氢科技股份有限公司科创板IPO申请；上交所终止审核。原拟募资10.60189亿元，用于燃料电池生产及研发项目。
2024-04-15Guotai Junan Securities signed a stock listing advisory agreement with Mage Home Furnishing Co., Ltd. (玛格家居) for its IPO on the Beijing Stock Exchange, and filed辅导备案 materials with the Chongqing CSRC bureau.国泰君安证券与玛格家居股份有限公司签署股票发行上市辅导协议，并向重庆证监局提交了北交所上市辅导备案材料。
2024-05-21Guotai Junan acted as sponsor for Zhejiang Dongfang Kemai Electronics (东方科脉), whose IPO application on the main board of the Shanghai Stock Exchange was withdrawn and terminated.国泰君安保荐的浙江东方科脉电子股份有限公司主板IPO申请撤回，上交所终止审核。
2024-06-24The IPO of Ningbo Changya New Material Technology Co., Ltd. (Changya Shares) on the Shenzhen Stock Exchange main board was terminated; Guotai Junan acted as the sponsor.宁波昌亚新材料科技股份有限公司（昌亚股份）深交所主板IPO终止，保荐机构为国泰君安。
2024-06-24The IPO of Jiangsu Jingchuang Electric Co., Ltd. (Jingchuang Electric) on the Beijing Stock Exchange was accepted; Guotai Junan acts as the sponsor.江苏省精创电气股份有限公司（精创电气）北交所IPO获受理，保荐机构为国泰君安。
2024-06-26The IPO of Shanghai Xinnuo Communication Technology Co., Ltd. (Xinnuo Communication) on the STAR Market was terminated; Guotai Junan acted as the sponsor.上海欣诺通信技术股份有限公司（欣诺通信）科创板IPO终止，保荐机构为国泰君安。
2024-06-28The IPO of Wufeng Chicheng Biotechnology Co., Ltd. (Chicheng Bio) on the Beijing Stock Exchange was accepted; Guotai Junan acts as the sponsor.五峰赤诚生物科技股份有限公司（赤诚生物）北交所IPO获受理，保荐机构为国泰君安。
2024-07-10Guotai Junan sponsored the IPO of Jianbang Co., Ltd. (stock code: 603285.SH) on the Shanghai Stock Exchange main board, raising a total of 746 million yuan; the stock opened 111.26% higher on the first day.国泰君安保荐键邦股份（603285.SH）在上交所主板上市，募集资金总额7.46亿元，上市首日高开111.26%。
2024-08-27The IPO of Guangzhou Bank (sponsored by Guotai Junan, target raising 9.479 billion yuan) was suspended by the Shenzhen Stock Exchange.由国泰君安保荐的广州银行IPO（拟融资94.79亿元）被深交所中止审核。
2024-10-31Guotai Junan International acted as joint sponsor and bookrunner for the Hong Kong IPO of Jiangsu Lopal Technology Co., Ltd. (stock code 2465.HK), raising a total of 550 million HKD. Lopal became the first 'A+H' lithium battery materials company in China.国泰君安国际作为联席保荐人及账簿管理人，成功保荐江苏龙蟠科技股份有限公司在香港联交所主板上市（股票代码2465.HK），总集资额5.5亿港元，龙蟠科技成为'中国锂电材料A+H第一股'。
2024-11-28Shanghang Technology (873374) receives a completion letter from the Guangdong CSRC Bureau for its IPO guidance period, with Guotai Junan as the sponsor.尚航科技（873374）收到广东证监局辅导验收工作完成函，辅导机构为国泰君安。
2025-01-08Changguang Chenxin Microelectronics (sponsored by Guotai Junan) withdrew its STAR Market IPO application; the planned fundraising was 1.557 billion yuan.国泰君安保荐的长光辰芯科创板IPO终止，原拟融资15.57亿元。
2025-01-17Guangzhou Bank (sponsored by Guotai Junan) withdrew its Shenzhen Main Board IPO; planned fundraising was 9.479 billion yuan.国泰君安保荐的广州银行深交所IPO终止（撤回），原拟融资94.79亿元。
2025-05-30Guotai Haitong began IPO tutoring for Zhuzhou Times Huaxin New Material Technology Co., Ltd. (Huaxin New Material), a rubber and plastics firm, with a registered capital of RMB 109 million, backed by CRRC Capital, Guochuang Venture, and Dachen Caizhi.国泰海通对株洲时代华鑫新材料技术股份有限公司（华鑫新材）进行IPO辅导备案，该公司注册资本1.09亿元，专注于橡胶和塑料制品，投资者包括中车资本、国投创业、达晨财智等。
2025-06-28Unisoc (Ziguang Zhanrui) started A-share IPO tutoring, with Guotai Haitong as the tutoring institution.紫光展锐启动A股IPO辅导，辅导机构为国泰海通。
2025-06-30Hubei Longchen Technology Co., Ltd. and Zhuhai Ruixiang Intelligent Technology Co., Ltd. had their Beijing Stock Exchange IPO applications accepted, both with Guotai Haitong as sponsor.湖北龙辰科技和珠海锐翔智能的北交所IPO申请获受理，保荐机构均为国泰海通。
2025-07-03Guotai Haitong ranked first in H1 2025 IPO mandates with 26 projects accepted, surpassing CITIC Securities.2025年上半年国泰海通以26单IPO项目受理量位居行业第一，超越中信证券。
2025-11-18Guotai Haitong Securities and Cheweishi Group signed an agreement at the C-round financing launch ceremony, initiating Cheweishi's Hong Kong IPO plan.国泰海通证券与车卫士集团在C轮融资启动仪式上签约，启动车卫士集团港股IPO计划。
2025-11-27Baoji Pharmaceutical passed the Hong Kong Stock Exchange main board listing hearing, with CITIC Securities and Guotai Haitang as joint sponsors.宝济药业通过港交所主板上市聆讯，中信证券和国泰海通担任联席保荐人。
2025-12-17Guotai Haitong acted as joint sponsor for Woan Robot, which passed the Hong Kong Stock Exchange listing hearing.国泰海通担任卧安机器人联席保荐人，该公司通过港交所上市聆讯。
2025-12-20Guotai Haitong withdrew the IPO application for Jieka Robotics on the STAR Market; the company had planned to raise 676 million yuan.国泰海通撤回节卡机器人科创板IPO申请，该公司原拟募资6.76亿元。
2025-12-25Guotai Haitong acted as the sole sponsor for Xinji Pharmaceutical's IPO application to the Hong Kong Stock Exchange.国泰海通担任新济医药独家保荐人，该公司向港交所递交上市申请。
2025-12-25Guotai Haitong acted as the sponsor for Ceyi Technology's ChiNext IPO application, which was accepted by the Shenzhen Stock Exchange.国泰海通担任思仪科技创业板IPO保荐人，深交所已受理其申请。
2025-12-31In 2025, Guotai Haitong ranked first in A-share IPO sponsorship with 17 projects, up 142.86% year-on-year.2025年，国泰海通以17家A股IPO保荐项目数量位列行业第一，同比增长142.86%。
2026-01-07Guotai Haitong Securities became the sponsor for Beijing Tianshenghua Information Technology Co., Ltd.'s IPO filing with the Beijing CSRC bureau.国泰海通证券担任北京天圣华信息技术股份有限公司IPO辅导备案的辅导机构。
2026-01-07Guotai Haitong Securities is the sponsor for Guangdong Zhongtu Semiconductor Technology Co., Ltd.'s IPO application on the Shanghai Stock Exchange, seeking to raise RMB 1.05 billion.国泰海通证券担任广东中图半导体科技股份有限公司上交所IPO申请的保荐机构，计划募集资金10.5亿元。
2026-01-07Guotai Haitong Securities is the sponsor for Haier New Energy Technology Co., Ltd.'s IPO filing.国泰海通证券担任海尔新能源科技股份有限公司IPO辅导备案的辅导机构。
2026-01-12Guotai Haitong is the sole sponsor for Zhenjiang Best New Material Co., Ltd.'s Hong Kong Stock Exchange listing application.国泰海通担任镇江贝斯特新材料股份有限公司港交所上市申请的独家保荐人。
2026-01-26Guotai Haitong is the sole sponsor for Guangdong Weidian New Energy Co., Ltd.'s Hong Kong Stock Exchange listing application.国泰海通担任广东微电新能源股份有限公司港交所上市申请的独家保荐人。
2026-01-30Guotai Haitong Securities became the sponsor for Shenzhen Huake Precision Industry Co., Ltd.'s IPO filing with the Shenzhen CSRC bureau.国泰海通证券担任深圳市华科精密工业股份有限公司IPO辅导备案的辅导机构。
2026-01-31Guotai Haitong submitted IPO filing reports for Chengdu New Radiomedicine Technology Co., Ltd. and Gansu Jinchuan Ruixiang New Material Co., Ltd.国泰海通提交成都纽瑞特医疗科技股份有限公司和甘肃金川瑞翔新材料股份有限公司的IPO辅导备案报告。
2026-02-26Rui Mai Technology Co., Ltd. filed for IPO guidance filing with Jiangsu CSRC on 2026-02-26, with Guotai Haitong Securities as the sponsor.锐迈科技股份有限公司于2026年2月26日向江苏证监局办理辅导备案登记，辅导机构为国泰海通证券。
2026-02-26Hubei Longchen Technology Co., Ltd. (Longchen Technology) IPO passed the review meeting of the Beijing Stock Exchange, with Guotai Haitong Securities as the sponsor.湖北龙辰科技股份有限公司IPO审核状态为‘上市委会议通过’，保荐机构为国泰海通证券。
2026-03-03Guotai Haitong serves as joint sponsor for Glory (Glorious) Technology's IPO application on the Hong Kong Stock Exchange main board.国泰海通担任哥瑞利科技港交所主板上市申请的联席保荐人。
2026-03-04Guotai Haitong files IPO辅导备案 for Dalian Dahe Valve Co., Ltd. with Dalian CSRC.国泰海通为大连大高阀门股份有限公司向大连证监局办理IPO辅导备案。
2026-03-13Guotai Haitong-sponsored IPO of Zhuhai Ruixiang Intelligent Technology (RuiXiang Intelligent) passes the Beijing Stock Exchange listing committee review and submits registration.国泰海通保荐的珠海锐翔智能科技北交所IPO过会并提交注册。
2026-03-13Guotai Haitong-sponsored IPO of Zhenhong Heavy Industry (Jiangsu) (Zhenhong Shares) submits registration to the Beijing Stock Exchange.国泰海通保荐的振宏重工（江苏）股份北交所IPO提交注册。
2026-03-24Guotai Haitong serves as the sole sponsor for Shenzhen ChengTai Technology's IPO application on the Hong Kong Stock Exchange main board.国泰海通担任深圳承泰科技港交所主板上市申请的独家保荐人。
2026-03-26Guotai Haitong and GF Securities serve as joint sponsors for Yuanjie Technology's IPO application on the Hong Kong Stock Exchange main board.国泰海通与广发证券担任源杰科技港交所主板上市申请的联席保荐人。
2026-04-01Acted as joint sponsor for Jingcun Technology's IPO application to the Hong Kong Stock Exchange.担任晶存科技港交所主板上市申请的联席保荐人。
2026-04-09Acted as joint sponsor for Qingtao Energy's IPO filing to the Hong Kong Stock Exchange.担任清陶能源港交所递表上市的联席保荐人。
2026-04-14Acted as joint sponsor for Xizhi Technology's IPO hearing (passed the listing hearing) on the Hong Kong Stock Exchange.担任曦智科技港交所上市聆讯的联席保荐人（已通过聆讯）。
2026-04-16Acted as the辅导机构 (sponsor/tutor) for Leishen Technology (Shenzhen) Co., Ltd. which filed for IPO辅导 registration with the Shenzhen CSRC Bureau.担任镭神技术（深圳）股份有限公司向深圳证监局办理辅导备案登记的辅导机构。
2026-04-25Acted as the sole sponsor for Meikesheng Energy Technology Co., Ltd.'s IPO application to the Hong Kong Stock Exchange.担任美克生能源科技股份有限公司港交所提交上市申请的独家保荐人。
2026-04-29Acted as the sole sponsor for Weikang Probiotics' IPO application to the Hong Kong Stock Exchange.担任微康益生菌港交所提交上市申请的独家保荐人。
2026-04-30Junqi Holdings Co., Ltd. submitted a listing application to the Hong Kong Stock Exchange, with Guotai Haitong as the sole sponsor; the company is the largest medical aesthetics service brand in Taiwan, China by 2025 revenue, accounting for 12.8% of the market share.君绮控股有限公司向港交所提交上市申请，国泰海通为独家保荐人；按2025年收入计，该公司为中国台湾最大的医美服务品牌之一，约占该年度中国台湾美容服务平台行业总市场份额的12.8%。
2026-05-22Lingyi iTech (领益智造) submitted a listing application to the Hong Kong Stock Exchange main board, with Guotai Haitong as the sole sponsor; the company is a leading AI-driven equipment intelligent manufacturing platform.领益智造向港交所主板提交上市申请，国泰海通为独家保荐人；该公司是领先的AI驱动设备智能制造平台。
2026-05-26Beijing Ingenic Semiconductor Co., Ltd. submitted a listing application to the Hong Kong Stock Exchange, with Guotai Haitong as the sole sponsor.北京君正集成电路股份有限公司在港交所提交上市申请，独家保荐人为国泰海通。
2026-05-29Wuxi Cheliantianxia Intelligent Technology Co., Ltd. submitted a listing application to the Hong Kong Stock Exchange, with joint sponsors CICC and Guotai Haitong.无锡车联天下智能科技股份有限公司向港交所提交上市申请，联席保荐人为中金公司、国泰海通。
2026-06-14Acted as sole sponsor for Trunk Technology (Beijing) Co., Ltd. to re-file for IPO on the Hong Kong Stock Exchange.作为独家保荐人，协助主线科技（北京）股份有限公司再次递表港交所主板。
2026-06-22Co-sponsor InnoSilicon (Yingren Technology) submitted a completion report for its IPO coaching to the Shanghai Securities Regulatory Bureau, after a 1.5-year coaching period.联合辅导机构英韧科技向上海证监局报送IPO辅导工作完成报告，辅导周期一年半。
Shareholding & equity transfer (non-merger)持股与股权转让（非合并相关）
7 · 2024-03-01 → 2025-12-22
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Transfer of stakes in subsidiaries, share sales by third parties, and increase in bank holdings.子公司股权转让、第三方股份出售及增持银行股份。
2024-03-01Weiling's controlling shareholder transfers 2.29% of shares to a private fund via Guotai Junan Securities to repay pledged debt.威领股份控股股东通过国泰君安证券以协议转让方式向私募基金转让2.29%股份，以偿还质押债务。
2024-07-31Guotai Junan Zhengyu Investment Co., Ltd. listed its 10% stake in Shenzhen United Property Rights Exchange Co., Ltd. for transfer at a base price of 120 million yuan.国泰君安证裕投资有限公司挂牌转让深圳联合产权交易所股份有限公司10%股份，转让底价1.2亿元。
2024-12-24Bingshan Refrigeration completed the sale of all its shares in Guotai Junan (10.91 million shares, average price ~20.46 yuan/share), contributing approximately 51.38 million yuan to 2024 net profit.冰山冷热完成出售所持国泰君安全部股份（1091万股，均价约20.46元/股），对2024年度净利润贡献约5138万元。
2025-03-03Guotai Junan exercised a put option to sell its entire stake in a platform company to Shengfu for RMB 31 million, reducing its interest from 49% to 0%.国泰君安行使认沽期权，以3100万元向盛甫出售其于平台公司的全部股权，持股比例由49%降至0%。
2025-11-17Guotai Haitong increased its stake in Huishang Bank (03698) by 700,000 shares at an average price of 3.6486 HKD per share, totaling approximately 2.554 million HKD, raising its holding to 14%.国泰海通增持徽商银行（03698）70万股，每股均价3.6486港元，总金额约255.40万港元，持股比例升至14%。
2025-12-09Guotai Haitong announced a free transfer of 931,505 A-shares (0.01% of total shares) from its controller's concert party to another wholly-owned subsidiary; shareholding structure unchanged.国泰海通公告，实际控制人一致行动人将其持有的93.15万股A股（占总股本0.01%）无偿划转至另一全资子公司，持股结构不变。
2025-12-22The free transfer of 931,505 A-shares of Guotai Haitong was completed and registered on December 22, 2025.国泰海通93.15万股A股无偿划转于2025年12月22日完成过户登记。
M&A advisory & financial advisory mandates并购顾问与财务顾问业务
6 · 2024-03-07 → 2026-06-17
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Acting as financial advisor for major M&A, restructuring, and private financing transactions.为重大并购、重组和私募融资交易提供财务顾问服务。
2024-03-07Guotai Junan Securities acts as financial advisor for Zhiji Auto's over 8 billion yuan Series B financing, led by Bank of China and followed by CATL, Momenta, Qingtao Energy.国泰君安证券担任智己汽车超80亿元B轮融资的财务顾问，由中国银行领投，宁德时代、Momenta、清陶能源等跟投。
2024-07-10Guotai Junan served as the independent financial advisor and lead underwriter for Puyuan Jingdian's acquisition of assets via share issuance and capital raising, the first M&A restructuring case approved after the 'Eight Measures for the STAR Market'.国泰君安担任普源精电发行股份购买资产并募集配套资金的独立财务顾问及主承销商，该项目为“科创板八条”后并购重组第一单。
2025-10-28Guotai Haitong acts as independent financial advisor for Xinbang Intelligent's proposed acquisition of Wuxi Injoinic Microelectronics via share issuance and cash payment.国泰海通作为独立财务顾问，为信邦智能拟以发行股份及支付现金方式收购无锡英迪芯微电子股权提供核查意见。
2026-01-05Guotai Haitong acted as independent financial advisor for Zhuhai Mianji Group's (600185.SH) major asset sale, completing the disposal of Gree Real Estate 100% equity for RMB 5.518 billion in cash, exiting the real estate business to focus on duty-free operations.国泰海通担任珠免集团（600185.SH）重大资产出售的独立财务顾问，完成格力房产100%股权以55.18亿元现金对价出售，退出房地产业务聚焦免税主业。
2026-04-24Won a bid for a M&A advisory service project from Guangzhou Building Science Research Institute Group Co., Ltd., with a winning amount of RMB 1.9716 million.中标广州市建筑科学研究院集团有限公司并购业务顾问机构选聘项目，中标金额197.16万元。
2026-06-17Co-led a Series B financing of hundreds of millions of RMB in Anycubic (Shenzhen Zongwei Cubes Technology), a global consumer 3D printing company.联合领投纵维立方（Anycubic）数亿元B轮融资，该公司为全球消费级3D打印企业。
Securities lending & margin business adjustments融券与融资业务调整
4 · 2024-03-14 → 2026-05-29
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System upgrades, interest rate adjustments, and regulatory compliance for securities lending and margin trading.系统升级、利率调整及融券融资业务的监管合规操作。
2024-03-14Guotai Junan Securities completes system upgrades and testing for the new securities lending mechanism, participating in the China Securities Finance Corporation's business pass test on March 16.国泰君安证券完成融券新机制的系统改造及测试工作，参与3月16日中国证券金融股份有限公司主导的业务通关测试。
2024-11-11Guotai Junan Securities adjusts the interest rate on client RMB margin deposits to 0.10% per annum, effective November 11.国泰君安证券自11月11日起将客户人民币保证金利率调整为年化0.10%。
2025-01-26SSE notified member firms on margin trading procedures for Haitong Securities stock during the merger, including early close-out and cash election arrangements.上交所通报国泰君安吸收合并海通证券涉及融资融券业务的相关事宜，包括提前了结和现金选择权安排。
2026-05-29Guotai Haitong stated on the interactive platform that all outstanding securities lending and borrowing contracts were settled before September 30, 2024, in compliance with regulatory requirements, and it will continue to strictly follow regulations.国泰海通在互动平台表示，存续转融券合约已按照监管要求于2024年9月30日前全部了结，后续将继续严格遵照监管规定开展相关业务。
Sponsorship & verification opinions保荐与核查意见
1 · 2024-03-21
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Issuance of verification opinion on Mentech Optical's use of idle raised funds for cash management.就铭普光磁使用闲置募集资金进行现金管理出具核查意见。
2024-03-21Guotai Junan Securities, as the sponsor, issues a verification opinion on Mentech Optical's use of up to 200 million yuan of idle raised funds for cash management.国泰君安证券作为保荐人，对铭普光磁使用不超过2亿元闲置募集资金进行现金管理出具核查意见。
Executive & governance changes高管与治理变动
6 · 2024-03-21 → 2026-06-04
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Appointments, resignations, and governance restructuring including board and compensation system changes.高管任命、离职及董事会、薪酬体系等治理结构调整。
2024-03-21Shanghai Guotai Junan Securities Asset Management appoints Tao Geng as Chief Financial Officer, replacing Ye Ming.上海国泰君安证券资产管理有限公司任命陶耿为财务负责人，叶明离任。
2024-04-20Guotai Junan Securities research institute saw personnel changes: assistant director Liao Jingchi and chief banking analyst Zhang Yu resigned. Earlier in March, research institute director Huang Yanming stepped down and moved to other internal roles.国泰君安证券研究所人事变动：所长助理廖静池、银行业首席分析师张宇离任。此前3月，研究所所长黄燕铭卸任，转任其他内部职务。
2024-08-15Shanghai Guotai Junan Asset Management: Vice Presidents Wu Nan and Zhou Shiyu left their posts due to work adjustments.上海国泰君安证券资产管理有限公司副总裁吴楠、周诗宇因工作调整离任。
2025-05-21Guotai Haitong notified employees that the current compensation model will be maintained until end of June, and from July it will optimize the compensation system to better align with regulatory requirements and strategic needs, focusing on external competitiveness and internal fairness.国泰海通向员工通知，现行薪酬发放模式维持至6月底，自7月起优化调整薪酬体系，以符合监管要求和公司战略，注重外部竞争力和内部公平性。
2025-05-29Guotai Haitong held its first annual general meeting after the merger and name change, approving the 2024 profit distribution plan, authorizing the board to decide on the 2025 interim profit distribution, and passing a resolution to abolish the board of supervisors.国泰海通召开合并更名后首次年度股东大会，审议通过2024年度利润分配预案、授权董事会决定2025年中期利润分配方案，并审议通过撤销公司监事会的议案。
2026-06-04Board approved new compensation management system and professional manager selection plan to improve governance.董事会通过新的薪酬管理制度和职业经理人选聘方案，以完善公司治理。
Annual & quarterly financial results年度与季度财务业绩
30 · 2024-03-28 → 2026-06-16
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Disclosure of annual and quarterly revenue, net profit, asset scale, and dividend proposals.披露年度和季度营业收入、净利润、资产规模及分红方案。
2024-03-28Guotai Junan Securities reports 2023 annual results: revenue 36.141 billion yuan (+1.89% YoY), net profit 9.374 billion yuan (-18.55% YoY), proposes a dividend of 0.4 yuan per 10 shares.国泰君安证券发布2023年年报：营业收入361.41亿元（同比增长1.89%），净利润93.74亿元（同比下降18.55%），拟每10股派发现金红利4元。
2024-03-28Guotai Junan Securities' 2023 annual report shows investment management revenue up 98.89% YoY, international business revenue up 54.96% YoY, and asset management AUM reaches 543.092 billion yuan (+25.3% YoY).国泰君安证券2023年年报显示，投资管理业务收入同比增长98.89%，国际业务收入同比增长54.96%，资管管理资产规模达5430.92亿元（较上年末增长25.3%）。
2024-03-28Guotai Junan Securities' 2023 annual report shows total assets of 925.4 billion yuan (+7.52% YoY), net equity of 167 billion yuan (+5.87% YoY), and securities underwriting volume of 852.4 billion yuan (+18.8% YoY), ranking 3rd in the industry.国泰君安证券2023年年报显示，总资产9254亿元（较上年末增加7.52%），归母净资产1670亿元（较上年末增加5.87%），证券主承销额8524亿元（同比增长18.8%），行业排名第3。
2024-04-01Guotai Junan Securities reported 2023 annual results: net profit attributable to parent was 9.374 billion yuan, down 18.54% YoY; securities underwriting volume was 852.449 billion yuan, up 18.8% YoY, ranking 3rd in the industry; IPO underwriting volume was 31.714 billion yuan, up 7.4% YoY, market share 8.83%, ranking 4th in the industry. Average employee compensation was 647,500 yuan, down 67,100 yuan from 2022.国泰君安证券公布2023年度业绩：归母净利润93.74亿元，同比下降18.54%；证券主承销额8524.49亿元，同比增长18.8%，行业排名第3；IPO主承销金额317.14亿元，同比增长7.4%，市场份额8.83%，行业排名第4。员工人均薪酬64.75万元，较2022年减少6.71万元。
2024-04-29Guotai Junan Securities reported Q1 2024 results: revenue 7.983 billion yuan, down 14.05% YoY; net profit attributable to parent 2.489 billion yuan, down 18.13% YoY; basic EPS 0.26 yuan.国泰君安证券发布2024年一季报：营收79.83亿元，同比下降14.05%；归母净利润24.89亿元，同比下降18.13%；基本每股收益0.26元。
2024-08-29H1 2024 results: revenue 17.07 billion yuan, down 6.89% YoY; net profit 5.016 billion yuan, down 12.64% YoY; proposed interim dividend of 1.5 yuan per 10 shares.2024年上半年业绩：营业收入170.7亿元，同比下降6.89%；净利润50.16亿元，同比下降12.64%；拟每10股派发现金红利1.5元。
2024-08-29H1 2024: Investment banking revenue fell 27.84% YoY to 1.062 billion yuan; IPO lead underwriting ranked 1st by number (5 deals) but amount dropped 80.4% to 2.139 billion yuan; bond underwriting rose 33.3% to 429.738 billion yuan, ranking 3rd.2024年上半年投行业务收入同比下降27.84%至10.62亿元；IPO主承销家数排名行业第1（5家），但金额下降80.4%至21.39亿元；债券主承销金额增长33.3%至4297.38亿元，排名行业第3。
2024-10-30Guotai Junan reported Q3 2024 results: revenue of 11.931 billion yuan, up 37.21% YoY; net profit attributable to parent of 4.507 billion yuan, up 56.17% YoY. For the first three quarters, revenue was 29.001 billion yuan, up 7.29% YoY; net profit was 9.523 billion yuan, up 10.38% YoY.国泰君安发布2024年三季报：第三季度营业收入119.31亿元，同比增长37.21%；归母净利润45.07亿元，同比增长56.17%。前三季度营业收入290.01亿元，同比增长7.29%；归母净利润95.23亿元，同比增长10.38%。
2025-01-24Guotai Junan 2024 preliminary results: revenue 43.406 billion yuan (+20.1% YoY), net profit 13.018 billion yuan (+38.87% YoY); total assets exceeded 1 trillion yuan for the first time.国泰君安2024年业绩快报：营收434.06亿元（+20.1%），净利润130.18亿元（+38.87%），总资产首次突破万亿。
2025-02-05Guotai Junan released 2024 annual performance forecast: revenue 43.406 billion yuan, up 20.1% YoY; net profit attributable to parent 13.018 billion yuan, up 38.87% YoY; total assets 1,047.319 billion yuan, up 13.17% YoY.国泰君安发布2024年度业绩快报：营业收入434.06亿元，同比增长20.1%；归母净利润130.18亿元，同比增长38.87%；总资产10473.19亿元，同比增长13.17%。
2025-03-28Guotai Junan reported 2024 annual results: revenue RMB 43.397 billion (+20.08% YoY), net profit RMB 13.024 billion (+38.94% YoY), proposed dividend of RMB 2.8 per 10 shares.国泰君安发布2024年年报：营业收入433.97亿元（同比增长20.08%），归母净利润130.24亿元（同比增长38.94%），拟每10股派发现金红利2.8元。
2025-06-19Guotai Haitong issued a Q1 2025 profit alert: net profit attributable to parent RMB 11.201-12.445 billion (+350%-400% YoY), mainly due to negative goodwill from the merger; recurring net profit RMB 2.973-3.383 billion (+45%-65% YoY).国泰海通发布2025年第一季度业绩预增：归母净利润112.01-124.45亿元（同比+350%-400%），主因吸收合并产生负商誉；扣非归母净利润29.73-33.83亿元（同比+45%-65%）。
2025-07-14Guotai Haitong guided H1 2025 net profit attributable to parent of 15.283-15.957 billion yuan, up 205%-218% YoY; core net profit (excl. non-recurring) of 6.912-7.396 billion yuan, up 52%-62% YoY.国泰海通预计2025年上半年归母净利润152.83-159.57亿元，同比增长205%-218%；扣非归母净利润69.12-73.96亿元，同比增长52%-62%。
2025-08-29Guotai Haitong reported H1 2025 revenue of 23.872 billion yuan (+77.71% YoY) and net profit of 15.737 billion yuan (+213.74% YoY), the first semi-annual report after merger.国泰海通发布合并后首份半年报，2025年上半年营收238.72亿元（同比+77.71%），净利润157.37亿元（同比+213.74%）。
2025-08-29Guotai Haitong proposed 2025 interim dividend of 1.5 yuan per 10 shares (0.15 yuan per share), totaling 2.627 billion yuan, representing 16.69% of H1 net profit.国泰海通拟2025年中期每10股派发现金红利1.5元（含税），合计26.27亿元，占上半年净利润的16.69%。
2025-08-29Guotai Haitong's H1 2025 margin balance reached 180.996 billion yuan, ranking first in the industry; IPO lead underwriting ranked first with 7 deals.国泰海通2025年上半年融资融券余额1809.96亿元排名行业第一，IPO主承销家数7家排名行业第一。
2025-09-01Guotai Haitong reported H1 2025 revenue of 23.872 billion yuan, up 77.71% YoY; net profit of 15.737 billion yuan, up 213.74% YoY, ranking first among listed securities firms.国泰海通公布2025年上半年营收238.72亿元，同比增长77.71%；净利润157.37亿元，同比增长213.74%，在上市券商中排名第一。
2025-09-02Guotai Haitong's H1 2025 net profit surpassed CITIC Securities, ranking first among listed securities firms; total assets reached 1.8 trillion yuan, net assets of 336.241 billion yuan ranked first in the industry.国泰海通2025年上半年净利润超过中信证券，在上市券商中排名第一；总资产达1.8万亿元，净资产3362.41亿元位居行业第一。
2025-09-02Guotai Haitong's H1 2025 domestic securities underwriting amount reached 708.182 billion yuan, up 18.7% YoY, with a market share of 11.95%, ranking second in the industry.国泰海通2025年上半年境内证券主承销额达7081.82亿元，同比增长18.7%，市场份额11.95%，排名行业第二。
2025-09-05Guotai Haitong ranked first in total securities trading volume, bond and repo trading in H1 2025, being the only broker with trading volume exceeding 10 trillion yuan; public fund seat commission income of 251 million yuan ranked first.国泰海通2025年上半年证券交易总额、债券和回购交易排名第一，是唯一一家证券交易金额突破10万亿元的券商；公募席位佣金收入2.51亿元，排名第一。
2025-10-30Guotai Haitong reports Q3 2025 revenue of RMB 22.019 billion (+136% YoY) and net profit of RMB 6.337 billion (+40.6% YoY); 9-month revenue RMB 45.892 billion (+101.6% YoY), net profit RMB 22.074 billion (+131.8% YoY), all record highs.国泰海通2025年第三季度营收220.19亿元（同比+136%），净利润63.37亿元（同比+40.6%）；前三季度营收458.92亿元（同比+101.6%），净利润220.74亿元（同比+131.8%），均创历史新高。
2025-10-30Guotai Haitong announces asset impairment provisions of RMB 2.38 billion for the first three quarters of 2025, including credit impairment of RMB 2.334 billion and other asset impairment of RMB 48.75 million.国泰海通公告2025年1-9月计提资产减值损失合计23.8亿元，其中信用减值损失23.34亿元，其他资产减值损失4875万元。
2025-11-01Guotai Haitong announced Q1-Q3 2025 results: total assets, revenue, net profit attributable to parent, and recurring net profit all hit record highs; recurring net profit was 9.02 billion yuan, up 102% YoY and 126% QoQ; parent company net capital of 186.74 billion yuan and net assets attributable to parent of 324.14 billion yuan ranked first in the industry.国泰海通公布2025年前三季度业绩：总资产、营业收入、归母净利润、扣非归母净利润均创历史新高；扣非归母净利润90.2亿元，同比增长102%，环比增长126%；母公司净资本1867.4亿元、归母净资产3241.4亿元，均保持行业第一。
2025-11-01Guotai Haitong disclosed a provision for asset impairment in the same announcement.国泰海通同步披露了关于计提资产减值准备的公告。
2026-01-27Guotai Haitong issued its 2025 annual performance forecast, expecting net profit attributable to parent company of RMB 27.533-28.006 billion, up 111%-115% YoY; and non-GAAP net profit of RMB 21.053-21.516 billion, up 69%-73% YoY.国泰海通发布2025年年度业绩预增公告，预计归母净利润275.33-280.06亿元，同比增长111%-115%；扣非归母净利润210.53-215.16亿元，同比增长69%-73%。
2026-01-27Guotai Haitong announced it recorded asset impairment provisions of approximately RMB 1.63 billion for Q4 2025, reducing net profit by about RMB 1.187 billion.国泰海通公告2025年10-12月计提资产减值准备约16.3亿元，减少净利润约11.87亿元。
2026-03-27Guotai Haitong announces 2025 annual results: revenue 63.107 billion yuan (+87.40% YoY), net profit 27.809 billion yuan (+113.52% YoY), proposes a final dividend of 0.35 yuan per share.国泰海通发布2025年年报：营业收入631.07亿元（同比+87.40%），净利润278.09亿元（同比+113.52%），拟每10股派发现金红利3.5元。
2026-04-24Q1 2026 revenue was RMB 16.232 billion (+58.91% YoY); net profit attributable to shareholders was RMB 6.388 billion (-47.82% YoY, due to high base from negative goodwill in the merger last year). Core net profit (excl. non-recurring) was RMB 5.711 billion (+73.43% YoY).2026年第一季度营业收入162.32亿元（同比+58.91%）；归母净利润63.88亿元（同比-47.82%，因上年合并海通产生负商誉基数高）；扣非归母净利润57.11亿元（同比+73.43%）。
2026-05-15Guotai Haitong disclosed on the interactive platform that in 2025, after absorbing and merging with Haitong Securities, it achieved record-high revenue of 63.1 billion yuan (up 87% YoY) and net profit attributable to parent of 27.8 billion yuan (up 114% YoY); it formulated a new three-year strategic plan with the goal of 'comprehensive domestic leadership and distinctive international excellence'.国泰海通在互动平台披露，2025年吸收合并海通证券后，实现营业收入631亿元（同比增长87%）、归母净利润278亿元（同比增长114%），创历史新高；制定了新一轮三年战略规划，明确“国内全面领先、国际特色卓越”的发展目标。
2026-06-16Announced Q1 2026 results: total assets RMB 2.26 trillion (industry No.1), revenue RMB 16.2 billion (+59% YoY), recurring net profit RMB 5.7 billion (+73% YoY).公布2026年一季度业绩：总资产2.26万亿元（行业第一），营收162亿元（同比+59%），扣非净利润57亿元（同比+73%）。
Carbon finance & green finance initiatives碳金融与绿色金融举措
3 · 2024-04-09 → 2025-07-11
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First carbon quota repurchase financing, 'Jian Carbon Loan' business, and green bond underwriting.首单碳配额回购融资、“建碳贷”业务及绿色债券承销。
2024-04-09Guotai Junan Securities, together with China Merchants Bank Wuhan Branch, completed Hubei's first carbon quota repurchase financing for Hubei Yijun Yaoneng New Material Co., Ltd. (亿钧耀能), exceeding 10 million yuan. This is Guotai Junan's first carbon repurchase deal in the Hubei carbon market and the first in Hubei's glass manufacturing industry.国泰君安证券联合招商银行武汉分行，为湖北亿钧耀能新材股份公司完成湖北碳市场首笔碳配额回购融资，金额超1000万元。这是国泰君安在湖北碳市场的首单碳回购业务，也是湖北省玻璃制造行业首单。
2024-05-30Guotai Junan and China Construction Bank Shanghai branch jointly launched the 'Jian Carbon Loan' business, using Shanghai carbon emission quota pledges for financing and disposal trading, providing carbon trading risk mitigation for a key airline group emitter.国泰君安与建行上海市分行共同推出“建碳贷”业务，以上海碳排放配额质押融资及处置交易，为某航空集团重点排放单位提供碳交易风险缓释。
2025-07-11Guotai Haitong and Shanghai Environment and Energy Exchange co-hosted a carbon trading advanced training course.国泰海通与上海环交所联合举办碳交易进阶培训。
Investor relations & industry events投资者关系与行业活动
5 · 2024-04-15 → 2025-11-11
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Performance briefings, global asset allocation summit, and industry awards.业绩说明会、全球资产配置峰会及行业奖项。
2024-04-15Guotai Junan Securities held its 2023 annual results briefing. Chairman Zhu Jian stated the company will focus on business competitiveness, digital transformation, and refined management, and will maintain high cash dividends (2021-2023 payout ratios: 40.34%, 41.01%, 38.0%).国泰君安证券举办2023年度业绩说明会。董事长朱健表示将聚焦业务竞争力、数字化、精细化管理，并保持高比例现金分红（2021-2023年分红率分别为40.34%、41.01%、38.0%）。
2024-05-10Guotai Junan participated in the 2023 collective performance briefing for Shanghai state-controlled listed companies, organized by the Shanghai SASAC and SSE.国泰君安参加由上海市国资委、上交所共同举办的上海国有控股上市公司2023年度集体业绩说明会。
2024-12-29Guotai Junan signed seed fund cooperation agreements with 5 private fund managers at its Daole Private Fund Selection event, and upgraded the 5th Private Fund Selection Competition.国泰君安在道合私募寻星活动上与5家私募管理人完成种子基金合作签约，并升级第五届私募寻星大赛。
2025-10-24Guotai Haitong holds its first Global Asset Allocation Summit in Shanghai, themed 'Asset Allocation under the New Landscape', promoting AI+advisory and global investment capabilities.国泰海通在上海举办首届全球资产配置峰会，主题为“新格局下的资产配置”，推动AI+投顾和全球投资能力建设。
2025-11-11Guotai Haitong won 5 major awards at the 2025 Securities Industry High-Quality Development Conference and Golden Bull Awards, including 'Golden Bull Securities Company', and its asset management subsidiary won 6 awards including 'Three-Year Golden Bull Brokerage Collective Asset Manager'.国泰海通在2025证券业高质量发展大会暨金圆集团杯·证券业金牛奖颁奖典礼上荣获“金牛证券公司”等5项大奖，旗下资管子公司荣获“三年期金牛券商集合资产管理人”等6项大奖。
Strategic partnerships & cooperation agreements战略合作伙伴关系与合作协议
13 · 2024-04-19 → 2026-06-05
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Signing comprehensive strategic cooperation agreements with banks, corporates, and government entities.与银行、企业和政府机构签署全面战略合作协议。
2024-04-19Guotai Junan Securities signed a comprehensive deepening strategic cooperation agreement with Guangdong Hengjian Holding Company (恒健控股公司) to jointly explore high-quality development funds, share resources, and assist key chain enterprises, supporting industrial transformation and upgrading in Guangdong Province.国泰君安证券与广东恒健控股公司签署全面深化战略合作协议，将共同探索高质量发展基金、共享资源、助力链主企业，支持广东省产业转型升级。
2024-06-25Guotai Junan and Hundsun Technologies signed a 'Science and Technology Innovation Laboratory Cooperation Agreement' to jointly build a laboratory, focusing on creating an 'Open Securities' institutional service ecosystem and digital intelligence engine.国泰君安与恒生电子签订《科技创新实验室合作协议》，共建实验室，打造“开放证券”机构服务生态和数智新引擎。
2024-07-10Guotai Junan and Industrial and Commercial Bank of China (ICBC) signed a comprehensive strategic cooperation agreement to explore a 'stock-debt-loan-insurance' linkage model, enhance sci-tech finance services, and promote green finance and cross-border innovation.国泰君安与中国工商银行签署全面战略合作协议，探索构建“股贷债保”联动模式，提升科创金融服务能级，推进绿色金融和跨境创新。
2025-05-28Guotai Haitong signed a strategic cooperation agreement with Suzhou Municipal Government, and its Suzhou branch was officially inaugurated. The branch is a first-level innovative branch with 11 sub-branches, covering financial services, industrial upgrading, capital market development, fintech, and talent cultivation.国泰海通与苏州市政府签署战略合作协议，国泰海通苏州分公司正式揭牌，为一级创新型分公司，下辖11家营业部，合作涵盖金融服务、产业升级、资本市场建设、金融科技、人才培育等领域。
2025-07-15Guotai Haitong signed a strategic cooperation agreement with Shanghai Guosheng Group, covering stock revitalization, industrial direct investment, equity/debt financing, focusing on IC, civil aviation, commercial aerospace.国泰海通与上海国盛集团签署战略合作协议，在存量盘活、产业直投、股债融资等领域合作，聚焦集成电路、民用航空、商业航天。
2025-09-06Guotai Haitong signed a strategic cooperation agreement with Alibaba Cloud to jointly promote cloud computing and AI in financial services, including building an intelligent computing platform and developing a securities industry vertical large model.国泰海通与阿里云签署战略合作协议，共同推动云计算和人工智能在金融服务核心场景落地，包括打造智算平台和开发证券行业垂直大模型。
2025-10-10Guotai Haitong Securities Chairman Zhu Jian meets with Sichuan Provincial Governor Shi Xiaolin in Chengdu to discuss deepening fund investment cooperation, supporting early-stage and hard-tech investments, promoting M&A, and exploring green finance and digital finance.国泰海通证券董事长朱健在成都会见四川省省长施小琳，双方围绕深化基金投资合作、支持投早投小投硬科技、促进并购重组、探索绿色金融和数字金融等交换意见。
2025-10-11Guotai Haitong Securities Chairman Zhu Jian visits Sichuan Energy Development Group, discussing cooperation in traditional investment banking, wealth management, and green finance for clean energy projects.国泰海通证券董事长朱健拜访四川能源发展集团，双方就传统投行业务、财富管理及清洁能源项目的绿色金融合作进行座谈。
2025-10-16Bank of China, China Pacific Insurance, and Guotai Haitong Securities jointly launch the G-FIRST 2.0 cross-border financial cooperation program at the 2025 Shanghai Global Asset Management Forum.中国银行、中国太保与国泰海通证券在2025上海全球资产管理论坛上联合发布G-FIRST 2.0跨境金融合作方案。
2025-10-24Jing'an District Government and Guotai Haitong Securities sign a strategic cooperation agreement covering industrial ecosystem, cross-border finance, urban renewal, and talent development.静安区政府与国泰海通证券签署战略合作协议，涵盖产业生态、跨境金融、城市更新和人才联合培养等领域。
2025-10-31Guotai Haitong signs a strategic cooperation agreement with Kingee Technology at the 2025 Financial Technology Culture Festival, focusing on AI and domestic substitution solutions for wealth management, investment trading, and cross-border business.国泰海通在2025金融科技文化节上与金证股份签署全面战略合作协议，聚焦AI和信创领域的财富管理、投资交易及跨境业务解决方案。
2025-11-18Guotai Haitong signed a strategic cooperation agreement with Bloomberg, witnessed by Chairman Zhu Jian and Bloomberg founder Michael Bloomberg, to deepen cooperation in financial data, fintech, and market expansion.国泰海通与彭博签署战略合作协议，由董事长朱健和彭博创始人迈克尔·布隆伯格共同见证，深化金融数据、金融科技和市场拓展等领域合作。
2026-06-05Chairman Zhu Jian met with Baowu Chairman Hu Wangming to discuss deepening financial cooperation and serving the real economy.董事长朱健与宝武董事长胡望明会面，讨论深化金融合作和服务实体经济。
Strategic action plans & shareholder returns战略行动与股东回报
1 · 2024-04-30
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Announcement of 'Improve Quality, Increase Efficiency, and Emphasize Returns' action plan and profit distribution.发布“提质增效重回报”行动方案及利润分配计划。
2024-04-30Guotai Junan Securities announced its 2024 'Improve Quality, Increase Efficiency, and Emphasize Returns' action plan, focusing on serving national strategies, protecting small investors, improving IPO gatekeeping, and enhancing investment banking capabilities.国泰君安证券发布2024年度“提质增效重回报”行动方案，聚焦服务国家战略、保护中小投资者、把好IPO入口关、提升投行能力等。
Fund management & asset management products基金管理与资管产品
24 · 2024-05-09 → 2026-06-22
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Launch, suspension, liquidation, and management of mutual funds, FOFs, and QDII funds by the asset management subsidiary.资管子公司发起、暂停、清算和管理公募基金、FOF及QDII基金。
2024-05-09Guotai Junan began distributing the Shangyin Huiyuanli 90-day holding period bond fund (codes 021282/021283) for Shangyin Fund Management.国泰君安开始销售上银基金旗下上银慧元利90天持有期债券型证券投资基金（代码021282/021283）。
2024-08-16Launched the Guotai Junan An Yi Pure Bond Bond Securities Investment Fund (021794) with a subscription fee discount on the direct-sales APP.发行国泰君安安宜纯债债券型证券投资基金（021794），并在直销APP开展认购费率优惠。
2024-08-22The Guotai Junan An Yi Pure Bond Fund (021794) closed its offering early on August 21, ahead of the original September 19 deadline.国泰君安安宜纯债基金（021794）提前至8月21日结束募集，原定截止日为9月19日。
2024-11-28Shanghai Guotai Junan Securities Asset Management Co., Ltd. announces the fund contract and prospectus for the Guotai Junan稳健添利 Bond Securities Investment Fund.上海国泰君安证券资产管理有限公司公告国泰君安稳健添利债券型证券投资基金的基金合同和招募说明书。
2024-11-29Shanghai Guotai Junan Securities Asset Management suspends large subscriptions and regular investments for the Guotai Junan CSI Hong Kong Tech Index QDII Fund, with a subscription cap of RMB 500,000.上海国泰君安证券资产管理有限公司暂停国泰君安中证香港科技指数型发起式证券投资基金（QDII）的大额申购及定投业务，申购上限50万元。
2024-12-18Shanghai Guotai Junan Securities Asset Management launched the Guotai Junan CSI A500 Index Enhanced Securities Investment Fund, with net subscription amount of 2.024 billion yuan during the fundraising period.上海国泰君安证券资产管理有限公司发行国泰君安中证A500指数增强型证券投资基金，募集期间净认购金额20.24亿元。
2025-10-10Guotai Haitong Securities Asset Management suspends subscription, conversion-in, and regular fixed investment for individual investors in the Guotai Haitong Anyu Pure Bond One-Year Regular Open-End Bond Securities Investment Fund, effective October 10, 2025.国泰海通证券资产管理自2025年10月10日起暂停国泰海通安裕纯债一年定期开放债券型证券投资基金向个人投资者的申购、转换转入及定期定额投资业务。
2025-11-26Guotai Haitong 120-Day Holding Bond Fund appointed Yang Yong as co-portfolio manager; Yang previously served at Bank of China, Ping An Bank, Guotai Junan Securities, and Yongying Fund Management.国泰海通120天持有债券发起增聘杨勇为基金经理；杨勇曾任职于中国银行、平安银行、国泰君安证券、永赢基金。
2025-12-02Guotai Haitong Asset Management liquidated the 'Shanyuan Balanced Allocation One-Year Holding Period FOF' fund due to net asset value below 50 million yuan for 50 consecutive days.国泰海通资管旗下“善远平衡配置一年持有期混合型FOF”因连续50个工作日资产净值低于5000万元而进入清算程序。
2025-12-05Guotai Haitong Asset Management appointed Qian Tao as fund manager for three bond funds: Xinyi Bond, Xinyue Bond, and Xinxuan Three-Month Holding Period Bond.国泰海通资管增聘钱韬为国泰海通鑫逸债券、鑫悦债券、鑫选三个月持有期债券的基金经理。
2026-01-29Guotai Haitong Asset Management suspended subscription and regular investment for the Guotai Haitong High-End Equipment Hybrid Fund.国泰海通资管暂停国泰海通高端装备混合型发起式证券投资基金的申购及定期定额投资业务。
2026-02-26Guotai Haitong Asset Management disclosed fund holdings: 8 funds held 640,100 shares of CATL, with a daily floating loss of 11.5983 million yuan.国泰海通资管旗下8只基金重仓宁德时代64.01万股，日浮亏1159.83万元。
2026-02-26Guotai Haitong Asset Management disclosed fund holdings: one fund held 168,500 shares of Dajin Heavy Industry.国泰海通资管旗下1只基金重仓大金重工16.85万股。
2026-02-26Guotai Haitong Asset Management disclosed fund holdings: one fund held 670,200 shares of Zhongguang Fanglei (Zhongguang Lightning Protection).国泰海通资管旗下1只基金持有中光防雷67.02万股。
2026-02-26Guotai Haitong Asset Management disclosed fund holdings: one fund held 6,400 shares of Beihua (North Chemical) shares.国泰海通资管旗下1只基金持有北化股份6400股。
2026-02-27Guotai Haitong released the fund contract and prospectus for the 'Guotai Haitong Shanyuan Wenjian Stable Allocation Three-Month Holding Period Hybrid FOF'.国泰海通发布‘国泰海通善选稳健配置三个月持有期混合型基金中基金(FOF)’基金合同和招募说明书。
2026-02-27Guotai Haitong Asset Management disclosed fund holdings: one fund held 2.778 million shares of Guide Infrared, with a quarterly reduction of 504,900 shares.国泰海通资管旗下1只基金持有高德红外277.8万股，四季度减持50.49万股。
2026-02-27Guotai Haitong Asset Management disclosed fund holdings: two funds held 35,200 shares of Sanhuan Group (Three-ring Group), with a daily floating loss of 117,200 yuan.国泰海通资管旗下2只基金持有三环集团3.52万股，日浮亏11.72万元。
2026-02-27Guotai Haitong Asset Management disclosed fund holdings: five funds held 33,300 shares of Cambricon, with a daily floating profit of 306,300 yuan.国泰海通资管旗下5只基金持有寒武纪3.33万股，日浮盈30.63万元。
2026-03-09Fund manager Du Haoran resigns from Guotai Haitong 1-Year Fixed Open Bond Fund (013272); replaced by Zhu Ying.国泰海通1年定开债券发起式（013272）基金经理杜浩然离任，由朱莹接任。
2026-03-20Guotai Haitong appoints Yu Zhihao as additional fund manager for the CSI HK Dividend High-Yield Index Fund (QDII).国泰海通中证港股通高股息投资指数发起(QDII)增聘于志浩为基金经理。
2026-05-11Guotai Haitong Haisheng Six-Month Holding Period Bond A appointed Li Xia as fund manager, joining Li Jiawen and Xiao Yan; Li Xia previously served as fixed income investment department (public fund) fund manager at Shanghai Haitong Securities Asset Management.国泰海通海升六个月持有期债券A增聘李夏为基金经理，与李佳闻、肖彦共同管理；李夏此前在上海海通证券资产管理有限公司固定收益投资部（公募）担任基金经理。
2026-05-27Guotai Haitong Jundeli Short-term Bond A appointed Yang Yong as fund manager, co-managing with Du Haoran; Yang Yong previously served as deputy general manager of the fixed income investment department (public fund) at Shanghai Guotai Junan Securities Asset Management.国泰海通君得利短债A增聘杨勇为基金经理，与杜浩然共同管理；杨勇此前在上海国泰君安证券资产管理有限公司固定收益投资部（公募）任副总经理。
2026-06-22Launched the CSI Dividend Low Volatility ETF (560733) with a fundraising cap of RMB 2 billion, managed by Guotai Haitong Asset Management.发行国泰海通中证红利低波动ETF（560733），首次募集规模上限20亿元，由国泰海通资管管理。
Trustee & bondholder meeting notices受托管理与债券持有人会议通知
4 · 2024-05-11 → 2024-05-30
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Acting as bond trustee and issuing notices on issuer personnel changes and litigation updates.担任债券受托管理人并发布关于发行人人事变动和诉讼进展的通知。
2024-05-11Guotai Junan, as trustee for '22 Guoxin Y1' and '22 Guoxin Y2', noted that Guoxin Securities appointed Liao Ruifeng as board secretary.国泰君安作为“22国信Y1”、“22国信Y2”受托管理人，关注到国信证券聘任廖锐锋为董事会秘书。
2024-05-15Guotai Junan, as trustee for Shanghai Pudong Development (Group) bonds, reported that a construction contract dispute involving subsidiary Shanghai Nanhui Construction was withdrawn by the plaintiff, with no material impact.国泰君安作为上海浦东发展（集团）公司债券受托管理人，报告其子公司建设工程合同纠纷因原告撤诉而终结，无不利影响。
2024-05-22Guotai Junan, as trustee for '21 Wan Xin 01', noted that Anhui Xinhua Distribution (Group) appointed Zhang Kewen as general manager and removed Cheng Chunlei as director.国泰君安作为“21皖新01”受托管理人，关注到安徽新华发行（集团）控股有限公司总经理及董事变动。
2024-05-30Guotai Junan, as trustee, noted that Tai'an City Development Investment Co. appointed Xu Na as financial officer, replacing Fang Zenghua.国泰君安作为受托管理人，关注到泰安市城市发展投资有限公司财务负责人变更为徐娜。
IPO tutoring & continuous supervision changesIPO辅导与持续督导变更
4 · 2024-05-20 → 2026-05-28
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Signing IPO tutoring agreements and changes in sponsor representatives for ongoing supervision.签署IPO辅导协议及变更持续督导的保荐代表人。
2024-05-20Guotai Junan changed its sponsor representative for Hangxin Technology from Chen Haiting to Wen Zhifeng due to personal reasons.国泰君安变更航新科技持续督导保荐代表人，由陈海庭改为温志锋。
2024-06-11Guotai Junan and Shanghai Yixijia Brand Management Co., Ltd. mutually agreed to terminate the continuous supervision agreement; Huaxin Securities took over as the new sponsor.国泰君安与上海谊熙加品牌管理股份有限公司协商一致解除持续督导协议，由华鑫证券承接主办券商职责。
2025-09-05Guotai Haitong replaced the financial advisor sponsor for Waifu Holdings' ongoing supervision, with Shen Canjie replacing Xia Haogang.国泰海通更换了外服控股持续督导的财务顾问主办人，沈灿杰接替夏浩罡。
2026-05-28Guotai Haitong replaced the sponsor representative for Sanweixin Technology Co., Ltd.'s continuous supervision; due to Peng Kai's job change, Li Lei was appointed as the new sponsor representative, working with Liu Wentao to continue supervision until the raised funds are fully used.国泰海通更换三未信安科技股份有限公司持续督导保荐代表人；因彭凯工作变动，指派李蕾接替，与刘文淘共同继续履行持续督导职责直至募集资金使用完毕。
Guotai Junan-Haitong Securities merger国泰君安与海通证券合并
90 · 2024-05-27 → 2026-06-15
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The landmark absorption merger of Haitong Securities by Guotai Junan, creating the largest Chinese securities firm by assets.国泰君安吸收合并海通证券的标志性交易，打造资产规模最大的中国证券公司。
2024-05-27Market rumors of a merger between Guotai Junan and Haitong Securities were denied by multiple insiders as untrue.市场传闻国泰君安与海通证券合并，多位内部人士否认该传闻不实。
2024-09-05Guotai Junan announced it is planning to absorb Haitong Securities via a share swap, issuing A-shares and H-shares to Haitong shareholders and raising matching funds. The merger is the first head-to-head broker consolidation under the new 'Guo Jiu Tiao' and the largest A+H cross-border absorption merger in China's capital market history. Post-merger, the new entity's total assets and net assets attributable to parent are estimated at 1.68 trillion yuan and 330 billion yuan respectively, both ranking first in the industry.国泰君安公告筹划通过换股方式吸收合并海通证券，向海通全体A股和H股换股股东发行股票并募集配套资金。此次合并是新'国九条'实施以来首单头部券商合并重组，也是中国资本市场史上规模最大的A+H双边市场吸收合并。合并后新机构总资产、归母净资产预计分别达1.68万亿元、3300亿元，均居行业首位。
2024-09-05Guotai Junan and Haitong Securities signed a 'Cooperation Agreement' on September 5, 2024, setting out certain principles for the restructuring.国泰君安与海通证券于2024年9月5日签署《合作协议》，就本次重组作出若干原则性约定。
2024-09-06Guotai Junan's A-shares (601211.SH) and H-shares (02611.HK) were suspended from trading from September 6, 2024, with an expected suspension period not exceeding 25 trading days.国泰君安A股（601211.SH）和H股（02611.HK）自2024年9月6日起停牌，预计停牌时间不超过25个交易日。
2024-09-10At the 2024 semi-annual performance briefing, Guotai Junan Chairman Zhu Jian stated that the merger with Haitong aims to respond to national strategy, build a first-class investment bank, and optimize Shanghai's state-owned financial capital layout.国泰君安董事长朱健在2024年半年度业绩说明会上表示，吸收合并海通证券旨在响应国家战略、打造一流投资银行，优化上海金融国资布局。
2024-09-12Guotai Junan announced that its A-shares would continue to be suspended due to the material uncertainty of the restructuring.国泰君安公告，因重组事项存在重大不确定性，公司A股股票将继续停牌。
2024-09-23Guotai Junan applied to register trademarks including 'Guotai Haitong', 'Haitong Guotai', and 'Guotai Junan Haitong' under international classes for financial management and office supplies.国泰君安申请注册'国泰海通''海通国泰''国泰君安海通'商标，国际分类为金融物管、办公用品。
2024-09-23Guotai Junan stated in a Hong Kong Stock Exchange filing that the proposed merger with Haitong requires approval from both companies' boards, shareholders, and regulatory authorities before implementation.国泰君安在港交所公告称，与海通证券的拟议合并需提交双方董事会、股东大会审议，并经有权监管机构批准后方可正式实施。
2024-09-25Multiple fund companies, including Zhongyin Fund, adjusted the valuation of suspended Guotai Junan and Haitong Securities stocks using the 'index return method' from September 25, 2024.包括中银基金在内的多家基金公司自2024年9月25日起，对旗下基金持有的停牌股票国泰君安、海通证券采用'指数收益法'进行估值调整。
2024-09-30Media reports indicated that the intermediary institutions for Guotai Junan's absorption of Haitong Securities have been confirmed: a domestic investment bank under the Shanghai state-owned assets system and an overseas investment bank for the Hong Kong subsidiaries.据媒体报道，国泰君安吸收合并海通证券的中介机构已确认：内地机构为上海国资体系的一家投行，海外投行负责香港分支机构的合并。
2024-10-09Guotai Junan announced a share-swap absorption merger with Haitong Securities, with a swap ratio of 1:0.62 (1 Haitong share for 0.62 Guotai Junan share). Guotai Junan's A-share swap price is 13.83 yuan/share, Haitong's A-share swap price is 8.57 yuan/share; H-share swap prices are 7.73 HKD/share and 4.79 HKD/share respectively. Guotai Junan will issue up to 100 billion yuan in A-share matching fundraising to its controlling shareholder, Shanghai State-owned Assets Management Co., Ltd., at 15.97 yuan/share. The merged entity will adopt a new name, and Haitong will delist and dissolve.国泰君安宣布以换股方式吸收合并海通证券，换股比例为1:0.62（每1股海通证券换0.62股国泰君安）。国泰君安A股换股价13.83元/股，海通证券A股换股价8.57元/股；H股换股价分别为7.73港元/股和4.79港元/股。国泰君安拟向控股股东上海国有资产经营有限公司以15.97元/股发行不超过100亿元A股募集配套资金。合并后实体将采用新名称，海通证券将终止上市并注销法人资格。
2024-10-09Guotai Junan and Haitong Securities announced that their A-shares will resume trading on October 10, 2024, 8 trading days earlier than the originally planned 25-day suspension.国泰君安与海通证券宣布A股将于2024年10月10日复牌，较原计划25个交易日的停牌时间提前了8个交易日。
2024-10-09Guotai Junan applied to register three trademarks on September 8, 2024: 'Guotai Haitong', 'Haitong Guotai', and 'Guotai Junan Haitong', in international classes including financial brokerage and office supplies, currently under substantive examination.国泰君安于2024年9月8日提交了'国泰海通'、'海通国泰'、'国泰君安海通'三件商标注册申请，涉及国际分类为金融经纪、文具办公等，当前商标状态均为等待实质审查。
2024-10-09Haitong Futures (872595.NQ) announced that due to the merger, its controlling shareholder will change from Haitong Securities to Guotai Junan, with Guotai Junan indirectly holding 83.2195% of shares (1.083 billion shares). The stock will remain suspended until around October 22, 2024.海通期货（872595.NQ）公告，因合并事项，其控股股东将由海通证券变更为国泰君安，国泰君安间接持有83.2195%股份（10.83亿股）。股票将继续停牌至2024年10月22日左右。
2024-10-09Guotai Junan's board of directors approved the resolution on the merger plan and related proposals at its 28th interim meeting on October 9, 2024.国泰君安董事会于2024年10月9日召开第六届第二十八次临时会议，审议通过了关于换股吸收合并海通证券并募集配套资金暨关联交易预案的议案。
2024-10-10Guotai Junan and Haitong Securities A-shares resumed trading and both hit the daily涨停 limit on October 10, 2024. Guotai Junan closed at 16.17 yuan/share, Haitong at 9.65 yuan/share.国泰君安与海通证券A股于2024年10月10日复牌，双双涨停。国泰君安收盘报16.17元/股，海通证券报9.65元/股。
2024-10-11Guotai Junan and Haitong Securities both issued stock trading异常波动 announcements, stating that their A-shares had cumulative closing price gains of 20% over two consecutive trading days (Oct 10-11). They confirmed no undisclosed material information beyond the merger plan.国泰君安与海通证券双双发布股票交易异常波动公告，称A股于10月10日至11日连续两个交易日收盘价格涨幅偏离值累计达到20%。确认除合并事项外无其他应披露而未披露的重大信息。
2024-10-28Guotai Junan Chairman Zhu Jian stated at the Global Wealth Management Forum that the merger with Haitong Securities is accelerating. Post-merger, total assets and net assets will rank first in the industry, and key business indicators such as brokerage and IPO underwriting will also lead. The merger still requires internal governance and regulatory approvals.国泰君安董事长朱健在全球财富管理论坛上表示，与海通证券的合并重组正加快推进。合并后总资产、净资产规模将跃居行业第一，经纪业务、投行IPO业务等多个主要业务指标也将居行业首位。重组还需完成内部公司治理和外部监管审批程序。
2024-11-05Shanghai Municipal People's Government officially approves the merger and restructuring of Guotai Junan Securities and Haitong Securities via share swap.上海市人民政府正式批复同意国泰君安证券与海通证券通过换股方式进行合并重组。
2024-11-20Shanghai State-owned Assets Supervision and Administration Commission (SASAC) issues a reply in principle approving the overall plan for Guotai Junan's share-swap absorption of Haitong Securities and supporting fundraising.上海市国资委出具批复，原则同意国泰君安换股吸收合并海通证券并募集配套资金的总体方案。
2024-11-20State Administration for Market Regulation (SAMR) issues a decision not to conduct further review on the merger of Guotai Junan and Haitong Securities under anti-monopoly review, allowing the concentration to proceed.国家市场监督管理总局出具决定书，对国泰君安与海通证券合并案不实施进一步反垄断审查，允许实施集中。
2024-11-21Guotai Junan's 6th Board of Directors 29th interim meeting approves the merger report (draft) for the share-swap absorption of Haitong Securities and supporting fundraising, and schedules the general meeting for December 13, 2024.国泰君安第六届董事会第二十九次临时会议审议通过换股吸收合并海通证券并募集配套资金暨关联交易报告书（草案），并定于2024年12月13日召开股东大会。
2024-11-21Guotai Junan and Haitong Securities release the merger report (draft) and joint circular, detailing the share-swap ratio (1:0.62), pricing (A-share swap price for Guotai Junan RMB 13.83, for Haitong RMB 8.57), and a supporting fundraising of up to RMB 10 billion at RMB 15.97 per share.国泰君安与海通证券发布合并重组报告书（草案）及联合通函，明确换股比例1:0.62、换股价格（国泰君安A股13.83元，海通A股8.57元）及配套募资不超过100亿元（发行价15.97元/股）。
2024-12-03State Administration for Market Regulation unconditionally approved the merger of Guotai Junan Securities and Haitong Securities.国家市场监督管理总局无条件批准国泰君安证券与海通证券合并案。
2024-12-12Guotai Junan and Haitong Securities disclosed insider trading verification results for the merger, involving 11 individuals including VP Han Zhida and Chief Auditor Zhao Hong; transactions deemed not insider trading.国泰君安与海通证券披露合并内幕信息知情人交易核查结果，涉及11人包括副总裁韩志达、总审计师赵宏；认定不构成内幕交易。
2024-12-13Guotai Junan and Haitong Securities held extraordinary general meetings; merger and restructuring proposals passed with over 99% approval, with attendance rates of 78% and 68% respectively.国泰君安与海通证券召开临时股东大会，合并重组议案以超99%赞成率通过，参会率分别为78%和68%。
2024-12-13Haitong Futures terminated the continuous督导 agreement with Guotai Junan as sponsor due to the merger between Guotai Junan and its parent Haitong Securities, and planned to sign with BOC International Securities.海通期货因国泰君安与其控股股东海通证券合并，终止与国泰君安的持续督导协议，拟与中银国际证券签署新协议。
2024-12-16China Securities Regulatory Commission received Guotai Junan's application for 'Securities Company Merger Approval' and Haitong Securities' application for 'Securities Company Cessation, Dissolution, Bankruptcy Approval'.中国证监会接收国泰君安《证券公司合并核准》申请及海通证券《证券公司停业、解散、破产核准》申请。
2024-12-22Hong Kong Securities and Futures Commission approved Guotai Junan to become the major shareholder of Haitong Securities' relevant overseas subsidiaries after the merger.香港证监会批准国泰君安在合并后成为海通证券相关境外子公司的大股东。
2024-12-23Guotai Junan and Haitong Securities announced that their merger application was formally accepted by the Shanghai Stock Exchange and the China Securities Regulatory Commission.国泰君安与海通证券公告，合并重组申请正式获得上海证券交易所及中国证监会受理。
2024-12-30Guotai Junan and Haitong Securities disclosed their reply to the Shanghai Stock Exchange's inquiry on the merger, covering integration plans, pricing, cash option, and provision for impairment of Haitong's financial assets.国泰君安与海通证券披露对上交所合并重组审核问询的回复，涉及整合计划、定价、现金选择权及海通金融资产减值准备等。
2025-01-02SSE M&A Committee scheduled a review meeting for Guotai Junan's share swap absorption merger of Haitong Securities on January 9, 2025.上交所并购重组委定于2025年1月9日审议国泰君安换股吸收合并海通证券的申请。
2025-01-09SSE M&A Committee approved Guotai Junan's share swap absorption merger of Haitong Securities; the deal still requires CSRC approval.上交所并购重组委审议通过国泰君安换股吸收合并海通证券，尚需证监会批准。
2025-01-09Rumor that the post-merger name would be 'Shanghai International Securities' was denied by sources close to Guotai Junan; the name is not yet determined.接近国泰君安人士否认合并后公司名称为“上海国际证券”的传言，名称尚未确定。
2025-01-13Haitong Securities chairman Zhou Jie resigned due to work adjustment; GM Li Jun will act as chairman.海通证券董事长周杰因工作调动辞职，由总经理李军代行董事长职责。
2025-01-15Shanghai Mayor's government work report stated that the strategic restructuring of Guotai Junan and Haitong Securities is progressing in an orderly manner.上海市《政府工作报告》指出国泰君安与海通证券等企业战略性重组有序推进。
2025-01-17CSRC approved Guotai Junan's absorption merger of Haitong Securities: 5.986 billion new shares issued, supporting fundraising up to 10 billion yuan; Haitong Securities to be dissolved.证监会核准国泰君安吸收合并海通证券：新增59.86亿股，配套募资不超100亿元，海通证券依法解散。
2025-01-17CSRC approved Guotai Junan as the major shareholder of HFT Fund (51%), Fullgoal Fund (27.775%), and Haitong Futures (83.22%); Shanghai International Group becomes actual controller of Haitong Futures.证监会核准国泰君安成为海富通基金（51%）、富国基金（27.775%）、海通期货（83.22%）主要股东；上海国际集团成为海通期货实控人。
2025-01-20HKEX granted conditional approval for the listing of 2.114 billion H-shares issued by Guotai Junan as consideration for the merger with Haitong Securities; all conditions for the merger are now satisfied.港交所批准国泰君安为合并发行的21.14亿股H股上市，合并生效及实施条件均已满足。
2025-01-21Guotai Junan and Haitong Securities announced A-share dissenting shareholder buyback/cash election: exercise price 14.86 yuan/share (Guotai Junan) and 9.28 yuan/share (Haitong); shares to be suspended from Feb 6.国泰君安、海通证券公告A股异议股东收购请求权/现金选择权：行权价14.86元/股（国君）和9.28元/股（海通），2月6日起停牌。
2025-01-23Haitong Unitrust International Financial Leasing announced that after the merger, Guotai Junan will become its indirect controlling shareholder and Shanghai International Group its actual controller.海通恒信公告，合并完成后国泰君安将成为其间接控股股东，上海国际集团成为实际控制人。
2025-01-24Haitong Securities 2024 preliminary results: expected net loss of approximately 3.4 billion yuan attributable to parent company.海通证券2024年业绩预告：预计归属于母公司所有者的净利润为-34亿元左右。
2025-02-05Guotai Junan announced the implementation of the A-share dissenting shareholder buyout offer for its share swap absorption merger with Haitong Securities, with an exercise price of 14.86 yuan per share, record date Feb 5, 2025, and offer period Feb 6, 2025 9:00-15:00, during which A-shares were suspended.国泰君安公告换股吸收合并海通证券的A股异议股东收购请求权实施，行权价格14.86元/股，股权登记日2025年2月5日，申报期间2025年2月6日9:00-15:00，期间A股停牌。
2025-02-07Guotai Junan announced that no A-share dissenting shareholders exercised the buyout offer during the application period; A-shares resumed trading on Feb 10, 2025.国泰君安公告，收购请求权申报期间内无A股异议股东申报行使，A股股票于2025年2月10日复牌。
2025-02-07Haitong Securities submitted an application to the Shanghai Stock Exchange for the voluntary termination of listing of its A-shares, as part of the merger with Guotai Junan.海通证券向上交所提交A股股票主动终止上市申请，作为与国泰君安合并的一部分。
2025-02-11Shanghai Stock Exchange accepted Haitong Securities' application for voluntary A-share termination of listing; Guotai Junan issued a reminder that Haitong A-share shareholders will convert shares at a ratio of 1:0.62 into Guotai Junan A-shares.上交所受理海通证券A股主动终止上市申请；国泰君安提示海通A股股东将按1:0.62换股比例转换为国泰君安A股。
2025-02-25Shanghai Stock Exchange decided to terminate the listing of Haitong Securities A-shares, effective March 4, 2025; Haitong A-shares will be converted into Guotai Junan A-shares at a ratio of 1:0.62.上交所决定海通证券A股股票终止上市，自2025年3月4日起生效；海通A股将按1:0.62比例转换为国泰君安A股。
2025-02-28Guotai Junan announced that the A-share swap record date for absorbing Haitong Securities is March 3, 2025, with a swap ratio of 1:0.62; Haitong A-shares will be delisted on March 4, 2025.国泰君安公告吸收合并海通证券的A股换股实施股权登记日为2025年3月3日，换股比例1:0.62；海通A股将于2025年3月4日终止上市。
2025-03-03Guotai Junan's share-swap absorption of Haitong Securities received CSRC approval; A-share record date set for March 3, 2025, with a swap ratio of 1:0.62.国泰君安换股吸收合并海通证券获中国证监会核准；A股换股股权登记日为2025年3月3日，换股比例为1:0.62。
2025-03-04Haitong Securities A-shares were delisted on March 4, 2025, as part of the share-swap merger with Guotai Junan.海通证券A股于2025年3月4日终止上市，作为与国泰君安换股合并的一部分。
2025-03-13Guotai Junan completed the share-swap absorption of Haitong Securities and raised RMB 10 billion in supporting funds, issuing 626,174,076 new A-shares at RMB 15.97 per share, locked for 60 months.国泰君安完成换股吸收合并海通证券并募集配套资金100亿元，新增发行A股626,174,076股，发行价15.97元/股，限售60个月。
2025-03-13Guotai Junan issued 5.986 billion new A-shares from the share-swap merger, all unrestricted, to be listed on March 17, 2025.国泰君安因换股吸收合并新增发行A股59.86亿股，均为无限售条件流通股，于2025年3月17日上市流通。
2025-03-13The merged company's party committee was established, with Zhu Jian as party secretary and Li Junjie as deputy party secretary; Zhu Jian and Li Junjie are expected to serve as chairman and president respectively.合并后公司党委成立，朱健任党委书记，李俊杰任党委副书记；预计朱健、李俊杰将分别担任董事长和总裁。
2025-03-14The merged company is named 'Guotai Haitong Securities'; the name change is subject to shareholder approval.合并后公司名称为“国泰海通证券”；名称变更尚需股东大会审议。
2025-03-16Guotai Junan proposed to change its Chinese name to Guotai Haitong Securities Co., Ltd., A-share ticker to 'Guotai Haitong', and registered capital from RMB 8.904 billion to RMB 17.63 billion.国泰君安拟将中文名称变更为国泰海通证券股份有限公司，A股证券简称变更为国泰海通，注册资本由89.04亿元变更为176.30亿元。
2025-03-16Guotai Junan and Haitong Securities announced a phased migration of Haitong's clients and businesses to the surviving entity, effective from the merger closing date of March 14, 2025.国泰君安与海通证券发布联合公告，自2025年3月14日交割日起，分批次将海通证券客户及业务迁移并入存续公司。
2025-03-17Guotai Junan became the main shareholder of Fullgoal Fund (27.775% stake) and HFT Fund (51% stake) after absorbing Haitong Securities, effective March 14, 2025.国泰君安吸收合并海通证券后，成为富国基金（持股27.775%）和海富通基金（持股51%）的主要股东，自2025年3月14日起生效。
2025-03-28Pro forma combined entity (Guotai Junan + Haitong Securities) had total assets of RMB 1.73 trillion and net equity of RMB 328.3 billion as of end-2024, ranking first in the industry.模拟合并后公司（国泰君安+海通证券）截至2024年末总资产1.73万亿元，归母净资产3283亿元，资本实力均位居行业第一。
2025-04-02WeChat official account 'Guotai Junan Junhong' renamed to 'Guotai Haitong Junhong', and 'Guotai Junan Securities Institutional Service' renamed to 'Guotai Haitong Professional Investor Service Platform', marking accelerated client and business migration and merger between Guotai Junan and Haitong Securities.微信公众号“国泰君安君弘”更名为“国泰海通君弘”，“国泰君安证券机构服务”更名为“国泰海通专业投资者服务平台”，标志着国泰君安与海通证券客户及业务迁移合并加速推进。
2025-04-03Company completed business registration name change from 'Guotai Junan Securities Co., Ltd.' to 'Guotai Haitong Securities Co., Ltd.' and obtained new business license from Shanghai Market Supervision Bureau.公司完成市场主体变更登记，名称由“国泰君安证券股份有限公司”变更为“国泰海通证券股份有限公司”，并取得上海市市场监督管理局换发的营业执照。
2025-04-03Board of directors elected Zhu Jian as chairman, Zhou Jie as vice chairman, and appointed Li Junjie as president along with eight vice presidents: Mao Yuxing, Xie Lebin, Luo Dongyuan, Nie Xiaogang, Pan Guangtao, Zhang Xinjun, Chen Zhongyi, and Han Zhida.董事会选举朱健为董事长，周杰为副董事长，聘任李俊杰为总裁，以及毛宇星、谢乐斌、罗东原、聂小刚、潘光韬、张信军、陈忠义、韩志达为副总裁。
2025-04-07Shanghai Stock Exchange confirmed the membership name change of Guotai Junan Securities Co., Ltd. to Guotai Haitong Securities Co., Ltd.上海证券交易所确认国泰君安证券股份有限公司会员名称变更为国泰海通证券股份有限公司。
2025-04-07A-share stock abbreviation will change from 'Guotai Junan' to 'Guotai Haitong' effective April 11, 2025, with stock code 601211 unchanged; H-share abbreviation change pending HKEX approval.A股证券简称自2025年4月11日起由“国泰君安”变更为“国泰海通”，证券代码601211保持不变；H股证券简称变更待香港联交所同意后确定。
2025-04-07Haitong Securities' existing clients and business are fully migrated and merged into Guotai Haitong; all contracts signed by Haitong Securities will be performed by Guotai Haitong.海通证券存量客户与业务整体迁移并入国泰海通，海通证券对外签署的协议由国泰海通继续履行。
2025-04-08Expected Q1 2025 net profit attributable to parent of RMB 11.201-12.445 billion, up 350%-400% YoY; core net profit (excl. non-recurring) of RMB 2.973-3.383 billion, up 45%-65% YoY, mainly due to negative goodwill from the merger and improved core business competitiveness.预计2025年第一季度归母净利润112.01亿元至124.45亿元，同比增长350%至400%；扣非净利润29.73亿元至33.83亿元，同比增长45%至65%，主要因吸收合并产生负商誉及主营业务竞争力提升。
2025-04-11Guotai Haitong held a renaming and listing ceremony on the Shanghai Stock Exchange; the merged entity's total assets and net assets rank first in the domestic securities industry.国泰海通在上交所举行重组更名上市仪式，合并后总资产和净资产规模跃居国内证券行业第一。
2025-04-11Guotai Haitong signed strategic cooperation agreements with central enterprises, state-owned banks, foreign financial institutions, Shanghai financial enterprises, and tech companies, focusing on central-local cooperation, cross-border联动, and new quality productive forces.国泰海通与中央企业、国有银行、外资金融机构、在沪金融企业和科创企业签署战略合作协议，聚焦央地合作、跨境联动、新质生产力等主题。
2025-04-23Haitong Fund Management announced Xie Lebin, vice president of Guotai Haitong Securities, as new chairman, replacing Lu Ying who resigned due to work adjustment.海富通基金公告，国泰海通证券副总裁谢乐斌新任董事长，原董事长路颖因工作调整离任。
2025-04-25H-share Chinese stock abbreviation will change from 'Guotai Junan' to 'Guotai Haitong', and English abbreviation from 'GTJA' to 'GTHT', effective from 9:00 am on April 30, 2025.H股中文证券简称由“国泰君安”变更为“国泰海通”，英文简称由“GTJA”变更为“GTHT”，自2025年4月30日上午9时起生效。
2025-04-28Guotai Junan Asset Management appointed Tao Geng as chairman; Haitong Asset Management also appointed Tao Geng as chairman, signaling the merger of the two asset management subsidiaries is in early progress.国泰君安资管任命陶耿为董事长，海通资管也任命陶耿为董事长，标志着两家资管子公司合并事宜处于初期推进中。
2025-04-29Q1 2025 revenue RMB 11.773 billion, up 47.48% YoY; net profit attributable to parent RMB 12.242 billion, up 391.78% YoY, mainly due to negative goodwill from absorbing Haitong Securities.2025年第一季度营业收入117.73亿元，同比增长47.48%；归母净利润122.42亿元，同比增长391.78%，主要因吸收合并海通证券产生负商誉。
2025-05-30Guotai Haitong announced the formal dissolution of 33 duplicate branches of former Haitong Securities nationwide, with clients and staff migrated to corresponding local branches, completing branch consolidation after the merger.国泰海通公告正式撤销原海通证券在全国范围内重复存在的33家分公司，相关客户和人员迁移至属地分支机构，完成合并后的分支机构整合。
2025-06-03Guotai Haitong announced the cancellation of 33 former Haitong Securities branches, accelerating post-merger integration and branch optimization.国泰海通公告撤销33家原海通证券分公司，加速合并后整合与分支机构优化。
2025-07-21Guotai Haitong announced it will implement legal entity switch and customer/business migration of former Haitong Securities on August 22, 2025, after market close.国泰海通公告拟定于2025年8月22日日终清算后实施法人切换及原海通证券客户与业务迁移合并。
2025-07-25Guotai Haitong board approved the absorption merger of Shanghai Haitong Securities Asset Management by Shanghai Guotai Junan Securities Asset Management, the first券商资管 subsidiary merger in China.国泰海通董事会审议同意上海国泰君安证券资产管理有限公司吸收合并上海海通证券资产管理有限公司，为国内首例券商资管子公司合并。
2025-07-25Shanghai Guotai Junan Securities Asset Management changed its name to 'Shanghai Guotai Haitong Securities Asset Management Co., Ltd.'上海国泰君安证券资产管理有限公司更名为“上海国泰海通证券资产管理有限公司”。
2025-08-06Guotai Haitong's wholly-owned subsidiary Shanghai Guotai Junan Asset Management will absorb Haitong Asset Management, forming Shanghai Guotai Haitong Securities Asset Management Co., Ltd.国泰海通全资子公司上海国泰君安资管将吸收合并海通资管，新实体命名为上海国泰海通证券资产管理有限公司。
2025-08-18Guotai Haitong announced legal entity switch and customer/business migration from former Haitong Securities to Guotai Haitong, effective after September 12 close.国泰海通公告将于9月12日日终清算后实施法人切换及客户业务迁移，原海通证券法人主体切换为国泰海通。
2025-12-06CSRC Chairman Wu Qing stated that the landmark merger of Guotai Junan and Haitong Securities (now Guotai Haitong) has been smoothly completed, achieving a '1+1>2' effect.中国证监会主席吴清表示，国泰君安与海通证券（现国泰海通）的标志性合并已平稳落地，初步实现'1+1>2'的效果。
2025-12-06Zhu Jian, Chairman of Guotai Haitong Securities, was elected as President of the 8th China Securities Industry Association.国泰海通证券董事长朱健当选第八届中国证券业协会会长。
2026-01-19Guotai Haitong completed the integration of over 100 IT systems and migrated more than 20 million former Haitong Securities clients and related business data to its next-generation distributed core trading system, marking the completion of all major integration projects for the parent company.国泰海通完成上百套IT信息系统整合，将超2000万原海通证券客户及相关业务数据迁移至下一代分布式核心交易体系，标志着母公司全部重大整合工程完成。
2026-04-24Board approved the merger of alternative investment subsidiaries: Guojun Zhengyu to merge with Haitong Innovation; and the merger of private equity subsidiaries: Haitong Kaiyuan to merge with Guojun Innovation Investment. Post-merger, Haitong Kaiyuan will be renamed Guotai Haitong Kaiyuan Investment Co., Ltd.董事会审议通过另类投资子公司国君证裕与海通创新合并、私募投资子公司海通开元与国君创新投合并等议案。合并后海通开元更名为“国泰海通开元投资有限公司”。
2026-04-30Guotai Haitong Asset Management completed the absorption and merger of Haitong Asset Management, the first such case in the securities industry. All assets, liabilities, business, personnel, and qualifications of Haitong AM were transferred; Haitong AM will start the dissolution process.国泰海通资管与海通资管完成吸收合并交割，为证券行业首例券商资管吸收合并。海通资管全部资产、负债、业务、人员及资质由前者承继，海通资管将启动法人注销程序。
2026-04-30Guotai Haitong Asset Management and Haitong Asset Management signed a delivery agreement, completing the first industry case of a securities firm's asset management subsidiary absorption merger; Haitong Asset Management's assets, liabilities, business, personnel, contracts, qualifications, accounts and all rights and obligations were inherited by Guotai Haitong Asset Management from the delivery date.国泰海通资管与海通资管签署交割协议，完成行业首例券商资管公司吸收合并；自交割日起，海通资管全部资产、负债、业务、人员、合同、资质、账户及其他全部权利与义务均由国泰海通资管依法承继。
2026-05-06Guotai Haitong's board of directors approved a resolution to sell its 24.99% stake in Shanghai Securities to Orient Securities; Orient Securities will acquire 100% of Shanghai Securities through a combination of issuing A-shares and cash, with Guotai Haitong exchanging 18.74% for shares and 6.25% for cash.国泰海通董事会审议通过出售所持上海证券24.99%股权的议案；东方证券拟通过发行A股股份及支付现金方式购买上海证券100%股权，其中国泰海通以18.74%股权换取股份、6.25%股权换取现金。
2026-05-27Guotai Haitong advanced the merger and restructuring of its subsidiaries Haitong Futures and Guotai Junan Futures; Haitong Futures applied for delisting from the New Third Board, and Guotai Haitong plans to increase its stake in Haitong Futures by no more than 190 million yuan to protect minority shareholders; total assets of the two futures companies after integration are expected to exceed 278.7 billion yuan.国泰海通推进旗下海通期货与国泰君安期货合并重组；海通期货申请从新三板终止挂牌，国泰海通计划以不超过1.9亿元增持海通期货股票以保障中小股东利益；整合后两家期货公司总资产预计超过2787亿元。
2026-06-04Board approved a RMB 9 billion capital injection into Guotai Haitong Financial Holdings Co., Ltd. to boost international business and cross-border finance.董事会批准向国泰海通金融控股有限公司增资90亿元人民币，以推动国际化业务和跨境金融发展。
2026-06-04Board approved the cancellation of Shanxi Comprehensive Reform Demonstration Zone branch and its conversion into a securities business department.董事会批准取消山西转型综合改革示范区分公司，转型为证券营业部。
2026-06-10Decided to close three securities business departments: Chenzhou Qingnian Avenue, Shaoyang Xihu Road, and Yueyang Nanhu Avenue.决定撤销郴州青年大道、邵阳西湖路、岳阳南湖大道三家证券营业部。
2026-06-15Asset management subsidiary completed core management reshuffle: Ye Ming appointed as president, marking a new phase of post-merger integration.资管子公司完成核心管理层调整，叶明接任总裁，标志合并后整合进入新阶段。
Dividend distribution & shareholder returns分红派息与股东回报
7 · 2024-06-20 → 2026-06-18
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Annual and interim cash dividend declarations and implementation.年度和中期现金分红的宣告与实施。
2024-06-20Guotai Junan announced the 2023 annual dividend implementation plan: a cash dividend of 0.4 yuan per share (including tax), with a record date of June 27, 2024, and an ex-dividend date of June 28, 2024, totaling approximately 3.561 billion yuan.国泰君安公布2023年年度权益分派方案：每股派发现金红利0.4元（含税），股权登记日2024年6月27日，除权除息日2024年6月28日，共计派发现金红利约35.61亿元。
2024-07-01Guotai Junan announced a cash dividend distribution of approximately 3.561 billion yuan for the 2023 annual report, with a payout ratio of 38% of net profit attributable to shareholders.国泰君安公告2023年度派发现金红利约35.61亿元，占归母净利润比例为38%。
2025-07-21Guotai Haitong announced 2024 annual cash dividend of 0.28 yuan per share (tax incl.), with payment date July 28.国泰海通发布2024年度权益分派，每股派发现金红利0.28元（含税），现金红利发放日为7月28日。
2025-10-20Guotai Haitong announces 2025 semi-annual cash dividend: RMB 0.15 per share (tax included) on 14.008 billion shares, with record date October 27 and ex-dividend date October 28.国泰海通发布2025年半年度权益分派公告，每股派发现金红利0.15元（含税），股权登记日为10月27日，除权除息日为10月28日。
2026-05-22Guotai Haitong announced on the interactive platform that the 2025 profit distribution plan was approved by the shareholders' meeting on April 30, 2026, and will be implemented within 2 months; the shareholders' meeting also authorized the board to decide on the 2026 interim profit distribution plan, committing to multiple dividends per year and maintaining a high dividend ratio.国泰海通在互动平台表示，2025年度利润分配方案已于2026年4月30日经股东会审议通过，将在2个月内实施；股东会还授权董事会决定2026年中期利润分配方案，承诺坚持一年多次分红、保持高比例分红水平。
2026-06-08Announced 2025 annual cash dividend of RMB 0.50 per share (including interim), with payout ratio of 41% of recurring net profit, and committed to multiple dividends per year.宣布2025年度每股现金分红0.50元（含中期），占扣非净利润41%，承诺一年多次分红。
2026-06-18Announced 2025 annual rights implementation: RMB 0.35 per share (tax included), with record date on June 25.发布2025年年度权益分派实施公告，每股派0.35元（含税），股权登记日为6月25日。
Bond underwriting & ABS issuance债券承销与ABS发行
9 · 2024-07-29 → 2026-06-12
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Lead underwriting of corporate bonds, green bonds, blue bonds, ABS, and ABN for corporate and government clients.为企业和政府客户主承销公司债券、绿色债券、蓝色债券、ABS和ABN。
2024-07-29Guotai Junan acted as the lead underwriter and bookrunner for Guangdong Hengjian Investment Holding Co., Ltd.'s 10 billion yuan corporate bond issuance, the largest local state-owned enterprise corporate bond issuance since 2021.国泰君安担任广东恒健投资控股有限公司100亿元公司债券发行的牵头主承销商和簿记管理人，创2021年以来地方国企公司债最大发行规模。
2025-05-14Guotai Haitong acted as lead underwriter and bookrunner for Hegang Group's issuance of the first science and technology innovation perpetual corporate bond in Hebei province, raising RMB 1.5 billion at 2.55% with a 3+N year term.国泰海通担任河钢集团科技创新可续期公司债券（第一期）的牵头主承销商和簿记管理人，发行规模15亿元，票面利率2.55%，期限3+N年，为河北省首单科创债。
2025-05-27Shenzhen Stock Exchange provided transfer services for the 'Jinyuan-Guotai Haitong-Zhishicheng Group Kaiyuan Square Asset-Backed Special Plan' (priority tranche code 146401, maturity 2043), effective May 28.深交所为“金元-国泰海通-知识城集团开元广场资产支持专项计划”提供转让服务，优先级证券代码146401，到期日2043年4月30日，自2025年5月28日起生效。
2025-08-06Guotai Haitong acted as lead underwriter for Shanghai Changtu Leasing's 815 million yuan 'Two New' directional ABN, the first such product in China.国泰海通担任上海畅途租赁8.15亿元两新定向资产支持票据的牵头主承销商，为全国首单。
2026-03-05Guotai Haitong-Shengyuan Factoring Phase 1 Supply Chain ABS (7.38 billion yuan) is officially established.国泰海通-晟元保理第1期供应链资产支持专项计划（7.38亿元）正式成立。
2026-03-16Guotai Haitong, as lead underwriter, helps China Construction Capital issue a 2 billion yuan green corporate bond (3-year, 1.95% coupon), the largest public green bond this year.国泰海通作为牵头主承销商助力中建资本发行20亿元绿色公司债券（3年期，票面利率1.95%），为年内最大规模公募绿色公司债。
2026-03-24Guotai Haitong, as sole lead underwriter, helps Shandong New Energy issue a 500 million yuan blue bond (3-year, 1.87% coupon), the first blue bond in Shandong province.国泰海通作为独家主承销商助力山东新能源发行5亿元蓝色债券（3年期，票面利率1.87%），为山东省首单蓝色公司债券。
2026-05-28Guotai Haitong won the bid for the 2026 non-public bond underwriting service of Lu'an Industrial Investment Development Co., Ltd., with a winning bid amount of 2.01 million yuan.国泰海通中标六安市产业投资发展有限公司2026年非公开发行债券承销服务项目，中标金额201.00万元。
2026-06-12As general coordinator and sales institution, helped Shanghai Pudong Development Group issue a green asset-backed special plan for rental housing (REITs-like) on the Shanghai Stock Exchange.作为总协调人和销售机构，助力浦开集团在上交所发行保障性租赁住房绿色资产支持专项计划。
Credit rating & outlook changes信用评级与展望变化
2 · 2024-09-11 → 2025-08-01
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S&P affirmation of credit ratings and revision of outlook on Brazilian subsidiary.标普确认信用评级及调整巴西子公司展望。
2024-09-11S&P affirmed Guotai Junan Securities and its subsidiary Guotai Junan International's 'BBB+' long-term and 'A-2' short-term issuer credit ratings.标普确认国泰君安证券及其子公司国泰君安国际的'BBB+'长期发行人信用评级和'A-2'短期发行人信用评级。
2025-08-01S&P revised outlook on Haitong Banco de Investimento do Brasil to negative from stable, citing uncertainty over strategic fit after Guotai Haitong merger.标普将海通银行巴西的展望从稳定调整至负面，因国泰海通合并后战略契合度存在不确定性。
SFISF (Securities, Fund and Insurance Company Swap Facility) participationSFISF（证券、基金、保险公司互换便利）参与
6 · 2024-10-18 → 2025-01-02
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Participation in the PBOC swap facility, including bond lending, repo, and stock purchase transactions.参与央行互换便利，包括债券借贷、回购和股票购买交易。
2024-10-18Guotai Junan received a no-objection letter from the China Securities Regulatory Commission (CSRC) to participate in the Securities, Fund, and Insurance Company Swap Facility (SFISF).国泰君安收到中国证监会复函，对其参与证券、基金、保险公司互换便利（SFISF）无异议。
2024-10-21Guotai Junan signed a Bond Lending Agreement with China Bond Credit Enhancement Co., Ltd. and completed the first pledge operation for SFISF, using a basket of stocks as collateral. It expects to conduct stock purchases with SFISF funds within the week.国泰君安与中债信用增进公司签署《债券借贷协议》，完成互换便利首次质押操作手续，首批质押资产为一揽子股票组合，预计本周内可开展增持股票交易。
2024-10-22Guotai Junan completed the first national treasury bond swap transaction under the SFISF program, the first such transaction in the market.国泰君安完成互换便利全市场首单国债换入交易。
2024-10-23Guotai Junan completed the first batch of national treasury bond pledged repo transactions under SFISF, using treasury bonds borrowed via the swap facility as collateral.国泰君安完成互换便利下全市场首批国债质押式回购交易，质押券为互换便利操作借入的国债。
2024-10-24Guotai Junan completed its first stock purchase transaction using borrowed funds from the SFISF facility.国泰君安利用互换便利借贷资金顺利完成增持股票的首笔交易。
2025-01-02Guotai Junan won the second batch of PBoC securities swap facility (SFISF) with a bid rate of 10bp, exchanging for central bank bills; the quota significantly exceeded the first batch.国泰君安中标央行第二批互换便利操作，费率为10bp，换入央票，额度大幅超过首批。
Regulatory approvals & licenses (CSRC, SSE, HKEX)监管批准与牌照（证监会、上交所、港交所）
2 · 2024-11-01 → 2025-08-13
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Obtaining approvals for bond issuance, merger, cross-boundary pilot, and membership changes from regulators.从监管机构获得债券发行、合并、跨境试点及会员变更的批准。
2024-11-01Guotai Junan Securities becomes one of the first batch of pilot securities firms to participate in the Cross-boundary Wealth Management Connect in the Greater Bay Area, partnering with Guotai Junan International to serve cross-border investment needs.国泰君安证券成为首批试点参与'跨境理财通'的证券公司之一，携手国泰君安国际服务大湾区居民跨境投资需求。
2025-08-13Shanghai Gold Exchange approved Guotai Haitong to succeed the former Haitong Securities membership, granting access to China's largest gold trading platform.上海黄金交易所同意国泰海通承继原海通证券会员资格，获得中国最大黄金交易平台入场券。
Digital tools & branch deployment数字化工具与网点部署
1 · 2025-03-28
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Launch of 'OneLink·BaiShiTong' PAD intelligent exhibition terminal for investment advisors across branches.推出“OneLink·百事通”PAD智能展业终端并部署至全国网点。
2025-03-28Guotai Junan launched 'OneLink·BaiShiTong' PAD intelligent exhibition terminal for investment advisors, deployed in over 500 devices across 30 branches nationwide.国泰君安推出“OneLink·百事通”PAD智能展业终端，已在全国30家分公司超500台设备规模化落地。
Share buyback program (post-merger)股份回购计划（合并后）
12 · 2025-04-08 → 2025-08-15
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A-share buyback program approved and executed to maintain company value and shareholder interests.为维护公司价值和股东利益而批准并执行的A股回购计划。
2025-04-08Chairman Zhu Jian proposed a share buyback of A-shares worth RMB 1-2 billion via centralized竞价 trading, for maintaining company value and shareholder interests, with price cap at 150% of 30-day average before board resolution.董事长朱健提议公司通过集中竞价交易方式回购A股股份，资金总额10亿元至20亿元，用于维护公司价值及股东权益，回购价格上限为董事会决议前30个交易日均价的150%。
2025-04-09Board approved share buyback plan: up to RMB 2 billion, price cap at RMB 26.35/share, duration up to 3 months, using自有资金; no减持 plans from directors, supervisors, senior management or 5%+ shareholders in next 3-6 months.董事会审议通过回购方案：回购金额不超过20亿元，价格上限26.35元/股，期限不超过3个月，资金来源为自有资金；董监高及持股5%以上股东未来3-6个月无减持计划。
2025-04-10First buyback executed: 300,350 A-shares (0.017% of total) repurchased at prices between RMB 16.49-16.72/share, total cost RMB 5.00036 million.首次回购A股股份300,350股，占总股本0.017%，购买价格区间16.49-16.72元/股，支付总金额500.036万元。
2025-05-06Guotai Haitong announced the progress of its A-share share buyback: as of April 30, 2025, it had repurchased 16,923,800 shares (0.096% of total share capital) at a total cost of RMB 284.13 million, with a buyback plan of RMB 1-2 billion over 3 months.国泰海通公告A股回购进展：截至2025年4月30日，已累计回购16,923,800股（占总股本0.096%），总金额2.84亿元，回购计划规模10-20亿元，期限3个月。
2025-05-28Guotai Haitong repurchased 592,000 A-shares on the SSE on May 28 at a total cost of RMB 10.213 million, with prices ranging from RMB 17.24 to 17.27 per share.国泰海通于2025年5月28日在上交所回购A股59.2万股，总金额1021.3万元，回购价格区间17.24-17.27元/股。
2025-06-04Guotai Haitong disclosed a share buyback plan: up to RMB 2 billion, price cap RMB 26.35/share, approved by board on April 9, 2025.国泰海通披露回购方案：资金上限20亿元，价格上限26.35元/股，董事会于2025年4月9日批准。
2025-06-04As of May 31, 2025, Guotai Haitong had repurchased 32,488,440 A-shares via centralized bidding, representing 0.1843% of total shares.截至2025年5月31日，国泰海通通过集中竞价已累计回购A股32,488,440股，占总股本0.1843%。
2025-06-16Guotai Haitong repurchased 2 million A-shares on June 16, 2025, for RMB 36.59 million, at prices between RMB 18.22 and 18.40.国泰海通于2025年6月16日回购200万股A股，金额3659万元，价格区间18.22-18.40元。
2025-06-30Guotai Haitong repurchased 2.08 million A-shares on June 30, 2025, for RMB 39.78 million, at prices between RMB 19.06 and 19.18.国泰海通于2025年6月30日回购208万股A股，金额3978万元，价格区间19.06-19.18元。
2025-07-01Guotai Haitong completed A-share buyback of 59.22 million shares (0.3359% of total) for 1.051 billion yuan, price range 16.49-19.18 yuan/share.国泰海通完成A股回购5922.44万股（占总股本0.3359%），耗资10.51亿元，价格区间16.49-19.18元/股。
2025-07-09Guotai Haitong completed A-share buyback of 67.52 million shares (0.383% of total) for 1.211 billion yuan, price range 16.49-19.57 yuan/share.国泰海通完成A股回购6751.68万股（占总股本0.383%），耗资12.11亿元，价格区间16.49-19.57元/股。
2025-08-15Guotai Haitong repurchased 780,000 shares via private arrangement for 4.34 million yuan.国泰海通通过私人安排回购78万股，金额434万元。
Subsidiary capital injection & restructuring子公司增资与重组
3 · 2025-05-27 → 2026-04-08
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Capital increases to futures and financial holdings subsidiaries, and restructuring of asset management and futures entities.对期货和金融控股子公司增资，以及资管和期货实体的重组。
2025-05-27Guotai Haitong's board approved a RMB 1.5 billion capital increase to Guotai Junan Futures Co., Ltd. to supplement net capital, to be executed in installments based on actual funding needs.国泰海通董事会审议通过向国泰君安期货有限公司增资15亿元，用于补充净资本，将根据实际资金需求分次办理。
2026-03-06Guotai Haitong board approves a 3.5 billion yuan capital increase for Guotai Junan Futures to supplement net capital.国泰海通董事会批准向国泰君安期货增资35亿元，用于补充净资本。
2026-04-08Subsidiary Guotai Junan Futures increased its registered capital from RMB 6 billion to RMB 7 billion (approx. 17% increase).子公司国泰君安期货注册资本由60亿元增至70亿元，增幅约17%。
ETF agency & credit line agreementsETF代理与授信协议
2 · 2025-06-04 → 2025-06-06
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Addition as ETF subscription/redemption agent and approval of comprehensive credit line by Shanghai Pudong Development Bank.被新增为ETF申购赎回代理机构及浦发银行批准综合授信额度。
2025-06-04China Asset Management added Guotai Haitong as a subscription/redemption agent for certain SSE and SZSE ETFs, effective June 4, 2025.华夏基金自2025年6月4日起新增国泰海通为部分上交所和深交所ETF的申购赎回代办证券公司。
2025-06-06Shanghai Pudong Development Bank approved a RMB 120 billion comprehensive credit line for Guotai Haitong for 3 years, classified as a related-party transaction.浦发银行批准向国泰海通核定1200亿元综合授信额度，期限3年，构成关联交易。
Joint ventures & overseas acquisitions合资公司与海外收购
2 · 2025-06-17 → 2025-11-17
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Joint establishment of Shanghai Guozhi Technology and approval of overseas subsidiary's acquisition of Indonesian securities firm.共同设立上海国智科技及批准海外子公司收购印尼证券公司。
2025-06-17Guotai Haitong, China Pacific Insurance, and others jointly established Shanghai Guozhi Technology Co., Ltd. with registered capital of RMB 1 billion, covering AI and cloud services.国泰海通、中国太保等共同出资10亿元成立上海国智技术有限公司，业务涵盖人工智能和云计算。
2025-11-17Guotai Haitong's 7th Board of Directors 8th meeting (extraordinary) approved a resolution on its overseas subsidiary's acquisition of an Indonesian securities company.国泰海通第七届董事会第八次会议（临时会议）审议通过了关于公司境外子公司收购印尼证券公司的议案。
Donations & corporate social responsibility捐赠与企业社会责任
1 · 2025-11-28
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Emergency donation of 10 million HKD to support Hong Kong disaster relief and reconstruction.紧急捐赠1000万港元支持香港应急救灾及灾后重建。
2025-11-28Guotai Haitang, together with its subsidiaries Guotai Junan International, Haitong International, and Haitong Hengxin, urgently donated 10 million HKD to support Hong Kong's emergency disaster relief, victim resettlement, and post-disaster reconstruction.国泰海通携子公司国泰君安国际、海通国际、海通恒信紧急捐赠1000万港元，专项用于支持香港地区的紧急救灾、受灾群众安置及后续重建等工作。
Post-merger integration & branch consolidation合并后整合与分支机构优化
2 · 2026-01-08 → 2026-04-28
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Closing and merging of duplicate branches, legal entity and client migration, and system integration following the merger.合并后关闭和整合重复分支机构，进行法人实体和客户迁移以及系统整合。
2026-01-08Guotai Haitong Securities decided to close its Sanya Yuechuan Zhonglu securities business outlet.国泰海通证券决定撤销三亚月川中路证券营业部。
2026-04-28Decided to close two securities branches: Zaozhuang Guangming West Road and Dongying Fuqian Avenue, to optimize the branch network layout.决定撤销枣庄光明西路证券营业部和东营府前大街证券营业部，以优化营业网点布局。
Procurement & service contracts采购与服务合同
3 · 2026-02-26 → 2026-04-23
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Procurement announcements for advertising, property management, and maintenance services.广告、物业管理及维护服务的采购公告。
2026-02-26Guotai Haitong Securities issued a procurement announcement for 2026 high-speed train naming rights and station advertising.国泰海通证券发布2026年高铁列车冠名与站内广告投放采购项目公告。
2026-02-26Guotai Haitong Securities issued a procurement announcement for property management services at Beijing Jinyi Building.国泰海通证券发布北京金益大厦项目管理服务采购项目竞争性磋商公告。
2026-04-23Won a bid for the 2026 storage and dedicated equipment maintenance service procurement project of Guotai Haitong Securities, with a winning amount of RMB 1.71 million, awarded to Ronglian Technology Group Co., Ltd.国泰海通2026年存储及专用设备维保服务采购项目由荣联科技集团股份有限公司中标，中标金额171万元。
Regulatory & legal incidents监管与法律事件
2 · 2026-02-26 → 2026-03-12
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Stock price decline, SFC/ICAC search warrants at Guotai Junan International, and employee detention.股价下跌、香港证监会及廉政公署搜查国泰君安国际并拘留员工。
2026-02-26Guotai Haitong stock fell 2.07% to 18.97 yuan, down for 7 consecutive days with a cumulative decline of 6.04%.国泰海通股价跌2.07%，报18.97元，连续7天下跌，区间累计跌幅6.04%。
2026-03-12Hong Kong SFC and ICAC execute search warrants at Guotai Junan International's premises; one employee detained by ICAC. Guotai Haitong says no material impact on operations.香港证监会及廉署持搜查令到访国泰君安国际营业地点，一名员工被廉署带走；国泰海通称不影响经营。
Wealth management product sales理财产品销售
2 · 2026-03-17 → 2026-04-23
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Sales of principal-guaranteed floating-income wealth management products to corporate clients.向企业客户销售保本浮动收益型理财产品。
2026-03-17Eastroc Beverage's subsidiary subscribes to 250 million yuan of wealth management products from Guotai Haitong.东鹏饮料全资子公司向国泰海通认购2.5亿元理财产品。
2026-04-23Qianhe Weiye Co., Ltd. purchased a principal-guaranteed floating-income wealth management product (Guotai Haitong Ruibo series) from Guotai Haitong Securities for RMB 50 million, with a term from 2026-04-22 to 2027-04-21.千禾味业使用5000万元闲置自有资金向国泰海通证券购买“国泰海通证券睿博系列全天候指数26106号收益凭证”，期限2026年4月22日至2027年4月21日。
Winning bids for underwriting & advisory承销与顾问中标
1 · 2026-04-08
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Won bid for non-public issuance of exchangeable corporate bonds project of China Shipbuilding Industry Corporation No.725 Research Institute.中标中船重工第七二五研究所非公开发行可交换公司债券项目。
2026-04-08Won a bid for the 2026 non-public issuance of exchangeable corporate bonds project of China Shipbuilding Industry Corporation No.725 Research Institute (Luoyang Ship Material Research Institute), with a winning amount of RMB 1.02 million.中标中国船舶重工集团公司第七二五研究所（洛阳船舶材料研究所）2026年非公开发行可交换公司债券项目，中标金额102万元。
