China Construction Investment Corporation (International) Limited (CCIC International) was established in 1997. Today, CCIC International and its subsidiaries provide a full suite of financial services, including investment banking, equities, fixed income, wealth management, asset management, private equity and research. 

With in-depth knowledge of the Hong Kong market, CCIC International plays an active role in engaging in market reform and innovation, and maintains close links with stakeholders in the financial and business communities.

China Construction Investment Corporation Hong Kong Securities Limited (CCICHKS) has worked on many IPOs on the Hong Kong Stock Exchange, carried out numerous cross-border A+H dual listings, and participated in local and international capital market transactions for companies in mainland China, Hong Kong and overseas.

CCICHKS also provides sales and trading as well as research services to global institutional investors. The volume of shares it has traded in the Stock Connect has grown significantly, and it has maintained the leading position over the past few years. 

To view the documents for Equities, please click the relevant link:

Appendix 12_CCIC Institutional PI Professional Investor Notice_(Eng)        

Appendix 13_CCIC Non-Exempt CPI IPI Professional Investor Notice_(Eng)        

Appendix 14_CCIC Client Identity Rule Schedule_(Eng)        

Appendix 15ST_CCIC Cash Terms of Business(Eng) (Clean)        

Appendix 15STM_CCIC Margin Terms of Business       

Appendix 17_CCIC Electronic Trading System Schedule (Securities)_(Eng)        

Appendix 18_CCIC Explanation of Risks for Listed Derivatives in Hong Kong and Overseas_(Eng)        

Appendix 19_CCIC Provision of Services in Products Denominated or Settled in RMB_(Eng)        

Appendix 31_Professional Investor Reminder Notice (One-Way) (for Non-Exempt CPI and IPI Clients)_(Eng)       

Appendix 31(A)_Corporate Professional Investor Reminder Notice (One-Way) (for Exempt CPI Clients)_(Eng)        

Appendix 33ST_Schedule of Transaction Related Information Disclosure (clean)        

CCIC Best Execution Policy_Dec2019       

EQ - Stock Connect Terms (21 Sept 18) - Final - BCAN        

EQ - A37211769 v3 1 CCIC_China Connect BCAN Supplement_TOB_Amendment - 1          

Notice on Legal Entity Identifiers       

OTCD Risk Disclosure        

ST6 - eStatement Risk Disclosure Schedule Feb 2011(final)        

ST7 - eTrade Confirmation Risk Disclosure Schedule Feb 2011 (final)

To view the documents for Fixed Income, please click the relevant link:

Appendix 14_CCIC Client Identity Rule Schedule_(Eng)        

Appendix 15_Terms of Business - May 2022 update        

Appendix 17_CCIC Electronic Trading System Schedule (Securities)_(Eng)       

Appendix 19_CCIC Provision of Services in Products Denominated or Settled in RMB_(Eng)       

Appendix 20_Client Facilitation Letter (Order Handling and Execution Information)_(Eng) (November 2016)        

Appendix 33ST_Schedule of Transaction Related Information Disclosure (clean)       

Appendix 39_FI_HKIDR and OTCR_english_final       

CCIC Best Execution Policy_Dec2019        

ST6 - eStatement Risk Disclosure Schedule Feb 2011(final)

To view the documents for Wealth Management, please click the relevant link:

Schedule A \250C Terms And Conditions For Wealth Management Services - Clean - ENG       

Schedule C \250C Risk Disclosure Schedule - Clean Version - ENG      

 Schedule E - Personal Data (Privacy) Schedule - Clean - ENG      

 Schedule F - Client Identity Rule Schedule - Clean - ENG       

Schedule G - Best Execution Policy - Clean - ENG        

Schedule H - Schedule of Transaction Related Information Disclosure \250C Wealth Management Services - Clean - ENG        

Schedule I - Explanation of risks for listed derivatives in HK & Overseas Markets (April 2022) - Clean - ENG       

Schedule K - Provision of Services In Products Denominated Or Settled in Renminbi - Clean - ENG        

Schedule L - WM_BCAN consent and notification form for HKIDR and NB trading - Clean - ENG       

Schedule M - Electronic Trading System Notice - Clean - ENG        

Appendix 12_CCIC Institutional PI Professional Investor Notice_(Eng)       

Appendix 13_CCIC Non-Exempt CPI IPI Professional Investor Notice_(Eng)       

Appendix 13(A)_CCIC Exempt CPI Professional Investor Notice_(Eng)        

Notice on Legal Entity Identifiers

CCIC US Securities, Inc. (CCIC US Securities) opened an office in New York in 2009, followed by San Francisco in 2017. As an SEC-registered broker-dealer and a member of the Financial Industry Regulatory Authority (FINRA), CCIC US Securities is the hub for CCIC's business and operation in the United States.

CCIC US Securities provides M&A and corporate finance advisory services, distributes third party affiliate research reports, produces and distributes research in its own name, and provides equity sales and trading services to institutional investors. 

In 2010, it became the first Chinese brokerage firm to provide services for securities listed on the US exchanges. Today, it is still the leading provider in this area. 

In recent years, it has advised on several prominent Chinese-US cross-border M&A transactions. For example, in 2017, CCIC acquired a majority stake in Krane Funds Advisors, LLC (KraneShares), a New York-based asset management firm best known for its China-focused KraneShares exchange traded funds (ETFs) and China investment strategies. 

*Note: the CCIC U.S. Securities logo is a trademark of China Construction Investment Corporation Limited

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

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

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

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

China Construction Investment Corporation (Singapore) Pte. Limited (CCIC Singapore) was incorporated in July 2008. It is a holder of the Capital Markets Services License regulated by the Monetary Authority of Singapore and a securities trading member of Singapore Exchange Securities Trading Limited. It is also the hub for CCIC’s businesses and operations in South and Southeast Asia, primarily focusing on sales, trading and investment banking. 

Since its inception, CCIC Singapore has had a strong track record in both the primary and secondary capital markets. In 2009, CCIC assisted Global Logistic Properties (GLP)’s US$3 billion IPO on the Singapore Stock Exchange, which was at that time, the largest IPO in Singapore since 1993 and the largest in the world’s real estate sector. In 2014, CCIC Singapore acted as the sole financial advisor to China Mobile in its subscription of an 18% interest in True Corporation PCL of Thailand. The transaction was valued at approximately US$ 900 million, which was the largest outbound M&A transaction completed by a Chinese telecommunication operator since 2010.

CCIC Singapore has also been active in providing advisory services for cross-border deals. In 2017, it was involved in the privatizations of GLP and CWT in Singapore, and in 2018, it assisted GO-JEK Indonesia’s US$1.5 billion private placement, the largest single-round financing of a technology player in Southeast Asia.

China Construction Investment Corporation (UK) Limited (CCIC UK) was established in 2009 and is authorised and regulated by the UK Financial Conduct Authority.

CCIC UK provides a central platform that facilitates cross-border investment and financing activities for institutional clients from Europe that do business with China, and from China seeking investment and financing opportunities in Europe.

CCIC UK is the first Chinese member of the London Stock Exchange and the SIX Swiss Exchange. It is also the first Chinese investment bank member of the Frankfurt Stock Exchange and the first Chinese listing and trading member of the Luxembourg Stock Exchange. In 2018, CCIC UK was approved by the Shanghai Stock Exchange as the first UK Global Depositary Receipts (GDR) cross-border conversion institution under the Shanghai-London Stock Connect scheme. In 2022, CCIC UK became the first GDR cross-border conversion institution approved by both the Shanghai Stock Exchange and Shenzhen Stock Exchange for the UK, Swiss and German markets under the expanded Stock Exchange schemes. 

CCIC UK will continue to bear the core value of “Chinese Roots and International Reach” and provide quality financial services to its clients.

Financial disclosures for CCIC UK 

To view CCIC UK tax strategy, please click the following link:

CCIC UK Tax Strategy

China Construction Investment Corporation (Europe) GmbH (CCIC Europe) was established in Frankfurt in 2018. Formerly known as CCIC Deutschland GmbH, CCIC Europe provides cross border M&A and capital markets advisory services to support European companies expanding their business in China and Chinese clients seeking cross-border investment opportunities and potential investors in Europe.

Since its establishment, CCIC Europe has strengthened the financial and commercial ties between Europe and China, and accomplished a stable & steady growth trajectory. CCIC Europe has a team of multilingual and multicultural professionals who serve both European and Chinese clients efficiently to help them achieve their business goals.

CCIC established its Japan subsidiary, China Construction Investment Corporation (Japan) Limited (CCIC Japan), in April 2020. Headquartered in Tokyo, CCIC Japan provides China equities and bonds services to institutional investors, and corporate advisory services. 

After registered as Type I financial instruments business operator at Kanto Local Finance Bureau in March 2021, CCIC Japan became a member of the Japan Securities Dealers Association in April 2021.