Mission Statement, Vision, & Core Values (2026) of Northeast Securities Co., Ltd.

Founded on August 24, 1988 and headquartered in Changchun, Northeast Securities Co., Ltd. (000686.SZ) has evolved into a multifaceted financial services firm offering wealth management, institutional services, investment banking, asset management, securities brokerage and more, while committing to a client-centric mission that emphasizes tailored solutions, integrity and sustainability; the company has allocated approximately ¥1 billion to digital transformation, invested ¥300 million in employee training in 2023 to drive a targeted 10% increase in employee satisfaction by 2024, set a goal to boost customer satisfaction by 5% by the end of 2024, plans to cut carbon emissions by 20% over the next five years, and expanded internationally into Vietnam, India and Brazil in 2023 with an aim of achieving ¥2 billion in revenue contribution by 2025-anchored by core values of Integrity, Innovation, Customer Focus, Sustainability and Collaboration

Northeast Securities Co., Ltd. (000686.SZ) - Intro

• Securities brokerage and trading - nationwide retail and institutional execution, margin trading and securities lending.
• Investment banking - underwriting, sponsorship, M&A advisory, and capital markets origination.
• Asset management - public and private funds, segregated mandates, and alternative investments (including private equity and credit).
• Credit and fixed income - corporate credit products, bond-pledged repo, repurchase trading and private debt origination.
• Research, consulting and direct investment - sector research, proprietary trading, equity investment and OTC derivatives.
• Digital transformation - trading platforms, client portals, and fintech integration to improve operational efficiency and client experience.

• Mission: To provide comprehensive, trustworthy financial services that enable clients to achieve asset growth and financial security while contributing to the sustainable development of capital markets in China.
• Vision: To be a nationally respected, innovation-driven full-service securities firm with expanding international capabilities and exemplary client service standards.
• Core Values:
  • Integrity - transparent, compliant operations and fiduciary responsibility.
  • Client-centricity - product and service design focused on measurable client outcomes.
  • Innovation - continuous investment in digital platforms, data analytics and product engineering.
  • Professionalism - rigorous research, risk control and talent development.
  • Long-termism - sustainable growth, responsible investment and prudent risk management.

Northeast Securities Co., Ltd. (000686.SZ) - Overview

• Deliver exceptional, tailored financial services that meet the diverse needs of retail, institutional, and corporate clients.
• Adopt a client-centric model that anticipates needs and provides customized solutions across brokerage, investment banking, asset management, and wealth management.
• Invest in technological innovation-trading systems, risk platforms, and digital client interfaces-to improve client experience and operational efficiency.
• Uphold integrity and transparency in compliance, disclosures, and fiduciary responsibilities.
• Embed sustainability into business operations through ESG-oriented products, green-finance initiatives, and corporate social responsibility programs.
• Pursue continuous domestic and selective international expansion to strengthen market presence.

• Client-Centric Service: segment-based KPIs (client retention, assets under management growth, net new assets).
• Technology & Innovation: percentage of operating budget allocated to IT and digital transformation, platform uptime, and trade execution latency improvements.
• Compliance & Governance: regulatory capital ratios, internal audit coverage, and transparency metrics for disclosures.
• Sustainability: ESG product issuance volume, reduction targets for operational carbon footprint, and CSR program reach.
• Growth & Expansion: market share targets in equities brokerage, ranking in underwriting league tables, and cross-border business metrics.

• Integrated client portals and mobile platforms to personalize advisory services and streamline onboarding.
• Enhanced data analytics and AI for credit assessment, market research, and portfolio optimization.
• Strengthened compliance frameworks with real-time monitoring and tighter internal controls.
• Expanded ESG product suite-green financing, ESG-themed funds, and sustainability-linked financing structures.
• Targeted expansion of institutional services and selective international partnerships to capture cross-border capital flows.

• Client satisfaction and Net Promoter Score (NPS)
• Year-over-year AUM growth and client acquisition rates
• Operating income split and margin improvements by business line
• IT uptime, incident response time, and automation percentage of manual processes
• Volume/value of ESG-related transactions and documented emissions reductions

Northeast Securities Co., Ltd. (000686.SZ) - Mission Statement

• Deliver comprehensive brokerage, investment banking, asset management and wealth-management solutions with integrity and client-centricity.
• Leverage technology and data to create seamless, secure, and personalized client journeys.
• Embed sustainability and responsible practices into core operations and investment offerings.
• Expand responsibly into international markets to diversify revenue and service footprints.
• Invest in employees to build expertise, retention, and a performance-driven culture.

Vision Statement

• Digital transformation: committing approximately ¥1,000,000,000 in strategic technology investments to enhance client experience and operational efficiency.
• Customer satisfaction: targeting a 5% increase in customer satisfaction rating by end-2024 through improved products, digital channels, and service quality metrics.
• Sustainability: planning a 20% reduction in carbon emissions over the next five years via energy efficiency, green procurement, and offset strategies.
• International expansion: entered Vietnam, India, and Brazil in 2023 with a target of ¥2,000,000,000 in revenue contribution from these markets by 2025.
• Employee development: invested ¥300,000,000 in training programs in 2023, aiming for a 10% uplift in employee satisfaction by 2024.

• Operational focus: reduce process friction, automate compliance workflows, and adopt cloud-native infrastructures funded within the ¥1 billion digital program.
• Client focus: roll out client segmentation analytics and omnichannel servicing to reach the 5% satisfaction uplift target by 2024.
• ESG focus: integrate sustainability metrics into product offerings and corporate operations to meet the 20% emissions reduction objective over five years.
• Growth focus: scale presence and product distribution in Vietnam, India, and Brazil to achieve the ¥2 billion international revenue target by 2025.
• People focus: deploy the ¥300 million training cohort programs (technical, compliance, client advisory) to lift employee engagement by 10% in 2024.

Northeast Securities Co., Ltd. (000686.SZ) - Vision Statement

• Integrity: Maintain transparent governance, compliant operations and ethical conduct to preserve stakeholder trust.
• Innovation: Invest in fintech, data analytics and digital channels to enhance product breadth and execution speed.
• Customer Focus: Anticipate client needs across wealth management, investment banking and brokerage to deliver tailored solutions.
• Sustainability: Integrate environmental, social and governance (ESG) considerations into risk management, investment advisory and corporate practices.
• Collaboration: Build strategic alliances with domestic and international partners and foster cross‑department teamwork.
• Excellence: Pursue superior operational performance, professional development and service quality standards.

The vision is operationalized through measurable targets and performance indicators that align with the core values. Key strategic pillars include digital transformation, expansion of fee-based businesses, strengthening risk control, and embedding ESG into product and corporate decision-making.

To translate values into action, Northeast Securities links incentives, resource allocation and governance oversight directly to the core values:

• Integrity - strengthened internal controls, independent compliance committee and transparent disclosures in quarterly and annual reports.
• Innovation - dedicated R&D and digital investment budget, pilot fintech labs and partnerships with technology vendors and universities.
• Customer Focus - segmented client service models, enhanced CRM analytics and expanded advisory teams for high-net-worth and institutional clients.
• Sustainability - ESG integration in underwriting and asset management, corporate philanthropy, and a roadmap to reduce operational carbon intensity.
• Collaboration - cross-business product teams, joint ventures and inter-departmental KPIs to encourage shared accountability.
• Excellence - continuous training programs, professional certifications for staff and performance frameworks tied to client outcomes.

Performance against the vision is tracked using balanced scorecards that combine financial KPIs (revenue growth, ROE, cost-to-income), client metrics (satisfaction, retention, AUM growth), operational measures (system uptime, trade execution times) and sustainability indicators (emissions intensity, green financing volumes).

Stakeholder engagement and transparency are central: Northeast Securities communicates progress through mandatory disclosures, investor presentations and targeted client reporting. For deeper financial context and analysis, see: Breaking Down Northeast Securities Co., Ltd. Financial Health: Key Insights for Investors