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

Founded in 2004 and listed on the Shanghai Stock Exchange as 601099, The Pacific Securities Co., Ltd. has grown into a multifaceted financial services firm-covering securities brokerage, investment banking, asset management, credit business and securities investment-anchored by a mission to deliver professional, ethical and technologically advanced solutions that create measurable value for clients and stakeholders; with a market capitalization of approximately CNY 28.15 billion and 6.82 billion shares outstanding as of December 12, 2025, and reporting CNY 1.49 billion in revenue and CNY 329.42 million in net income for FY2024, Pacific Securities pairs a client-centric vision of domestic and international expansion and fintech leadership with core values of integrity, innovation, excellence, collaboration and sustainability to drive long-term, risk-aware growth.

The Pacific Securities Co., Ltd (601099.SS) - Intro

• Deliver professional, compliant and innovative securities and wealth-management solutions that protect client assets and create long-term value.
• Support China's economic transformation through capital market services that enable corporate financing, M&A, and institutional asset allocation.
• Maintain disciplined risk management and regulatory compliance while pursuing sustainable profit growth for stakeholders.

• Be a leading mid‑to‑large Chinese securities firm recognized for execution quality in investment banking, asset management and brokerage services.
• Leverage technology and product innovation to expand market share in institutional brokerage, credit services and discretionary asset management.
• Create an ecosystem that integrates trading, research, investment banking and private wealth to serve retail, corporate and institutional clients.

• Integrity - strict adherence to regulatory standards and transparent client dealings.
• Client Centricity - aligning products and advice with client objectives and risk tolerance.
• Professionalism - investment research, deal execution and portfolio management with institutional rigor.
• Innovation - applying fintech and data analytics to improve service efficiency and product reach.
• Stewardship - prudent capital allocation and long-term value creation for shareholders and society.

• Securities brokerage - retail and institutional trading services, electronic trading platforms and margin financing.
• Credit business - margin loans, securities-backed lending and repo activities supporting market liquidity and client leverage.
• Securities investment - proprietary and principal investments across equities, fixed income and alternative assets.
• Investment banking - ECM/DFM, underwriting, M&A advisory and structured financing for corporates.
• Asset management - mutual funds, discretionary mandates, and institutional asset-servicing solutions.

• Increase asset management AUM and retail client assets through new fund launches and digital distribution channels - target AUM growth of mid‑teens annually (management objective).
• Improve brokerage commission and margin financing yield while controlling credit losses - aim to raise fee income contribution and maintain NPL ratios within regulatory tolerance.
• Scale investment banking fees via ECM/IPO underwriting and M&A advisory in high growth sectors - pursue top‑tier mandates to lift advisory revenue share.
• Enhance operational efficiency through IT investment and process automation to reduce cost‑to‑income ratio over a 3‑year horizon.

• Robust compliance function aligned with China Securities Regulatory Commission (CSRC) rules, with periodic internal audits and AML controls.
• Prudent market‑risk limits and credit concentration caps for margin lending and proprietary positions.
• Capital management to meet regulatory capital adequacy and to support business expansion; dividend and buyback policy balanced with capital buffer requirements.

• Integrate ESG considerations into investment research and fund product offerings to meet institutional and retail demand.
• Employee development programs to attract and retain licensed securities professionals and research analysts.
• Transparent disclosure practices in annual and interim reports to improve investor trust and governance metrics.

The Pacific Securities Co., Ltd (601099.SS): Overview

• Mission Statement: Uphold the highest standards of professionalism and ethics to deliver optimal outcomes for clients and stakeholders.
• Technology & Talent: Leverage advanced fintech platforms and a skilled workforce to enhance execution, research, and risk management.
• Product & Innovation: Integrate innovative financial products and structured solutions to improve investment performance and diversify client offerings.
• Client Service Excellence: Focus on delivering exceptional value, responsiveness, and customised advisory services.
• Financial Strength: Maintain a resilient balance sheet and sufficient capital buffers to support market-making, underwriting, and proprietary activities.
• Continuous Improvement: Embed adaptive processes and data-driven decision making to respond to market changes and regulatory developments.

• Capital management: preserve liquidity buffers and optimise leverage to support underwriting and margin lending while meeting regulatory capital ratios.
• Technology investment: allocate incremental CAPEX to algorithmic trading, risk engines, and client-facing digital platforms to reduce execution costs and improve client retention.
• Product diversification: scale asset management AUM and structured products to broaden fee pools and reduce reliance on volatile trading income.
• Talent & compliance: invest in compliance systems and specialist hiring to sustain ethical standards and professional advisory capabilities.

The Pacific Securities Co., Ltd (601099.SS) - Mission Statement

The Pacific Securities Co., Ltd (601099.SS) commits to serving clients, shareholders, and society by delivering professional, innovative, and reliable financial services. Its mission centers on creating sustainable value through capital markets participation, wealth management, institutional brokerage, investment banking, and the deployment of financial technology.

• Client-first stewardship: prioritize client outcomes, transparency, and tailored solutions across retail and institutional segments.
• Professional excellence: uphold rigorous risk management, compliance, and research-driven decision-making.
• Innovation in services: integrate fintech to improve efficiency, product reach, and user experience.
• Long-term partnerships: build relationships that promote mutual growth with corporate clients, investors, and intermediaries.
• Contribution to market development: support the depth, liquidity, and stability of China's capital markets.

Mission-driven activities are reflected across The Pacific Securities' business lines and financial performance. Recent operational and financial indicators demonstrate the company's capacity to execute its mission while pursuing sustainable growth.

Vision Statement

Pacific Securities envisions becoming a leading financial services provider in China, recognized for its innovation and client-centric approach. The firm seeks to expand market presence domestically and internationally while forging long-term client relationships built on trust and mutual growth.

• Market leadership: expand market share across brokerage, investment banking, and asset management within top-tier Chinese financial centers.
• International reach: selectively grow cross-border capabilities, supporting Chinese corporates and international clients in mainland listings, bond placements, and investment opportunities.
• Client trust & retention: increase client lifetime value through advisory, wealth solutions, and customized institutional services.
• Fintech integration: deploy AI, big data, and cloud-based systems to improve front-office analytics, risk controls, and client interfaces.
• Sustainable profitability: balance growth with disciplined cost management and prudent capital allocation.

Key strategic targets aligned with the vision (near to medium term):

Pillars supporting the vision include investment in proprietary research, enhanced corporate finance capability for equity and debt capital markets, scalable asset management products, and an expanded institutional sales network. Emphasis on ESG-sensitive product innovation and compliance strengthens the firm's role in sustainable market development.

Operational focus areas tied to measurable outcomes:

• Research & advisory: increase licensed analysts and sector coverage to deepen deal sourcing and client advisory quality.
• Technology & automation: reduce trade-to-settlement cycle times and lower operational cost ratios through automation.
• Risk & capital management: maintain capital adequacy ratios and liquidity buffers aligned with regulatory guidance to support business growth.
• Talent & culture: retain high-performing sales, underwriting, and research professionals through performance-linked incentives.

For investors and stakeholders seeking a closer financial health review and deeper data-driven insight into The Pacific Securities Co., Ltd (601099.SS), consult this resource: Breaking Down The Pacific Securities Co., Ltd Financial Health: Key Insights for Investors

The Pacific Securities Co., Ltd (601099.SS) Vision Statement

• Integrity: The Pacific Securities upholds the highest ethical standards in all its business dealings, enforcing compliance frameworks, internal controls, and risk management practices to protect client assets and market integrity.
• Innovation: The company actively adopts fintech, data analytics, algorithmic trading, and digital wealth-management platforms to improve service delivery, reduce transaction costs, and accelerate time-to-market for new products.
• Client Focus: Prioritizing client needs, Pacific Securities expands advisory capabilities across institutional, high-net-worth, and retail segments, tailoring solutions that align with clients' risk profiles and investment objectives.
• Excellence: Through performance metrics, quality assurance, and continuous training, the firm commits to superior execution, disciplined research, and measurable improvement in product and service outcomes.
• Collaboration: Pacific Securities cultivates strategic alliances with domestic and international partners, exchanges, and fintech providers to deepen market reach and co-develop solutions.
• Sustainability: The company integrates environmental, social, and governance (ESG) considerations into its investment research, underwriting standards, and corporate operations to support resilient, long-term outcomes.

• Ethics & Risk Management - measured through compliance incident rates, internal audit findings, and regulatory sanctions (kept low to preserve reputation and client trust).
• Technology Investment - R&D and IT spending as a proportion of operating expenses to support digital platforms and algorithmic trading.
• Client Metrics - net new accounts, assets under custody/management, and client retention rates reflecting client-focus and service excellence.
• Partner Ecosystem - number of strategic partnerships and joint product launches advancing market access and product breadth.
• ESG Integration - percentage of AUM screened for ESG criteria and issuance/advisory volumes for green financing and sustainable bonds.

• Integrity: Robust KYC/AML processes reduced onboarding-related compliance findings year-over-year, contributing to steadier institutional relationships.
• Innovation: Deployment of an AI-driven advisory module boosted online advisory uptake and reduced average response time for client queries by a measurable margin.
• Client Focus: Customized wealth-management offerings increased fee-based income, improving revenue mix stability amid market volatility.
• Excellence: Continuous professional development and certification programs raised advisory productivity and research output quality.
• Collaboration: Cross-border cooperation and exchange memberships expanded underwriting and distribution capabilities for key IPOs and bond issuances.
• Sustainability: Advisory and underwriting of green bonds and ESG-linked products increased, supporting both client demand and broader societal goals.