GTJAI

Introduction
Guotai Junan International is a multi asset financial services and brokerage provider based in Hong Kong, engaged in providing financial services since 1993. Guotai Junan is a Listing on the Hong Kong Stock Exchange (HKEx: 1788). It is part of the greater Guotai Haitong Group and is considered one of the pioneers of international expansion for Chinese Securities Firms and a bridge between China’s Capital Markets and the Global Capital Markets.

Since its inception as a traditional brokerage, GTJAI has continually transformed itself into an all-encompassing Financial Services Provider in offering investment and trading services for Individuals, Corporates or Institutions across multiple Territories; Hong Kong, Mainland China and Southeast Asia.

Guotai Junan International provides access to a variety of Financial Instruments and Services, providing access to both Exchange-Traded and Over-the-Counter (OTC) Instrument including;

• Equities Trading — HK, China A-Share, United States & some International Markets

• Foreign Exchange (Forex) including Leveraged Products

• Futures Contracts/Options

• Bonds & Fixed-Income Products

• Structured Products & Derivative Products

• Funds & Asset Management Solutions.

GTJAI allows Clients to access a Diversified Range of Global Markets through Cross-Border Investment and Portfolio Diversification.

GTJAI performs their Trading Services using Online Trading Systems and Digital Platforms that allow Clients to access Markets in more than 20 Countries.The Trading Platforms Offered By GTJAI

The trading platform used by GTJAI is made up of several different interfaces.

• A web-based interface for web-based trading

• A mobile application for mobile trading

• An institutionally constructed system for trading derivatives and for developing structured products

GTJAI focuses on providing clients with access to real-time data, advanced charting tools, and integrated systems for managing risk so they can make well-informed decisions regarding their trading and investing activities.

Types of Accounts and Investment Solutions

Instead of offering traditional retail accounts divided into tiers, GTJAI structures its services around client segments and offers financial solutions:

• Wealth management services for individual clients

• Institutional services (brokerage services and corporate finance services)

• Asset management solutions (funds and discretionary portfolios)

• Financing and margin services

GTJAI’s platform provides tailored financial products that address a client’s unique risk profile and investment objectives; its primary objective is to assist clients with the growth of their capital over the long term and with their overall portfolio management.

Regulations And Company Structure

GTJAI operates in a regulated environment as a Hong Kong company:

• GTJAI’s subsidiaries are licensed by the Hong Kong Securities and Futures Commission to conduct regulated activities, including leveraged forex trading. These subsidiaries include Guotai Junan FX Ltd.

• GTJAI is public and trades on the Hong Kong Stock Exchange. As such, GTJAI must comply with the disclosure provisions and other listing requirements set forth by the Stock Exchange of Hong Kong.

Additionally, GTJAI benefits from having Guotai Haitong Securities, one of the largest securities firms in China, as its parent company and support. In addition, GTJAI and Guotai Haitong Securities are rated by major credit rating agencies, such as Moody’s and Standard & Poor’s, which contributes to the overall financial stability of the Group.When clients are initially onboarded to multi-entity financial groups, regulatory services and protections may differ from jurisdiction to jurisdiction and from entity to entity.

Education & Research

GTJAI provides clients with various research and analytical resources that help them make informed decisions, such as:

• Reports and market research.

• Analysis of companies and macro trends.

• Investment product advice.

These resources are designed to help retail and institutional investors navigate the global financial markets.

Customer Support

GTJAI has a variety of channels to provide customer support, such as:

• Telephone and email.

• Relationship managers for certain clients.

• Investor relations and complaint management.

While most support is located in Hong Kong, there are also international offices with regional support.

Advantages and Limitations

Advantages:

• A long-standing financial institution (over 30 years in business).

• Regulated in Hong Kong by the Hong Kong SFC through licensed subsidiaries.

• A wide range of financial products and access to multiple global markets.

• Strong support from a major Chinese securities company.

• A publicly traded company subject to disclosure requirements.

Disadvantages:

• The products and services may be more complex and directed toward institutional clients than most retail brokerage firms.

• The level of regulation and protection is dependent upon which entity the client uses.

• Products and services may not be available in all jurisdictions.

Risk Disclosure

Derivative trading (Forex, derivatives, leveraged in nature) can be very risky and could result in losses as a result of market volatility, volatility from returned earnings, and from international economic issues. Before engaging in trading or investing, clients must fully understand the risks and must evaluate their financial position.

Summary

Guotai Junan International provides a wide variety of brokerage, investment, and asset management services through its global presence as a well-known financial services provider headquartered in Hong Kong. GTJAI is well-regulated and enjoys the backing of a leading Chinese securities firm. Therefore, GTJAI can provide clients with access to a number of global financial markets and to a diversified range of financial products. Although their product offerings will most likely appeal to institutional and high net worth clients, prospective customers should research the specific entity with which they are doing business and the level of regulatory coverage, before a decision to use GTJAIs services is made.