Dongxing Securities
Corporate brand
UnclaimedA Chinese investment bank and brokerage firm established through the restructuring of part of China Orient Asset Management's business.
Last updated October 9, 2026
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Overview
Dongxing Securities Co., Ltd. is a Chinese investment bank and brokerage firm. It was established in 2008 when China Orient Asset Management spun off part of its business to create a separate securities company. The firm's formation gave China Orient an asset-management-related platform operating in the securities sector and shaped Dongxing Securities' later identity as an asset-management-based securities firm. Dongxing Securities pursued a public listing during the early 2010s. In 2012, it submitted an initial public offering application to the China Securities Regulatory Commission. The application was approved in May of that year, but the company could not immediately complete the listing because new stock issuances in China's domestic market were suspended. The eventual listing took place on 26 February 2015 on the Shanghai Stock Exchange. It was described as the first A-share listing by an asset-management-based securities firm. As a listed Chinese securities institution, Dongxing Securities operates across investment-banking and brokerage activities. Its business scope is associated with securities services rather than with a consumer-facing product portfolio. Public reference material identifies the company broadly as an investment bank and brokerage firm, while the available material does not provide a complete breakdown of its current divisions, branch network, customer assets, revenue mix, or detailed service catalogue. Accordingly, its principal offering categories can be described at a high level as securities brokerage and investment-banking services. Dongxing Securities also achieved inclusion in major Chinese equity indexes. It became a constituent of the SSE 50 Index on 28 November 2016 and was also a constituent of the CSI 100 Index. These index inclusions reflected its position as a publicly traded securities company within China's financial market, although index membership can change over time and should not be treated as a permanent status. The company's public credit or regulatory classification has included a Class A rating. Reference material states that Dongxing Securities retained a Class A rating in 2021, the same classification reported for 2020. No detailed rating methodology or current classification is provided in the supplied material. Dongxing Securities is therefore best understood as a China-focused corporate financial-services brand whose historical development is closely connected with China Orient Asset Management, its 2015 Shanghai listing, and its participation in China's domestic capital markets. The supplied sources do not establish a separate international operating footprint, a current parent-company structure beyond the historical China Orient connection, a current executive roster, or a current official website URL.
History
Dongxing Securities was created in 2008 through the spin-off of part of China Orient Asset Management's business. Its origins distinguish it from securities firms established independently of an asset-management group and explain the description of Dongxing as an asset-management-based securities firm. From its formation, the company operated as a Chinese financial institution focused on securities-market activities, including brokerage and investment banking. The company began the process of seeking a domestic public listing in 2012, when it submitted an IPO application to the China Securities Regulatory Commission. The application received approval in May of that year. Approval did not immediately lead to a flotation, however, because China's new-share issuance process was suspended. The delay meant that Dongxing Securities remained privately held for a further period despite having regulatory approval for its offering. Dongxing Securities ultimately completed its Shanghai Stock Exchange listing on 26 February 2015. The listing was characterized in the available reference material as the first A-share listing by an asset-management-based securities firm. The transaction transformed Dongxing into a publicly traded securities company and provided the market with a listed institution linked historically to China Orient Asset Management. After listing, the company became part of important Chinese equity-index groupings. It entered the SSE 50 Index on 28 November 2016 and was also included in the CSI 100 Index. Such inclusion placed the company among selected publicly traded Chinese companies represented by those indexes, although index composition is subject to periodic review and may change. The available reference material gives only a high-level account of Dongxing Securities' operating activities. It identifies the company as an investment bank and brokerage firm but does not provide enough information to reconstruct a detailed chronology of business expansions, acquisitions, branch openings, product launches, or changes in ownership. It also does not supply a verified current executive list, current headquarters address, official website URL, stock ticker, or detailed financial performance data. The same material reports that Dongxing Securities held a Class A rating and maintained the same rating in 2021 as in 2020. This indicates continuity in the cited regulatory or industry classification during that period, but the source does not identify the rating framework in sufficient detail to support a more specific interpretation. The documented history of Dongxing Securities is consequently centered on four developments: its 2008 creation from China Orient Asset Management-related operations; its delayed but approved 2012 IPO application; its eventual Shanghai listing in 2015; and its subsequent presence in major Chinese stock indexes. Beyond these milestones, the supplied sources support a general description of a China-focused investment bank and brokerage firm but not a more granular account of its current corporate structure or operating performance.
- 2021
Class A rating maintained
[1]Reference material reports that Dongxing Securities retained a Class A rating, matching its reported rating in 2020.
- 2016
SSE 50 Index inclusion
[1]Dongxing Securities became a constituent of the SSE 50 Index on 28 November 2016.
- 2015
Shanghai Stock Exchange listing
[1]The company was listed on the Shanghai Stock Exchange on 26 February 2015 and was described as the first asset-management-based securities firm to list on China's A-share market.
- 2012
IPO application submitted
[1]Dongxing Securities applied to the China Securities Regulatory Commission for an initial public offering. The application was approved in May, but the planned flotation was delayed because new stock issuances were suspended.
- 2008
Formation from China Orient Asset Management operations
[1]China Orient Asset Management spun off part of its business to establish Dongxing Securities.
Products and positioning
A China-focused listed investment bank and brokerage firm with historical roots in China Orient Asset Management and an asset-management-based institutional identity.
Brokerage
Securities brokerage
Securities brokerage is one of the core activities associated with Dongxing Securities in the available reference material. In general terms, this places the company within China's securities-intermediation sector, serving clients in the trading and handling of securities through a regulated brokerage platform. The supplied sources do not specify the firm's current brokerage technology, client segmentation, branch coverage, or detailed commission structure.
Investment banking
Investment banking
Dongxing Securities is identified as an investment bank as well as a brokerage firm. This places its business within China's broader capital-markets advisory and underwriting environment. The available material does not enumerate particular underwriting mandates, advisory transactions, sector specializations, or current investment-banking product lines, so the offering is documented at the institutional category level rather than through individual named services.
Controversies
2026
Warning Letter Issued by Regulator Over Five Issues Including Bond Business Due Diligence
In April 2026, the Beijing Securities Regulatory Bureau issued a warning letter to Dongxing Securities over five issues concerning the performance of duties in its bond and related businesses. The administrative regulatory measure is not characterized as a criminal conviction.
2024
Zeda Yisheng Sponsorship Case Compensation and Commitment Fund Disposition; Regulator Suspends Investigation
In 2024, investor mediation in the Zeda Yisheng fraud case concluded with compensation paid. Dongxing Securities subsequently applied the administrative enforcement party commitment system, paid a punitive commitment fund of RMB 105 million, and entered rectification, after which the CSRC suspended the related investigation. The suspension of the investigation is not to be described as a full release from liability.
2022
Warning Over Private Asset Management Valuation, Related-Party Transactions, and Manager Independence
In February 2022, the Beijing Securities Regulatory Bureau identified issues in Dongxing Securities' private asset management business, including valuation, related-party transactions, the independence of investment managers, and monitoring of reverse trading in the same bonds, and issued a warning letter.
2021
Employee Christmas Photos Bearing Company Logo Circulate, Sparking Professional Image Controversy
At the end of December 2021, a set of Christmas photos bearing the Dongxing Securities logo and employees' contact information circulated. The company stated that the photos were taken at individual employees' own expense, with the logo and postings added by the individuals themselves. The entry records the public reaction and the response and does not treat the photos as official company advertising.
2019
Overdue Rectification of Private Equity Subsidiary Structure; Internal Compliance Reviews Ordered Increased
In July 2019, because a high proportion of the organizational structure rectification at Dongxing Capital was overdue and the parent company's compliance and risk control over its subsidiary was inadequate, the Beijing Securities Regulatory Bureau ordered Dongxing Securities to increase the frequency of its internal compliance reviews.
Brand decisions
2015
Shanghai Stock Exchange flotationProduct launchBackground
Following the delayed IPO process, Dongxing Securities reached the domestic public market.
Action taken
The company was officially listed on the Shanghai Stock Exchange on 26 February 2015.
Aftermath
The listing made Dongxing Securities a publicly traded A-share securities firm and was described as the first such listing by an asset-management-based securities company.
2012
Pursuit of a domestic public offeringStrategyBackground
Dongxing Securities sought to become a publicly traded securities firm and submitted an IPO application to the China Securities Regulatory Commission. The application was approved in May, but the wider suspension of new stock issuances prevented an immediate listing.
Action taken
The company continued toward a Shanghai Stock Exchange flotation after the issuance suspension delayed the approved offering.
Aftermath
Dongxing Securities eventually completed its A-share listing on 26 February 2015.
Recent events
CICC completes absorption merger of Dongxing Securities and Cinda Securities[5]
China International Capital Corporation Limited (CICC) said it completed the share-swap absorption merger of Dongxing Securities and Cinda Securities. Their existing customers and businesses, including investment banking projects, were transferred to CICC, which will continue to perform the agreements signed by the two firms.
CICC, Dongxing Securities and Xinda Securities disclose reply to SSE inquiry on absorption merger integration plan[6]
On the evening of August 18, 2026, CICC, Dongxing Securities and Xinda Securities simultaneously disclosed announcements replying to the Shanghai Stock Exchange inquiry regarding CICC's absorption merger of Dongxing Securities and Xinda Securities. The reply sets out an operating transition period for phased client and business migration, legal entity switching and system integration, integration of institutional and wealth management businesses into CICC's corresponding departments, and succession of all employee labor contracts under the principle that staff follow the business. Share swap prices were slightly adjusted to 16.05 yuan per share for Dongxing Securities and 19.11 yuan per share for Xinda Securities due to 2025 cash dividend ex-rights and ex-dividend effects, while dissenting shareholders may exercise cash options at 13.04 yuan and 17.75 yuan per share respectively.
Reported
Dongxing Securities donates to COVID-19 response[7]
Dongxing Securities said it donated RMB 9 million to support COVID-19 prevention and treatment in Hubei and other affected areas, comprising RMB 8 million from the company and RMB 1 million from employees.
Sources7 sources
- 1Dongxing Securitiesen.wikipedia.org
- 2Warning Letter Issued by Regulator Over Five Issues Including Bond Business Due Diligencefinance.cnr.cn
- 3Warning Over Private Asset Management Valuation, Related-Party Transactions, and Manager Independencejiemian.com
- 4Zeda Yisheng Sponsorship Case Compensation and Commitment Fund Disposition; Regulator Suspends Investigation21jingji.com
- 5中金公司完成吸收合并东兴证券和信达证券finance.jrj.com.cn
- 6中金公司、东兴证券、信达证券披露上交所问询回复，公布吸收合并整合方案stcn.com
- 7东兴证券捐款驰援疫情防控finance.sina.com.cn
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