Huatai Securities
Corporate brand
UnclaimedA China-based comprehensive securities firm providing brokerage, investment banking, asset management, wealth management, and trading services.
Last updated October 20, 2026
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Overview
Huatai Securities is a Chinese comprehensive securities company headquartered in Nanjing. The firm traces its origins to 9 April 1991, when it was established as Jiangsu Securities Company with registered share capital of RMB 10 million. It adopted the Huatai Securities name in 1999 and subsequently developed from a regional securities business into a diversified financial-services group serving retail investors, institutions, corporations, and asset-management clients. Its principal activities include securities brokerage and trading, wealth-management services, investment banking, asset management, proprietary investment, research, and related financial technology. The company’s brokerage platform supports securities trading and customer investment services, while its investment-banking operations serve corporate financing, securities issuance, mergers and acquisitions, and other capital-markets needs. Its asset-management and wealth-management activities extend the business beyond transaction execution into portfolio construction and investment-advisory services. Huatai Securities has progressively expanded its regulatory permissions and international reach. In 2008, it received approval to operate as a Qualified Domestic Institutional Investor, enabling participation in permitted overseas investment activity. In January 2018, the China Securities Regulatory Commission approved the company’s proprietary trading in overseas markets. These developments complemented its domestic brokerage and capital-markets franchise with broader cross-border capabilities. The company has been publicly listed in multiple markets. Its A shares began trading on the Shanghai Stock Exchange on 26 February 2010 under ticker 601688. Its H shares were listed on the Hong Kong Stock Exchange on 1 June 2015 under ticker 6886. Global depositary receipts were subsequently listed on the London Stock Exchange on 17 June 2019 under ticker HTSC. The multi-market structure supports access to both mainland and international investors, while also reflecting the company’s internationalization strategy. Technology and overseas expansion have been notable elements of Huatai Securities’ development. In 2016, the company acquired AssetMark, a U.S. wealth-management technology provider, from Aquiline Capital Partners and Genstar Capital for a reported cash consideration of US$780 million. The transaction gave Huatai exposure to a technology-enabled wealth-management platform in the United States. In June 2020, it launched ZhangLe Global, a mobile application aimed at Chinese people living overseas and designed to provide access to U.S. stock trading. Huatai Securities is therefore positioned as a full-service securities and investment-services brand rather than a narrowly focused brokerage. Its business combines domestic Chinese securities activities with selected international operations, technology investment, and cross-border market access. The available reference material does not provide sufficient information to describe current revenue, assets, employee numbers, controlling ownership, or the identity of current senior executives without additional verification.
History
Huatai Securities was established on 9 April 1991 as Jiangsu Securities Company. Its initial registered share capital was RMB 10 million. The company operated within China’s securities industry and later changed its name to Huatai Securities in 1999, establishing the corporate identity under which it subsequently expanded its brokerage, trading, investment-banking, asset-management, and wealth-management activities. A significant stage in its development was the gradual addition of capabilities supporting cross-border investment and international market participation. In 2008, the China Securities Regulatory Commission approved Huatai Securities as a Qualified Domestic Institutional Investor. This status provided a regulatory framework for eligible overseas investment activity and complemented the firm’s domestic securities business. In January 2018, the regulator also authorized Huatai Securities to conduct proprietary trading in overseas markets, marking a further extension of its permitted international activities. Huatai Securities entered public markets through a Shanghai listing on 26 February 2010. Its A shares trade under code 601688. The company added an international listing presence when its H shares began trading on the Hong Kong Stock Exchange on 1 June 2015 under code 6886. On 17 June 2019, its global depositary receipts were listed on the London Stock Exchange under ticker HTSC. Together, these listings gave the company access to mainland Chinese, Hong Kong, and international capital markets. The firm’s internationalization also included acquisitions and technology-led service development. In 2016, Huatai Securities purchased AssetMark, a U.S. wealth-management technology provider, from Aquiline Capital Partners and Genstar Capital. The reported cash consideration was US$780 million. The transaction broadened Huatai Securities’ exposure to digital wealth-management infrastructure and the U.S. financial-services market. In June 2020, it launched ZhangLe Global, a mobile trading application targeting Chinese people living overseas and focused on U.S. stock trading. Across these stages, Huatai Securities developed from a locally established securities company into a multi-market financial-services group. Its business scope encompasses retail and institutional brokerage, trading, investment banking, asset management, wealth management, proprietary investment, research, and technology-enabled financial services. The reference material does not establish a complete account of later corporate developments, current management, ownership, financial performance, or present operating scale; those areas require further primary-source verification.
- 2020
Launch of ZhangLe Global
[1]The company launched a U.S. stock-trading mobile application aimed at Chinese people living overseas.
- 2019
London global depositary receipt listing
[1]Huatai Securities’ global depositary receipts were listed on the London Stock Exchange under ticker HTSC on 17 June.
- 2018
Overseas proprietary-trading approval
[1]Chinese securities regulators authorized Huatai Securities to perform proprietary trading in overseas markets.
- 2016
AssetMark acquisition
[1]Huatai Securities acquired U.S. wealth-management technology provider AssetMark in a reported US$780 million cash transaction.
- 2015
Hong Kong share listing
[1]The company’s H shares began trading on the Hong Kong Stock Exchange under ticker 6886 on 1 June.
- 2010
Shanghai Stock Exchange listing
[1]Huatai Securities listed its A shares on the Shanghai Stock Exchange under ticker 601688 on 26 February.
- 2008
Qualified Domestic Institutional Investor approval
[1]The China Securities Regulatory Commission approved Huatai Securities to operate as a Qualified Domestic Institutional Investor.
- 1999
Renamed Huatai Securities
[1]Jiangsu Securities Company adopted the Huatai Securities name.
- 1991
Establishment as Jiangsu Securities Company
[1]The company was established on 9 April 1991 as Jiangsu Securities Company with registered share capital of RMB 10 million.
Products and positioning
A comprehensive, technology-oriented Chinese securities firm with domestic scale and developing international capabilities.
Brokerage · 1991
Securities brokerage and trading
Huatai Securities’ core brokerage business provides securities trading and related services for retail and institutional clients. The broader offering is part of the company’s comprehensive securities model and is complemented by research, wealth management, investment banking, and other capital-markets activities. The available reference does not specify the full range of instruments, channels, or current customer numbers.
Capital markets
Investment banking
The company provides investment-banking services within its wider securities franchise. These activities are associated with corporate financing and capital-markets execution, including securities issuance and related advisory work. The supplied sources identify investment banking as a principal business area but do not provide a verified breakdown of mandates, products, or current market rankings.
Investment management
Asset management
Huatai Securities offers asset-management services as part of its diversified financial-services platform. The activity extends the firm’s role beyond brokerage and execution toward professionally managed investment portfolios and related client solutions. Specific funds, mandates, assets under management, and performance figures are not established by the supplied reference material.
Wealth-management technology
AssetMark
AssetMark is a U.S. wealth-management technology provider acquired by Huatai Securities in 2016. The acquisition gave Huatai Securities an international technology and wealth-management platform. The supplied material does not describe the subsequent corporate structure, product portfolio, or current ownership arrangements in sufficient detail.
Mobile trading · 2020
ZhangLe Global
ZhangLe Global is a mobile application launched in June 2020 for Chinese people living overseas. Its stated focus was access to U.S. stock trading. It represents Huatai Securities’ use of digital distribution and cross-border brokerage services, although the available source does not provide later product updates, geographic coverage, or user metrics.
Controversies
2026
Company Denies Media Report That Fund Sales Business Was Suspended for 12 Months
In April 2026, media reported that Huatai Securities' fund sales business had been suspended for 12 months, and the company clarified that it had not received any such measure from the Jiangsu Securities Regulatory Bureau. This entry preserves the public dispute and the clarification, and does not treat the denied suspension claim as a penalty fact.
2024
Ordered to Rectify Compliance and Risk Control Problems in Bond Market Making and Co-Investment Business
In April 2024, the Jiangsu Securities Regulatory Bureau identified problems at Huatai Securities in proprietary trading compliance and risk control, bond market making, and co-investment, and issued a rectification order against the company. This entry concerns that regulatory decision.
2024
Zhenjiang Branch Staff Sold Financial Products Improperly; Regulator Ordered Rectification
In November 2024, the Jiangsu Securities Regulatory Bureau ordered the Zhenjiang branch of Huatai Securities to rectify, citing improper sales of financial products by subordinate staff and inadequate compliance management. This is recorded separately from the proprietary trading problems at the head office.
2024
Warning for OTC Options Business with Non-Professional Institutions and Irregular Employee Conduct
In December 2024, the Jiangsu Securities Regulatory Bureau found that Huatai Securities had conducted over-the-counter options trading with non-professional institutional investors, and that employees had provided test answers and traded on behalf of clients, among other issues. The bureau issued warning letters to the company and the employees involved. This item is recorded separately from the November penalty against the Zhenjiang branch.
2020
Fined 10.1 Million Yuan by the Central Bank for Anti-Money Laundering Violations
In 2020, the central bank fined Huatai Securities 10.1 million yuan for anti-money laundering violations, including failures in customer identification and in the retention of records and transaction data; the responsible individuals were also penalized.
2020
People’s Bank of China fines Huatai Securities RMB 10.1 million
In a regulatory action, the People’s Bank of China fined Huatai Securities a total of RMB 10.1 million. According to the source, the penalty was imposed for three violations: failing to perform customer identity verification, failing to submit suspicious transaction reports as required, and transacting with unidentified customers. The fine covers these anti-money-laundering compliance failures. The event was reported on February 14, 2020.
Brand decisions
2020
Launch ZhangLe GlobalProduct launchBackground
Huatai Securities targeted Chinese people living overseas with a digital service designed to connect them to U.S. stock trading.
Action taken
The company launched ZhangLe Global, a mobile application for U.S. stock trading.
Aftermath
The launch extended the company’s digital brokerage proposition to an overseas Chinese audience. The supplied sources do not report adoption, revenue, or later product development.
2018
Expand overseas proprietary tradingStrategyBackground
Huatai Securities had developed cross-border capabilities through its Qualified Domestic Institutional Investor approval and sought broader access to overseas markets.
Action taken
The China Securities Regulatory Commission granted the company permission to conduct proprietary trading in overseas markets.
Aftermath
The approval widened the scope of Huatai Securities’ permitted international trading activities. No later performance data is provided in the reference material.
2016
Acquire AssetMarkM&ABackground
Huatai Securities sought to expand its international wealth-management and financial-technology capabilities through the purchase of a U.S. provider.
Action taken
The company acquired AssetMark from Aquiline Capital Partners and Genstar Capital in a reported cash transaction valued at US$780 million.
Aftermath
The transaction expanded Huatai Securities’ exposure to U.S. wealth-management technology and supported its broader internationalization effort. The supplied material does not document subsequent financial or operational outcomes.
Reported acquisition consideration. US$780 million cash consideration (2016)
Recent events
Reported
Huatai Securities launches HYCLE-S1 strategy[10]
Huatai Securities launched its Cycle Select S1 (HYCLE-S1) investment strategy through its Xingzhi app, offering the strategy to institutional clients including commercial banks.
Reported
Huatai Securities launches Rongquantong securities lending platform[11]
Huatai Securities launched Rongquantong, an open online securities lending and borrowing trading platform connecting securities supply and demand providers, with real-time market data, online orders and intelligent matching.
Reported
Huatai Securities launches Zhang Le Xing Xuan fund service[12]
Huatai Securities introduced Zhang Le Xing Xuan, a fund service described as helping investors navigate fund selection and investment decisions.
- Unconfirmed
Reported
Huatai Securities launches ZhangLe XingXuan fund service[13]
Huatai Securities' ZhangLe Wealth app launched the ZhangLe XingXuan fund service, which screens public equity funds and provides fund analysis and operational tracking services to customers holding selected products.
- Unconfirmed
Reported
Chaoyang Yongxu and brokerages launch Hubei support initiative[14]
Chaoyang Yongxu and multiple brokerages launched a public-interest initiative to support private fund managers and brokerage institutions in Hubei. The initiative includes referrals and free tools and training for local brokerages.
Reported
People’s Bank of China fines Huatai Securities RMB 10.1 million[9]
The People’s Bank of China fined Huatai Securities a total of RMB 10.1 million for failing to perform customer identity verification, failing to submit suspicious transaction reports as required, and transacting with unidentified customers.
Reported
Huatai Securities and Aide Foundation establish a public health fund[15]
Huatai Securities and Aide Foundation established the Yixin Huatai Public Health Special Fund to support COVID-19 prevention and control in Hubei and other areas.
Sources16 sources
- 1Huatai Securities - Wikipediaen.wikipedia.org
- 2Huatai Securities official websitehtsc.com.cn
- 3Fined 10.1 Million Yuan by the Central Bank for Anti-Money Laundering Violationsyicai.com
- 4Ordered to Rectify Compliance and Risk Control Problems in Bond Market Making and Co-Investment Businessjiemian.com
- 5Ordered to Rectify Compliance and Risk Control Problems in Bond Market Making and Co-Investment Businessthepaper.cn
- 6Zhenjiang Branch Staff Sold Financial Products Improperly; Regulator Ordered Rectificationthepaper.cn
- 7Company Denies Media Report That Fund Sales Business Was Suspended for 12 Monthsyicai.com
- 8Company Denies Media Report That Fund Sales Business Was Suspended for 12 Monthsstcn.com
- 9People’s Bank of China fines Huatai Securities RMB 10.1 millionfinance.sina.com.cn
- 10华泰证券推出HYCLE-S1策略finance.sina.com.cn
- 11华泰证券发布融券通证券借贷平台finance.sina.com.cn
- 12华泰证券推出“涨乐星选”基金服务finance.sina.com.cn
- 13华泰证券推出“涨乐星选”基金服务finance.sina.com.cn
- 14朝阳永续携手券商启动湖北金融机构联合共建行动finance.sina.com.cn
- 15华泰证券与爱德基金会设立公共卫生专项基金finance.sina.com.cn
- 16央行开出券商反洗钱最大罚单 华泰证券被罚1010万元finance.sina.com.cn
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