1、2009中国华融年度报告ANNUAL REPORT0307111721273159636773778188Presidents AddressExecutive BoardCHAMC ProfileOrganizational Structure Top Ten Achievements in 2009Major Customer Strategy Business OverviewInnovation ConstructionInternational Exchange and CooperationTeam BuildingCorporate CultureSocial Responsib
2、ilityList Of Equity AssetsBranch Offices & Subsidiary Companies总裁致辞领导层中国华融概况组织结构 2009年十大成效大客户战略业务概览创新建设国际交流与合作团队建设企业文化社会责任持股企业名录机构名录目 录CONTENTS2009年度报告 ANNUAL REPORT稳健 创新 和谐 发展Stability Innovation Harmony Development3Presidents Address总裁致辞Annual Report2009中国华融年报4总裁：赖小民President: Lai Xiaomin5总裁致辞2009
3、年，是新世纪以来我国经济发展最为困难的一年，也是中国华融商业化转型步入市场化运作，面临各种政策性资源短缺、业务发展由“给米做饭”转向“找米下锅”最为艰难的一年。一年来，中国华融公司党委紧紧依靠广大员工，采取了一系列调整工作思路、积极应对压力和挑战的重大新举措，全体华融人坚持以科学发展观为指导，按照“五年三步走”发展战略和“12345”具体工作思路，紧紧围绕“求创新、谋转型、抓利润、促发展”的主旋律，解放思想、迎难而上、开拓创新、扎实工作、共克时艰，全面超额完成了全年必保和力争考核目标任务，各项工作取得了较好的成绩：在思想观念、盈利能力、风险管控、业务创新、大客户战略等十个方面取得了突出成效。这
4、些成绩的取得，得益于国家有关部门和社会各界的大力支持和帮助，在此表示衷心感谢！2010年是我国经济发展最为复杂的一年，也是中国华融进入商业化转型发展新阶段的重要一年，更是中国华融实施“五年三步走”发展战略的关键一年。2010年中国华融将在2009年工作的基础上，在国家有关部门的指导下，结合中国华融的实际，按照“三坚持”、“六着力”的要求，以创新全面推进各项工作，努力完成确保利润计划和力争利润计划，做强主业、做大利润、做响品牌，不断增强公司可持续发展能力。总结过去，成效显著，展望未来，任重道远。相信有全体中国华融人的辛勤努力、扎实工作，2010年将百尺竿头、更进一步！希望在中国华融2010年乃至
5、今后的改革发展道路上继续得到社会各界朋友的鼎力支持！二一年一月 Presidents Address总裁致辞6Presidents AddressThe year 2009 is the toughest year for Chinas economy in the new century. Meanwhile, it is also the most difficult year for China Huarong Asset Management Corporation (CHAMC) to move forward with the commercial transition. Faci
6、ng a shortage of government granted resources, CHAMC resorts to the market to exploit commercial business.Over the past year, the Party Committee of CHAMC has taken a series of important measures to adjust the working methodologies and to cope with the stresses and challenges. Guided with the scient
7、ific development concept, the strategy of “three-step development in five years” and the five specific working methodologies, CHAMC upholds the fundamental tenet of “pursuing innovation, seeking transformation, making profits and promoting development”. The Company has gone all out to fulfill the sc
8、heduled targets and made outstanding achievements based on the emancipated mind, strong spirit, innovative thinking, unwearying diligence and pioneering work. These achievements are attributable to the strong supports of relevant government authorities and all sectors of the society. CHAMC hereby ex
9、presses heartfelt thanks to them!China is facing the most complicated economic conditions in 2010, a crucial year for CHAMC to usher in a new stage of commercialization and to implement the strategy of “three-step development in five years”. Based on what it achieved in 2009, CHAMC will, in complian
10、ce with the guidance of relevant government authorities, endeavor to fulfill the scheduled profit target, strengthen the core business, maximize the profit, improve the brand image, and ensure the sustainable development in line with its actual situation and specific requirements.In retrospect, CHAM
11、C has achieved remarkable success. Looking ahead, CHAMC has a long way to go. I believe that CHAMC will carry forward the valuable traits to make further progress. I hope that CHAMC will win the continued supports of all sectors of the society in the years ahead. Lai XiaominJanuary 20102009 Annual R
12、eport中国华融年度报告7Annual Report2009中国华融年报Executive Board领导层8总裁：赖小民President & CEO:Mr.Lai Xiaomin副总裁：郑万春Executive Vice President:Mr.Zheng Wanchun副总裁：隋运生Executive Vice President:Mr.Sui Yunsheng纪委书记：戴克维Chief Auditor:Mr.Dai Kewei2009 Annual Report中国华融年度报告9副总裁：徐肇宏Executive Vice President:Mr.Xu Zhaohong副总裁：梁志
13、军Executive Vice President:Mr.Liang Zhijun副总裁：王克悦Executive Vice President:Mr.Wang Keyue副总裁：章 琳Executive Vice President:Ms.Zhang Lin领导层Executive Board2009年度报告 ANNUAL REPORT稳健 创新 和谐 发展Stability Innovation Harmony Development11Annual Report2009中国华融年报CHAMC Profile中国华融概况12中国华融概况中国华融资产管理公司是经国务院批准设立的国有独资非银行
14、金融机构，于1999年10月19日正式挂牌成立，注册资本金100亿元人民币，公司总部设在北京，全国设有30家办事处，拥有6家平台公司，服务网络遍及30个省、市、自治区。经过十年的成功运作和发展，中国华融全面完成了政策性资产处置目标任务，为促进国有商业银行改革脱困、维护金融体系稳定运行、最大限度减少国家损失、促进社会经济健康稳定发展，做出了积极贡献。顺应新的经济金融形势，在国家有关部门的支持和指导下，中国华融积极稳健推进商业化转型，旗下已拥有华融金融租赁股份有限公司、融德资产管理有限公司、华融证券股份有限公司、华融国际信托有限责任公司、华融置业有限责任公司、华融致远投资管理有限责任公司，形成了以
15、资产经营管理为主，以证券、租赁、信托、投资为依托的综合性金融服务体系，可以依托辐射全国的30家分支机构和多元化的业务平台，发挥综合优势和协同效应，为客户提供一揽子多项金融服务，满足客户多样化的服务需求。中国华融目前正在国家有关部门的支持和指导下，加快推进公司商业化转型。计划用五年2009.12.31 银监会刘明康主席一行莅临中国华融慰问视察Mr.Liu Mingkang, Chairman of CBRC, paid a visit to CHAMC2009 Annual Report中国华融年度报告13的时间实行“三步走”战略：一是大力推进实施“大客户”战略，彻底走市场化路子；二是适时引进优
16、秀的战略投资者，走市场化、多元化、综合化的现代金融企业发展路子；三是择机上市，实现公司跨越式发展。中国华融实行统一法人、授权经营的经营管理体制。总裁为公司法定代表人，对公司的经营运作全面负责。总部拥有全公司的法人财产权，是公司的经营管理中心、风险管控中心、决策指挥中心、资源调配中心、经营服务中心和业务创新中心。中国华融把抓好全面风险管理作为各项工作的“重中之重”，坚守风险底线，确保各项业务健康发展，在总部和各办事处成立了两级风险管理和内部控制委员会，各子公司成立风险管理议事机构，建立了风险报告制度和风险分类管理制度。总部对全系统内部审计实行集中统一管理，确保内部审计的独立性和监督作用。为加强对
17、子公司监事会工作的指导，中国华融总部设有监事会工作部，建立子公司监事会联席会议制度。中国华融建立了符合实际需要的ISO9000质量管理体系，并于2005年8月通过国际权威认证机构英国标准协会（BSI）ISO9001：2000国际质量管理标准认证，成为国内首家通过认证的金融资产管理公司。2009.10.19 中国华融班子成员和历任公司领导Executive board and former leadersCHAMC Profile中国华融概况14CHAMC ProfileAuthorized by the State Council, CHAMC was founded on October 1
18、9, 1999. The Company is a wholly state-owned non-banking financial institution with the registered capital of RMB 10 billion. Besides the headquarters in Beijing, CHAMC has set up 30 branch offices nationwide and owned 6 subsidiary companies, spreading its service network over 30 provinces, municipa
19、lities and autonomous regions.After a decade of successful operation and development, CHAMC has fulfilled the task of disposing of non-performing loans (NPL) purchased on a policy-directed basis and accomplished the scheduled target of supporting the reforms of the state-owned banks, safeguarding th
20、e sound operation of the financial system, maximizing the recovery of the state-owned assets, and promoting healthy and stable social and economic development. In response to the new economic and financial situation, CHAMC will make active and steady efforts to promote the commercial transition with
21、 the guidance and support of relevant government authorities. CHAMC has founded 6 subsidiary companies, including Huarong Financial Leasing Co., Ltd. (Huarong Leasing), Rongde Asset Management Co., Ltd. (Rongde AMC), Huarong Securities Co., Ltd. (Huarong Securities), Huarong International Trust Co.,
22、 Ltd. (Huarong Trust),Huarong Real Estate Co., Ltd. (Huarong Real Estate), and Huarong Zhiyuan Investment & Management Co., Ltd. (Huarong Zhiyuan), putting in place an integrated financial service framework with asset management as the core business, and securities, leasing, trust and investment as
23、the supportive businesses. Leveraging the comprehensive advantages and synergy effect, CHAMC is able to offer a package of customized financial services relying on 30 branch offices and diversified business platforms. Currently, CHAMC is expediting its commercial transition with the guidance and sup
24、port of relevant government authorities. The Company has put forward a strategy of “three-step development in five years”. First, CHAMC will vigorously implement the “major customer“ strategy and build itself as a market-oriented institution. Second, CHAMC will introduce outstanding strategic invest
25、ors at a proper time and develop into a market-oriented and modern financial group with diversified operations. Third, CHAMC will create conditions to go public, achieving development by leaps and bounds. 2009 Annual Report中国华融年度报告15CHAMC Profile中国华融概况CHAMC adopts the operational and management syst
26、em of unified operation authorized by the legal representative. The President, as the legal representative of the Company, takes the overall responsibility for the operation of the whole Company. The headquarters, holding the legal persons property rights of the whole Company, is the centre of opera
27、tion and management, the centre of risk management and control, the centre of decision-making and leadership, the centre of resources transfer and allocation, and the centre of operation service and business innovation. Risk management is the top priority among all tasks. To ensure the healthy devel
28、opment of risk-adjusted businesses, CHAMC has established in headquarters and branch offices the dual-hierarchy risk management system and the Internal Control Committee. The subsidiaries have also founded the risk management and advisory organs. In addition, CHAMC has established a risk-reporting s
29、ystem and risk classification management system. The headquarters is held responsible for the unified management of internal audit of the whole group to ensure the independent and supervisory function of its internal audit. To strengthen the guidance on subsidiaries Board of Supervisors, CHAMC has e
30、stablished the Committee of Supervisors in the headquarters and a joint meeting system of subsidiaries Board of Supervisors. Given the actual need, CHAMC has established ISO9000 quality management system which has been accredited by British Standards Institution with ISO9001:2000 in 2005, making CHA
31、MC the first certified financial asset management corporations (AMC) in China.2009年度报告 ANNUAL REPORT稳健 创新 和谐 发展Stability Innovation Harmony Development17Annual Report2009中国华融年报Organizational Structure组织结构18副总裁Executive Vice President总裁President总裁办公室Presidents Office风险管理部（第一重组办公室）Risk Management Depa
32、rtment(First Restructure Office)计划财务部Accounting & Finance Department发展规划部Development & Planning Department资产经营部（评估咨询部）Asset Management Department(Appraisal & Consultancy Department) 创新业务部Innovative Business Department 股权管理部Equity Management Department 投资事业部（国际业务部）Investment Department (International
33、 Business Department) 客户营销部Customer Relations Department融德资产管理有限公司Rongde Asset Management Co., Ltd.华融金融租赁股份有限公司Huarong Financial Leasing Co., Ltd.华融证券股份有限公司Huarong Securities Co., Ltd.2009 Annual Report中国华融年度报告19经营决策委员会Operational Strategy Committee风险管理和内部控制委员会Risk Management & Internal Control Comm
34、ittee资产处置审查委员会Asset Disposal Committee资金财务审查委员会Financial Committee资产评估审查委员会Asset Evaluation Committee第二重组办公室Second Restructure Office工会工作委员会Labor Committee 30家办事处30 Branch Offices5家子公司5 Subsidiary Companies法律事务部Legal Affairs Department信息科技部Information Technology Department审计部（监事会工作部）Auditing Departm
35、ent (Committee of Supervisors) 人力资源部Human Resource Department 纪委监察室Discipline Enforcement Department华融国际信托有限责任公司Huarong International Trust Co., Ltd.华融置业有限责任公司Huarong Real Estate Co., Ltd.华融致远投资管理有限责任公司Huarong Zhiyuan Investment & Management Co., Ltd.Organizational Structure 组织结构2009年度报告 ANNUAL REPO
36、RT稳健 创新 和谐 发展Stability Innovation Harmony Development21Annual Report2009中国华融年报Top Ten Achievements in 20092009年十大成效222009年十大成效2009年是我国进入新世纪以来，社会经济发展最困难的一年，同时也是中国华融商业化转型关键的一年。中国华融上下一心，解放思想，转变观念，2009年取得了影响自身改革、发展、稳定的“十大突出成效”：思路决定出路。年初中国华融党委提出并确定了“五年三步走”发展战略和“12345”的工作思路等一系列符合自身发展实际并行之有效的指导思想，以此引领各项工作。
37、实现净利润创历史新高，比上年利润翻了一番多，极大的提振了公司发展信心。华融租赁、融德资产、华融证券、华融信托四家子公司合计实现净利润比上年增长71%，继续保持公司盈利大户地位；30家分支机构全部完成确保收入目标，盈利能力明显增强。党风廉政建设和风险管控能力不断增强，当年没有发生一笔业务风险损失，没有发生一起新的重大违规违纪和经济犯罪案件。首次召开全系统创新工作会议，以创新引领公司商业化转型，创建上海区域创新中心。123452009.11.24 中国华融在上海召开“2009年创新工作会议”“2009 Innovation Work Conference”was convened by CHAMC
38、 in Shanghai2009 Annual Report中国华融年度报告23项目投资和推行大客户战略成效明显，已和地方政府、企业集团、金融机构等各类合作伙伴签订大小战略合作协议104个，并已开展多个实质性合作项目，“一体两翼”协调发展的协同效应不断显现。搭建新的业务平台成效突显，华融置业、华融致远相继注册开业运转，初步形成了金融平台与产业平台对接发展的良好态势，多元化业务发展格局不断形成。隆重欢庆中国华融成立十周年、喜迎祖国六十年华诞，“稳健、创新、和谐、发展”的企业文化建设活动方兴未艾，公司呈现出“依法合规出效益，求真务实比贡献”的良好工作氛围。“抓两头，稳中间”，着力加强队伍建设。以综
39、合平衡计分卡为主要内容的正向激励约束机制建设成效明显。各项工作得到了领导和社会各界的好评与支持，外部发展环境明显改善。财政部、“一行三会”、工商银行等国家有关部门和机构积极支持中国华融发展。各级地方党政、合作伙伴、新闻媒体等社会各界高度关注并积极支持中国华融的发展，合作潜力和空间巨大。6789102009.5.11 中国华融与重庆市人民政府签订协议建立战略合作关系CHAMC signed agreement with Chongqing municipal government to establish strategic cooperation relationshipTop Ten Ach
40、ievements in 20092009年十大成效24Top Ten Achievements in 2009 2009 is the most difficult year of Chinas economy since the new century. It is also a crucial year for the commercial transition of CHAMC. CHAMC unites as one team, emancipates its mind and upgrades its ideas, making the following 10 outstandi
41、ng achievements that affect its reform, development and stability: Concept determines direction. In early 2009, the Party Committee of CHAMC established a series of practical and effective guidelines, including the strategy of “three-step development in five years” and the five specific working meth
42、odologies which comply with CHAMCs own development and guide CHAMC in its daily work. Achieved a record high net profit. The Company reported over 100% growth in net profit from 2008, greatly boosting its confidence in further development. CHAMCs 4 subsidiary companies (Huarong Leasing, Rongde AMC,
43、Huarong Securities, and Huarong Trust) achieved a 71% year-on-year increase in net profit. All the 30 branch offices fulfilled the revenue targets and markedly improved the profit-making capacity.Strengthened the construction of the party conduct and incorrupt administration, and improved risk manag
44、ement and control. There was no record of losses incurred from operational risk, no significant embezzlement, or economic crime in 2009. Convened the group-level innovation conference for the first time. CHAMC has set up the Shanghai Regional Innovation Centre, leading the Companys commercial transi
45、tion with innovative spirit.Achieved remarkable success in investment and the implementation of major customer strategy. CHAMC has signed 104 strategic cooperation agreements with a wide assortment of partners, such as local governments, enterprise groups, and financial institutions. Furthermore, CH
46、AMC has done a number of deals along with its partners, showing visible signs of synergy effects of coordinated development.1234562009 Annual Report中国华融年度报告25Top Ten Achievements in 20092009年十大成效Made outstanding achievements in starting up new business. With Huarong Real Estate and Huarong Zhiyuan b
47、eing registered and operated, CHAMC has brought about the initial integration of financial platforms and industrial platforms, and laid the groundwork to develop diversified businesses. Celebrated the 10th anniversary of CHAMC and the 60th anniversary of the PRC. The construction of corporate cultur
48、e (stability, innovation, harmony and development) is in the ascendant. The favourable working environment is widespread in the Company, as employees endeavor to improve efficiency in compliance with laws and regulations and compete with one another on the basis of contribution by seeking truth and
49、pragmatic work style. Strengthened the team building. CHAMC stresses the importance of senior executives and young professionals, and at the same time stabilizes the mid-level workforce. The positive incentive mechanism featured by the Comprehensive Balanced Scorecard as the main content proves to be fruitful.Won recognition and support of relevant government authorities and all sectors of the society. Facing a favourable external environment, CHAMC has obtained continued support of the Ministry of Finance (MOF), Peoples Bank of China (PBoC), 3 regulatory commissions (CBRC, CSR
