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1、 WesternXXFMCBusinessPlan 2004 2007 tobefurtherdiscussed Confidential Content 1 ProfileofWesternXXAssetManagementCo Ltd 2 OrganizationalStructure3 BusinessDevelopmentStrategies4 Roadmap5 AssumptionsandForecast6 SalesBreakdownin2005 1 ProfileofWesternXXAssetManagementCo Ltd RegisteredCapitalandShareS
2、tructure RegisteredCapital RMB100millionRegisteredPlace PudongDistrict Shanghai ChinaProposedShareStructure WesternSecuritiesCo Ltd RMB40millionOtherforeignsponsorRMB33millionShaanxiInvestmentGroupCo Ltd RMB27million BusinessScope FundmanagementandinvestmentadvisorybusinessinChinaaspermittedbytheapp
3、licablelaw incl promotion sale issuanceandmanagementofinvestmentfunds Otherassetmanagementbusinesspermittedbytheapplicablelaw Vision PhilosophyandStrategy Vision OneoftheleadersinthegreatChinawealthmanagement Philoshophy Investors benefitsareeverything Strategy Brand ServiceandProductallinone Busine
4、ssGoal GrowtheJVintooneofthetop5FMCsinChina inthefollowingthreecategories ProfitabilityFundPerformanceTotalAUMProfessionalism 2 OrganizationalStructure FMC sOrganizationChart atthebeginning CEO 1 CMO 1 CIO 1 CEO COO 1 Sales CustomerService 5 Marketing Productdevelopment 3 HeadofCompliance 1 R D 5 Fu
5、ndManager 2 BODChairman 1 Trader 2 FundAccount ing TA 3 IT 2 Admin HR 2 Auditing Compliance 2 32personsinthe1styear proposed FMC sOrganizationalChart in3years CustomerServiceDept CMO CIO COO FundManage mentDept FunddealingDept R DDept CEO TA ITDept HR Admin Dept FundSalesDept MarketingDept Strategyr
6、esearch Financeengineer ing Industry Companyresearch Centraldealingroom Callcenter FundAccount ing Market ing Productdevelop ment Directsale Agencysale OA Systemmaintain ence Complianceoffice Auditing Supervis ing Info disclosure HeadofCompliance StructureofGovernance Boardofdirectors Qualificatione
7、xaminationandcompensationcommittee CEO Theshareholders meeting Boardofsupervisors Thecompliancecommittee HeadofCompliance StructureofBusinessOperation CEO Investmentdecisioncommittee Riskcontrolcommittee Fundappraisalgroup CMO CIO COO HeadofCompliance 3 BusinessDevelopmentStrategies Addinglong termv
8、alue DistributionChannelsClientsbaseLocalmarketacknowledgement 22branches strategiccooperationwithICBC CCBetc 700 000individualclients maininstitutionalclientsexceed400Excellentperformancerecord goodreputation Stronggovernmentsupport OpportunitiesfromthedevelopmentofwesternChina ProfessionalismInter
9、nationalexperienceProductdevelopment InternationalstandardinFM InternationalmanagementteamFundproductinnovation importation Outsourcing Value addedbusiness MarketSegmentation ProductDesign Promotion FundDistribution ResearchandDevelopment FundTransaction InvestmentManagement RiskControl Performancee
10、valuation Nonvalue addedbusiness Compliance HR Administration ITMaintenance CustomerService TA Fundaccounting InternalAudit Outsourcingtothereliablethird party MarketSegmentation MarketanalysisMarketvolume182billionunitsin2003GrowthrateAver annualgrowthrate50 NewopportunitiesQFII NationalSecurityFun
11、dsassetallocationDeregulationinfundissuanceprocedureCustomersegmentationInstitutionalv s Individualclients40 v s 60 estimate InternalsalespackageA M clientstransferintofundsholders CustomerNeedsAnlysis IdentifyingtheneedsofdomesticcustomersInstitutionalclients Fixedincome lowrisk cashflowmanagementI
12、ndividualsclients Growth Smallandmiddlecap activemanagementFeeStructurevariesaccordingtoclientbaseInstitutionalclients LowsubscriptionandredemptionfeeIndividualsclients VariesaccordingtotheperiodofholdingDecidingondistributionchannels dependingontargetgroupsInstitutionalclients Directsales custodian
13、bankrecommendationIndividualsclients Agencysalesviabanks securitieshousesetc CustomerSegmentation ProductStrategy PresentfundproductsEquity bond balance hybrid index moneymarket guarantyetc CompetitionproductsDeposit fundbidinginsurance assetmanagement trust undergroundfundetc DevelopmentplanMeetthe
14、needsofmainclientsgroupProductframeBasedoncapitalmarketenvironmentImage Brand GuarantyFund MoneyMarketFund BondFund BalanceFund HighRiskLow EquityFund LowReturnHigh ProductFrame FundType Distrubution DistributionmethodsDirectsalestomaininstitutionalclientsAgencysalesthroughagencybanks securitiesfirm
15、s ChinaUnionpayetc E businessthroughwebsiteandcallcenter DistributionchannelsPresentchannelsbanks securitiesfirms internetetc Channelsselection3 4commercialbanks 10sec firmsIncentiveschemefront loadfeekickbacksBindingpromotionflighttickets insurance creditcard lotteryetc InvestmentManagement Investm
16、entStrategiesActive PassiveBenchmarkErrortrackingPerformanceevaluation RiskmanagementReportingsystemResearchToptodown BottomupInvestmentstrategiesListedcompaniesresearchModelingStock basedloan Operationalmanagement ITframeworkTA Self establishment Thethird partysupporting SoftwareandhardwareselectionCustomerservicesystemCompanywebOAHumanresources GeneralAdministrationThenumberofstaffCoreemployeesJobdescriptionTrainingCorporatefinanceandadministration Compliance AuditingandsupervisingFundandcompa
