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1、1,Western XX FMC Business Plan(2004-2007),to be further discussed (Confidential),2,Content,1、Profile of Western XX Asset Management Co.,Ltd. 2、Organizational Structure 3、Business Development Strategies 4、Roadmap 5、Assumptions and Forecast 6、Sales Breakdown in 2005,3,1、 Profile of Western XX Asset Ma
2、nagement Co.,Ltd.,4,Registered Capital and Share Structure,Registered Capital: RMB 100 million Registered Place: Pudong District, Shanghai, China Proposed Share Structure: Western Securities Co., Ltd. RMB 40 million Other foreign sponsor RMB 33 million Shaanxi Investment Group Co.,Ltd. RMB 27 millio
3、n,5,Business Scope,Fund management and investment advisory business in China as permitted by the applicable law. (incl. promotion, sale,issuance and management of investment funds),Other asset management business permitted by the applicable law.,6,Vision, Philosophy and Strategy,Vision,One of the le
4、aders in the great China wealth management,Philoshophy,Investors benefits are everything,Strategy,Brand, Service and Product all in one,7,Business Goal,Grow the JV into one of the top 5 FMCs in China, in the following three categories: Profitability Fund Performance Total AUM Professionalism,8,2、Org
5、anizational Structure,9,FMCs Organization Chart (at the beginning),CEO(1),CMO(1),CIO(1),CEO/COO(1),Sales& Customer Service (5),Marketing &Product development (3),Head of Compliance(1),R&D (5),Fund Manager (2),BOD Chairman(1),Trader (2),Fund Account -ing &TA (3),IT (2),Admin &HR (2),Auditing& Complia
6、nce (2),32 persons in the 1st year(proposed),10,FMCs Organizational Chart (in 3 years ),Customer Service Dept.,CMO,CIO,COO,Fund Manage -ment Dept.,Fund dealing Dept.,R&D Dept.,CEO,TA,IT Dept.,HR& Admin. Dept.,Fund Sales Dept.,Marketing Dept.,Strategy research,Finance engineer -ing,Industry & Company
7、 research,Central dealing room,Call center,Fund Account- ing,Market -ing & Product develop -ment,Direct sale,Agency sale,OA,System maintain -ence,Compliance office,Auditing &Supervis -ing,Info. disclosure,Head of Compliance,11,Structure of Governance,Board of directors,Qualification examination and
8、compensation committee,CEO,The shareholders meeting,Board of supervisors,The compliance committee,Head of Compliance,12,Structure of Business Operation,CEO,Investment decision committee,Risk control committee,Fund appraisal group,CMO,CIO,COO,Head of Compliance,13,3、Business Development Strategies,14
9、,Adding long-term value,Distribution Channels Clients base Local market acknowledgement,22 branches, strategic cooperation with ICBC, CCB etc. 700，000 individual clients, main institutional clients exceed 400 Excellent performance record, good reputation , Strong government support, Opportunities fr
10、om the development of western China,Professionalism International experience Product development,International standard in FM. International management team Fund product innovation& importation,15,Outsourcing,Value-added business,Market Segmentation,Product Design,Promotion/Fund Distribution,Researc
11、h and Development,Fund Transaction/ Investment Management,Risk Control/ Performance evaluation,Non value- added business,Compliance,HR/ Administration,IT Maintenance,Customer Service,TA/ Fund accounting,Internal Audit,Outsourcing to the reliable third-party,16,Market Segmentation,Market analysis Mar
12、ket volume 182 billion units in 2003 Growth rate Aver. annual growth rate 50% New opportunities QFII,National Security Funds asset allocation Deregulation in fund issuance procedure Customer segmentation Institutional v.s. Individual clients 40%v.s.60%(estimate) Internal sales package A.M. clients t
13、ransfer into funds holders ,17,Customer Needs Anlysis,18,Identifying the needs of domestic customers Institutional clients : Fixed income,low risk,cash flow management Individuals clients : Growth,Small and middle cap,active management Fee Structure varies according to client base Institutional clie
14、nts: Low subscription and redemption fee Individuals clients: Varies according to the period of holding Deciding on distribution channels, depending on target groups Institutional clients : Direct sales/custodian bank recommendation Individuals clients : Agency sales via banks, securities houses etc
15、.,Customer Segmentation,19,Product Strategy,Present fund products Equity,bond,balance,hybrid,index, money market,guaranty etc. Competition products Deposit, fund biding insurance, asset management, trust, underground fund etc. Development plan Meet the needs of main clients group Product frame Based on capital market environment
