CITIC CLSA is focused on long-term, sustainable value creation for all clients, employees and other key stakeholders.

Our governance is reinforced through CITIC CLSA’s business principles, corporate governance framework, compliance, risk management, product and technology innovation, client engagement, staff training, diversity and inclusion.

Our ability to manage risk is critical to our continuity and success. CITIC CLSA has a robust risk management structure that oversees market, credit, operational and technology risk.

CITIC CLSA complies with all tax laws and practices in the jurisdictions in which it operates. With respect to any tax planning and with evaluation of risks, CITIC CLSA ensures its tax position supports the business, reflects genuine commercial activity and complies with applicable laws and regulations. Additional details are provided within the Group Tax Strategy.

An overview of CITIC CLSA’s approach to governance and commitment to our stakeholders can be found in the CITIC CLSA Group Sustainability Report 2021.

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Business principles

Our governance is reinforced through CITIC CLSA’s business principles and code of business conduct.

  • CITIC CLSA clients always come first.
  • Our assets are our people, reputation and intellectual capital.
  • We aim to surpass the ordinary through excellence in all that we do.
  • We turn original ideas into commercial realities.
  • We base our actions on moral and ethical principles.
  • Everyone is valued and essential to our success.
  • We work hard to win and celebrate our achievements.


As Asia’s leading capital markets and investment bank, CITIC CLSA pledges to create lasting value while growing our business responsibly. Our long-standing commitment to sustainability remains unwavering as we enhance our integration of environmental, social and governance (ESG) issues across our operations, strengthen our ISO 14001-certified environmental management system, and continue to build on community initiatives.

CITIC Securities International Sustainability Report 2022

CITIC Securities International Sustainability Report 2021

CITIC Securities International Sustainability Report 2021 Assurance Statement

Environmental Policy

CITIC CLSA is an environmentally conscious company. We aim to deliver quality services to our clients and implement best practice environmental policies and procedures. CITIC CLSA is committed to taking appropriate measures to control pollution and conserve non sustainable resources. Based on the ISO 14001:2015 quality management standards, and in line with pre-existing environmental commitments derived from our ‘Clean & Green’ philosophy, we have established CITIC CLSA’s environmental policy.

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Modern Slavery Statement 2023

As a financial services provider, CITIC CLSA is committed to conducting business at the highest level of ethical and professional standards. At CITIC CLSA we have implemented a number of policies and practices to ensure modern slavery does not take place in our business or supply chain.

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