{
 "as_of": "2026-11-04",
 "cmr": "hk-cm-kg/HKEX/06030",
 "fence": "The page is the record's research on the issuer — no analyst, no rating, no view.",
 "markdown": "The page is the record's research on the issuer — no analyst, no rating, no view.\n\n# CITIC SEC (Main Board: 06030) — research page\n\nAs of 2026-11-04 · hk-cm-kg · record version 1\n\n## Identity and listing\n\nThe issuer is CITIC SEC, listed on the Main Board of the HK market under ticker 06030, ISIN CNE1000016V2. Its LEI is not on the record. Its security type is Corporate. Its segment and jurisdiction are not on the record, and its sector is not on the record. Its listing status is listed, not halted.\n\n## The disclosure read\n\nThe record holds 206 filings in the twelve months to 2026-11-04, across 94 filing days. The median gap between filing days is 4 days. The latest filing is dated 2026-11-02 and is of type monthly_return, 2 days before the record date. The Main Board median cadence gap is 9.0 days, the median filings are 46.0, and the median latency is 2.0 days. The sector median is not on the record.\n\n## Auditor\n\nThe auditor of record is KPMG, and its location is not on the record. Auditor changes are not on the record.\n\n## Events and halts\n\nThe record carries no listing, delisting, name change, domicile change or segment move lines, as the index does not carry these types for this market. The halt flag shows listed, not halted.\n\n## Orderability\n\nThe outcome is not determinable. The chapter's orderability section carries no client categories, so the outcome cannot name its client category. The rule version is acm-68000/hk/suitability-sfc-code-of-conduct-paragraph-5-2/r1, and the chapter as of date is 2026-11-04.\n\n## Coverage\n\nThe issuer's investor-relations page names 14 research houses: Guangfa Securities, Haitong Securities, CICC, China Merchants Securities, PING An Securities, Galaxy Securities, CITIC Securities, HSBC, CITI, BAML, Macquarie, Credit Suisse, CCBI and GSGH.\n\n## Open research\n\nNo openly published research notes were found on the record.\n\n## Licensed\n\nLicensed research: none loaded. A licensed row is served only to an agent whose firm holds that licence (licensor, entitlement). No licensed row is loaded.\n\n## As-of depth\n\nThe issuer has no sealed years served on the record. The market's earliest sealed date is not on the record, as the market's vintage is not sealed. The live record began on 2026-09-12. Years 2021 through 2026 are sealed in the store but are not served as of a date, and the as-of door answers not_sealed.\n\n## Sources\n\n7 source pages are named on this page; every value above carries its own source page and read date in the numbers.\n\n- https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx (identity.exchange)\n- https://mcp.hk-cm-kg.ai/events/HKEX/06030 (the disclosure lines)\n- https://www.hkex.com.hk/eng/stat/smstat/dayquot/d261104e.htm (the halt flag)\n- https://www1.hkexnews.hk/listedco/listconews/sehk/2026/0422/2026042200382.pdf (the auditor)\n- https://mcp.hk-cm-kg.ai/book/aio.json (the orderability chapter)\n- https://www.citics.com/newsite/en/investorRelations/Analyst/ (coverage)\n- https://mcp.hk-cm-kg.ai/record/HKEX/06030 (the record)\n",
 "market": "HK",
 "node": "hk-cm-kg",
 "numbers": {
  "as_of_depth": {
   "issuer_years_sealed": [],
   "live_record_began": "2026-09-12",
   "node_history_from": null,
   "node_years_sealed": [],
   "note": "6 years are sealed in the HK store; their Replay split is not built, so the as-of door answers not_sealed and the record is the live record as of 2026-11-04",
   "record_version": 1,
   "sealed": false,
   "store_years_sealed_not_served": [
    "2021",
    "2022",
    "2023",
    "2024",
    "2025",
    "2026"
   ]
  },
  "auditor": {
   "auditor": {
    "read_by": "annual report 2026-04-22 (HKEXnews), Corporate Information, read by Tavily page extraction",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/0422/2026042200382.pdf",
    "state": "confirmed",
    "value": "KPMG"
   },
   "auditor_firm_id": {
    "market": "HK",
    "state": "not_on_record"
   },
   "auditor_location": {
    "market": "HK",
    "state": "not_on_record"
   },
   "changes": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   }
  },
  "cmr": "hk-cm-kg/HKEX/06030",
  "coverage": {
   "count": 14,
   "houses": [
    {
     "analyst": "ZHANG Li",
     "house": "Guangfa Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "DING Wentao",
     "house": "Haitong Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Junhua MAO",
     "house": "CICC",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "HONG Jinping",
     "house": "China Merchants Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "JIAO Wenchao",
     "house": "PING An Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "BAI Zhou",
     "house": "Galaxy Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "SHAO Ziqin",
     "house": "CITIC Securities",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "York PUN",
     "house": "HSBC",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Christina YU",
     "house": "CITI",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Winnie WU",
     "house": "BAML",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Jian LI",
     "house": "Macquarie",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Frances FENG",
     "house": "Credit Suisse",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Kenneth YUE",
     "house": "CCBI",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    },
    {
     "analyst": "Ning MA",
     "house": "GSGH",
     "read_by": "issuer IR page, fetched by this rail; each house name read on the page",
     "read_date": "2026-11-12",
     "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "state": "sourced"
    }
   ],
   "pages_checked": [
    {
     "page": "https://www.citics.com/newsite/en/investorRelations/Analyst/",
     "result": "read: 14 of 32 named houses found on the page"
    }
   ],
   "read_by": "Perplexity sonar (search) · page read by this rail",
   "read_date": "2026-11-12",
   "since": "not stated on the page read",
   "state": "found"
  },
  "disclosure": {
   "against": {
    "exchange": {
     "issuers": 2472,
     "median_cadence_gap_days": 9,
     "median_filings": 46,
     "median_latency_days": 2,
     "name": "Main Board"
    },
    "sector": {
     "market": "HK",
     "state": "not_on_record"
    }
   },
   "by_type": {
    "agm_egm": 17,
    "announcement": 137,
    "annual_report": 1,
    "circular": 9,
    "constitutional_document": 2,
    "director_change": 7,
    "dividend": 12,
    "documents_on_display": 2,
    "esg_report": 1,
    "interim_report": 1,
    "monthly_return": 12,
    "next_day_disclosure": 1,
    "results": 4
   },
   "cadence_median_gap_days": 4,
   "filing_days": 94,
   "filings": 206,
   "latency_days": 2,
   "latest": [
    {
     "category": null,
     "date": "2026-11-02",
     "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/1102/2026110201358.pdf",
     "title": "Monthly Return of Equity Issuer on Movements in Securities for the month ended 31 October 2026",
     "type": "monthly_return"
    },
    {
     "category": null,
     "date": "2026-10-27",
     "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/1027/2026102700579.htm",
     "title": "An announcement has just been published by the issuer in the Chinese section of this website, a corresponding version of which may or may not be published in this section",
     "type": "announcement"
    },
    {
     "category": null,
     "date": "2026-10-26",
     "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/1026/2026102600670.pdf",
     "title": "2026 THIRD QUARTERLY RESULTS",
     "type": "results"
    },
    {
     "category": null,
     "date": "2026-10-22",
     "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/1022/2026102200968.htm",
     "title": "An announcement has just been published by the issuer in the Chinese section of this website, a corresponding version of which may or may not be published in this section",
     "type": "announcement"
    },
    {
     "category": null,
     "date": "2026-10-16",
     "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/1016/2026101600520.pdf",
     "title": "CITIC SECURITIES COMPANY LIMITED VOLUNTARY ANNOUNCEMENT CONVENING OF 2026 THIRD QUARTERLY RESULTS PRESENTATION",
     "type": "announcement"
    }
   ],
   "latest_filing_date": "2026-11-02",
   "read": "the node's event lines (list_events_since), as get_filings serves them",
   "source": "https://mcp.hk-cm-kg.ai/events/HKEX/06030",
   "window": {
    "from": "2025-11-04",
    "to": "2026-11-04"
   }
  },
  "identity": {
   "exchange": {
    "read_by": "HKEX List of Securities (ListOfSecurities.xlsx)",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx",
    "state": "sourced",
    "value": "Main Board"
   },
   "isin": {
    "read_by": "HKEX List of Securities (ListOfSecurities.xlsx)",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx",
    "state": "sourced",
    "value": "CNE1000016V2"
   },
   "jurisdiction": {
    "market": "HK",
    "reason": "no LEI record",
    "state": "not_on_record"
   },
   "lei": {
    "market": "HK",
    "reason": "ISIN not in the GLEIF mapping file (no name route on this node: no search layer by order)",
    "state": "not_on_record"
   },
   "name": {
    "read_by": "HKEX List of Securities (ListOfSecurities.xlsx)",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx",
    "state": "sourced",
    "value": "CITIC SEC"
   },
   "sector": {
    "market": "HK",
    "reason": "HKEX publishes the industry classification per issuer on its website pages, not in the List of Securities (no page reads by order)",
    "state": "not_on_record"
   },
   "security_type": {
    "read_by": "HKEX List of Securities (ListOfSecurities.xlsx)",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx",
    "state": "sourced",
    "value": "Corporate"
   },
   "segment": {
    "market": "HK",
    "state": "not_on_record"
   },
   "ticker": {
    "read_by": "HKEX List of Securities (ListOfSecurities.xlsx)",
    "read_date": "2026-11-04",
    "read_date_basis": "the record version as_of",
    "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx",
    "state": "sourced",
    "value": "06030"
   },
   "website": {
    "market": "HK",
    "state": "not_on_record"
   }
  },
  "licensed": {
   "columns": [
    "licensor",
    "entitlement",
    "title",
    "date",
    "source"
   ],
   "rows": [],
   "rule": "A licensed row is served only to an agent whose firm holds that licence (licensor, entitlement). No licensed row is loaded."
  },
  "lifecycle": {
   "delisting": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   },
   "domicile_change": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   },
   "listing": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   },
   "name_change": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   },
   "segment_move": {
    "market": "HK",
    "reason": "no lifecycle type map for this register yet (SHELF-01: us and ca first)",
    "state": "not_on_record"
   }
  },
  "market": "HK",
  "node": "hk-cm-kg",
  "numbers_hash": "sha256:3dd5e56dbc3ebe875cdcfcf60bab59284979b4f41f2c77cb5843964441cb3db6",
  "open_research": {
   "read_date": "2026-11-12",
   "rows": [],
   "state": "none_found"
  },
  "orderability": {
   "chapter_as_of": "2026-11-04",
   "client_categories": [],
   "determinable": false,
   "read": {
    "chapter": "https://mcp.hk-cm-kg.ai/book/aio.json",
    "door": "https://mcp.hk-cm-kg.ai/mcp",
    "tool": "get_orderability"
   },
   "reason": "the chapter's orderability section carries no client_categories: the outcome cannot name its client category",
   "rule_version": "acm-68000/hk/suitability-sfc-code-of-conduct-paragraph-5-2/r1",
   "section": "hk.aio.v6"
  },
  "record": {
   "as_of": "2026-11-04",
   "url": "https://mcp.hk-cm-kg.ai/record/HKEX/06030",
   "version": 1
  },
  "schema": "research-numbers v0.1 (USR-01, 2026-11-11)",
  "status": {
   "read_date": "2026-11-04",
   "source": "https://www.hkex.com.hk/eng/stat/smstat/dayquot/d261104e.htm",
   "value": "listed, not halted"
  }
 },
 "numbers_hash": "sha256:3dd5e56dbc3ebe875cdcfcf60bab59284979b4f41f2c77cb5843964441cb3db6",
 "path": "/hk/HKEX/06030",
 "schema": "research-page v0.1 (USR-02, 2026-11-11)",
 "sections": [
  {
   "id": "identity",
   "text": "The issuer is CITIC SEC, listed on the Main Board of the HK market under ticker 06030, ISIN CNE1000016V2. Its LEI is not on the record. Its security type is Corporate. Its segment and jurisdiction are not on the record, and its sector is not on the record. Its listing status is listed, not halted.",
   "title": "Identity and listing"
  },
  {
   "id": "disclosure",
   "text": "The record holds 206 filings in the twelve months to 2026-11-04, across 94 filing days. The median gap between filing days is 4 days. The latest filing is dated 2026-11-02 and is of type monthly_return, 2 days before the record date. The Main Board median cadence gap is 9.0 days, the median filings are 46.0, and the median latency is 2.0 days. The sector median is not on the record.",
   "title": "The disclosure read"
  },
  {
   "id": "auditor",
   "text": "The auditor of record is KPMG, and its location is not on the record. Auditor changes are not on the record.",
   "title": "Auditor"
  },
  {
   "id": "events",
   "text": "The record carries no listing, delisting, name change, domicile change or segment move lines, as the index does not carry these types for this market. The halt flag shows listed, not halted.",
   "title": "Events and halts"
  },
  {
   "id": "orderability",
   "text": "The outcome is not determinable. The chapter's orderability section carries no client categories, so the outcome cannot name its client category. The rule version is acm-68000/hk/suitability-sfc-code-of-conduct-paragraph-5-2/r1, and the chapter as of date is 2026-11-04.",
   "title": "Orderability"
  },
  {
   "id": "coverage",
   "text": "The issuer's investor-relations page names 14 research houses: Guangfa Securities, Haitong Securities, CICC, China Merchants Securities, PING An Securities, Galaxy Securities, CITIC Securities, HSBC, CITI, BAML, Macquarie, Credit Suisse, CCBI and GSGH.",
   "title": "Coverage"
  },
  {
   "id": "open_research",
   "text": "No openly published research notes were found on the record.",
   "title": "Open research"
  },
  {
   "id": "licensed",
   "text": "Licensed research: none loaded. A licensed row is served only to an agent whose firm holds that licence (licensor, entitlement). No licensed row is loaded.",
   "title": "Licensed"
  },
  {
   "id": "depth",
   "text": "The issuer has no sealed years served on the record. The market's earliest sealed date is not on the record, as the market's vintage is not sealed. The live record began on 2026-09-12. Years 2021 through 2026 are sealed in the store but are not served as of a date, and the as-of door answers not_sealed.",
   "title": "As-of depth"
  },
  {
   "id": "sources",
   "text": "7 source pages are named on this page; every value above carries its own source page and read date in the numbers.",
   "title": "Sources"
  }
 ],
 "sources": [
  {
   "for": "identity.exchange",
   "source": "https://www.hkex.com.hk/eng/services/trading/securities/securitieslists/ListOfSecurities.xlsx"
  },
  {
   "for": "the disclosure lines",
   "source": "https://mcp.hk-cm-kg.ai/events/HKEX/06030"
  },
  {
   "for": "the halt flag",
   "source": "https://www.hkex.com.hk/eng/stat/smstat/dayquot/d261104e.htm"
  },
  {
   "for": "the auditor",
   "source": "https://www1.hkexnews.hk/listedco/listconews/sehk/2026/0422/2026042200382.pdf"
  },
  {
   "for": "the orderability chapter",
   "source": "https://mcp.hk-cm-kg.ai/book/aio.json"
  },
  {
   "for": "coverage",
   "source": "https://www.citics.com/newsite/en/investorRelations/Analyst/"
  },
  {
   "for": "the record",
   "source": "https://mcp.hk-cm-kg.ai/record/HKEX/06030"
  }
 ],
 "title": "CITIC SEC (06030) — research page",
 "writer": {
  "by": "Claude through the platform account, Haiku class; one pass; checked against the numbers",
  "engine": "claude-haiku-5-5"
 }
}