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Guosen Securities (HK) Asset Management
The firm functions as the international asset management vehicle for Guosen Securities Co., Ltd., a Shenzhen-headquartered securities firm listed on the...
Guosen Securities (HK) Asset Management
The firm functions as the international asset management vehicle for Guosen Securities Co., Ltd., a Shenzhen-headquartered securities firm listed on the Shenzhen Stock Exchange and ultimately controlled by the Shenzhen municipal government's State-owned Assets Supervision and Administration Commission (SASAC). Guosen Securities (HK) Asset Management holds licenses from the Hong Kong Securities and Futures Commission (SFC) permitting it to conduct asset management, advising on securities, and dealing in securities, which positions it within the tight regulatory perimeter required for managing capital from qualified investors. Its strategy centers on cross-border mandates, managing both public market funds and discretionary accounts for institutional and high-net-worth clients. The product shelf typically includes Greater China equity long-only funds, Asian fixed-income funds, and RQFII A-share products that give foreign investors access to Shanghai and Shenzhen–listed stocks. On the outbound side, the QDII quota allows it to invest onshore Chinese money in Hong Kong-listed equities and global developed-market bonds. Underlying portfolio construction reflects a mix of in-house research from Guosen's onshore platform and external sub-advisory relationships in Hong Kong. Guosen Securities (HK) Asset Management sits inside a broader Guosen Securities (HK) Financial Holdings group, which also encompasses brokerage, investment banking, and futures operations. The parent's onshore research infrastructure, which covers over 900 Chinese listed companies, provides proprietary deal flow and credit analysis that filters into the Hong Kong asset management unit's selection process. Philanthropic structures tied directly to the asset management entity are not publicly disclosed. Structurally, it differs from independent Hong Kong fund managers in that it serves as a conduit within a state-owned financial ecosystem — its investment committee ultimately answers to a mainland Chinese securities firm with a municipal SASAC parent rather than to third-party fund investors. This alignment means the firm's growth often tracks policy-driven liberalization quotas rather than pure fundraising cycles, and its client base skews toward mainland institutions with pre-existing investment banking or custody relationships with the Guosen group (per public record).
General information
Firm type
Asset Manager
Year founded
—
AUM
Undisclosed
Location
Region
Asia
Country
China
City
Hong Kong
Corporate office
Hong Kong, China
Frequently asked questions
Who is the ultimate parent company of Guosen Securities (HK) Asset Management?
The firm is a subsidiary of Guosen Securities Co., Ltd., a securities firm listed on the Shenzhen Stock Exchange. Guosen Securities is ultimately majority-controlled by the Shenzhen municipal government through its State-owned Assets Supervision and Administration Commission (SASAC), making this a state-owned asset management platform.
What regulatory licenses does Guosen Securities (HK) Asset Management hold in Hong Kong?
It holds licenses from the Hong Kong Securities and Futures Commission (SFC) for Type 4 (advising on securities), Type 9 (asset management), and Type 1 (dealing in securities) regulated activities. These licenses are required to manage funds and discretionary accounts for professional investors.
What QDII and RQFII quotas does the firm operate under?
As a Guosen Securities subsidiary, its quota allocation is tied to the parent group's approved limits from China's State Administration of Foreign Exchange (SAFE). The QDII quota allows outbound investments into global securities, while the RQFII quota enables foreign investors to channel RMB into China's onshore equity and bond markets. Specific current dollar amounts are not independently published on the entity's website.
What is the firm's primary investment strategy?
The firm focuses on cross-border public market strategies. On the outbound side, its QDII funds invest Chinese capital in Hong Kong equities and global fixed income. On the inbound side, its RQFII products give international investors exposure to onshore Chinese A-shares and bonds. It also manages traditional long-only Greater China and Asia-Pacific equity mandates.
Does Guosen Securities (HK) Asset Management invest in private equity or real assets?
While the parent Guosen Securities has private equity and direct investment subsidiaries onshore, the Hong Kong asset management entity's core SFC-licensed activities center on public market securities, fixed income, and discretionary managed accounts. No dedicated private equity or real asset fund vehicles under its SFC registration are publicly promoted.
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