| 拟上板块 | 己受理 | 已问询 | 已过会 | 提交注册 | 中止 | 合计 | | --- | --- | --- | --- | --- | --- | --- | | 沪主板 | 2 | 29 | 3 | | 0 | રે રે | | 科创板 | 1 | 13 | 0 | 4 | 1 | 19 | | 深主板 | ব | 12 | 6 | 2 | 0 | 24 | | 创业板 | 0 | 10 | R16 | 2 | 0 | 28 | | 北交所 | 1 | 60 | ਤੇ | ব | ટર | ਰੇਤੋ | | 合计 | 8 | 124 | 28 | 13 | 26 | 199 | 这199家A股IPO排队企业的中介机构排名如下： 一、保荐机构业绩排名 共有45家券商承担了这199家IPO排队企业的保荐业务，有3家IPO排队企业分别聘请两家券商，各计一单，故业务单数总量为202单。 榜单前三名： 第一名：国泰君安（17单）、中信证券（17单） 文/梧桐数据中心 据沪深北交易所官网数据显示，截至3月12日，A股IPO 排队 企业仅剩199家，其中沪深交易所合计106家（沪主板35家、科创板19家 ...

Financial Performance - Operating revenue for Q3 2024 reached RMB 11,931,226,135, representing a year-on-year increase of 37.21%[6] - Net profit attributable to shareholders of the parent company was RMB 4,507,003,290, up 56.17% compared to the same period last year[6] - Net profit attributable to shareholders of the parent company after deducting non-recurring gains and losses was RMB 4,478,431,055, reflecting a significant increase of 77.96% year-on-year[6] - Basic earnings per share for the period was RMB 0.49, an increase of 58.06% compared to the previous year[6] - Total operating revenue for the first three quarters of 2024 reached ¥29,000,991,014, an increase of 7.3% compared to ¥27,029,463,581 in the same period of 2023[22] - Net income for the first three quarters of 2024 was ¥9,913,939,300, up 9.5% from ¥9,051,858,631 in 2023[24] - Net profit attributable to the parent company for the first three quarters of 2024 was ¥9,523,020,776, compared to ¥8,627,487,447 in 2023, reflecting a growth of 10.4%[24] - Operating profit for the first three quarters of 2024 was ¥12,096,019,869, an increase of 7.8% from ¥11,225,785,348 in 2023[24] - The total comprehensive income for the first three quarters of 2024 was ¥10,498,807,985, compared to ¥9,077,503,013 in 2023, indicating a growth of 15.6%[25] Assets and Liabilities - Total assets as of the end of the reporting period were RMB 931,948,048,732, a slight increase of 0.71% from the end of the previous year[7] - The total liabilities of the company as of September 30, 2024, were RMB 758.98 billion, compared to RMB 752.02 billion at the end of 2023, indicating an increase of 0.87%[21] - The company's equity attributable to shareholders was RMB 166.48 billion, slightly down from RMB 166.97 billion, a decrease of 0.29%[21] - The company's total assets as of September 30, 2024, were CNY 645,377,984,459, down from CNY 685,950,956,921 at the end of 2023, indicating a decrease of about 5.9%[29] - Total liabilities decreased to CNY 502,274,445,215 as of September 30, 2024, down from CNY 540,152,267,561 at the end of 2023, a reduction of approximately 7%[30] Cash Flow - The net cash flow from operating activities reached CNY 35.82 billion, a significant improvement from a negative cash flow of CNY -23.65 billion in the same period last year[13] - The net cash flow from operating activities for the first three quarters of 2024 was ¥35,818,493,749, a substantial improvement compared to a negative cash flow of -¥23,654,102,728 in 2023[26] - Cash flow from investment activities showed a net inflow of CNY 10,689,512,005 in 2024, a turnaround from a net outflow of CNY -984,378,163 in 2023[27] - Cash inflow from investment activities totaled ¥85,423,872,467 in 2024, significantly higher than ¥45,130,557,607 in 2023[35] - The net cash flow from financing activities in 2024 was CNY -30,131,243,575, compared to a positive inflow of CNY 2,624,208,463 in 2023, showing a significant decline[27] Investments and Income - The increase in operating revenue was primarily driven by a rise in fair value gains compared to the previous year[11] - The net income from investment banking fees decreased by 32.33% to CNY 1.80 billion, primarily due to a decline in equity underwriting revenue[13] - The net investment income decreased to ¥6,388,973,053 in 2024 from ¥8,074,639,130 in 2023, reflecting a decline of 20.9%[22] - The company reported a significant increase in other business income, totaling ¥6,377,864,438 in 2024, compared to ¥5,110,988,146 in 2023, marking a rise of 24.8%[22] - The company reported a significant increase in fair value changes, with a gain of ¥4,536,462,846 in 2024 compared to a loss of -¥53,806,906 in 2023[22] Shareholder Information - The total number of common shareholders at the end of the reporting period was 149,469, with the top ten shareholders holding a combined 56.66% of shares[14] - The company plans to conduct a share swap merger with Haitong Securities, with a swap ratio of 1:0.62 for both A-shares and H-shares[18] Other Financial Metrics - Other comprehensive income after tax surged by 2,180.69% to CNY 584.87 million, mainly from changes in the fair value of equity and debt investments[13] - The company's cash and cash equivalents amounted to RMB 200.75 billion, up from RMB 161.88 billion, representing a significant increase of 23.93%[19] - Customer fund deposits increased by 34.51% to CNY 176.40 billion compared to the previous year, driven by market conditions[12] - The company's short-term financing payables decreased by 34.62% to CNY 12.67 billion, primarily due to the maturity of short-term financing bonds[12] - The company's other receivables decreased by 31.12% to CNY 64.85 billion, reflecting a strategic reduction in this investment category[12]

Dividend Distribution - The company plans to distribute a cash dividend of 1.5 RMB per 10 shares, totaling approximately 1,335,559,593 RMB, which accounts for 26.63% of the net profit attributable to the parent company for the first half of 2024[2]. - The cash dividend for H-share shareholders will be distributed at a rate of HKD 1.641716 per 10 shares, based on the average exchange rate of RMB to HKD prior to the dividend distribution date[116]. - The company plans to distribute a cash dividend of RMB 1.5 per 10 shares for the 2024 interim dividend, totaling RMB 1,335,559,593, which accounts for 26.63% of the net profit attributable to the parent company for the first half of 2024[115]. - The company will distribute the interim dividend to eligible shareholders by October 21, 2024, or earlier[116]. Financial Performance - Total revenue and other income for the first half of 2024 was RMB 25.79 billion, a decrease of 1.50% compared to the same period last year[12]. - Net profit attributable to shareholders for the first half of 2024 was RMB 5.02 billion, down 12.64% year-on-year[12]. - Operating profit for the first half of 2024 was RMB 6.39 billion, reflecting a decline of 13.06% compared to the previous year[12]. - The company reported a basic earnings per share of RMB 0.52, down 14.75% from RMB 0.61 in the same period last year[12]. - Commission and fee income amounted to RMB 8.84 billion, accounting for 34.29% of total revenue, down 2.68% year-on-year, primarily due to declines in brokerage and investment banking income[60]. - Interest income was RMB 7.42 billion, representing 28.77% of total revenue, a decrease of 5.59% year-on-year, mainly due to lower income from margin financing and stock pledge businesses[60]. - Net investment income was RMB 4.93 billion, accounting for 19.14% of total revenue, down 5.07% year-on-year, attributed to declines in fair value investments[60]. Risk Management - The company faces various risks including market risk, credit risk, liquidity risk, operational risk, and reputational risk, and has established an effective internal control and risk management system[4]. - The company emphasizes the importance of risk control at all levels, requiring subsidiaries to establish their own risk management systems[90]. - The company has established a four-tier risk management system, continuously improving risk management methods for market, credit, operational, liquidity, and reputational risks[91]. - The company has implemented a performance evaluation system that includes risk management effectiveness across all employees[86]. - The company has established an operational risk management system to identify and assess operational risks across internal processes, employee behavior, and IT systems, ensuring business continuity and effective management[101]. Corporate Governance - The mid-term report has been reviewed by KPMG and confirms the accuracy and completeness of the financial statements[2]. - The mid-term report is unaudited but has been reviewed by the audit committee, which raised no objections to the accounting policies adopted by the group[2]. - The report indicates that there are no non-operational fund occupations by controlling shareholders or related parties[3]. - The company’s legal representative is Zhu Jian, and the general manager is Li Junjie[8]. - The company has experienced several board member changes due to retirement and resignations, impacting its governance structure[112]. Business Strategy and Development - The company aims to enhance its core competitiveness through mergers and acquisitions and organizational innovation as part of its long-term strategy[21]. - The company is focusing on international business development, particularly in Hong Kong, the United States, Europe, and Southeast Asia, through its international platform[57]. - The company launched a new strategy "ALL in AI" and introduced the "Junhong Lingxi" large model with over 100 billion parameters[26]. - The company is advancing its digital transformation with a focus on online, data-driven, and intelligent operations, enhancing its business development capabilities[28]. - The company is committed to continuous improvement of its internal control mechanisms and emergency plans for innovative business to ensure stable development[107]. Environmental, Social, and Governance (ESG) - The company emphasizes its commitment to green finance and sustainable development through the release of action plans for carbon neutrality and enhancing green financial services[144]. - The company has established an ESG and sustainability committee to enhance its ESG risk management framework[108]. - The company has implemented energy-saving measures in its data center, resulting in a reduction of approximately 20,000 kWh of electricity by decommissioning old servers[153]. - The company has actively promoted green operations, reducing energy consumption in its Shanghai office to 7,213.92 tons of standard coal in the first half of 2024[148]. - The company has participated in carbon trading with a cumulative transaction volume of 80.5 million tons as of June 30, 2024, including 4.82 million tons in the first half of 2024[145]. Shareholder Engagement - The company held its first extraordinary shareholders' meeting on March 20, 2024, to approve the repurchase of restricted A-shares[109]. - The company plans to hold its annual shareholders' meeting on May 21, 2024, to discuss various reports and proposals[109]. - The company emphasizes cash dividends as a method to return value to investors, maintaining a focus on enhancing intrinsic value creation[139]. - The company has a comprehensive investor relations management system, including various communication channels such as roadshows and performance briefings[139]. - The company engaged in multiple investor communications throughout the first half of 2024, discussing regulatory policies, corporate strategy, and wealth management[140]. Operational Performance - The company has established a reform action plan for 2023-2025 to enhance its operational efficiency and customer service systems[28]. - The company has implemented a multi-level risk monitoring and early warning mechanism for innovative business, ensuring risks are kept within acceptable limits[106]. - The company has established a framework for monitoring environmental compliance, ensuring adherence to national standards[143]. - The company has completed carbon trading innovations, including the first CCER transaction and the first carbon-linked options trading in the industry[145]. - The company has launched various green financing products, focusing on sectors such as photovoltaic power generation and wastewater treatment[146].

Dividend Distribution - The company announced a mid-term dividend distribution of 1.5 RMB per 10 shares, totaling approximately 1,335,559,593 RMB, which accounts for 26.63% of the net profit attributable to the parent company for the first half of 2024[2]. - The company plans to distribute a cash dividend of RMB 1.5 per 10 shares for the 2024 interim dividend, totaling RMB 1,335,559,593, which accounts for 26.63% of the net profit attributable to the parent company for the first half of 2024[117]. - The cash dividend for H-share shareholders will be distributed at a rate of HKD 1.641716 per 10 shares, based on the average exchange rate of RMB to HKD prior to the dividend distribution date[118]. Financial Performance - Total revenue for the first half of 2024 was RMB 25,779,128,000, a decrease of 1.50% compared to RMB 26,170,739,000 in the same period last year[14]. - Operating profit decreased by 13.06% to RMB 6,388,648,000 from RMB 7,348,700,000 year-on-year[14]. - Net profit attributable to shareholders was RMB 5,016,017,000, down 12.64% from RMB 5,741,577,000 in the previous year[14]. - Cash flow from operating activities showed a significant decline, with a net outflow of RMB 12,682,368,000 compared to a net inflow of RMB 277,621,000 in the same period last year, representing a decrease of 4,668.23%[14]. - The company's basic earnings per share for the first half of 2024 was RMB 0.52, a decrease of 14.75% compared to RMB 0.61 in the same period last year[14]. - The weighted average return on net assets was 3.11%, down 0.64 percentage points from 3.75% in the previous year[14]. Assets and Liabilities - Total assets at the end of the reporting period were RMB 898,059,606,000, down 2.95% from RMB 925,402,484,000 at the end of the previous year[15]. - Total liabilities decreased by 3.83% to RMB 723,247,546,000 from RMB 752,024,474,000 year-on-year[15]. - The equity attributable to shareholders increased slightly by 0.67% to RMB 168,096,267,000 from RMB 166,969,253,000[15]. Risk Management - The company has established an effective internal control system and dynamic risk control indicators to manage operational risks, including market, credit, liquidity, operational, and reputational risks[5]. - The mid-term performance announcement emphasizes the importance of risk awareness regarding future plans and development strategies[2]. - The company emphasizes a robust risk management framework, integrating compliance risk management as a core strategy to ensure long-term stability[85]. - The board of directors is responsible for the overall risk management and has established a risk control committee to oversee risk management policies and major risk limits[87]. - The company has established a four-tier risk management system that includes comprehensive risk management methods tailored to different risk types such as market risk, credit risk, operational risk, and liquidity risk[93]. Corporate Governance - The board of directors confirmed that there are no non-operational fund occupations by controlling shareholders or related parties[4]. - The company has not violated any regulatory decision-making procedures in providing guarantees[5]. - The board of directors has ensured the authenticity, accuracy, and completeness of the mid-term performance announcement[2]. - The company has complied with Hong Kong listing rules regarding the composition of its audit committee following recent board changes[115]. Strategic Initiatives - The company aims to enhance its core competitiveness through mergers and acquisitions and organizational innovation as part of its strategic direction[23]. - The company is advancing its comprehensive digital transformation, with a focus on "online, data-driven, and intelligent" operations[27]. - The company is focusing on five key areas: technology finance, green finance, inclusive finance, pension finance, and digital finance, to strengthen its core competitive advantages[30]. Employee and Training Initiatives - The total number of employees as of June 30, 2024, is 14,762, with 11,702 in the parent company[140]. - The average learning time per employee is 39 hours, focusing on enhancing marketing capabilities and training in key areas[140]. Environmental and Social Responsibility - The company emphasizes its commitment to environmental responsibility, stating that its operations have a limited impact on the environment due to the nature of its financial services[145]. - The company has developed action plans for carbon neutrality and enhancing green financial services, aiming to support sustainable economic development[146]. - The company has invested 19.11 million yuan in poverty alleviation and rural revitalization projects, benefiting 70,000 people through various forms of assistance[156]. Related Party Transactions - The company’s related party transactions are conducted in accordance with fair and open principles, adhering to market prices[170]. - The company has not disclosed any new related party transactions that were not previously announced[170]. Shareholder Engagement - The company held one analyst conference call with 64 participants from domestic and international institutions[141]. - A total of 402 investor calls were received, and 50 questions were answered through the Shanghai Stock Exchange's e-interaction platform[141]. - The company engaged in multiple investor communications throughout the first half of 2024, discussing regulatory policies, corporate strategy, and wealth management[142].

Financial Performance - Operating revenue for Q1 2024 was CNY 7,983,091,405, a decrease of 14.05% compared to the same period last year[3] - Net profit attributable to shareholders of the parent company was CNY 2,489,358,737, down 18.13% year-on-year[3] - Net profit attributable to shareholders of the parent company after deducting non-recurring gains and losses was CNY 2,049,710,209, a decline of 25.46%[3] - Total revenue for Q1 2024 was RMB 7,983,091,405, a decrease of 14.06% compared to RMB 9,288,045,652 in Q1 2023[18] - Net profit for Q1 2024 was RMB 2,619,206,556, down 18.00% from RMB 3,195,261,486 in Q1 2023[19] - Total comprehensive income for Q1 2024 was CNY 2,589,279,980, a decrease from CNY 3,216,973,078 in Q1 2023, representing a decline of approximately 19.5%[20] - Basic earnings per share for Q1 2024 was CNY 0.26, down from CNY 0.33 in Q1 2023, reflecting a decrease of about 21.2%[20] - Net profit for Q1 2024 was CNY 2.07 billion, down from CNY 2.27 billion in Q1 2023, indicating a decline of approximately 8.7%[27] - Total revenue for Q1 2024 was CNY 4.67 billion, compared to CNY 5.16 billion in Q1 2023, marking a decrease of about 9.5%[26] - Operating profit for Q1 2024 was CNY 2.56 billion, down from CNY 2.82 billion in Q1 2023, a decline of approximately 9.3%[27] Cash Flow - The net cash flow from operating activities was CNY -13,016,163,544, indicating a significant cash outflow[3] - Cash flow from operating activities for Q1 2024 showed a net outflow of CNY 13,016,163,544, an improvement from a net outflow of CNY 20,749,537,510 in Q1 2023[21] - Cash inflow from investment activities in Q1 2024 was CNY 39,710,759,413, significantly higher than CNY 20,025,639,916 in Q1 2023, indicating an increase of approximately 98.5%[22] - Net cash flow from financing activities in Q1 2024 was a net outflow of CNY 2,196,260,680, compared to a net inflow of CNY 19,169,772,770 in Q1 2023[22] - The company reported a significant increase in cash inflow from operating activities, totaling CNY 39.98 billion in Q1 2024, up from CNY 26.18 billion in Q1 2023, representing a growth of approximately 52.7%[28] - The net increase in cash and cash equivalents for Q1 2024 was negative 4.02 billion, compared to a positive increase of 3.05 billion in Q1 2023[29] - The ending balance of cash and cash equivalents as of Q1 2024 was approximately 134.46 billion, down from 155.71 billion in Q1 2023, a decrease of 13.6%[29] Assets and Liabilities - Total assets at the end of the reporting period were CNY 910,576,980,843, a decrease of 1.60% from the end of the previous year[3] - Total assets decreased to RMB 910,576,980,843 as of March 31, 2024, down from RMB 925,402,484,366 as of December 31, 2023[17] - Total liabilities decreased to RMB 734,601,759,115 as of March 31, 2024, from RMB 752,024,473,921 as of December 31, 2023[16] - Total liabilities decreased from CNY 540.15 billion as of December 31, 2023, to CNY 487.16 billion as of March 31, 2024, representing a reduction of approximately 9.8%[24] - The company's equity attributable to shareholders increased to RMB 169,440,926,442 as of March 31, 2024, compared to RMB 166,969,253,616 as of December 31, 2023[17] - Owner's equity increased from CNY 145.80 billion as of December 31, 2023, to CNY 148.09 billion as of March 31, 2024, reflecting a growth of about 1.6%[25] Shareholder Information - The total number of common shareholders at the end of the reporting period is 157,138, with the top ten shareholders holding a combined 56.18% of shares[9] - Shanghai State-owned Assets Management Co., Ltd. holds 1,900,963,748 shares, accounting for 21.35% of total shares[10] - The company has a total of 1,391,755,970 shares held by Hong Kong Central Clearing (Agent) Co., Ltd., representing 15.63% of total shares[10] - The number of A-share shareholders is 156,971, while H-share registered shareholders total 167[11] - The top ten shareholders include several state-owned entities, indicating a strong government presence in the ownership structure[12] - The company has not reported any significant changes in the participation of major shareholders in margin financing and securities lending activities[12] Investment Income - The net interest income decreased by 49.42% to CNY 350,388,144 due to increased interest expenses on liabilities[8] - Investment income showed a significant decline of 229.85%, amounting to CNY -3,019,047,978[8] - Investment income showed a loss of RMB 3,019,047,978 in Q1 2024, compared to a gain of RMB 2,324,962,992 in Q1 2023[18] - The company reported a significant increase in interest, fees, and commissions received, totaling CNY 7,606,960,293 in Q1 2024, down from CNY 8,646,488,240 in Q1 2023[21] - Cash received from the recovery of investments in Q1 2024 was approximately 28.69 billion, compared to 15.94 billion in Q1 2023, marking an increase of 80.0%[29] - Cash paid for investment activities in Q1 2024 was approximately 7.16 billion, a decrease from 11.06 billion in Q1 2023, representing a reduction of 35.5%[29] - Cash received from investment income in Q1 2024 was approximately 648.94 million, slightly up from 647.45 million in Q1 2023, showing a marginal increase of 0.2%[29]

Profit Distribution and Financial Performance - The profit distribution plan for 2023 proposes a cash dividend of 4.0 CNY per 10 shares, totaling approximately 3.56 billion CNY, which accounts for 38.0% of the net profit attributable to the parent company [2]. - The company has cumulatively distributed over 32.8 billion CNY in dividends since its listing in 2015, with the 2023 annual dividend plan representing 38% of the annual net profit [7]. - Total revenue for 2023 reached RMB 52,303,831 thousand, representing a 6.55% increase compared to RMB 49,086,921 thousand in 2022 [26]. - Operating profit decreased by 12.09% to RMB 11,768,452 thousand in 2023 from RMB 13,387,391 thousand in 2022 [26]. - Profit attributable to equity holders before tax was RMB 12,147,898 thousand, down 14.09% from RMB 14,139,971 thousand in the previous year [26]. - The net profit attributable to equity holders of the company for the year was CNY 9.37 billion, a decrease of 18.55% compared to the previous year [86]. - Basic earnings per share decreased by 21.60% to RMB 0.98 in 2023 from RMB 1.25 in 2022 [28]. - The weighted average return on equity was 6.02%, down 1.86 percentage points from 7.88% in 2022 [28]. - Total assets increased by 7.52% to RMB 925,402,484 thousand at the end of 2023, up from RMB 860,707,917 thousand at the end of 2022 [27]. - Total liabilities rose by 7.92% to RMB 752,024,474 thousand in 2023 from RMB 696,862,458 thousand in 2022 [27]. Business Development and Strategic Initiatives - The company has established a total of 100 billion CNY in innovation funds to support 6 enterprises listed on the Sci-Tech Innovation Board, with a single project fundraising of 21.2 billion CNY [6]. - The company aims to enhance its global vision and strategic thinking while focusing on serving national strategies and developing world-class enterprises [8]. - The company is committed to advancing the reform of state-owned enterprises in Shanghai as a key opportunity for growth [9]. - The company plans to accelerate the implementation of the "one enterprise, one policy" action plan to improve production relations and enhance new productivity [9]. - The company is focused on building a first-class investment bank and achieving the goal of a strong financial nation [10]. - The company aims to improve its core competitiveness by dynamically implementing counter-cyclical adjustments and cross-cycle layouts [10]. - The company is dedicated to fostering a strong brand image and accumulating reputation capital through professional operations [10]. - The company is committed to digital transformation and enhancing its service capabilities to adapt to the evolving competitive landscape in the securities industry [78]. Risk Management and Compliance - The company has established a comprehensive compliance risk control system to prevent systemic financial risks [8]. - The company has maintained an AA-level regulatory rating for 16 consecutive years and improved its MSCI ESG rating to BBB [5]. - The company has established a four-tier risk management system, including specific risk management measures for market, credit, operational, liquidity, and reputational risks [145]. - The risk management department is responsible for managing various risks, including market, credit, operational, and liquidity risks [142]. - The company emphasizes the importance of compliance and risk management at all levels, requiring subsidiaries to establish their own risk management systems [144]. - The company has developed an ESG risk management approach and revised several risk management policies in accordance with the latest regulatory requirements [145]. - The company has implemented a market risk limit management system, monitoring various risk indicators daily to provide a basis for decision-making [148]. User Engagement and Technology Development - The user base for the Junhong APP has surpassed 40 million, while the Daohua platform covers nearly 9,200 corporate institutions and 72,700 users [7]. - The number of users on the Junhong APP reached 40.44 million, a growth of 3.7% compared to the previous year [38]. - The average monthly active users increased by 10.1% year-on-year to 17.96 million [38]. - The company achieved a total information technology investment of 2.16 billion yuan in 2023, representing a year-on-year increase of 20.1% [92]. - The company has initiated a comprehensive digital transformation, including the launch of the "SMART Investment Banking" vision and the "Open Securities" ecological development concept [91]. Governance and Board Structure - The company has established a remuneration assessment and nomination committee responsible for reviewing and proposing remuneration policies for directors and senior management [199]. - The company has implemented a deferred payment structure for 40% of annual performance bonuses for senior management, with a 3-year deferral period [179]. - The company has scheduled its annual general meeting for May 29, 2023, to discuss the 2022 annual report and profit distribution plan [171]. - The company appointed Wang Guokang and Yan Zhixiong as independent directors during the 2023 annual general meeting held on May 29, 2023 [177]. - The company has seen a significant focus on governance, with several directors opting to forgo their remuneration arrangements [180]. Market Trends and Future Outlook - The securities industry in China is experiencing rapid development, with a shift towards modern investment banking and a focus on comprehensive services, differentiated competition, and digital operations [127][128]. - The company aims to transition from a passive channel provider to a comprehensive financial service provider, integrating various business and service aspects [128]. - Future outlook indicates a projected revenue growth of 15% for the next fiscal year, driven by new product launches and market expansion strategies [185]. - The company is investing in new technology development, allocating approximately $50 million for R&D in the upcoming year [185]. - Market expansion plans include entering two new international markets by Q3 2024, aiming for a 10% market share within the first year [185].

Financial Performance - Total revenue and other income for 2023 reached RMB 52.30 billion, a 6.55% increase from RMB 49.09 billion in 2022[24] - Operating profit decreased by 12.09% to RMB 11.77 billion in 2023 from RMB 13.39 billion in 2022[24] - Profit attributable to equity holders before tax was RMB 12.15 billion, down 14.09% from RMB 14.14 billion in the previous year[24] - The company's profit attributable to shareholders for the year was RMB 9.37 billion, down from RMB 11.51 billion in 2022, indicating a decline of about 18.5%[30] - Basic earnings per share for 2023 were RMB 0.98, a decrease of 21.60% from RMB 1.25 in 2022[26] - The weighted average return on equity was 6.02% in 2023, down from 7.88% in 2022, reflecting a decline of 1.86 percentage points[26] - Total revenue for Cathay Financial International was 3,217.372 million HKD, up from 2,314.917 million HKD in the same period last year, marking a significant increase[62] - Interest income rose to 1,810.154 million HKD, compared to 1,486.261 million HKD in the previous year, reflecting a growth of 21.8%[62] - The net profit attributable to equity holders for the year was CNY 9.37 billion, a decrease of 18.55% compared to the previous year[71] - Wealth management business generated CNY 17.44 billion in revenue, down 5.07% year-on-year, contributing 33.35% to total revenue[72] Dividends and Shareholder Returns - The company plans to distribute a cash dividend of 4.0 RMB per 10 shares, totaling approximately 3.56 billion RMB, which represents 38.0% of the net profit attributable to the parent company for 2023[2] - The company has distributed over 32.8 billion RMB in dividends since its listing in 2015, with a proposed annual dividend of 0.4 RMB per share for 2023, accounting for 38% of the annual net profit attributable to shareholders[6] Assets and Liabilities - Total assets increased by 7.52% to RMB 925.40 billion at the end of 2023, compared to RMB 860.71 billion at the end of 2022[25] - Total liabilities rose by 7.92% to RMB 752.02 billion at the end of 2023, up from RMB 696.86 billion in 2022[25] - The asset-liability ratio increased to 76.77% in 2023 from 75.36% in 2022, indicating a rise of 1.41 percentage points[26] - The net capital at the end of the reporting period is RMB 92.603555793 billion, a decrease from RMB 92.874565553 billion at the end of the previous year[12] - The total equity stood at RMB 173.38 billion, which is a 5.82% increase from the previous year[86] Risk Management - The company has established a comprehensive risk management framework, including a risk management committee responsible for overseeing risk management policies and compliance mechanisms[125] - The risk management department is tasked with managing market risk, credit risk, operational risk, and liquidity risk, ensuring effective risk control across various business units[126] - The company has implemented a four-tier risk management system, continuously improving its risk management policies and procedures, including the recent development of ESG risk management guidelines[129] - The overall Value at Risk (VaR) for the group as of December 29, 2023, is CNY 24,860,000, down from CNY 27,753,000 in 2022, indicating a decrease of approximately 6.4%[133] - The liquidity coverage ratio and net stable funding ratio both meet regulatory requirements, with the net scale of the cash management pool exceeding the company's lower limit[137] Corporate Governance - The company has established a sound corporate governance structure, ensuring the independence of its assets, personnel, finance, and operations[147] - The company has maintained a high standard of corporate governance, achieving most of the recommended best practice provisions during the reporting period[146] - The board of directors consists of six independent non-executive directors, accounting for over one-third of the total board members, meeting regulatory requirements[184] - The company has established a remuneration assessment and nomination committee to review and propose remuneration policies for directors and senior management, ensuring a formal and transparent process[176] - The company has undergone significant changes in its board composition, with multiple resignations and appointments throughout 2023 and early 2024[155] Strategic Initiatives - The company is focusing on digital transformation and platform construction to enhance governance, competitiveness, innovation, and risk management capabilities[5] - The company plans to accelerate its transformation into a modern investment bank to adapt to the evolving competitive landscape and meet the financial service needs of the real economy[112] - The company aims to solidify its market position as a leading securities firm through a three-phase strategic plan from 2020 to 2028, with the second phase (2023-2025) emphasizing capability enhancement and industry leadership[119] - The company is enhancing its international business focus, particularly in cross-border operations, to support global expansion[121] - The company is committed to improving the efficiency of capital allocation and exploring diverse domestic and international financing models[111] Sustainability and ESG - The MSCI ESG rating improved to BBB, reflecting the company's commitment to sustainable development[5] - The company has established an ESG and sustainable development committee to integrate sustainability into its strategic framework[5] - The company is focusing on sustainability initiatives, allocating 5% of its annual budget towards eco-friendly technologies and practices[162] - The ESG risk management framework has been integrated into the overall risk management system, with a dedicated committee overseeing its implementation[142] Market Expansion and User Engagement - The user base of the Junhong APP has surpassed 40 million, while the Daohua platform covers nearly 9,200 corporate institutions and 72,700 users[6] - The wealth management business achieved a user base of 40.44 million on the Junhong APP, a year-on-year increase of 3.7%, with an average monthly active user count of 17.96 million, up 10.1% year-on-year[35] - The company plans to expand its market presence in the Asia-Pacific region, targeting a 10% increase in market share by the end of 2024[154] - The company is investing in new technology development, with a budget allocation of 306.89 million for R&D in the upcoming fiscal year[153] Awards and Recognition - The company received multiple awards, including ranking 1st in the financial industry for social responsibility and brand value, highlighting its industry leadership[66] - The company was awarded "Best ESG Company" and "Best Investor Relations Company" in Asia by Institutional Investor[70] - The company was recognized for its innovative wealth management strategies, receiving the "Best Wealth Management Team" award from China Securities Journal[68] - The company was awarded the "Outstanding ESG Award" by the Environmental, Social and Governance Benchmarking Association[70]

2023 年第三次临时股东大会会议资料 国泰君安证券股份有限公司 2023年第三次临时股东大会 会议资料 1 2023 年第三次临时股东大会会议资料 国泰君安证券股份有限公司2023年第三次临时股东大会 会议议程 现场会议时间：2023 年 12 月 29 日 14 点 30 分 2 现场会议地点：上海市南京西路 768 号 405 会议室 召集人：国泰君安证券股份有限公司董事会 主持人：王松副董事长 一、 主持人宣布会议开始 二、 宣布股东大会现场出席情况 三、 审议股东大会议案 四、 股东发言及提问 五、 推选监票人和计票人 六、 股东投票表决 七、 休会（汇总统计现场投票情况和网络投票情况） 八、 宣布会议表决结果 九、 主持人宣布会议结束 2023 年第三次临时股东大会会议资料 国泰君安证券股份有限公司2023年第三次临时股东大会 会议须知 为维护全体股东的合法权益，确保股东大会的正常秩序和议事效率，保证 大会的顺利召开，根据《公司法》、《上市公司股东大会规则》、公司《章程》、《股 东大会议事规则》和《香港联合交易所证券上市规则》等规定，特制定本须知。 一、 为保证股东大会的严肃性和正常秩序，除参加会 ...

证券代码：601211 证券简称：国泰君安 公告编号：2023-076 国泰君安证券股份有限公司 关于召开 2023 年第三次临时股东大会的通知 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 一、 召开会议的基本情况 (一) 股东大会类型和届次 2023 年第三次临时股东大会 召开的日期时间：2023 年 12 月 29 日 14 点 30 分 召开地点：上海市南京西路 768 号 405 会议室 (五) 网络投票的系统、起止日期和投票时间。 股东大会召开日期：2023年12月29日 本次股东大会采用的网络投票系统：上海证券交易所股东大会网络投票 系统 (二) 股东大会召集人：董事会 (三) 投票方式：本次股东大会所采用的表决方式是现场投票和网络投票相结 合的方式 (四) 现场会议召开的日期、时间和地点 网络投票系统：上海证券交易所股东大会网络投票系统 网络投票起止时间：自 2023 年 12 月 29 日 至 2023 年 12 月 29 日 采用上海证券交易所网络投票系统，通过交易系统投票平台的投票时间为 ...

证券代码：601211 证券简称：国泰君安 公告编号：2023-073 国泰君安证券股份有限公司 关于董事变动的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或 者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 国泰君安证券股份有限公司（以下简称"公司"）于近日收到公司股东深圳市 投资控股有限公司来函及张崭先生的辞职报告，张崭先生因工作调动原因不再担任 公司第六届董事会董事及董事会审计委员会委员。 根据公司《章程》和相关法律、法规的规定，上述事项自张崭先生的辞职报告 送达董事会之日起生效。 经张崭先生确认，其就辞任与公司董事会并无意见分歧，亦无任何事宜须提请 公司股东注意，其亦并无任何针对公司的正在发生或将要发生的诉讼或争议。 张崭先生在担任公司董事和董事会审计委员会委员期间，勤勉尽责，在指导和 监督公司内部审计、完善内控机制等工作中发挥了积极作用，公司董事会对张崭先 生为公司及董事会工作所做出的贡献表示衷心感谢！ 特此公告。 国泰君安证券股份有限公司董事会 2023年12月7日 ...