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 ...

特此公告。 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 2023 年度第六期短期融资券已于 2023 年 12 月 6 日发行完毕，相关发行情况如下： | 短期融资券名称 | | | 国泰君安证券股份有限公司 | 2023 | 年度第六期短期融资券 | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 短期融资券简称 | 23 | 国泰君安 | CP006 | 短期融资券期限 | 261 天 | | | | | | | 短期融资券代码 | | 072310261 | | 发行日 | 2023 | 年 | 12 | 月 | 5 | 日 | | 兑付日 | 2024 | 年 8 月 | 23 日 | 起息日 | 2023 | 年 | 12 | 月 | 6 | 日 | | 计划发行总额 | | 40 亿元 | | 实际发行总额 | 亿元 | 40 | | | | | | 发行价格 | 100 | ...

证券代码：601211 证券简称：国泰君安 公告编号：2023-074 国泰君安证券股份有限公司 第六届董事会第二十一次临时会议决议公告 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。 经全体董事、监事一致同意，国泰君安证券股份有限公司（以下简称"本公 司"或"公司"）于2023年12月6日以电子邮件方式发出第六届董事会第二十一 次临时会议通知和文件，于2023年12月6日以书面审议、通讯表决方式召开第六 届董事会第二十一次临时会议。截至2023年12月6日，公司收到全部15名董事的 书面表决票。会议召集、召开及表决程序符合《公司法》、公司《章程》和《董 事会议事规则》的有关规定。本次会议审议并通过了以下议案： 一、审议通过了《关于提请审议提名朱健先生为公司董事候选人的议案》 董事会薪酬考核与提名委员会对本议案进行了预先审阅，独立董事发表了独 立意见。 表决结果：15票赞成，0票反对，0票弃权。 同意提名朱健先生为第六届董事会董事候选人并提交至公司2023年第三次 临时股东大会选举；同意朱健先生正式任职公司董事后担任公司第六届 ...

国泰君安证券股份有限公司独立董事 国泰君安证券股份有限公司第六届董事会独立董事 丁玮、李仁杰、白维、王国刚、严志雄、浦永灏 二○二三年十二月六日 关于第六届董事会第二十一次临时会议 相关事项的独立意见 根据《证券公司治理准则》、《上海证券交易所股票上市规则》、《国泰君安 证券股份有限公司章程》和《独立董事工作制度》等相关规章制度的规定，作为 国泰君安证券股份有限公司（以下简称"公司"）第六届董事会独立董事，现对 公司第六届董事会第二十一次临时会议审议的相关事项发表以下独立意见： 一、关于提名董事候选人的独立意见 经审阅拟提名董事候选人的履历等材料，认为朱健先生、孙明辉先生符合 担任上市公司和证券公司董事条件，能够胜任公司董事的职责要求，有利于公司 经营与发展，提名程序符合法律、法规和《公司章程》的相关规定。 ...

股份發行人及根據《上市規則》第十九B章上市的香港預託證券發行人的證券變動月報表 截至月份: 2023年11月30日 狀態: 新提交 致：香港交易及結算所有限公司 備註： 第 1 頁 共 7 頁 v 1.0.2 公司名稱: 國泰君安証券股份有限公司(「本公司」) 呈交日期: 2023年12月1日 I. 法定/註冊股本變動 | 1. 股份分類 | 普通股 | 股份類別 | H | | 於香港聯交所上市 (註1) | | 是 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 02611 | 說明 | | | | | | | | | | 法定/註冊股份數目 | | | 面值 | | 法定/註冊股本 | | | 上月底結存 | | | 1,391,827,180 | RMB | | 1 RMB | | 1,391,827,180 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 1,391,827,180 | RMB | | 1 RMB | | 1,391,827,180 ...

北京市海问律师事务所 关于国泰君安证券股份有限公司 2023 年第二次临时股东大会的法律意见书 致：国泰君安证券股份有限公司 根据《中华人民共和国证券法》、《中华人民共和国公司法》（以下统称"有关 法律"）及《国泰君安证券股份有限公司章程》（以下称"公司章程"）的规定，本 所作为国泰君安证券股份有限公司（以下称"公司"）的法律顾问，应公司的要求， 指派律师列席公司于 2023 年 11 月 30 日召开的 2023 年第二次临时股东大会（以 下称"本次会议"），对本次会议召开的合法性进行见证，并依法出具本法律意见 书。 在本法律意见书中，本所律师仅对本次会议召集和召开的程序、表决程序及 出席本次会议现场会议的股东或股东代理人资格、召集人的资格是否符合有关法 律和公司章程的规定，以及本次会议审议的议案表决结果是否有效发表意见，并 不对本次会议所审议的议案内容以及议案所表述的事实或数据的真实性、准确性、 合法性发表意见。本所律师假定公司提交给本所律师的资料（包括但不限于有关 人员的居民身份证、授权委托书、企业法人营业执照等）真实、完整，资料上的 签字和/或印章均是真实的，资料的副本或复印件均与正本或者原件一致。 ...