会杜律师事务所 KING&WODD MAIIFSONS 北京市朝阳区东三环中路1号 环球金融中心办公楼东楼18层 18th Floor, Fast Tower, World Financial 1 Dongsanhuan Zhonglu Chaovang District Beijing, 100020 P.A. China 86 10 5878 5566/55 北京市金杜律师事务所 关于中国国际金融股份有限公司 2023 年第一次临时股东大会 之法律意见书 致:中国国际金融股份有限公司 北京市金杜律师事务所(以下简称本所 )接受中国国际金融股份有限公司(以 下简称公司或中金公司）委托，根据《中华人民共和国证券法》（以下简称《证 券法》)、《中华人民共和国公司法》(以下简称《公司法》)、中国证券监督管理委 员会《上市公司股东大会规则》(以下简称《股东大会规则》) 等中华人民共和国 境内(以下简称中国境内,为本法律意见书之目的,不包括中国香港特别行政区、 中国澳门特别行政区和中国台湾地区）现行有效的法律、行政法规、规章及规范 性文件和现行有效的《中国国际金融股份有限公司章程》(以下简称《公司章程》) 有关规定, ...

证券代码：601995 证券简称：中金公司 公告编号：临 2023-039 中国国际金融股份有限公司 2023 年第一次临时股东大会决议公告 中国国际金融股份有限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： 中国国际金融股份有限公司（以下简称"公司"）2023 年第一次临时股东 大会（以下简称"本次股东大会"或"本次会议"）是否有否决议案：无 本次会议由公司董事会召集，全体董事推举非执行董事张薇女士主持。 一、 本次会议的召开和出席情况 (一) 召开时间：2023 年 11 月 10 日 (二) 召开地点：北京市朝阳区针织路 23 号国寿金融中心 30 层 3004、3005 会议室 | | | | 1、出席会议的股东和代理人人数 | | 46 | | --- | --- | --- | | 其中：A | 股股东人数 | 44 | | 境外上市外资股股东人数（H | 股） | 2 | | 2、出席会议的股东所持有表决权的股份总数（股） | | 3,159,180,869 | | 其中：A | 股股东持有股份总数 ...

同日，公司召开第二届董事会第三十七次会议，根据有关决议，董事会同意： 聘任吴波先生为公司总裁，自 2023 年 11 月 10 日起生效；提名吴波先生为公司 执行董事候选人，任期自公司股东大会审议批准之日起，至当届董事会任期结束 之日止，届时可以连选连任；在选举吴波先生为公司执行董事的议案获得股东大 会通过的前提下，吴波先生亦将担任公司副董事长，任期与董事任期一致。 由于工作安排，公司非执行董事谭丽霞女士于 2023 年 11 月 10 日向公司董 事会提出辞去公司非执行董事、董事会战略与 ESG 委员会委员及董事会薪酬委 员会委员职务，该辞任自同日起生效。谭丽霞女士确认，其在任期间与公司董事 会无不同意见，也无与辞职有关的其他事项须提请公司股东、债权人或上市地证 券交易所注意。谭丽霞女士的辞任不会导致公司董事会成员低于法定最低人数， 不会影响公司董事会的正常运作。公司对谭丽霞女士在任职期间为公司发展做出 的积极贡献表示衷心感谢。 特此公告。 证券代码：601995 证券简称：中金公司 公告编号：临 2023-041 中国国际金融股份有限公司 关于董事长、副董事长、董事及总裁变动的公告 中国国际金融股份有限公 ...

证券代码：601995 证券简称：中金公司 公告编号：临 2023-040 一、董事会会议召开情况 中国国际金融股份有限公司（以下简称"公司""本公司"或"中金公司"） 于 2023 年 11 月 10 日以书面方式发出第二届董事会第三十七次会议（以下简称 "本次会议"）通知，并于 2023 年 11 月 10 日通过现场结合电话形式召开本次会 议。全体董事同意豁免本次会议的通知期限。本次会议应出席董事 9 名，实际出 席董事 9 名，其中，段文务先生因其他公务安排，委托张薇女士代为出席并表决。 本次会议由董事长陈亮先生主持，公司监事和高级管理人员列席。本次会议的召 集、召开及表决程序符合有关法律、法规和《中国国际金融股份有限公司章程》 （以下简称"《公司章程》"）的规定。 二、董事会会议审议情况 （一）《关于选举吴波为执行董事的议案》 表决结果：9 票赞成、0 票反对、0 票弃权。该议案尚需提交股东大会审议。 中国国际金融股份有限公司 第二届董事会第三十七次会议决议公告 中国国际金融股份有限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 ...

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10月31日 狀態: 新提交 致：香港交易及結算所有限公司 公司名稱: 中國國際金融股份有限公司 呈交日期: 2023年11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 | 03908 | 說明 | | | | | | | | | | | 法定/註冊股份數目 | | | 面值 | | | 法定/註冊股本 | | | 上月底結存 | | | 1,903,714,428 | RMB | | | 1 RMB | | 1,903,714,428 | | 增加 / 減少 (-) | | | | | | | RMB | | | | 本月底結存 | | | 1,903,714,428 | RMB | | | 1 RMB | | 1,903,714,428 | | 2. 股份分類 | 普通 ...

关于向专业投资者公开发行公司债券 获得注册批复的公告 中国国际金融股份有限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。 证券代码：601995 证券简称：中金公司 公告编号：临 2023-038 中国国际金融股份有限公司 特此公告。 中国国际金融股份有限公司 董 事 会 2023 年 10 月 31 日 1 中国国际金融股份有限公司（以下简称"公司"）近日收到中国证券监督管 理委员会（以下简称"中国证监会"）出具的《关于同意中国国际金融股份有限 公司向专业投资者公开发行公司债券注册的批复》（证监许可〔2023〕2429 号， 以下简称"批复"）。 根据该批复，中国证监会同意公司向专业投资者公开发行面值总额不超过 200 亿元公司债券的注册申请。该批复自同意注册之日起 24 个月内有效，公司 在注册有效期内可以分期发行公司债券。 公司将按照有关规定、批复要求及公司股东大会的授权，办理本次公司债券 发行的相关事宜。 ...

Financial Performance - The company's operating revenue for Q3 2023 was CNY 5,044,688,059, a decrease of 30.53% compared to the same period last year[4]. - The net profit attributable to shareholders of the parent company was CNY 1,047,052,050, down 51.76% year-on-year[4]. - The basic earnings per share for the period was CNY 0.182, reflecting a decline of 56.79% compared to the previous year[4]. - Total revenue for the first three quarters of 2023 was CNY 17,465,549,953, a decrease of 10.0% compared to CNY 19,393,355,609 in the same period of 2022[16]. - Net profit attributable to shareholders for Q3 2023 was CNY 4,607,695,913, down 23.3% from CNY 6,012,186,907 in Q3 2022[16]. - Comprehensive income for Q3 2023 totaled CNY 5,567,738,740, a decrease of 27.5% compared to CNY 7,689,138,674 in Q3 2022[17]. - Basic earnings per share for Q3 2023 was CNY 0.85, down from CNY 1.16 in Q3 2022, representing a decline of 26.7%[17]. - Net profit for the third quarter of 2023 was CNY 2,585,040,326, down 35.7% from CNY 4,017,853,273 in the third quarter of 2022[22]. Cash Flow - The company reported a net cash flow from operating activities of CNY -26,026,053,869 for the year-to-date, indicating significant cash outflows[4]. - Cash flow from operating activities showed a net outflow of CNY 26,026,053,869 in the first three quarters of 2023, contrasting with a net inflow of CNY 27,680,247,637 in the same period of 2022[18]. - The net cash flow from operating activities for the first three quarters of 2023 was -5,237,111,412 RMB, a significant decrease compared to 26,854,692,886 RMB in the same period of 2022[23]. - The total cash outflow from operating activities increased to 44,709,068,620 RMB from 20,430,300,871 RMB year-on-year[23]. - The cash inflow from interest, fees, and commissions was 6,604,091,683 RMB, down from 9,799,844,921 RMB in the same period last year[23]. - Net cash inflow decreased due to changes in cash flow, with net cash outflow increasing compared to the same period in 2022[9]. Assets and Liabilities - Total assets at the end of the reporting period were CNY 624,873,894,949, a decrease of 3.68% from the end of the previous year[4]. - Total assets as of September 30, 2023, amounted to CNY 325,446,487,280, a decrease from CNY 339,989,230,242 at the end of 2022[21]. - Total liabilities decreased to CNY 521,360,966,622 in Q3 2023 from CNY 549,289,343,613 in Q3 2022, reflecting a reduction of 5.1%[15]. - Total liabilities decreased to CNY 247,245,264,021 from CNY 262,882,126,301 at the end of 2022, reflecting a reduction of 5.9%[21]. - Total liabilities decreased to ¥540,000,000,000 from ¥560,000,000,000 in the previous year[14]. - The total liabilities and equity decreased to CNY 624,873,894,949 in Q3 2023 from CNY 648,764,039,436 in Q3 2022, reflecting a decline of 3.7%[15]. Investment Activities - Investment activities generated a net cash flow of ¥9,768,831,026, a decrease from ¥-10,938,300,561 in the previous year[9]. - The company reported a net increase in cash from investment activities of 3,644,617,382 RMB, a recovery from a net outflow of -11,513,341,485 RMB in the previous year[23]. - The total cash inflow from investment activities was 75,734,322,354 RMB, slightly up from 75,695,991,857 RMB year-on-year[23]. - The company recorded a 63.67% increase in foreign exchange gains, amounting to CNY 2,057,543,228, due to fluctuations in exchange rates[8]. Shareholder Information - The number of A-share shareholders increased to 108,263, while H-share shareholders remained at 10[10]. - The largest shareholder, Central Huijin Investment, holds 40.11% of shares, followed by Hong Kong Central Clearing with 39.42%[10]. Other Income and Financial Metrics - The company’s other income increased by 30.49% to CNY 189,016,551, attributed to increased government support funds[8]. - The weighted average return on equity decreased by 1.53 percentage points to 1.02% for the current period[4]. - The company reported a net interest income of CNY -1,006,499,342 for the first three quarters of 2023, an improvement from CNY -1,266,564,538 in the same period of 2022[22]. - The fair value change income for the first three quarters of 2023 was CNY 3,158,569,259, down from CNY 4,245,044,478 in the same period of 2022[22].

证券代码：601995 证券简称：中金公司 公告编号：临 2023-037 表决结果：8 票赞成，0 票反对，0 票弃权。 具体内容请见与本公告同日披露的《中金公司 2023 年第三季度报告》。 （二）《关于修订<声誉风险管理制度>的议案》 表决结果：8 票赞成，0 票反对，0 票弃权。 中国国际金融股份有限公司 第二届董事会第三十六次会议决议公告 中国国际金融股份有限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。 一、董事会会议召开情况 中国国际金融股份有限公司（以下简称"公司"或"中金公司"）于 2023 年 10 月 23 日以书面方式发出第二届董事会第三十六次会议（以下简称"本次会议"） 通知，并于 2023 年 10 月 30 日通过现场结合电话形式召开本次会议。全体董事 同意豁免本次会议的通知期限。本次会议应出席董事 8 名，实际出席董事 8 名， 其中，独立非执行董事彼得·诺兰先生因其他工作安排，委托独立非执行董事陆 正飞先生代为出席并表决。本次会议由全体董事推举非执行董事张薇女士主持， 公司监事和高级管理人员列席 ...

Financial Performance - The company reported operating revenue of RMB 5,044,688,059 for Q3 2023, a decrease of 30.53% year-on-year[4] - Net profit attributable to shareholders was RMB 1,047,052,050, down 51.76% compared to the same period last year[4] - Basic earnings per share decreased by 56.79% to RMB 0.182 in Q3 2023[4] - Total operating revenue for the first three quarters of 2023 was RMB 17,465,549,953, a decrease of 9.5% compared to RMB 19,393,355,609 in the same period of 2022[19] - Net income for the first three quarters of 2023 was RMB 4,630,626,560, down 23.1% from RMB 6,021,028,584 in the first three quarters of 2022[20] - The net income attributable to shareholders of the parent company for the first three quarters of 2023 was RMB 4,607,695,913, compared to RMB 6,012,186,907 in the same period of 2022, reflecting a decline of 23.4%[20] - The company reported a significant decline in net commission income, which was RMB 8,999,031,167 for the first three quarters of 2023, down 19.7% from RMB 11,208,911,321 in 2022[19] - The company’s other comprehensive income after tax for the first three quarters of 2023 was RMB 937,112,180, compared to RMB 1,668,110,090 in the same period of 2022, indicating a decrease of 43.8%[20] Assets and Liabilities - Total assets at the end of the reporting period were RMB 624,873,894,949, a decrease of 3.68% from the end of the previous year[4] - Total assets as of September 30, 2023, amounted to RMB 624,873,894,949, a decrease from RMB 648,764,039,436 at the end of 2022[18] - Total liabilities decreased to RMB 521,360,966,622 as of September 30, 2023, from RMB 549,289,343,613 at the end of 2022, representing a reduction of 5.1%[17] - The company’s total liabilities decreased to RMB 247.25 billion as of September 30, 2023, from RMB 262.88 billion at the end of 2022[26] - The company’s total equity attributable to shareholders increased to RMB 103,203,409,040 as of September 30, 2023, from RMB 99,188,107,183 at the end of 2022, reflecting an increase of 4.0%[18] Cash Flow - The company’s cash flow from operating activities showed a net outflow of RMB 26,026,053,869 for the year-to-date, indicating a significant cash flow challenge[6] - Net cash flow from operating activities was negative at RMB -26,026,053,869, a significant decrease from RMB 27,680,247,637 in the previous year[9] - Operating cash flow for the first three quarters of 2023 was a net outflow of RMB 26.03 billion, compared to a net inflow of RMB 27.68 billion in the same period of 2022[21] - Cash inflow from investment activities increased to RMB 93.94 billion in 2023, up from RMB 89.02 billion in 2022, resulting in a net cash flow from investment activities of RMB 9.77 billion, a significant improvement from a net outflow of RMB 10.94 billion in 2022[22] - Cash inflow from financing activities totaled RMB 78.40 billion in 2023, compared to RMB 82.07 billion in 2022, with net cash outflow from financing activities slightly improving to RMB 15.77 billion from RMB 15.89 billion[23] Shareholder Information - The top shareholder, Central Huijin Investment Ltd., holds 1,936,155,680 shares, representing 40.11% of the total shares[11] - The second-largest shareholder, Haier Group (Qingdao) Jinying Holdings Ltd., holds 1,902,965,534 shares, accounting for 39.42%[11] Operational Challenges - Operating expenses rose by 109.47% to RMB 137,365,820, primarily due to an increase in pending litigation[8] - The company experienced a 34.69% increase in construction in progress, totaling RMB 489,507,114 due to increased investment in office building construction[7] - The company has noted an increase in market expansion efforts and new product development initiatives, although specific figures were not disclosed in the call[8] Governance and Compliance - The company will implement new accounting standards starting in 2023, affecting the financial statements from the beginning of the year[33] - The board of directors includes non-executive directors such as Ms. Zhang Wei and Mr. Kong Lingyan[33] - The independent non-executive directors include Mr. Wu Gangping and Mr. Peter Nolan[33] - The announcement was made on October 30, 2023, in Beijing, China[33] - The document primarily focuses on governance and compliance with accounting standards[33] Future Outlook - There are no details provided regarding future outlook or performance guidance[33] - No information is available on new product development or market expansion strategies[33] - The document does not mention any mergers or acquisitions[33] - There are no new strategic initiatives outlined in this announcement[33]

证券代码：601995 证券简称：中金公司 公告编号：临 2023-036 中国国际金融股份有限公司 一、召开时间及方式 关于召开 2023 年第三季度业绩说明会的公告 中国国际金融股份有限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： 预征集提问安排：投资者可于 2023 年 10 月 27 日（星期五）至 11 月 2 日（星期四）16:00 前登录上证路演中心网站首页点击"提问预征集"栏目或通 过公司邮箱 investorrelations@cicc.com.cn 进行提问 中国国际金融股份有限公司（以下简称"公司"）将于 2023 年 10 月 31 日 在上海证券交易所网站（http://www.sse.com.cn）披露《2023 年第三季度报告》。 为便于广大投资者更加全面深入地了解公司 2023 年第三季度业绩和经营情况， 公司计划召开 2023 年第三季度业绩说明会（以下简称"业绩说明会"）与投资 者进行交流，在信息披露允许的范围内对投资者普遍关注的问题进行回答。业绩 说明会的具体安排如下： 业 ...