Financial Performance - In Q1 2017, the company achieved total operating revenue of RMB 2.13 billion, a 54.16% increase compared to the same period last year[1] - The net profit attributable to shareholders reached RMB 844.30 million, reflecting a 99.55% year-over-year growth[2] - Basic earnings per share increased to RMB 0.14, up 75.00% from RMB 0.08 in the previous year[1] - The weighted average return on equity rose to 2.07%, an increase of 0.84 percentage points compared to the previous year[1] Assets and Equity - Total assets at the end of the reporting period were RMB 203.79 billion, a decrease of 4.06% from the beginning of the period[1] - Shareholders' equity attributable to the company increased to RMB 40.97 billion, a 1.21% rise from the previous period[1]

Dividend Distribution - The company plans to distribute cash dividends of RMB 1.50 per 10 shares, totaling RMB 932,317,801.65, based on a total share capital of 6,215,452,011 shares as of the end of 2016[3]. - The company has a total undistributed profit of RMB 4,939,168,346.15 to be carried forward to the next fiscal year after dividend distribution[3]. Financial Performance - The company's operating revenue for 2016 was CNY 6,876,939,042.20, a decrease of 55.44% compared to CNY 15,434,705,061.27 in 2015[38]. - The net profit attributable to shareholders for 2016 was CNY 2,313,974,857.75, down 68.41% from CNY 7,325,224,517.53 in 2015[38]. - The total assets at the end of 2016 amounted to CNY 212,411,087,389.26, reflecting a 2.17% increase from CNY 207,897,562,477.13 at the end of 2015[38]. - The total liabilities decreased by 0.61% to CNY 171,473,262,039.92 at the end of 2016, compared to CNY 172,521,817,128.20 at the end of 2015[38]. - The basic earnings per share for 2016 was CNY 0.41, a decline of 71.92% from CNY 1.46 in 2015[39]. - The weighted average return on equity for 2016 was 6.25%, down 18.86 percentage points from 25.11% in 2015[39]. Market Conditions and Risks - The company reported a significant reliance on the economic and market conditions in China, which could adversely affect its business performance and financial status[5]. - The company is subject to risks related to market volatility, which could affect the value and returns of its financial assets and investment portfolios[5]. - The company emphasizes the importance of managing risks associated with credit and market fluctuations in its future development strategies[7]. - The company faces intense competition from various financial institutions, which may impact its market position and operational performance[6]. - The company's future plans and strategic developments are subject to market conditions and investor sentiment, highlighting the need for caution[4]. Business Expansion and Qualifications - The company holds various business qualifications, including securities brokerage and margin financing, approved by the China Securities Regulatory Commission[18]. - The company has expanded its business scope to include financial advisory services related to securities trading and investment activities[17]. - The company is authorized to conduct online securities commission business and open-ended fund distribution, enhancing its service offerings[18]. - The company has obtained qualifications for various innovative activities, indicating a commitment to market expansion and new strategies[19]. - The company is involved in the underwriting of short-term financing bonds and mid-term notes, diversifying its revenue streams[19]. - The company has established a wholly-owned subsidiary for asset management, indicating a strategic move towards asset management services[19]. - The company is qualified to provide comprehensive services to insurance institutional investors, expanding its client base[19]. - The company has received multiple licenses for securities and futures business, ensuring compliance and operational capability in various financial markets[19]. Capital and Financing - The registered capital increased to RMB 6,215,452,011 from RMB 5,281,742,921 year-over-year, reflecting a growth of approximately 17.7%[16]. - The net capital rose to RMB 33,890,090,462.99, up from RMB 31,019,279,251.56, indicating an increase of about 9.1%[16]. - The company’s operational funding heavily relies on external financing, which poses risks if unable to secure necessary funds[6]. - The company completed a capital increase of RMB 1 billion to its wholly-owned subsidiary Dongzheng Futures, with a total registered capital now at RMB 1 billion[138]. - A capital increase of RMB 1.5 billion was completed for Dongzheng Capital, raising its registered capital to RMB 4 billion[139]. Risk Management - The company has established a comprehensive risk management system that includes risk identification, assessment, and reporting for innovative business activities[149]. - The company has a capital adequacy mechanism in place, adjusting its business scale and structure based on regulatory risk control indicators and its risk tolerance[150]. - The company implemented a pressure testing mechanism to assess overall risk before expanding business scales or profit distributions, optimizing decision-making[151]. - The company established a dynamic monitoring mechanism for risk control indicators, ensuring accurate measurement and automatic alerts for risk control metrics[149]. - The company maintained compliance with regulatory standards for risk control indicators throughout the reporting period, ensuring a safety margin[152]. Client Base and Revenue Sources - The company serves a diverse range of clients, including large state-owned enterprises, multinational corporations, SMEs, high-net-worth individuals, and retail clients, primarily located in China[196]. - The revenue generated from the company's top five clients accounted for no more than 5% of the group's total operating income in 2016[197]. - The company has no major suppliers due to the nature of its business[198]. Taxation on Dividends - For individual shareholders holding shares for less than or equal to 1 month, the actual tax burden on dividend income is 20%[199]. - For individual shareholders holding shares for more than 1 month but less than or equal to 1 year, the actual tax burden on dividend income is 10%[199]. - For individual shareholders holding shares for more than 1 year, dividend income is exempt from personal income tax[199]. - The company withholds corporate income tax at a rate of 10% on dividends paid to qualified foreign institutional investors (QFII)[200]. - QFII shareholders can apply for tax refunds if they qualify for tax treaty benefits after receiving dividend income[200].

证券代码：600958 证券简称：东方证券 公告编号：2017-001 东方证券股份有限公司 2016年年度业绩预减公告 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个别及连带责任。 | 项目 | 本报告期 | 上年同期 | 增减变动幅度（%） | | --- | --- | --- | --- | | 营业总收入 | 685,925.85 | 1,543,470.51 | -55.56 | | 营业利润 | 260,449.39 | 939,444.82 | -72.28 | | 利润总额 | 281,438.70 | 949,908.53 | -70.37 | | 归属于上市公司股东的净利润 | 231,996.44 | 732,522.45 | -68.33 | | 基本每股收益（元） | 0.41 | 1.46 | -71.92 | | 加权平均净资产收益率（%） | 6.26 | 25.11 | 减少18.85个百分点 | | | 本报告期末 | 本报告期初 | 增减变动幅度（%） | | 总 资 产 | 21,250,19 ...

2016 年第三季度报告 公司代码：600958 公司简称：东方证券 东方证券股份有限公司 2016 年第三季度报告 1 / 24 | 一、 | 重要提示 | 3 | | --- | --- | --- | | 二、 | 公司主要财务数据和股东变化 | 3 | | 三、 | 重要事项 | 6 | | 四、 | 附录 | 11 | 2016 年第三季度报告 一、 重要提示 二、 公司主要财务数据和股东变化 2.1 主要财务数据 | 项目 | 本期金额 | | 年初至报告期末金额 | 说明 | | --- | --- | --- | --- | --- | | | （7－9 | 月） | （1-9 月） | | | 非流动资产处置损益 | | 539,482.97 | -71,569.16 | | | 计入当期损益的政府 补助，但与公司正常经 | | | | | | 营业务密切相关，符合 | | | | | | 国家政策规定、按照一 | | 65,114.38 | 215,880,304.38 | 扶持资金 | | 定标准定额或定量持 | | | | | | 续享受的政府补助除 | | | | | | 外 | | ...

Financial Performance - The company reported a significant increase in revenue, achieving a total of 1.5 billion RMB for the first half of 2016, representing a year-on-year growth of 15%[16]. - The company reported a net profit margin of 18%, which is an improvement from 16% in the previous year[19]. - Basic earnings per share decreased by 80.49% to CNY 0.24 from CNY 1.23 in the same period last year[29]. - Net profit attributable to shareholders decreased by 78.16% to CNY 1.28 billion from CNY 5.88 billion year-on-year[31]. - Total revenue dropped by 73.70% to CNY 2.89 billion compared to CNY 11.00 billion in the previous year[31]. - The net profit after deducting non-recurring gains and losses fell by 80.59% to CNY 1.13 billion from CNY 5.82 billion in the previous year[31]. - The company achieved a net interest income of CNY -361.63 million, which is not applicable for comparison due to significant losses[40]. - The company reported a significant decrease in investment income, which fell to CNY 1.72 billion, down 75.95% year-on-year[40]. - The company’s total revenue from domestic operations decreased by 73.70% year-on-year, while overseas business revenue increased by 37.81%[84]. Capital and Assets - The registered capital of Orient Securities remained at RMB 5,281,742,921.00, unchanged from the previous year-end[14]. - The net capital decreased to RMB 22,435,705,319.52 from RMB 25,758,895,609.15, reflecting a decline of approximately 12.5%[14]. - The total assets of the company reached 50 billion RMB, reflecting a growth of 8% year-on-year[16]. - Total assets as of the end of the reporting period amounted to 192.534 billion RMB, a decrease of 15.364 billion RMB or 7.39% compared to the beginning of the year[89]. - The company's cash, settlement reserves, and margin deposits totaled 51.351 billion RMB, down 13.878 billion RMB, accounting for 26.67% of total assets[89]. - The company's financial assets measured at fair value decreased by 31.14% to CNY 19.35 billion[40]. - The company's equity attributable to shareholders decreased by 5.48% to CNY 33.44 billion[40]. Investments and Acquisitions - A strategic acquisition of a smaller brokerage firm was completed, which is anticipated to enhance the company's market share by 5%[19]. - The company is investing 100 million RMB in technology development to improve trading algorithms and enhance user experience[16]. - The company’s total investment in innovative investments was RMB 2.43 billion, an increase of 39.3% year-on-year[64]. - The company’s investment banking business focused on major asset restructuring and asset securitization, with a revenue increase of 32.28%[60]. - The company’s investment management business generated revenue of RMB 747 million, accounting for 25.83% of total revenue[71]. Risk Management - The company established a comprehensive asset-liability allocation and risk limit system to manage market risks effectively[118]. - The company has implemented a credit risk management system that includes internal credit rating and real-time monitoring of credit risk status[119]. - The liquidity risk management framework includes indicators such as liquidity coverage ratio and net stable funding ratio[119]. - The company conducted stress tests to assess its net capital risk control indicators and liquidity status[120]. Corporate Governance - The board of directors consists of 15 members, including 2 executive directors, 8 non-executive directors, and 5 independent non-executive directors[138]. - The company has adopted the corporate governance code and is committed to continuous improvement in governance practices[136]. - The company has held 1 shareholders' meeting and 4 board meetings during the reporting period, ensuring compliance with legal and procedural requirements[137]. - The company has committed to avoid engaging in competitive businesses with its subsidiaries for 36 months following the listing of its shares[131]. Market Expansion - The company is expanding its market presence by entering three new provinces, aiming to increase its customer base by 30% in these regions[17]. - The company has established strategic relationships with several state-owned enterprises, enhancing its market position[160]. - The report indicates that the company is focusing on expanding its market presence and enhancing its product offerings in the upcoming quarters[160]. Employee and Shareholder Information - The total number of employees at the end of the reporting period was 3,846, with 2,796 in the parent company and 1,050 in subsidiaries[181]. - The company distributed a cash dividend of 3.50 RMB per 10 shares to A-share shareholders, totaling 1,848,610,022.35 RMB[122]. - The total number of shares after the issuance of H shares is 6,215,452,011, with A shares accounting for 83.48% and H shares for 16.52%[149]. - The top shareholder, Sheneng Group Co., Ltd., holds 1,588,618,183 shares, accounting for 30.08% of the total shares[159].

证券代码：600958 证券简称：东方证券 公告编号：2016-044 东方证券股份有限公司 2016年半年度业绩快报公告 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个别及连带责任。 本公告所载 2016 年半年度主要财务数据为初步核算数据，未经 会计师事务所审计，具体数据以公司 2016 年半年度报告中披露的数 据为准，提请投资者注意投资风险。 一、2016 年半年度主要财务数据和指标（合并） 注：以上财务数据及指标未经审计。 二、经营业绩和财务状况情况说明 三、备查文件 经公司法定代表人、主管会计工作的负责人、会计机构负责人签 字并盖章的比较式资产负债表和利润表。 特此公告。 东方证券股份有限公司董事会 2016 年 7 月 28 日 2 2016 年上半年，证券市场延续了去年下半年以来市场人气持续 1 币种：人民币 单位：万元 项目 本报告期 上年同期 增减变动幅度（％） 营业总收入 289,290.09 1,100,149.45 -73.70 营业利润 134，440.01 761,613.89 -82.35 利润总额 15 ...

Financial Performance - Net profit attributable to shareholders dropped by 78.19% to CNY 423.10 million year-on-year[6] - Operating revenue fell by 66.49% to CNY 1.38 billion compared to the same period last year[6] - Basic earnings per share decreased by 82.22% to CNY 0.08 per share[6] - The net profit for Q1 2016 was CNY 164.71 million, a decrease from CNY 1.72 billion in the same period last year, representing a decline of approximately 90.4%[37] - The total profit for Q1 2016 was CNY 146.81 million, down from CNY 2.22 billion year-over-year, reflecting a decrease of approximately 93.4%[37] - Investment income decreased by 53.85% to approximately ¥913.94 million, reflecting a reduction in returns from financial instrument investments[16] - The company reported a significant decline in net income from fair value changes, with a loss of CNY -500,313,567.53 compared to a gain of CNY 1,157,192,654.42 in the previous year[33] Assets and Liabilities - Total assets decreased by 10.56% to CNY 185.93 billion compared to the end of the previous year[6] - The total liabilities decreased from ¥172.52 billion to ¥151.66 billion, reflecting a decline of about 12.0%[28] - The company's equity attributable to shareholders decreased from ¥34.96 billion to ¥33.81 billion, a reduction of approximately 3.3%[28] - The company's cash and cash equivalents decreased to ¥45.07 billion from ¥55.34 billion, a reduction of about 18.6%[27] - Customer deposits fell significantly from ¥43.51 billion to ¥32.11 billion, a decrease of approximately 26.2%[27] - The total assets of the company amounted to ¥185.93 billion, a decrease from ¥207.90 billion at the beginning of the year, representing a decline of approximately 10.6%[27] Cash Flow - The net cash flow from operating activities was negative at CNY -4.51 billion, compared to CNY -3.22 billion in the previous year[6] - The net cash flow from operating activities for Q1 2016 was negative CNY 4.51 billion, worsening from negative CNY 3.22 billion in the previous year[39] - The cash inflow from operating activities was CNY 696.44 million, compared to CNY 329.08 million in the previous year, showing an increase of about 111.5%[39] - The net cash flow from investing activities was -$48,710,752.65 for Q1 2016, with total cash outflows amounting to $437,421,837.05[42] - The net cash flow from financing activities was -$4,027,099,353.50, with total cash inflows of $16,834,228,800.34[42] Shareholder Information - The total number of shareholders reached 185,698 at the end of the reporting period[10] - The largest shareholder, Sheneng Group Co., Ltd., holds 30.08% of the shares[10] - The company committed to repurchase its shares if the closing price falls below the latest audited net asset value per share within 36 months after the public offering[24] - The company has pledged not to transfer or entrust its shares for 36 months post-listing, ensuring stability in shareholding[24] Other Financial Metrics - The weighted average return on net assets decreased by 8.64 percentage points to 1.23%[6] - The fair value of financial assets measured at fair value through profit or loss decreased by 31.40% to approximately ¥21.86 billion from ¥31.87 billion[14] - Derivative financial assets increased significantly by 283.54% to approximately ¥296.72 million, primarily due to changes in the fair value of gold swaps[14] - The company’s deferred income tax liabilities decreased by 65.70% to approximately ¥334.96 million, due to a reduction in taxable temporary differences[14] - The company’s operating expenses for Q1 2016 were CNY 456.76 million, a decrease from CNY 1.25 billion in the same period last year, representing a decline of approximately 63.6%[37] Future Outlook - The company plans to issue H shares to support its internationalization strategy, with the application for listing submitted to the Hong Kong Stock Exchange[18] - The company anticipates potential fluctuations in net profit compared to the previous year, indicating a cautious outlook for future performance[26]

Capital and Financial Growth - The registered capital of Orient Securities increased to CNY 5,281,742,921, up from CNY 4,281,742,921 in the previous year, reflecting a growth of 23.4%[13] - The net capital reached CNY 25,758,895,609.15, a significant increase of 120% compared to CNY 11,731,030,726.92 at the end of the previous year[13] - The company’s total assets amounted to ¥207.90 billion at the end of 2015, a 93.34% increase from ¥107.53 billion in 2014[31] - The company's equity attributable to shareholders rose by 90.47% to CNY 34,958,119,326.35 from CNY 18,353,133,455.60 in 2014[44] - The company successfully raised 10.03 billion RMB through A-share issuance, enhancing its capital strength significantly[67] Revenue and Profitability - The company's operating income for 2015 reached ¥15.43 billion, a 180.65% increase compared to ¥5.50 billion in 2014[31] - Net profit attributable to shareholders was ¥7.33 billion, reflecting a 212.82% increase from ¥2.34 billion in the previous year[31] - Total revenue for 2015 reached CNY 15,434,705,061.27, an increase of 180.65% compared to CNY 5,499,603,011.02 in 2014[44] - The net profit margin for 2015 was approximately 47.5%, calculated from the net profit and operating income figures[31] - The company reported a net profit from non-recurring gains and losses of CNY 72,608,068.36, up from CNY 36,622,114.75 in 2014[40] Risk Management and Compliance - The company has received a standard unqualified audit report from Lixin Certified Public Accountants[2] - The company maintained compliance with regulatory standards for major risk control indicators throughout the reporting period[33] - The company emphasizes the importance of risk awareness in forward-looking statements regarding future plans and strategies[3] - The company has established a dynamic monitoring system for risk control indicators, ensuring compliance with regulatory requirements[120] - The company has implemented a comprehensive internal credit rating system to manage credit risk, utilizing stress testing and sensitivity analysis[162] Business Operations and Expansion - The company has various business qualifications, including qualifications for interbank lending and bond market operations[13] - The company has established a strong foundation for future growth through strategic qualifications and capital increases[24] - The company expanded its securities brokerage network by establishing 23 new branches, bringing the total to 120[77] - The company achieved significant breakthroughs in asset securitization projects, including the first public housing loan project[68] - The company actively explored new business areas such as internet finance and asset securitization, achieving notable breakthroughs[117] Shareholder Returns and Dividends - The company proposed a cash dividend of CNY 3.50 per 10 shares, totaling CNY 1,848,610,022.35 in cash dividends for the year[4] - The total cash dividends distributed for 2015, including the interim distribution, amounted to 2,376,784,314.45 RMB, accounting for 32.45% of the net profit attributable to the parent company[171] - The company has maintained a consistent dividend payout strategy over the past three years, with a payout ratio of 25.24% in 2015, 33.83% in 2014, and 42.50% in 2013[173] - The company has a cash dividend policy that mandates a minimum of 30% of the distributable profit for the year to be distributed in cash[168] - The company distributed a cash dividend of 1.00 RMB per 10 shares, totaling 528,174,292.10 RMB for the year 2015[171] Investments and Financial Instruments - The company reported a total of CNY 4.082 billion in securities investments, with a significant portion being trading financial assets[134] - The company’s long-term equity investments reached CNY 1.909 billion, an increase of CNY 905 million, representing a growth of 90.13%[132] - The company’s investment in available-for-sale financial assets increased by 48.09% to CNY 59,876,720,287.65 from CNY 40,432,417,791.34 in 2014[44] - The company’s investment activities resulted in a net cash outflow of CNY -0.755 billion, with cash outflows primarily for fixed assets and long-term assets[99] - The company’s bond portfolio maintained a stable average duration throughout 2015, with 85% of its holdings concentrated in the 0 to 5 duration range[160] Future Outlook and Strategic Goals - The company aims to achieve stable and sustainable growth by focusing on customer service, talent development, capital management, and innovation[149] - The company plans to expand its innovative business areas, including internet finance, private placements, and international cross-border business, to create new profit growth points[152] - The company will prioritize the completion of its H-share issuance and improve capital management and liquidity in 2016[155] - The company aims to strengthen its core competencies in wealth management and investment management to create a differentiated competitive advantage[156] - The company plans to stabilize its stock price through share buybacks if the closing price falls below the latest audited net asset value per share for 20 consecutive trading days[175]

Financial Performance - Total operating revenue for 2015 reached RMB 1,546,073.29 million, a 181.12% increase compared to RMB 549,960.30 million in the previous year[3] - Operating profit increased by 225.97% to RMB 942,035.36 million from RMB 288,992.19 million year-on-year[3] - Net profit attributable to shareholders was RMB 735,065.55 million, reflecting a 213.91% growth from RMB 234,167.12 million in the prior year[3] - Basic earnings per share rose to RMB 1.46, a 165.45% increase compared to RMB 0.55 in the previous year[3] - Weighted average return on equity improved by 11.37 percentage points to 25.18% from 13.81%[3] Assets and Equity - Total assets at the end of the reporting period were RMB 20,778,972.02 million, a 93.24% increase from RMB 10,753,012.30 million at the beginning of the period[3] - Shareholders' equity attributable to the company increased by 90.59% to RMB 3,498,013.72 million from RMB 1,835,313.35 million[3] Strategic Initiatives - The company successfully implemented its three-year strategic plan, enhancing risk management and driving innovation[4] Market Conditions - The significant growth in major business revenues and net profit was attributed to increased trading volumes in the volatile Chinese securities market[5] Cautionary Note - The data provided is preliminary and subject to final audit, with investors advised to consider investment risks[6]

Financial Performance - Operating revenue for the first nine months surged by 236.35% year-on-year, totaling CNY 11.88 billion[6] - Net profit attributable to shareholders increased by 314.06% year-on-year, reaching CNY 5.91 billion[6] - Basic earnings per share rose by 260.61% year-on-year, standing at CNY 1.19 per share[8] - The weighted average return on equity improved by 12.99 percentage points, reaching 21.75%[6] - The net income from commission and fees for the first nine months of 2015 reached CNY 4.61 billion, a 224.94% increase from CNY 1.42 billion in the same period of 2014[12] - The company reported an investment income of CNY 8.14 billion for the first nine months of 2015, up 236.34% from CNY 2.42 billion year-over-year[12] Assets and Liabilities - Total assets increased by 75.71% year-on-year, reaching CNY 188.94 billion at the end of the reporting period[6] - The company's total assets reached CNY 188.94 billion, an increase from CNY 107.53 billion at the beginning of the year, representing a growth of approximately 75.6%[18] - The company's cash and cash equivalents amounted to CNY 56.13 billion, up from CNY 23.80 billion at the start of the year, indicating a growth of about 135.5%[17] - Customer deposits increased to CNY 44.16 billion from CNY 18.66 billion, reflecting a significant rise of approximately 136.5%[17] - The total liabilities increased significantly, with accounts payable rising by 1246.83% to CNY 163.91 million[11] - The company's total liabilities were CNY 156.49 billion, compared to CNY 88.90 billion at the beginning of the year, marking an increase of around 76.3%[18] Cash Flow - The company reported a net cash flow from operating activities of CNY 5.78 billion, a significant recovery from a negative cash flow in the previous year[6] - The net cash flow from operating activities for the first nine months of 2015 was CNY 5.78 billion, a significant improvement from a negative cash flow of CNY 4.24 billion in the same period of 2014[12] - The net cash flow from operating activities for the year-to-date period was -3,231,077,588.41, compared to -2,639,373,534.28 in the same period last year, indicating a decline of approximately 22.5%[32] - The total cash outflow from operating activities was 6,726,638,139.13, compared to 5,395,173,393.83 in the previous year, reflecting an increase of approximately 24.6%[32] Shareholder Information - The number of shareholders totaled 155,583 at the end of the reporting period[9] - The largest shareholder, Sheneng Group, holds 30.08% of the shares, totaling 1,588,618,183 shares[9] - The equity attributable to shareholders reached CNY 32.11 billion, up from CNY 18.35 billion, which is an increase of approximately 74.9%[18] Government Support and Investments - The company received government subsidies amounting to CNY 100.85 million during the reporting period[10] - The company completed the first phase of capital increase to Dongfang Financial Holdings (Hong Kong) with an investment of HKD 300 million in July 2015[14] - The company raised 9,801,829,800.34 from investment contributions, with no contributions reported in the previous year[33] Market Expansion and Future Plans - The company plans to continue expanding its market presence and investing in new technologies to drive future growth[26]