Financial Performance - The company's total revenue for 2023 was CNY 17,090,058,490.58, a decrease of 8.75% compared to CNY 18,728,628,979.84 in 2022[48]. - The net profit attributable to shareholders for 2023 was CNY 2,753,755,356.48, down 8.53% from CNY 3,010,558,218.74 in 2022[48]. - The net cash flow from operating activities for 2023 was CNY 21,459,210,316.21, a slight decrease of 0.73% compared to CNY 21,616,532,485.13 in 2022[48]. - The total assets at the end of 2023 were CNY 383,690,461,669.31, an increase of 4.24% from CNY 368,066,958,507.49 at the end of 2022[44]. - The total liabilities at the end of 2023 were CNY 304,930,264,916.75, reflecting a 4.91% increase from CNY 290,668,669,914.77 at the end of 2022[44]. - The weighted average return on equity for 2023 was 3.45%, a decrease of 0.71 percentage points from 4.16% in 2022[45]. - The net capital at the end of the reporting period was CNY 50,592,451,966.46, compared to CNY 47,377,141,479.67 at the end of the previous year[46]. - The company reported a total of CNY 125,474,582.93 in non-recurring gains and losses for 2023[49]. - The company's basic earnings per share for 2022 were CNY 0.30, down from CNY 0.35 in 2021[45]. - The total assets increased by 4.24% from RMB 368.07 billion in 2022 to RMB 383.69 billion in 2023[53]. - The net profit for 2023 was RMB 2.76 billion, a decrease of 8.43% compared to RMB 3.01 billion in 2022[53]. - The company's operating income decreased by 8.75% from RMB 18.73 billion in 2022 to RMB 17.09 billion in 2023[53]. - The total liabilities increased by 4.91% from RMB 290.67 billion in 2022 to RMB 304.93 billion in 2023[53]. - The company's equity attributable to shareholders increased by 1.76% from RMB 77.40 billion in 2022 to RMB 78.76 billion in 2023[53]. Dividend Distribution - The company plans to distribute a cash dividend of 1.5 RMB per 10 shares, totaling approximately 1.27 billion RMB, which represents 46.09% of the net profit attributable to shareholders for the year 2023[9]. Risk Management - The company faces various risks including market volatility, regulatory changes, and operational risks, which could adversely affect its business performance[11]. - The company emphasizes the importance of a comprehensive risk management system to address potential compliance, legal, and operational risks[12]. - The board of directors and senior management confirm the accuracy and completeness of the annual report, taking legal responsibility for its content[8]. - The company has a comprehensive organizational structure with specialized committees under the board of directors, ensuring effective governance and risk management[35]. - The company has implemented a comprehensive risk management system for innovative business, ensuring that risks are identified, assessed, and managed throughout the entire process[175]. - The company has conducted regular comprehensive and specialized stress tests to ensure that risks remain measurable and controllable under extreme conditions[178]. - The company has successfully maintained compliance with major risk control indicators related to net capital and liquidity throughout the reporting period[179]. Business Qualifications and Expansion - The company holds multiple business qualifications, including a securities and futures business license approved by the China Securities Regulatory Commission (CSRC) with registration number 913100001322947763[18]. - Orient Securities has expanded its business scope to include online securities commission services and open-ended fund distribution, enhancing its service offerings in the financial market[19]. - The company is qualified to conduct asset management business, which is crucial for diversifying its revenue streams and enhancing client services[20]. - The qualifications for conducting margin trading and securities lending are expected to enhance the company's competitive edge in the securities market[20]. - Orient Securities is positioned to leverage its qualifications for mergers and acquisitions, potentially expanding its market presence and service capabilities[20]. - The company’s strategic focus on expanding its business qualifications aligns with its long-term growth objectives in the financial services sector[19]. Market Position and Client Services - The company is actively involved in the interbank lending market and bond market, which positions it well for capitalizing on market opportunities[18]. - The company achieved a 100% approval rate for equity financing projects and maintained zero defaults in bond financing projects[58]. - The company's institutional client assets increased by 45.3% compared to the beginning of the period[58]. - The company maintained the number one market share in futures trading volume and ranked third in client equity scale[58]. - The company aims to enhance its wealth management capabilities and expand its product offerings to meet the needs of high-net-worth clients[98]. Financial Technology and Innovation - The company is actively enhancing its financial technology capabilities, including the development of a super investment management platform for comprehensive asset trading[59]. - The company received several awards, including the Shanghai Financial Innovation Achievement Award and the People's Bank of China Financial Technology Development Award, recognizing its advancements in financial technology[150]. - The company has received multiple awards for its financial technology innovations, including recognition for its big data service platform and blockchain SaaS service platform[174]. Capital Structure and Financing - The registered capital of Orient Securities is CNY 8,496,645,292, with net capital increasing to CNY 50,592,451,966.46 from CNY 47,377,141,479.67 year-over-year, reflecting a growth of approximately 4.6%[17]. - The company has a diversified financing structure, utilizing various debt financing methods including bonds, subordinated bonds, and short-term financing notes[180]. - The company maintains strong financing capabilities, with a Moody's long-term rating of Baa2 and a stable outlook, and a Standard & Poor's long-term rating of BBB- with a stable outlook[181]. - The company has established a capital replenishment mechanism to dynamically adjust the scale and structure of its business according to regulatory requirements and risk tolerance[177]. Subsidiaries and Branches - The company has established various subsidiaries, including Shanghai Dongzheng Futures Co., Ltd. with a registered capital of RMB 4.3 billion[37]. - The company has a total of 179 securities branches across various regions, with the highest number in Shanghai (47 branches)[40][41]. - The company has 45 futures branches distributed in major cities including Shanghai, Beijing, and Shenzhen[42]. Awards and Recognition - The company received multiple awards, including the "Best Debt Underwriting Investment Bank" and "Outstanding Underwriter" from various financial associations, highlighting its industry recognition[132]. - Dongzheng Asset Management received multiple industry awards, including the "Golden Fund - Bond Investment Return Fund Management Company" award from Shanghai Securities Journal[83]. Strategic Goals and Future Plans - The company plans to focus on digital transformation, group management, and international expansion as strategic drivers during the planning period[197]. - The company aims to enhance customer development and service capabilities, improving comprehensive customer management and vertical management[198]. - The company will implement a diversified investment strategy and adjust positions in response to market changes, particularly in equity securities investments[199]. - The company is committed to creating a modern investment bank with first-class core competitiveness, providing comprehensive financial services[197].

Share Capital and Dividends - The company reported a total share capital of 8,496,645,292 shares as of December 31, 2023, with 34,843,324 shares held in the repurchase account excluded from dividend distribution[6]. - The proposed cash dividend for the fiscal year 2023 is RMB 1.5 per 10 shares, amounting to a total cash dividend of RMB 1,269,270,295.20, which represents 46.09% of the net profit attributable to the parent company[5][6]. Financial Performance - Total revenue and other income for 2023 reached RMB 24,277,389, an increase of 5.06% compared to RMB 23,107,363 in 2022[57]. - Profit before tax for 2023 was RMB 2,919,140, reflecting a decrease of 13.58% from RMB 3,378,020 in 2022[57]. - Net profit attributable to shareholders for 2023 was RMB 2,753,755, down 8.53% from RMB 3,010,558 in 2022[57]. - Cash flow from operating activities for 2023 was RMB 14,044,838, a decrease of 28.93% compared to RMB 19,762,089 in 2022[57]. - Total assets as of the end of 2023 amounted to RMB 383,690,462, representing a 4.24% increase from RMB 368,066,959 at the end of 2022[59]. - Total liabilities at the end of 2023 were RMB 304,930,265, an increase of 4.91% from RMB 290,668,670 at the end of 2022[59]. - Equity attributable to shareholders was RMB 78,745,531 at the end of 2023, up 1.76% from RMB 77,386,472 at the end of 2022[59]. - The company's debt-to-asset ratio increased to 71.04% at the end of 2023, up 2.63 percentage points from 68.41% at the end of 2022[59]. Risk Management - The company faces various operational risks, including policy risks due to macroeconomic controls and regulatory changes that may adversely affect its operations[9]. - The company has established a comprehensive risk management system to cover various risk types, including compliance, legal, and ethical risks[9]. - The company emphasizes the importance of protecting its information technology systems and key data to ensure business continuity and information security[9]. - The company has outlined its strategies for addressing various risks, ensuring a proactive approach to risk management[10]. Regulatory Compliance - The annual report has been audited and confirmed by Deloitte, providing a standard unqualified opinion on the financial statements[4]. - The board of directors has confirmed that the annual report contains no false records, misleading statements, or significant omissions[4]. - The company assures that there are no non-operational fund occupations by controlling shareholders or related parties during the reporting period[7]. - The company has no violations of regulatory decision-making procedures in providing guarantees during the reporting period[7]. - The company does not have any directors unable to ensure the authenticity, accuracy, and completeness of the annual report[7]. - The company emphasizes the importance of compliance with laws and regulations, which is critical for maintaining its reputation and operational integrity[9]. Business Operations and Strategy - The company is actively involved in the securities market, which is subject to fluctuations in stock prices, interest rates, and exchange rates, impacting its potential losses[9]. - The company has established a wholly-owned subsidiary for asset management, indicating a strategic move towards asset management services[20]. - The company is involved in various innovative activities as a pilot securities firm, indicating a focus on market expansion and new strategies[20]. - The company is positioned to leverage its various qualifications to enhance its competitive edge in the securities market[20]. - The company has established competitive advantages in fixed income, asset management, fund management, and futures brokerage through years of deep cultivation[93]. Market and Client Engagement - The company has a strong focus on risk management services to help enterprises manage operational price risks[79]. - The company has established a strong investor relations framework, providing multiple contact points for inquiries[34]. - The company has a dedicated investor relations hotline, indicating a commitment to transparency and communication with stakeholders[35]. - The company is focusing on high-quality development and enhancing its professional investment research capabilities[108]. - The company aims to enhance investment strategies focusing on sectors like new energy, medical equipment, and semiconductors[123]. Awards and Recognition - The company received multiple awards, including the "Best Bond Underwriter" and "Outstanding Underwriter" from various financial institutions[180]. - The MSCI ESG rating of the company improved from A to AA, making it one of the only two AA-rated securities companies in the domestic market[98]. - The company received several awards for financial innovation and technology development during the reporting period, highlighting its commitment to excellence[197]. Digital Transformation and Technology - The company is focused on digital transformation, enhancing its information technology investments to support high-quality development in the securities industry[194]. - The company is actively exploring the application of artificial intelligence and blockchain technologies to enhance its service capabilities and operational efficiency[196]. - The company plans to enhance its digital capabilities and customer experience as part of its digital transformation strategy for 2024[198].

东方证券股份有限公司 独立董事2023年度述职报告 本人作为东方证券股份有限公司独立董事，根据中国证监会《上 市公司独立董事管理办法》以及《上海证券交易所股票上市规则》《上 海证券交易所上市公司自律监管指引第 1 号——规范运作》（下称《规 范运作》）及《上海证券交易所上市公司自律监管指南第六号——定 期报告》等规定要求，独立客观地参与了公司重大事项决策，忠实勤 勉地履行了独立董事职责，现就 2023 年度工作情况作如下报告： 一、本人基本情况 本人自 2020 年 12 月起担任公司独立董事，现同时兼任公司第五 届董事会薪酬与提名委员会主任委员、合规与风险管理委员会委员。 本人工作履历、专业背景以及兼职情况详见与本报告同日披露于上海 证券交易所网站（http://www.sse.com.cn）的公司 2023 年年度报告。 本人除在公司担任独立董事外，与公司及其主要股东不存在直接 或者间接利害关系，或者其他可能影响本人进行独立客观判断关系， 不存在任何影响独立性的情况。 二、年度履职概况 1、出席董事会次数、方式及投票情况 公司全年共召开 10 次董事会（其中现场会议 2 次，通讯表决 8 次），本人均亲自 ...

关于东方证券股份有限公司 2023 年度非经营性资金占用及其他关联资金 往来情况汇总表的专项审计报告 目 录 委托单位：东方证券股份有限公司 审计单位：德勤华永会计师事务所（特殊普通合伙） 1、 专项审计报告 2、 附表 东方证券股份有限公司董事会: 我们接受委托,依据中国注册会计师审计准则审计了东方证券股份有限公司(以下简称 "贵公司")2023年12月31日合并及母公司资产负债表,2023年度合并及母公司利润表、合 并及母公司现金流量表、合并及母公司股东权益变动表以及相关财务报表附注(以下合称"财 条报表"),并于 2024年 3 月 27 日签发了德师报(审)字(24)第 P02790 号无保留意见的审计报 告。 根据中国证券监督管理委员会联合公安部、国务院国有资产监督管理委员会及中国银行 保险监督管理委员会(现为:国家金融监督管理总局)公布的《上市公司监管指引第8号 -- 上 市公司资金往来、对外担保的监管要求》的要求,贵公司编制了后附的 2023年度非经营性资 金占用及其他关联资金往来情况汇总表(以下简称"汇总表")。 如实编制和对外披露汇总表并确保其真实性、合法性及完整性是贵公司管理层的责任。 我 ...

《东方证券股份有限公司审计委员会工作规则》 第一章 总 则 第一条 为进一步完善公司治理结构，根据《中华人民共和国公司法》《中 华人民共和国证券法》《上市公司独立董事管理办法》《上海证券交易所股票上市 规则》《香港联合交易所有限公司证券上市规则》（以下简称"《香港上市规则》"） 等法律、法规、规章、规范性文件及《东方证券股份有限公司章程》（以下简称 "《公司章程》"）有关规定，公司董事会设立审计委员会，并制定本工作规则。 第二条 审计委员会是依据《公司章程》设立的专门工作机构。 第二章 人员组成 第三条 审计委员会由三至五名董事组成。审计委员会委员应当为不在公司 担任高级管理人员的非执行董事，其中独立非执行董事应当过半数，并且至少有 一名独立非执行董事符合《香港上市规则》第 3.10(2)条的要求。 第四条 审计委员会委员由董事会选举产生。现时负责审计公司账目的外部 审计机构的前任合伙人在以下日期（以日期较后者为准）起计两年内，不得担任 公司审计委员会的成员： (1) 他终止成为该外部审计机构合伙人的日期；或 (2) 他不再享有该外部审计机构财务利益的日期。 第五条 审计委员会设主任委员一名，负责主持委员会工 ...

《东方证券股份有限公司合规与风险管理委员会工作规则》 第一章 总则 第一条 为完善公司治理结构，提高公司对风险的控制能力和水平，根据《中 华人民共和国公司法》《中华人民共和国证券法》《证券公司监督管理条例》等相 关法律、法规、规章、规范性文件以及《东方证券股份有限公司章程》（以下简 称"《公司章程》"）有关规定，公司董事会设立合规与风险管理委员会，并制定 本工作规则。 第六条 合规与风险管理委员会委员任期与董事任期一致，委员任期届满， 连选可以连任。期间如有委员不再担任公司董事职务，自动失去委员资格，并由 董事会根据上述第三条至第五条规定补足委员人数。 第七条 公司董事会办公室、合规法务管理总部、风险管理总部、计划财务 管理总部等相关部门按其职能负责合规与风险管理委员会决策的前期准备和服 务工作，包括收集提供相关资料、制作相关议题的研究报告、工作联络、会议组 织、起草委员会议案、档案管理和会议决议的跟踪落实等。 第三章 职责权限 第八条 合规与风险管理委员会的主要职责是： （一）对合规管理和风险管理的总体目标、基本政策进行审议并提出意见； （二）对合规管理和风险管理制度、机构设置及其职责进行审议并提出意见； ...

重要内容提示： 关于聘请2024年度会计师事务所的公告 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。 证券代码：600958 证券简称：东方证券 公告编号：2024- 014 东方证券股份有限公司 拟聘任的会计师事务所名称：毕马威华振会计师事务所（特 殊普通合伙）、毕马威会计师事务所 原聘任的会计师事务所名称：德勤华永会计师事务所（特殊 普通合伙）、德勤·关黄陈方会计师行 一、拟聘任会计师事务所的基本情况 （一）机构信息 1、毕马威华振会计师事务所（特殊普通合伙） （1）基本信息 毕马威华振会计师事务所于 1992 年 8 月 18 日在北京成立，于 2012 年 7 月 5 日获财政部批准转制为特殊普通合伙的合伙制企业， 更名为毕马威华振会计师事务所（特殊普通合伙）（以下简称"毕马 威华振"），2012 年 7 月 10 日取得工商营业执照，并于 2012 年 8 月 1 日正式运营。毕马威华振总所位于北京，注册地址为北京市东城区 东长安街 1 号东方广场东 2 座办公楼 8 层。 毕马威华振的首席合伙人邹俊，中国国籍，具 ...

证券代码：600958 证券简称：东方证券 公告编号：2024-012 东方证券股份有限公司 关于预计公司2024年度日常关联交易的公告 重要内容提示： 一、日常关联交易基本情况 公司独立董事专门会议已对《关于预计公司 2024 年度日常关联 交易的议案》进行事先审议，全体独立董事一致认可并同意董事会就 该议案进行审议，并在公司董事会审议通过后（关联董事应分项回避 表决），将该议案提交股东大会审议，关联股东应分项回避表决。 （一）日常关联交易履行的审议程序 （二）公司 2023 年度日常关联交易预计及执行情况 1 本次日常关联交易预计需提交公司股东大会审议。 本次日常关联交易预计不会导致公司对关联方形成依赖。 2023 年，公司根据 2022 年年度股东大会审议通过的《关于预计 公司 2023 年度日常关联交易的议案》所确定的日常关联交易范围开 展相关交易，交易公允且未给公司带来任何风险，亦不存在损害公司 权益的情形。公司 2023 年日常关联交易预计及执行情况具体如下： 2 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。 东 ...

证券代码：600958 证券简称：东方证券 公告编号：2024-013 东方证券股份有限公司 关于预计公司2024年度对外担保的公告 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。 重要内容提示： 本次担保预计：东方证券股份有限公司（以下简称"公司"） 董事会审议通过并提请股东大会审议，公司及子公司分别为资产负债 率70%以下及超过70%的全资子公司新增担保总额不得超过公司最近 一期经审计净资产的10%。 短期融资券、中期票据等），境内或境外金融机构贷款（包括但不限 于银行授信、银行贷款、银团贷款等）等债务提供担保；包括但不限 于为国际衍生品框架协议（ISDA）、主结算协议（Master Clearing Agreement）、债券市场协会/国际证券市场协会全球回购协议 （TBMA/ISMA GMRA）、主券商服务协议、贵金属交易实物买卖、经纪 业务、发行结构化票据等交易提供担保。 被担保人名称：公司直接和间接持股的全资子公司 一、担保预计基本情况 根据公司经营计划，为降低融资成本以及增强子公司对外经营能 力，公司及子公司拟为 ...

证券代码：600958 证券简称：东方证券 公告编号：2024-008 东方证券股份有限公司 第五届董事会第三十三次会议决议公告 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。 东方证券股份有限公司（以下简称"公司"）第五届董事会第三 十三次会议通知于 2024 年 3 月 13 日以电子邮件和专人送达方式发 出，会议于 2024 年 3 月 27 日在东方证券大厦 15 楼会议室以现场结 合通讯表决方式召开。本次会议应出席董事 13 名，实际出席董事 13 名（其中，以通讯表决方式出席会议的董事 3 名）。本次会议由董事 长金文忠先生主持，公司部分监事及高级管理人员列席会议。本次会 议的召集召开符合《公司法》《公司章程》和《公司董事会议事规则》 等有关规定。本次会议审议并通过了以下议案： 一、 审议通过《公司 2023 年度董事会工作报告》 表决结果：13 票同意，0 票反对，0 票弃权。 本议案需提交股东大会审议。 二、 审议通过《公司 2023 年度财务决算报告》 表决结果：13 票同意，0 票反对，0 票弃权。 本议案 ...