关于招商证券股份有限公司 KPMG Huazhen LLP 8th Floor, KPMG Tower Oriental Plaza 1 East Chang An Avenue Beijing 100738 China Telephone +86 (10) 8508 5000 Fax +86 (10) 8518 5111 Internet kpmg.com/cn 毕马威华振会计师事务所 (特殊普通合伙) 中国北京 东长安街 1 号 东方广场毕马威大楼 8 层 邮政编码:100738 电话 +86 (10) 8508 5000 传真 +86 (10) 8518 5111 网址 kpmg.com/cn 关于招商证券股份有限公司 控股股东及其他关联方资金占用情况的专项说明 毕马威华振专字第 2500871 号 招商证券股份有限公司董事会： 招商证券股份有限公司 关于招商证券股份有限公司 控股股东及其他关联方资金占用情况的专项说明 2024年12月31日止年度 关于招商证券股份有限公司 控股股东及其他关联方资金占用情况的专项说明(续) 我们接受委托，按照中国注册会计师审计准则审计了招商证券股份有限公司（以下简称"招 ...

证券代码：600999 证券简称： 招商证券 编号： 2025－011 本公司监事会及全体监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、 监事会会议召开情况 招商证券股份有限公司（以下简称公司）第八届监事会第十一次会议通知于 2025 年 3 月 14 日以电子邮件方式发出，会议于 2025 年 3 月 27 日以现场结合通 讯方式在广东省深圳市召开。 本次会议由监事会召集人朱立伟先生召集并主持，应出席监事 6 人，实际出 席 6 人，其中朱立伟、孙献、马蕴春、彭陆强监事通讯参会。公司副总裁（财务 负责人）、董事会秘书刘杰先生、证券事务代表张欢欢女士列席会议。 二、 监事会会议审议情况 经审议，会议通过以下决议： （一）审议通过《公司 2024 年年度报告》 招商证券股份有限公司 第八届监事会第十一次会议决议公告 2、公司 2024 年年度报告的内容和格式符合中国证监会、上海证券交易所、 1 香港联合交易所的各项规定，所包含的信息能够从各个方面真实地反映出公司当 年度的经营管理和财务状况等事项； 3、未发现参与报告编制和审议的人员有违反保 ...

招商证券股份有限公司（以下简称公司）第八届董事会第十六次会议通知于 2025 年 3 月 13 日以电子邮件方式发出。会议于 2025 年 3 月 27 日在广东省深圳 市以现场结合通讯方式召开。 本次会议由霍达董事长召集并主持，应出席董事 15 人，实际出席董事 15 人（其中：以通讯方式出席会议的董事 6 人）。公司全体监事和部分高级管理人 员列席了会议。 本次会议的召集、召开及表决程序符合有关法律、行政法规、部门规章、规 范性文件和《公司章程》的规定。 二、 董事会会议审议情况 证券代码：600999 证券简称： 招商证券 编号： 2025－010 招商证券股份有限公司 第八届董事会第十六次会议决议公告 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。 一、 董事会会议召开情况 （一）关于公司 2024 年度董事会工作报告的议案 议案表决情况：同意 15 票，反对 0 票，弃权 0 票。 本议案尚需提交公司股东大会审议。 （二）关于公司董事会审计委员会 2024 年度履职情况报告的议案 议案表决情况：同意 15 票，反对 ...

Financial Performance - For the fiscal year ending December 31, 2024, the company achieved a total operating revenue of RMB 20.891 billion, with a net profit attributable to shareholders reaching RMB 10.386 billion[16]. - The company achieved a significant increase in annual revenue and profit, with net profit surpassing 10 billion yuan, marking the best performance in nearly three years[24]. - Total revenue for 2024 reached RMB 30,622,282, an increase of 2.00% compared to RMB 30,020,438 in 2023[84]. - Net profit attributable to shareholders for 2024 was RMB 10,385,872, reflecting an 18.51% increase from RMB 8,763,960 in 2023[84]. - Basic earnings per share for 2024 were RMB 1.13, a 20.21% increase from RMB 0.94 in 2023[85]. - The pre-tax profit reached RMB 11.22 billion, representing a year-on-year growth of 20.70%[165]. - The annual profit attributable to shareholders was RMB 10.39 billion, up 18.51% compared to the previous year[165]. Dividend Distribution - The company plans to distribute a cash dividend of RMB 3.77 per 10 shares, amounting to a total profit distribution of approximately RMB 3.279 billion based on the total share count of 8,696,526,806 shares[8][9]. - The company's profit attributable to shareholders for the year was RMB 10.39 billion, with dividends declared amounting to RMB 3.07 billion[195]. Strategic Initiatives - The company has initiated a new five-year strategic plan aimed at sustainable growth and innovation in response to market opportunities[16]. - The company is committed to advancing its new five-year strategic plan, focusing on technology finance, green finance, inclusive finance, pension finance, and digital finance[28]. - The company is actively pursuing digital transformation, particularly in building an "AI securities company" to enhance operational efficiency[20]. - The company is focused on high-quality development and reform, aligning with national economic policies to enhance market confidence and operational efficiency[16]. Risk Management and Compliance - The company is committed to risk management and compliance, addressing potential regulatory changes that may impact its business strategies[12][13]. - The company maintained a strong risk management framework, with no new default losses reported throughout the year[27]. - The company emphasizes the importance of party building and corporate culture in driving its operational strategies and employee behavior[17]. - The company maintains a robust risk management culture, continuously enhancing its risk prediction and response capabilities to ensure long-term stable development[164]. Market Position and Growth - The company aims to solidify its position as a leading investment bank in China, with a clear vision for the future[24]. - The company has successfully navigated market volatility, resulting in continuous improvement in quality and efficiency of operations[16]. - The company has made significant progress in investment banking, with key indicators showing comprehensive service capability improvements[16]. - The company’s wealth management indicators ranked among the top five in the industry, demonstrating strong performance in financial market investments[16]. - The company’s wealth management and institutional business generated RMB 16.349 billion in revenue, accounting for 53.39% of total operating income[98]. Business Qualifications and Expansion - The company has obtained various business qualifications, including stock option trading rights from Shenzhen Stock Exchange in December 2019 and foreign exchange settlement business from the State Administration of Foreign Exchange in August 2019[14]. - The company has expanded its business qualifications significantly since its inception, reflecting a strategic focus on diversifying its financial services[58][65]. - The company is actively pursuing market expansion through new business qualifications and services[45]. - The company has established qualifications for conducting gold spot contract proprietary trading in March 2015, indicating its diversification into precious metals trading[35]. Client Engagement and Digital Transformation - The number of active trading clients reached approximately 19.298 million, an increase of 8.68% year-on-year, with total client assets under custody amounting to RMB 4.27 trillion, up 14.78%[101]. - The company’s digital transformation efforts have led to a notable increase in user engagement, with the 招商证券 APP ranking fifth among securities companies in terms of monthly active users[101]. - The company plans to enhance its wealth management transformation by strengthening product capabilities and improving digital service levels in 2025[112]. Financial Health and Assets - The net capital increased to CNY 87,411,626,102.24, up from CNY 79,370,429,988.47, representing a growth of approximately 10.5%[44]. - Total assets as of the end of 2024 amounted to RMB 721,160,331, a 3.64% increase from RMB 695,852,992 at the end of 2023[84]. - The company's equity attributable to shareholders increased to RMB 130.18 billion, a growth of RMB 8.22 billion or 6.74% from the previous year[195]. - The company's asset-liability ratio, excluding accounts payable to brokerage clients, was 77.13%, a decrease of 1.76 percentage points from the end of 2023[193]. Market Trends and Industry Position - The global M&A market announced 52,700 transactions with a total value of $3.33 trillion, a year-on-year increase of 16.03%[116]. - In China, the M&A market (excluding overseas acquisitions) reported 8,612 transactions valued at RMB 2.14 trillion, a year-on-year increase of 7.03%[116]. - The company ranked 7th in A-share underwriting amount with RMB 91.26 billion from 10 projects, while the IPO underwriting amount ranked 8th, an increase of 4 places year-on-year[118]. - The company’s domestic bond underwriting amount reached RMB 4,265.24 billion, a year-on-year increase of 30.91%[125].

公司不触及《上海证券交易所股票上市规则（2024 年 4 月修订）》（以 下简称《股票上市规则》）第 9.8.1 条第一款第（八）项规定的可能被实施其他 风险警示的情形。 证券代码：600999 证券简称： 招商证券 编号： 2025－012 招商证券股份有限公司 2024年年度利润分配方案公告 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： 每股分配比例：每股派发现金红利 0.377 元（含税）。 本次利润分配以实施权益分派股权登记日登记的总股本为基数，具体日 期将在权益分派实施公告中明确。在实施权益分派的股权登记日前招商证券股份 有限公司（以下简称公司）总股本发生变动的，拟维持分配总额不变，相应调整 每股分配比例，并将在相关公告中披露。 一、 利润分配方案内容 （一）利润分配方案的具体内容 截至 2024 年 12 月 31 日，公司母公司报表中期末未分配利润为人民币 27,524,486,995.59 元。经董事会决议，公司 2024 年年度拟以实施权益分派股 权登记日登记的总股本为基数分配利润。本次利润 ...

招商证券股份有限公司 财务报表和审计报告 2024 年 12 月 31 日止年度 招商证券股份有限公司 2024 年 12 月 31 日 | 内容 | | 页码 | | --- | --- | --- | | 审计报告 | | | | 合并及母公司资产负债表 | 1 | - 4 | | 合并及母公司利润表 | 5 | - 6 | | 合并及母公司现金流量表 | 7 | - 8 | | 合并及母公司股东权益变动表 | 9 | - 12 | | 财务报表附注 | 13 | - 169 | KPMG Huazhen LLP 8th Floor, KPMG Tower Oriental Plaza 1 East Chang An Avenue Beijing 100738 China Telephone +86 (10) 8508 5000 Fax +86 (10) 8518 5111 Internet kpmg.com/cn 毕马威华振会计师事务所 (特殊普通合伙) 中国北京 东长安街 1 号 东方广场毕马威大楼 8 层 邮政编码:100738 电话 +86 (10) 8508 5000 传真 +86 (10) 8 ...

招商证券股份有限公司 内部控制审计报告 2024 年 12 月 31 日 KPMG Huazhen LLP 8th Floor, KPMG Tower Oriental Plaza 1 East Chang An Avenue Beijing 100738 China Telephone +86 (10) 8508 5000 Fax +86 (10) 8518 5111 Internet kpmg.com/cn 毕马威华振会计师事务所 (特殊普通合伙) 中国北京 东长安街 1 号 东方广场毕马威大楼 8 层 邮政编码:100738 电话 +86 (10) 8508 5000 传真 +86 (10) 8518 5111 网址 kpmg.com/cn 内部控制审计报告 毕马威华振审字第 2502232 号 招商证券股份有限公司全体股东： 按照《企业内部控制审计指引》及中国注册会计师执业准则的相关要求，我们审计了招商证 券股份有限公司（以下简称"招商证券"）2024 年 12 月 31 日的财务报告内部控制的有效性。 三、内部控制的固有局限性 内部控制具有固有局限性，存在不能防止和发现错报的可能性。此外，由于情况的 ...

招商证券股份有限公司 2024 年度独立董事述职报告 本人向华，作为招商证券股份有限公司（简称公司）独立董事， 严格按照《中华人民共和国公司法》《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》《上海证券交易所上市公司自律监 管指引第1号——规范运作》《香港联合交易所证券上市规则》以及 《招商证券股份有限公司章程》（简称《公司章程》）、《招商证券 股份有限公司独立董事制度》等规定，切实履行诚信勤勉义务，依法 履职尽责，充分发挥独立董事决策、监督、咨询作用，促进公司规范 运作，推动公司高质量发展。现将2024年度履职情况报告如下： 一、基本情况 本人自 2017 年 7 月至 2024 年 6 月任公司独立非执行董事、董事 会薪酬与考核委员会召集人、董事会战略与可持续发展委员会及董事 会风险管理委员会委员。 本人自 2024 年 5 月起任狮瀚环球金融有限公司、狮瀚环球数字 金融开放式基金型公司董事，2024 年 6 月起任狮瀚环球金融有限公 司副行政总裁，2024 年 2 月起担任数字金融集团有限公司非执行董 事，2021 年 10 月起担任联裕投资有限公司、联裕资本有限公司董事。 2018 年 1 ...

根据 上海证券交易所上市公司自律监管指引第 5《号——交易 与关联交易》的规定，独立董事应当就涉及财务公司的关联交易事项 是否公平、上市公司资金独立性、安全性以及是否存在被关联人占用 的风险、是否损害上市公司利益等发表明确意见，并与年度报告同步 披露。作为公司独立董事，我们结合毕马威华振会计师事务所《 特殊 普通合伙）出具的专项说明，发表如下独立意见： 1.招商局财务作为非银行金融机构，具有合法有效的营业执照和 金融许可证，公司与招商局财务的关联交易定价公允，按一般商务条 款或更佳条款进行，有利于促进公司业务增长，符合公司和股东的整 体利益。 2.公司与招商局财务的关联交易不包括存款及贷款业务，不存在 影响公司资金独立性、安全性的情形，不存在资金被关联人占用的风 险，不存在损害公司及股东，特别是中小股东利益的情形。 独立董事： 叶荧志《《张瑞君《《陈欣《《曹啸《《丰金华 招商证券股份有限公司独立董事 关于公司与招商局财务有限公司关联交易的独立意见 2023 年 8 月 21 日，公司第七届董事会第三十五次会议审议通过 了《 关于公司与招商局集团财务有限公司签署关联交易协议的议案》， 与招商局财务有限公司《 以 ...

Financial Performance - The company achieved an annual revenue of 20.891 billion CNY and a net profit of 10.386 billion CNY, marking a significant growth with net profit exceeding 10 billion CNY for the second consecutive year[3]. - The company's operating revenue for 2024 reached ¥20,891,398,043.11, representing a 5.40% increase compared to ¥19,821,213,073.58 in 2023[65]. - Net profit attributable to shareholders of the parent company was ¥10,385,872,410.71 in 2024, an 18.51% increase from ¥8,763,959,184.96 in 2023[65]. - The net cash flow from operating activities surged by 101.91% to ¥54,726,248,578.68 in 2024, compared to ¥27,103,725,895.06 in 2023[65]. - The company's total assets as of the end of 2024 amounted to ¥721,160,331,448.06, a 3.64% increase from ¥695,852,990,280.62 at the end of 2023[65]. - The company's total liabilities increased by 2.98% to ¥590,908,098,061.63 in 2024, up from ¥573,816,058,013.50 in 2023[65]. - Basic earnings per share for 2024 were ¥1.13, reflecting a 20.21% increase from ¥0.94 in 2023[66]. - The weighted average return on equity rose to 8.82% in 2024, an increase of 0.91 percentage points from 7.91% in 2023[66]. Strategic Development - The company is focused on a new five-year strategic plan emphasizing "intelligent, digital, technology-driven, and international" development paths, with a commitment to serving national technological self-reliance and social wealth preservation[4]. - The company plans to enhance its core competitiveness and achieve high-quality development by implementing its five-year strategic plan in 2025[195]. - The company aims to concentrate financial resources on technological innovation, with a strategic focus on "intensive, intelligent, technology-driven, and international" development from 2024 to 2028[194]. - The company anticipates that the capital market will play a more significant role in supporting high-quality development of the real economy, presenting new historical opportunities for strategic development[13]. Risk Management - The company emphasizes the importance of risk management across its organizational structure, system framework, and information technology systems[19]. - The company has established a comprehensive risk management system to address various risks, including market, credit, operational, and liquidity risks[196]. - The board and the risk management committee are responsible for approving the comprehensive risk management system, risk appetite, risk tolerance, and various risk limit indicators, meeting quarterly to review risk reports[199]. - Senior management is fully responsible for risk management in business operations, regularly reviewing risk assessment reports and determining risk control measures[199]. - The risk management department leads market, credit, and operational risk management efforts[200]. Business Expansion and Qualifications - The company has been actively involved in market expansion, with qualifications for various financial services, including ETF options and cross-border business since 2018[36][37]. - The company has obtained new business qualifications, including participation in carbon emission trading and swap convenience business, expected to be effective by December 2024 and October 2024 respectively[36]. - The company has expanded its business qualifications in derivatives, including standard interest rate swap and standard bond forward quoting, both approved in November 2023[36]. - The company aims to leverage its existing qualifications to explore new market opportunities and enhance its service offerings[36][37]. Dividend Distribution - The company plans to distribute a cash dividend of RMB 3.77 per 10 shares to all shareholders, totaling approximately RMB 3.28 billion based on 8,696,526,806 shares outstanding[15][16]. - The company will not allocate statutory surplus reserves for the fiscal year 2024, maintaining the total distribution amount unchanged even if the total share capital changes[16]. - The company does not plan to issue bonus shares or convert capital reserves into share capital in the upcoming dividend distribution[15][16]. Market Position and Recognition - The company has been recognized as a "benchmark" enterprise in the annual assessment by the State-owned Assets Supervision and Administration Commission for two consecutive years[10]. - The company ranked 4th in the industry with a client equity scale of 58.804 billion yuan, reflecting a year-on-year growth of 16.50%[92]. - The company was recognized as a benchmark enterprise in the 2023 annual assessment by the State-owned Assets Supervision and Administration Commission (SASAC) for the second consecutive year[86]. Financial Technology and Innovation - The company has made significant investments in financial technology, enhancing its digital capabilities and service offerings[140]. - The company has established a leading enterprise-level cloud-native digital infrastructure, enhancing its technological capabilities in the cloud era[186]. - The company launched an integrated advisory service platform in the wealth management sector, enhancing operational management capabilities[185]. Client and Market Engagement - The number of normal trading clients reached approximately 19.298 million, a year-on-year growth of 8.68%, with managed client assets totaling 4.27 trillion yuan, up 14.78%[90]. - The average monthly active users (MAU) of the company's app ranked 5th among securities firms, with the highest daily usage time per user[90]. - The company launched cross-border wealth management services in December 2024, enhancing its ability to meet global asset allocation needs[90]. Financial Performance Metrics - The wealth management and institutional business generated revenue of 10.233 billion yuan, accounting for 48.98% of total revenue, while investment banking and investment management contributed 858 million yuan and 924 million yuan, respectively[87]. - The investment banking segment saw a significant decline in revenue, down 33.75% to CNY 857.64 million, contributing 4.11% to total revenue[146][147]. - The investment and trading segment experienced a remarkable growth of 79.14%, with revenue reaching CNY 6.33 billion, representing 30.32% of total revenue[146][147].