招商证券股份有限公司 与关联财务公司开展金融业务风险处置预案 第一章 总 则 第一条 为有效防范、及时控制和化解招商证券股份有限公司 (以下简称公司)及控股子公司与存在关联关系 定义见 上海证券交 易所股票上市规则》）的财务公司(以下简称关联财务公司)开展金融 业务的风险，保障资金安全，根据 企业集团财务公司管理办法》 关 于规范上市公司与企业集团财务公司业务往来的通知》 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5号 ——交易与关联交易》等有关规定，特制定本风险处置预案。 第三章 信息报告与披露 第二条 公司与关联财务公司发生业务往来，应当遵循平等自愿 原则，保障公司的独立性。公司不得通过关联交易套取资金，不得隐 匿违规关联交易或通过关联交易隐匿资金真实去向、从事违法违规活 动。 第二章 风险处置组织机构及职责 第三条 公司成立关联财务公司金融业务风险防范及处置工作 组 简称财务公司风险处置工作组），负责组织开展相关金融业务风 险的防范和处置工作。 第四条 财务公司风险处置工作组由公司首席风险官任组长，成 员包括公司风险管理部、法律合规部、办公室、相关业务部门负责人。 第五条 财务 ...

金融许可证机构编码：L0125H211000001； 统一社会信用代码：9111000071782949XA； 招商局集团财务有限公司 2022 年度风险评估报告 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》的要求，招商证券股份有限公司（以下简称公司或本公司） 查验了招商局集团财务有限公司（以下简称招商财务）《金融许可证》 《营业执照》等证件资料，审阅了招商财务资产负债表、利润表、现 金流量表等定期财务报告，对招商财务的经营资质、业务和风险状况 进行了评估，具体情况如下： 一、 招商局集团财务有限公司基本情况 企业名称：招商局集团财务有限公司 注册资本：人民币 50 亿元； | 序号 | 出资人名称 | 认缴资本（亿元） | 股权比例 | | --- | --- | --- | --- | | 1 | 招商局集团有限公司 | 25.5 | 51.00% | | 2 | 中国外运长航集团有限公司 | 24.5 | 49.00% | 二、招商财务内部控制的基本情况 （一）控制环境 招商财务已根据现代公司治理结构要求，设立股东会、董事会、 监事会，并对董事会和董事、监事、高级管理人员在风 ...

香港交易及結算所有限公司及香港聯合交易所有限公司對本公告之內容概不負責，對其 準確性或完整性亦不發表任何聲明，並明確表示，概不就因本公告全部或任何部分內容 而產生或因依賴該等內容而引致的任何損失承擔任何責任。 （於中華人民共和國註冊成立的股份有限公司） （股份代號：6099） 董事會會議召開日期 招商證券股份有限公司（「本公司」）之董事會（「董事會」）謹此宣佈，董事會會議將於 2023年8月29日（星期二）舉行，藉以（其中包括）考慮及批准本公司及其附屬公司截至 2023年6月30日止六個月之中期業績及其刊發。 承董事會命 招商證券股份有限公司 霍達 董事長 中國深圳 2023年8月15日 於本公告日期，本公司執行董事為霍達先生及吳宗敏先生；本公司非執行董事為鄧偉棟 先生、劉威武先生、李曉霏先生、黃堅先生、劉沖先生及丁璐莎女士；以及本公司獨立 非執行董事為向華先生、肖厚發先生、熊偉先生、胡鴻高先生及豐金華先生。 ...

向華先生 肖厚發先生 熊偉先生 胡鴻高先生 豐金華先生 （於中華人民共和國註冊成立的股份有限公司） （股份代號：6099） 董事名單與其角色和職能 招商證券股份有限公司（「本公司」）董事會（「董事會」）委員載列如下： 執行董事 霍達先生 （董事長） 吳宗敏先生 （總裁） 非執行董事 劉威武先生 鄧偉棟先生 李曉霏先生 黃堅先生 劉沖先生 丁璐莎女士 獨立非執行董事 –2– –1– 本公司董事會下設五個委員會。下表提供委員會委員的資料： | | 委員會 | 戰略與 | | | | | | --- | --- | --- | --- | --- | --- | --- | | | | 可持續發展 | 風險管理 | 審計 | 提名 | 薪酬與考核 | | 董事 | | 委員會 | 委員會 | 委員會 | 委員會 | 委員會 | | 霍達先生 | | C | | | M | | | 吳宗敏先生 | | M | C | | | | | 劉威武先生 | | | M | M | | | | 鄧偉棟先生 | | M | | | | | | 李曉霏先生 | | | M | | M | M | | 黃堅先生 | | | | M ...

证券代码：600999 证券简称： 招商证券 编号： 2023－042 招商证券股份有限公司（以下简称公司或本公司）董事会收到公司非执行董事高宏 先生递交的书面辞职报告。高宏先生因工作变动原因申请辞去公司第七届董事会非执行 董事及董事会战略与可持续发展委员会委员职务。高宏先生的辞任自 2023 年 8 月 11 日 起生效。 高宏先生已确认与公司董事会无不同意见，也无与其辞任有关的其他事项需提请公 司股东及债权人注意。高宏先生的辞任不会影响董事会及本公司的运作。 公司董事会谨对高宏先生在担任公司非执行董事及董事会战略与可持续发展委员 会委员职务期间所做出的重要贡献表示衷心感谢！ 特此公告。 招商证券股份有限公司 2023 年 8 月 11 日 招商证券股份有限公司 关于公司非执行董事辞职的公告 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个别及连带责任。 1 ...

深圳市朗坤环境集团股份有限公司 首次公开发行股票并在创业板上市 发行公告 保荐人（主承销商）：招商证券股份有限公司 特别提示 深圳市朗坤环境集团股份有限公司（以下简称"朗坤环境"、"发行人"或"公 司"）根据《证券发行与承销管理办法》（证监会令〔第 208 号〕）（以下简称 "《管理办法》"）、《首次公开发行股票注册管理办法》（证监会令〔第 205 号〕）、《深圳证券交易所首次公开发行证券发行与承销业务实施细则》（深证 上〔2023〕100 号）（以下简称"《业务实施细则》"）、《深圳市场首次公开 发行股票网上发行实施细则》（深证上〔2018〕279 号）（以下简称"《网上发 行实施细则》"）、《深圳市场首次公开发行股票网下发行实施细则（2023 年 修订）》（深证上〔2023〕110 号）（以下简称 "《网下发行实施细则》"）、 《首次公开发行证券承销业务规则》（中证协发〔2023〕18 号）、《首次公开 发行证券网下投资者管理规则》（中证协发〔2023〕19 号）（以下简称"《网 下投资者管理规则》"）等相关法律法规、监管规定及自律规则等文件，以及深 圳证券交易所（以下简称"深交所"）有关股票发行上市规则 ...

Financial Performance - The company's operating revenue for Q1 2023 was CNY 4,758,451,712.94, representing a 28.74% increase compared to CNY 3,696,270,114.27 in the same period last year[3]. - Net profit attributable to shareholders was CNY 2,259,861,584.54, a 51.50% increase from CNY 1,489,516,271.33 year-on-year[3]. - The net profit after deducting non-recurring gains and losses was CNY 2,245,439,254.43, reflecting a 52.98% increase compared to CNY 1,465,711,053.20 in the previous year[3]. - Basic earnings per share increased to CNY 0.24, up 60.00% from CNY 0.15 in the same quarter last year[3]. - Operating profit increased to CNY 2,548,238,988.59, up 59.3% from CNY 1,600,676,304.00 in the same period last year[14]. - Net profit for Q1 2023 was CNY 2,260,720,408.94, representing a 51.1% increase from CNY 1,496,216,827.04 in Q1 2022[14]. - Total comprehensive income for Q1 2023 was CNY 2,291,486,101.71, an increase from CNY 1,270,780,161.61 in the previous year[15]. - The total profit for Q1 2023 was ¥2,087,163,494.78, up from ¥1,723,323,658.76 in Q1 2022[20]. Cash Flow - The net cash flow from operating activities was CNY 24,723,495,747.33, an increase of 16.34% from CNY 21,250,974,414.47 year-on-year[3]. - The net cash flow from operating activities for Q1 2023 was CNY 28,998,927,289.87, an increase of 45.7% compared to CNY 19,886,400,775.43 in Q1 2022[22]. - The total cash inflow from operating activities reached CNY 45,766,287,744.36, up from CNY 26,677,807,288.63 in the same period last year[22]. - The net cash flow from investing activities for Q1 2023 was CNY 2,704,311,489.57, a significant recovery from a negative cash flow of CNY -2,517,715,231.63 in Q1 2022[16]. - The net cash flow from investing activities was CNY 1,891,417,950.99, a significant improvement from a negative CNY 2,895,486,095.08 in Q1 2022[22]. - The net cash flow from financing activities was negative CNY 22,140,551,926.78, compared to a negative CNY 8,597,144,744.53 in the previous year[23]. - The cash outflow for financing activities in Q1 2023 was CNY 34,239,024,135.04, compared to CNY 24,129,205,728.50 in Q1 2022, indicating an increase of approximately 42%[17]. Assets and Liabilities - Total assets at the end of Q1 2023 were CNY 600,539,320,228.21, a decrease of 1.82% from CNY 611,661,880,257.89 at the end of the previous year[4]. - The total liabilities decreased to ¥427,789,654,714.81 from ¥434,357,311,998.84 at the end of 2022[19]. - The total liabilities as of March 31, 2023, were CNY 396,904,878,000.00, down from CNY 401,000,000,000.00 at the end of 2022[18]. - The company's cash and cash equivalents stood at ¥111,757,923,266.92, slightly down from ¥113,377,262,889.25 at the end of 2022[12]. - The total amount of receivables was reported at ¥791,548,152.15, down from ¥959,418,111.49, reflecting a decrease of about 17.5%[12]. - The total amount of financial assets sold under repurchase agreements was ¥129,941,939,872.39, up from ¥120,805,473,266.38, indicating an increase of about 7.5%[12]. Shareholder Information - Shareholders' equity attributable to the parent company was CNY 117,465,222,968.81, showing a 1.99% increase from CNY 115,159,077,126.18 at the end of the previous year[4]. - The total number of ordinary shareholders at the end of the reporting period was 168,347[9]. - The company's equity attributable to shareholders rose to ¥117,465,222,968.81 from ¥115,174,595,691.50, marking an increase of approximately 2.0%[13]. Income and Expenses - Net interest income increased by 159.37% to CNY 487,963,842.43 compared to CNY 188,131,094.62 in the previous year[8]. - Net commission and fee income decreased to CNY 1,944,710,059.47, down 23.6% from CNY 2,545,228,773.18 in the previous year[14]. - Investment income for Q1 2023 was CNY 1,680,666,535.68, a decrease of 5.9% compared to CNY 1,786,376,081.59 in Q1 2022[14]. - The company reported a decrease in credit impairment losses to CNY -36,185,229.87, compared to CNY 129,561,772.30 in Q1 2022[14]. - Other comprehensive income after tax for Q1 2023 was CNY 30,765,692.77, a recovery from a loss of CNY -225,436,665.43 in the same period last year[14]. - The company reported a significant increase in cash received from other operating activities, totaling CNY 8,489,198,382.61 in Q1 2023, compared to CNY 1,286,751,792.80 in Q1 2022, marking a growth of over 560%[16].

Financial Performance - The company's operating revenue for Q1 2023 was RMB 4,758,451,712.94, representing a 28.74% increase compared to RMB 3,696,270,114.27 in the same period last year[3]. - Net profit attributable to shareholders for Q1 2023 was RMB 2,259,861,584.54, a 51.50% increase from RMB 1,489,516,271.33 in the previous year[3]. - The basic earnings per share for Q1 2023 was RMB 0.24, reflecting a 60.00% increase compared to RMB 0.15 in the same period last year[3]. - Operating profit for Q1 2023 was ¥2,548,238,988.59, compared to ¥1,600,676,304.00 in Q1 2022, indicating a strong performance[14]. - Net profit for Q1 2023 was ¥2,260,720,408.94, an increase of 51.1% from ¥1,496,216,827.04 in Q1 2022[14]. Cash Flow - The net cash flow from operating activities for Q1 2023 was RMB 24,723,495,747.33, an increase of 16.34% from RMB 21,250,974,414.47 in the previous year[3]. - The total cash inflow from operating activities reached RMB 46,531,969,423.93, up from RMB 31,401,209,874.13 in the same period last year, reflecting a growth of 48.2%[16]. - The net cash flow from investment activities improved significantly to ¥2,704,311,489.57 from a negative cash flow of ¥2,517,715,231.63[7]. - Cash flow from operating activities for Q1 2023 was RMB 28,998,927,289.87, compared to RMB 19,886,400,775.43 in Q1 2022, reflecting a strong operational performance[24]. - The company achieved a significant increase in net cash inflow from operating activities, totaling RMB 45,766,287,744.36 in Q1 2023, compared to RMB 26,677,807,288.63 in Q1 2022[24]. Assets and Liabilities - Total assets at the end of Q1 2023 were RMB 600,539,320,228.21, a decrease of 1.82% from RMB 611,661,880,257.89 at the end of the previous year[3]. - Total liabilities decreased to ¥482,990,750,784.37 as of March 31, 2023, down from ¥496,419,930,018.64 at the end of 2022[11]. - The company's total assets amounted to ¥600,539,320,228.21 as of March 31, 2023, down from ¥611,677,013,360.77 at the end of 2022[12]. - The total liabilities decreased to RMB 427,789,654,714.81 as of March 31, 2023, from RMB 434,357,311,998.84 at the end of 2022, a reduction of 1.3%[20]. - The company’s total assets as of March 31, 2023, were RMB 534,454,593,241.69, indicating a stable asset base[21]. Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 168,347, with the top ten shareholders holding a combined 69.65% of shares[8]. - The largest shareholder, China Merchants Financial Holdings Co., Ltd., holds 23.55% of the shares, totaling 2,047,900,517 shares[8]. Other Financial Metrics - The weighted average return on equity for Q1 2023 was 2.09%, an increase of 0.73 percentage points compared to 1.36% in the previous year[3]. - Other comprehensive income increased by 52.61% to RMB 87,642,195.56 from RMB 57,427,391.15 in the previous year[6]. - The company reported a total of RMB 14,422,330.11 in non-recurring gains and losses for the current period[5]. - The company reported a 200.31% increase in income tax expenses to ¥289,648,958.86 from ¥96,450,635.34, attributed to an increase in taxable income[7]. - Other comprehensive income after tax for Q1 2023 was RMB 130,279,225.90, compared to a loss of RMB 165,685,664.16 in Q1 2022[23].

Financial Performance - Total revenue for 2022 was CNY 29,335,800, a decrease of 27.28% compared to 2021[51]. - Net profit attributable to shareholders for 2022 was CNY 8,072,319, down 30.68% from the previous year[51]. - Total assets at the end of 2022 amounted to CNY 611,661,882, reflecting a 2.42% increase from the end of 2021[51]. - Total liabilities at the end of 2022 were CNY 496,420,316, which is a 2.43% increase compared to the previous year[51]. - The basic earnings per share for 2022 was RMB 0.86, a decline of 31.2% compared to RMB 1.25 in 2021[52]. - The weighted average return on equity for 2022 was 7.54%, down from 11.52% in 2021, a decrease of 3.98 percentage points[52]. - The company's pre-tax profit for 2022 was RMB 8.53 billion, down 37.74% from RMB 13.70 billion in the prior year[97]. - The annual profit attributable to shareholders was RMB 8.07 billion, reflecting a decline of 30.68% from RMB 11.65 billion year-on-year[97]. Market Position and Strategy - In 2022, the company maintained a strong market position with its securities trading business net income ranking among the top three in the industry[5]. - The company achieved a historical high in stock trading market share, with financing and securities lending business remaining in the top five of the industry[9]. - The company’s private fund product custody market share has maintained the industry’s leading position for nine consecutive years[5]. - The company plans to deepen state-owned enterprise reform and enhance core competitiveness in 2023[6]. - The company aims to accelerate the transformation of wealth management and establish a unique competitive advantage in institutional business[6]. - The company is focused on enhancing risk management capabilities and improving the internal control system for key business areas[6]. - The company anticipates improved market conditions in 2023, aiming to expand revenue while maintaining quality control and risk assessment[10]. Risk Management - The company faces various risks including regulatory changes, credit risk, market risk, operational risk, liquidity risk, and reputational risk[14]. - The company emphasizes the importance of compliance with laws and regulations to mitigate legal and compliance risks[14]. - The company has established measures to manage risks through organizational structure, system frameworks, and risk management culture[14]. - The company has a dedicated risk management department responsible for market, credit, and operational risk management, ensuring compliance and legal risk management[137]. - The company has established a comprehensive risk management system to address various risks, including reputational risks[177]. Corporate Governance - The board of directors consists of 15 members, including 2 executive directors, 8 non-executive directors, and 5 independent non-executive directors[176]. - The company emphasizes board diversity, with 1 female member and 8 members holding master's degrees and 3 holding doctoral degrees[176]. - The board has established 5 specialized committees to enhance governance, including a strategy and sustainable development committee and a risk management committee[175]. - The company has implemented a comprehensive risk management system to address various risks, including reputational risks[177]. - The company has established an independent human resources management system, ensuring that all personnel decisions are made independently from the controlling shareholder[187]. Business Expansion and Innovation - The company is actively participating in the development of new financial products and services, including cross-border business initiatives[24]. - The company is focused on technological advancements and innovation in financial services to improve customer experience and operational efficiency[24]. - The company is investing in research and development for new technologies, with an allocated budget of $50 million for the upcoming year[28]. - The company has completed a strategic acquisition of a fintech startup, enhancing its service offerings and customer base[27]. - The company is expanding its branch network, with plans for new branches in Hebei Xiong'an New Area and five securities business departments in cities like Shenzhen and Hangzhou[128]. Customer Engagement and Market Share - The company reported a significant increase in user engagement, with a year-over-year growth of 25% in active users[26]. - The company’s app had a monthly active user growth of 7.33% year-on-year, ranking 5th among the top ten brokerages[61]. - The company’s digital operation capabilities in wealth management improved, serving approximately 6 million clients through the WeChat ecosystem in 2022[61]. - The company aims to improve customer retention rates by 15% through enhanced digital engagement strategies[199]. Financial Health and Capital Management - The registered capital of China Merchants Securities Co., Ltd. remains at RMB 8,696,526,806.00 as of the end of the reporting period[22]. - The net capital decreased to RMB 70,444,812,948.68 from RMB 72,735,158,477.64 at the end of the previous year, representing a decline of approximately 3.15%[22]. - The company plans to maintain a strong capital position while exploring new market opportunities and expanding its service offerings[24]. - The company has established a liquidity management system to ensure sufficient funds for business operations and maintain a buffer for cash flow under stress conditions[125]. Future Outlook - Future outlook indicates a projected revenue growth of 15% for the next fiscal year, driven by new product launches and market expansion strategies[27]. - The company has set a performance guidance of achieving a net profit margin of 12% for the upcoming quarter[27]. - The company is considering strategic acquisitions to bolster its technology portfolio, with a budget of 100 million allocated for potential deals[196]. - The company plans to implement new operational efficiencies, targeting a cost reduction of 5% across its business units[199].

证券代码：600999 证券简称： 招商证券 编号： 2023－014 一、 说明会类型 招商证券股份有限公司 关于召开2022年度业绩暨现金分红说明会的公告 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个别及连带责任。 重要内容提示： （网址：http://roadshow.sseinfo.com/） 招商证券股份有限公司（以下简称公司）已于 2023 年 03 月 25 日发布公司 2022 年年度报告，为便于广大投资者更全面深入地了解公司 2022 年度经营成果、 财务状况、利润分配方案，公司计划于 2023 年 04 月 07 日上午 11:00-12:00 举 行 2022 年度业绩暨现金分红说明会，就投资者关心的问题进行交流。 本次投资者说明会以网络互动形式召开，公司将针对 2022 年度的经营业绩 和利润分配方案的具体情况与投资者进行互动交流和沟通，在信息披露允许的范 围内就投资者普遍关注的问题进行回答。 1 会议召开时间：2023 年 04 月 07 日(星期五) 上午 11:00-12:00 会议召开地点：上海证券交 ...