光大证券股份有限公司： | 索 | 引 | 号 | bm56000001/2024-00012965 分 | | 类 | | --- | --- | --- | --- | --- | --- | | | 发布机构 | | 发文日期 | | | | 名 | | 称 | 关于对光大证券股份有限公司采取出具警示函措施的决定 | | | | 文 | | 号 | 主 | 题 | 词 | 2024年5月31日 关于对光大证券股份有限公司采取出具警示函措施的决定 经查，我会发现你公司存在部分项目质控对项目风险、尽调底稿把关不 严，内核意见跟踪落实不到位，部分项目发行保荐工作报告未完整披露内控关 注问题，上述情况违反了《证券公司投资银行类业务内部控制指引》第五十七 条、第六十一条的规定。依据《证券公司和证券投资基金管理公司合规管理办 法》第三十二条，我会决定对你公司采取出具警示函的行政监督管理措施。你 公司应加强对投资银行业务的内控管理，对相关责任人员进行内部问责。 如果对本监督管理措施不服，可以在收到本决定书之日起60日内向我会提 出行政复议申请，也可以在收到本决定书之日起6个月内向有管辖权的人民法 院提起诉讼。复议与诉 ...

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的內容概不負責，對其準確性 或完整性亦不發表任何聲明，並明確表示，概不對因本公告全部或任何部份內容而產生或因倚 賴該等內容而引致的任何損失承擔任何責任。 光大證券股份有限公司（「本公司」）董事會（「董事會」）謹此宣佈，本公司將於 2024年10月30日（星期三）舉行董事會會議，以考慮及批准本公司及其附屬公司截 至2024年9月30日止未經審計的第三季度業績及╱或其他議題（如適用）。 承董事會命 光大證券股份有限公司 董事長 趙陵 光大證券股份有限公司 Everbright Securities Company Limited （於中華人民共和國註冊成立的股份有限公司） （股份代號：6178） 董事會會議召開日期 中國上海 2024年10月16日 於本公告日期，本公司董事會成員包括趙陵先生（董事長、執行董事）、劉秋明先 生（執行董事、總裁）、馬韌韜女士（非執行董事）、連涯鄰先生（非執行董事）、王 雲女士（非執行董事）、尹岩武先生（非執行董事）、謝松先生（非執行董事）、秦小 徵先生（非執行董事）、任永平先生（獨立非執行董事）、殷俊明先生（獨立非執行 董事）、 ...

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: 2024年9月30日 狀態: 新提交 致：香港交易及結算所有限公司 公司名稱: 光大證券股份有限公司 呈交日期: 2024年9月30日 I. 法定/註冊股本變動 | 1. 股份分類 | 普通股 | 股份類別 | A | | 於香港聯交所上市 (註1) | | 否 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 (如上市) | 601788 | 說明 | | A股(上海證券交易所) | | | | | | | | 法定/註冊股份數目 | | | 面值 | | 法定/註冊股本 | | | 上月底結存 | | | 3,906,698,839 | RMB | | 1 RMB | | 3,906,698,839 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 3,906,698,839 | RMB | | 1 RMB | | 3,906,698,839 | | 2. 股份分類 | ...

光大證券股份有限公司 EVERBRIGHT SECURITIES CO., LTD. （於中華人民共和國註冊成立的股份有限公司） 股份代號：601788 (A股) 06178 (H股) 中期報告 2024 /光大證券股份有限公司/ 二零二四年中期報告 目錄 | --- | --- | --- | |-------|----------|------------------------| | | | | | | 第一節 | 釋義 | | | 第二節 | 公司簡介和主要財務指標 | | 10 | 第三節 | 管理層討論與分析 | | 37 | 第四節 | 公司治理 | | 43 | 第五節 | 環境與社會責任 | | 45 | 第六節 | 重要事項 | | 58 | 第七節 | 股份變動及股東情況 | | 64 | 第八節 | 優先股相關情況 | | 65 | 第九節 | 債券相關情況 | | 76 | 第十節 | 證券公司信息披露 | | | 第十一節 | 財務報告 | 3 6 85 二零二四年中期報告 重要提示 一、 本公司董事會、監事會及董事、監事、高級管理人員保證中期報告內容的真實性、準確性、完整性，不存 ...

Investment Rating - The investment rating for the company is "Outperform the Market" and is maintained [1] Core Views - The report highlights that the company is solidifying its light capital business while optimizing its heavy capital business, continuously enhancing its ability to provide financial services to the real economy. The reasonable value range is set at 17.96-19.46 CNY per share, maintaining the "Outperform the Market" rating [6][7] Summary by Relevant Sections Financial Performance - For the first half of 2024, the company achieved operating revenue of 4.18 billion CNY, a year-on-year decrease of 32.3% - The net profit attributable to the parent company was 1.39 billion CNY, down 41.9% year-on-year, with an EPS of 0.26 CNY and ROE of 2.1%, a decrease of 1.9 percentage points year-on-year [6][8] - In Q2 2024, operating revenue was 1.98 billion CNY, down 42.3% year-on-year and 10.2% quarter-on-quarter; net profit was 710 million CNY, down 50.6% year-on-year but up 3.8% quarter-on-quarter [6] Business Segments - The brokerage business generated revenue of 1.24 billion CNY, down 16.0% year-on-year, accounting for 30% of total operating revenue. The average daily trading volume in the market was 961.6 billion CNY, down 6.4% year-on-year [6][7] - Investment banking revenue was 430 million CNY, down 30.0% year-on-year, with equity underwriting down 80.0% and bond underwriting down 3.4% [6] - Asset management revenue was 380 million CNY, down 19.8% year-on-year, with total assets under management at 368 billion CNY, up 22.5% year-on-year [7] Future Projections - The company expects EPS for 2024, 2025, and 2026 to be 0.49 CNY, 0.61 CNY, and 0.64 CNY respectively, with corresponding net assets per share of 14.97 CNY, 15.50 CNY, and 16.20 CNY [8][11] - The report anticipates a price-to-book ratio of 1.2-1.3x for 2024, aligning with the previously mentioned reasonable value range [6][7]

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: 2024年8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: 光大證券股份有限公司 呈交日期: 2024年9月3日 I. 法定/註冊股本變動 | 1. 股份分類 | 普通股 | 股份類別 | A | | | 於香港聯交所上市 (註1) | | 否 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 (如上市) | 601788 | 說明 | | A股(上海證券交易所) | | | | | | | | | 法定/註冊股份數目 | | | 面值 | | | 法定/註冊股本 | | | 上月底結存 | | | 3,906,698,839 | RMB | | 1 | RMB | | 3,906,698,839 | | 增加 / 減少 (-) | | | 0 | | | | RMB | | 0 | | 本月底結存 | | | 3,906,698,839 | RMB | | 1 | RMB | | 3,906,698,8 ...

Dividend Distribution - The company plans to distribute a cash dividend of RMB 0.905 per share to all A-shares and H-shares shareholders, totaling RMB 417,276,281.33[5] - For the 2024 interim profit distribution plan, the company proposes a cash dividend of RMB 0.905 per 10 shares, amounting to a total of RMB 417,276,281.33, pending shareholder approval[121] Financial Performance - For the first half of 2024, the company reported total revenue and other income of RMB 6,357,645, a decrease of 25.25% compared to RMB 8,505,009 in the same period of 2023[20] - The pre-tax profit for the first half of 2024 was RMB 1,572,294, down 43.27% from RMB 2,771,702 in the first half of 2023[20] - The net profit attributable to shareholders for the first half of 2024 was RMB 1,390,527, representing a decrease of 41.87% from RMB 2,391,952 in the same period of 2023[20] - The company’s net cash generated from operating activities increased significantly by 110.46% to RMB 11,904,867 compared to RMB 5,656,703 in the first half of 2023[20] - The total revenue and other income for the first half of 2024 was 6.36 billion RMB, a decrease of 25% year-on-year[74] Assets and Liabilities - As of June 30, 2024, total assets amounted to RMB 237,082,164, reflecting a decrease of 8.68% from RMB 259,604,027 at the end of 2023[21] - Total liabilities decreased by 11.69% to RMB 169,291,649 from RMB 191,708,638 at the end of 2023[21] - The company's equity attributable to shareholders was RMB 66,970,353, a slight decrease of 0.18% from RMB 67,088,609 at the end of 2023[21] - The company's asset-liability ratio improved to 61.83%, a decrease of 4.83 percentage points from 66.66% at the end of 2023[21] - As of June 30, 2024, the total number of shares issued by the company is 4,610,787,639, comprising 3,906,698,839 A-shares and 704,088,800 H-shares[170] Risk Management - The company emphasizes a robust risk management culture, aiming to align its risk management system with strategic development goals[90] - The company has established a comprehensive risk management framework, with responsibilities clearly defined across different departments and subsidiaries[93] - The company has implemented a comprehensive operational risk management framework, enhancing monitoring and reporting of operational risk indicators[99] - The liquidity risk management framework includes centralized management of short-term financing tools and a clear emergency response plan to prevent liquidity risks[100] - The company aims to strengthen information technology risk management by improving system security and operational management through advanced technologies like big data and AI[102] Compliance and Governance - The company strictly adheres to the corporate governance code and has complied with the majority of the best practice provisions during the reporting period[152] - The company reported no significant compliance risk events or major regulatory penalties in the first half of the year, indicating stable compliance management[105] - The compliance management system includes pre-emptive measures such as compliance reviews and ongoing monitoring of employee conduct[104] - The company has established a leadership team for reputation risk and public opinion management to ensure unified coordination across all levels[103] Shareholder Information - The total number of ordinary shareholders as of the end of the reporting period is 169,951[172] - The top shareholder, China Everbright Group Co., Ltd., holds 1,159,456,183 shares, representing 25.15% of the total shares[172] - China Everbright Holdings Co., Ltd. is the second-largest shareholder with 956,017,000 shares, accounting for 20.73%[172] - The total number of A-share shareholders is 169,794, while H-share registered shareholders are 157[172] Legal Matters - The company is involved in an arbitration case related to a guarantee contract dispute, with the amount in question being approximately RMB 125 million[154] - The company is involved in a lawsuit regarding a securities repurchase dispute with an amount of approximately 235 million CNY[155] - The company has initiated arbitration regarding a share repurchase contract dispute, with a total amount of approximately 88.58 million USD[160] - The company has filed lawsuits related to margin financing disputes, with a total amount of approximately 435 million CNY across fourteen cases[162] Business Development - The company has strengthened its focus on serving the real economy, successfully assisting a national-level "little giant" enterprise in listing on the Shanghai Stock Exchange during the reporting period[30] - The company aims to enhance its technology-driven innovation and improve operational capabilities to meet customer financial needs[34] - The company aims to enhance wealth management product diversity and accumulate new assets in its overseas wealth management and brokerage business[45] - The company plans to strengthen risk control and compliance management while exploring business innovation in the second half of 2024[73] Market Environment - In the first half of 2024, China's GDP grew by 5.0% year-on-year, with total import and export volume reaching RMB 21.2 trillion, marking a historical high for the same period[25] - The overall market trading volume in the Shanghai and Shenzhen stock markets decreased by 10.20% year-on-year, with major indices showing declines[38] - The overall market environment showed a decline in major indices, with the Shanghai Composite Index down 0.25% and the Shenzhen Component Index down 7.10% in the first half of 2024[62]

光大证券股份有限公司 战略与可持续发展委员会议事规则 第一章 总则 第一条 为保证公司持续、规范、健康地发展，进一步完善公司治理结构； 为落实公司发展战略，确定公司发展规划，健全投资决策程序，加强董事会决策 科学性、提高重大投资的效率和决策的水平，根据《中华人民共和国公司法》、 《香港联合交易所有限公司证券上市规则》、《光大证券股份有限公司章程》（以 下简称"公司章程"）及其他相关规定，公司董事会特下设战略与可持续发展委 员会，并制定本工作规则。 第二条 战略与可持续发展委员会是董事会设立的专门工作机构，负责对 公司的长期发展战略和重大投资决策进行研究，并向董事会提出建议和方案。 第二章 人员组成 第三条 战略与可持续发展委员会成员至少由三名董事组成，其中至少应 包括一名独立董事。 第四条 战略与可持续发展委员会委员由董事会任命。 第五条 战略与可持续发展委员会由一名委员担任召集人，负责主持发展 与战略委员会的工作；该召集人在委员内选举，并报请董事会批准产生。 第六条 战略与可持续发展委员会成员的任期与董事一致，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 ...

Financial Performance - The company's operating revenue for the first half of the year was CNY 4,183,803,637.12, a decrease of 32.29% compared to the same period last year[21]. - Net profit attributable to shareholders was CNY 1,390,527,589.65, down 41.87% year-over-year[21]. - Basic earnings per share decreased by 45.83% to CNY 0.26 from CNY 0.48 in the same period last year[22]. - Total revenue for the reporting period was CNY 4,183,803,637.12, a decrease of 32.29% compared to CNY 6,179,414,000.46 in the same period last year[31]. - Net profit for the period was CNY 1,403,909,168.35, down 41.94% from CNY 2,417,953,267.46 year-on-year[31]. - The company's investment income fell by 77.23% to CNY 305,426,734.89 from CNY 1,341,093,970.43 in the previous year[31]. - The wealth management business cluster generated revenue of 2 billion yuan, accounting for 48% of total revenue[43]. - The asset management business cluster achieved revenue of 5.1 billion RMB in the first half of 2024, representing 12% of total revenue[66]. Assets and Liabilities - The total assets at the end of the reporting period were CNY 237,082,163,562.62, down 8.68% from the end of the previous year[21]. - The total liabilities decreased by 11.69% to CNY 169,291,648,928.45 compared to the previous year[21]. - Cash and cash equivalents decreased by 10.66% to CNY 55,642,137,695.29 from CNY 62,280,506,421.64 year-on-year[30]. - The company's total assets decreased by 10.57% to CNY 200.71 billion compared to the previous year[33]. - The total amount of financial investments in trading assets decreased to ¥64.39 billion from ¥75.34 billion, a decline of approximately 14.56%[197]. - The total amount of other liabilities decreased to ¥16.16 billion from ¥18.79 billion, indicating a reduction of approximately 13.93%[198]. Cash Flow - The net cash flow from operating activities was CNY 14,710,791,652.86, a significant increase of 1,268.06% compared to the previous year[21]. - The net cash inflow from operating activities was 14.7 billion RMB, with cash inflows of 25.2 billion RMB, accounting for 42% of total cash inflows[76]. - The net cash outflow from investing activities was 2.8 billion RMB, with cash inflows of 26.3 billion RMB, primarily from investment recoveries[76]. - The net cash outflow from financing activities was 19.5 billion RMB, with cash inflows of 8.5 billion RMB, mainly from bond issuance and loans[76]. Risk Management - The company emphasizes a robust risk management culture, aiming to build a comprehensive risk management system aligned with its strategic development goals[96]. - The risk management framework includes four levels: the board and its risk management committee, the supervisory board, management and its specialized committees, and various risk management departments[97]. - The company has established a multi-level risk limit system to manage market risks, including value-at-risk (VaR) and stress testing mechanisms[99]. - The company has implemented various measures to manage credit risk, including daily market monitoring and strict collateral standards[101]. - The company has established a liquidity risk management framework, ensuring overall liquidity risk is controllable through a comprehensive strategy and emergency response plans[103]. Corporate Governance - The company completed the election of the seventh board of directors on May 28, 2024, with significant changes in personnel, including the election of 15 new members, representing about 51.72% of the total[111]. - The company held its annual general meeting on May 28, 2024, to discuss various proposals, including the annual profit distribution plan and the appointment of external auditors[109]. - The company has elected new independent directors and external supervisors during the annual general meeting, ensuring compliance with regulatory requirements[110]. - The company reported a significant turnover in management, with 15 personnel changes during the reporting period[111]. Regulatory Compliance - The company has not reported any non-operating fund occupation by controlling shareholders or related parties[7]. - The company has confirmed that there are no violations of decision-making procedures regarding external guarantees[7]. - The company has revised 9 compliance management regulations in response to external regulatory changes, maintaining a stable compliance management situation without major incidents[107]. - The company has received regulatory measures but has not faced any administrative penalties during the reporting period[132]. Shareholder Information - The company plans to distribute a cash dividend of 0.905 CNY per 10 shares to all A-share and H-share shareholders, totaling approximately 417.28 million CNY[6]. - The total number of ordinary shareholders as of the reporting period end is 169,951, with 169,794 A-share shareholders and 157 H-share registered shareholders[161]. - The total shareholding of the top ten shareholders includes significant holdings from major financial institutions, such as China Construction Bank and Industrial and Commercial Bank of China, with respective shares of 43,969,133 and 22,718,524[163]. Legal Matters - The company is involved in ongoing litigation with amounts in dispute totaling approximately RMB 1.25 billion and RMB 2.35 billion from previous cases[147]. - The company has filed a lawsuit against Huaxia Happiness Holdings Co., Ltd. regarding a stock pledge repurchase dispute, with a claim amount of approximately CNY 341 million, and has received a first-instance judgment ordering repayment of approximately CNY 73.21 million plus penalties[148]. - The company has initiated arbitration against Wacai Holdings Limited and Caimi Technology Holdings Limited for a share repurchase contract dispute, with a total claim amount of approximately USD 88.58 million, which has been resolved through mutual agreement[151]. Future Outlook - The company plans to enhance customer service and optimize risk control mechanisms in the second half of 2024 to support high-quality development[47]. - The company aims to drive wealth management transformation and improve product richness in the overseas market[47]. - The company plans to strengthen compliance and project control in the second half of 2024, focusing on supporting high-tech industries and promoting financial bond issuance[54]. - Future outlook includes potential new product launches and technological advancements aimed at improving service offerings and operational efficiency[161].

证券代码：601788 股票简称：光大证券 公告编号：临 2024-037 H 股代码：6178 H 股简称：光大证券 光大证券股份有限公司 第七届监事会第二次会议决议公告 三、审议通过了《公司 2024 年上半年风险管理及评估报告的议 案》。 议案表决情况：同意 9 票，反对 0 票，弃权 0 票。 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。 光大证券股份有限公司（以下简称公司）第七届监事会第二次会 议通知于 2024 年 8 月 16 日以电子邮件方式发出。会议于 2024 年 8 月 28 日下午 14:00 以现场结合视频方式召开。本次会议应到监事 9 人，实到监事 9 人。其中，梁毅先生、李若山先生、林静敏女士、杜 佳女士、宋哲先生现场出席会议；周华建先生、叶胜利先生、林茂亮 先生、刘运宏先生以视频方式出席会议。梁毅先生主持本次会议，公 司部分高管列席会议。本次会议符合《中华人民共和国公司法》和《公 司章程》关于召开监事会的规定。本次监事会会议决议合法有效。 公司监事经认真审议，通过了以下决议： 一、审议通过了 ...