Financial Performance - Revenue for the reporting period was RMB 12,239,516,642.10, a decrease of 4.52% compared to the same period last year[14] - Net profit attributable to shareholders of the listed company was RMB 3,747,733,668.18, an increase of 11.48% year-on-year[14] - Net cash flow from operating activities reached RMB 48,244,730,960.61, a significant increase of 89.07% compared to the previous year[14] - Total assets amounted to RMB 638,776,832,740.51, showing a 4.19% increase from the end of the previous year[14] - Basic earnings per share were RMB 0.15, representing a 15.38% increase compared to the same period last year[14] - The company's parent company revenue was RMB 1,040,638,584.94, a sharp decrease of 66.75% year-on-year[15] - Parent company net profit was RMB 885,309,696.61, a 70.77% decrease compared to the same period last year[15] - Consolidated revenue for the first half of 2023 was RMB 12.24 billion, a decrease of 4.52% year-on-year[39] - Net profit attributable to shareholders of the parent company was RMB 3.748 billion, an increase of 11.48% year-on-year[39] - Basic earnings per share were RMB 0.15, an increase of 15.38% year-on-year[39] - Weighted average return on equity (ROE) was 3.85%, an increase of 0.38 percentage points year-on-year[39] - Total operating income for the company was RMB 12,239,516,642.10, a decrease of 4.52% compared to the same period last year[106] - Enterprise finance segment achieved an operating income of RMB 2,214,111,671.61, with a year-on-year increase of 76.16%[106] - Personal finance segment reported an operating income of RMB 4,075,409,730.72, a decrease of 7.58% compared to the previous year[106] - Institutional services and trading segment generated an operating income of RMB 5,343,176,985.37, down 16.08% year-on-year[106] - Investment management segment saw an operating income of RMB 606,818,254.40, a decrease of 22.72% compared to the same period last year[106] - Total operating profit for the company was RMB 5,013,992,093.73, an increase of 21.19% year-on-year[108] Risk Management - The report includes detailed descriptions of potential market risks, credit risks, liquidity risks, operational risks, policy risks, legal compliance risks, innovative business risks, reputation risks, and exchange rate risks[2] - The company has implemented a unified internal rating system and strengthened credit risk management for business entities[131] - Liquidity risk management includes dynamic monitoring of liquidity indicators and regular stress testing[132] - Operational risks are addressed through system improvements, staff training, and enhanced risk assessment mechanisms[133] - Policy risks are mitigated by closely monitoring regulatory changes and adjusting risk control policies accordingly[134] - The company conducts regular liquidity risk emergency drills to enhance crisis response capabilities[132] - Market risk management includes optimizing quantitative risk indicators and conducting stress tests[130] - The company focuses on improving the credit quality of bond investments and monitoring liquidity conditions[131] - The company has strengthened its compliance culture and legal training to mitigate legal and compliance risks, including anti-money laundering measures and regulatory inspections[135] - The company has established specialized committees to review and manage innovation business risks, ensuring risk control and steady development of new products and services[136] - The company has integrated reputation risk management into its comprehensive risk management system, with mechanisms for risk identification, assessment, and emergency response[137] - The company manages foreign exchange risk through hedging strategies, with a low net foreign currency exposure relative to total business exposure[138] Corporate Governance - The report mentions the company's compliance with the "Corporate Governance Code" and "Standard Code" as per the Hong Kong Listing Rules[6] - The company's financial statements are signed by the company's legal representative, executive director, general manager, CFO, and head of the planning and finance department[2] - The company has a well-defined corporate governance structure, adhering to legal and regulatory requirements, and has established various internal control systems[140] - The 2022 annual general meeting saw a 63.14% participation rate, with all proposed resolutions, including the 2022 financial report and profit distribution plan, being approved[141] - The company's board of directors consists of 11 members, including executive, non-executive, and independent non-executive directors, ensuring diversified governance[142] - The executive committee members as of the reporting date include Liu Jian (Chairman), Huang Hao (Vice Chairman),任全胜, and刘越[143] - Liu Jian, the Chairman of Shenwan Hongyuan Group, holds a Ph.D. in Monetary Banking from the People's Bank of China Graduate School and is a certified public accountant[144] - Chen Hanwen, an independent non-executive director, has extensive academic experience, including roles at Xiamen University and the University of International Business and Economics[145] - Zhao Lei, an independent non-executive director, has a strong background in law and finance, with roles at Southwest University of Political Science and Law and the Chinese Academy of Social Sciences[146] - Fang Rongyi, the Chairman of the Supervisory Board, has held key financial and regulatory positions, including at the People's Bank of China and Shenwan Hongyuan Securities[147] Business Strategy and Operations - The company's semi-annual report for 2023 covers the period from January 1, 2023, to June 30, 2023[9] - The report has not been audited, but it has been reviewed by PricewaterhouseCoopers Zhong Tian LLP and PricewaterhouseCoopers in accordance with Chinese and international review standards[2] - The company plans not to distribute cash dividends, issue bonus shares, or convert capital reserves into share capital for the first half of 2023[2] - The company's subsidiaries include Shenwan Hongyuan Securities, Hongyuan Wealth, Hongyuan Wisdom, Hongyuan Futures, and Shenwan Hongyuan International, among others[5][6] - The report highlights the company's focus on fixed income, currency, and commodities (FICC) as part of its business strategy[6] - The company's A-shares are listed on the Shenzhen Stock Exchange, and its H-shares are listed on the Hong Kong Stock Exchange[5] - The report emphasizes the company's commitment to environmental and social responsibility, as outlined in the "Environment and Social Responsibility" section[3] - The company maintains a leading position in the securities industry, leveraging its dual-structure advantage of "investment holding group + securities subsidiary"[23] - The company's business model remains unchanged, focusing on four main areas: corporate finance, personal finance, institutional services & trading, and investment management[26] - The company has a comprehensive business layout, covering securities, investment, funds, and futures, providing diversified financial products and services[40] - The company has a strong regional advantage, with strategic layouts in Shanghai, Xinjiang, and other key regions, aligning with national development strategies[35] - The company has established a robust risk management system, ensuring compliance and effective control of operational risks[36] - The company has a well-developed talent mechanism, focusing on market-oriented human resource development and employee growth[37] - The company is increasing its investment in information technology, focusing on digital transformation and financial technology applications[21] - The company plans to leverage the comprehensive registration system reform to enhance its capital market services and support the real economy in 2023[139] Awards and Recognitions - Shenwan Hongyuan Group won the "Best IR Hong Kong Company (A+H Shares)" award at the 6th New Fortune Best IR Awards[27] - Shenwan Hongyuan Securities received the "Excellent ETF Sales" and "Outstanding REITs Liquidity Provider" awards from the Shenzhen Stock Exchange in 2022[27] - The company was awarded the "Outstanding Market Maker (Soybean No. 2 Options)" and "Advanced Market Maker (Corn Futures)" by the Dalian Commodity Exchange in 2022[28] - Shenwan Hongyuan Securities won the "Best Asset Management Quantitative Team" award at the 2023 China Financial Institutions Annual Summit[28] - Shenwan Investment was recognized as the "Best Fund of Funds" at the PEAS 2022 Annual Equity Investment Awards[29] - Shenwan Futures received the "Outstanding Member Platinum Award" and "Risk Management Service Award (Stock Index Futures)" from the China Financial Futures Exchange[29] - The company was awarded the "Excellent Member Gold Award" and "Outstanding Institutional Service Award" by the Dalian Commodity Exchange[29] - Shenwan Hongyuan Securities was honored with the "Best Investment Advisor Team Award" and "Best Public Fund Allocation Award" by New Fortune in 2023[28] - The company received the "Outstanding Options Market Maker Award" from the Zhengzhou Commodity Exchange[29] - Shenwan Hongyuan Securities was awarded the "Corporate Governance Special Contribution Award" at the 18th China Listed Companies Board of Directors Golden Roundtable Awards[27] - The company has received multiple awards, including the "Best A-share IPO Underwriter" and "Best A-share Equity Underwriter" from WIND[30] - The company has been recognized for its ESG practices, ranking 5th in the "Best ESG Investment Bank" category by New Wealth[31] Capital and Liquidity Management - Core net capital increased by 7.44% to RMB 59.27 billion compared to the end of the previous year[18] - Net capital rose by 5.58% to RMB 85.59 billion, while total assets increased by 6.95% to RMB 556.43 billion[18] - Risk coverage ratio improved by 7.88 percentage points to 265.18%[18] - Liquidity coverage ratio decreased by 42.86 percentage points to 169.26%[18] - The company's net capital to net assets ratio increased slightly by 0.36 percentage points to 75.81%[18] - The company's liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) both meet regulatory standards[132] - The company's monetary funds amounted to RMB 118,136,348,346.12, accounting for 18.49% of total assets[109] - Trading financial assets decreased by 4.95 percentage points to 40.56% of total assets, amounting to RMB 259,118,634,727.58[109] - Other equity instrument investments increased significantly by 6.71 percentage points to 7.04% of total assets, totaling RMB 44,973,098,793.68[109] - Short-term borrowings decreased to 1,780,974,064.70 RMB, a 0.28% change from the previous period[110] - Short-term financing liabilities decreased to 17,927,067,920.54 RMB, a 2.81% change from the previous period[110] - Trading financial liabilities increased to 12,773,892,493.42 RMB, a 2.00% change from the previous period[110] - Derivative financial liabilities increased to 5,153,144,125.70 RMB, a 0.81% change from the previous period[110] - Repurchase financial assets increased to 159,477,887,776.78 RMB, a 24.97% change from the previous period[110] - Client margin deposits increased to 102,429,488,175.33 RMB, a 16.04% change from the previous period[110] - Payables increased to 43,210,796,446.48 RMB, a 6.76% change from the previous period[110] - Bonds payable decreased to 149,604,800,950.93 RMB, a 23.42% change from the previous period[110] - Long-term and short-term debt structure analysis shows total liabilities of 170,351,525,294.06 RMB, with 63.79% being long-term and 36.21% being short-term[116] - Long-term equity investment decreased to 3,821,296,112.54 RMB, a 6.99% decrease from the previous period[118] Investment and Asset Management - The company's asset management plan "Baoying Huiyuanbao No. 10 Collective" has a fair value of RMB 14,309,998,162.74 and a book value of RMB 14,661,361,088.39 at the end of the period[120] - The company's stock investments have a fair value of RMB 220,637,497.86 and a book value of RMB 3,064,234,346.22 at the end of the period[120] - The company's bond investments include "21 Bank of Communications Small and Micro Bond" with a book value of RMB 2,347,332,533.77 and "21 Agricultural Bank of China Small and Micro Bond" with a book value of RMB 1,919,279,177.71[120] - The company's total securities investments at the end of the period amount to RMB 1,548,864,128,992.89[120] - The company issued corporate bonds totaling RMB 2,955,000,000 in 2018, 2021, 2022, and 2023, with RMB 500,000,000 of the 2023 issuance still unused and allocated for debt repayment[123] - The company has no major equity investments or non-equity investments during the reporting period[119] - The company has no major asset or equity sales during the reporting period[124] - The company strictly uses raised funds according to the purposes specified in the prospectus, with unused funds stored in dedicated accounts[123] - The company's asset management scale reached RMB 242.15 billion as of June 30, 2023, with active management scale accounting for 85.53% (RMB 2071.08 billion)[93] - The company's investment management business generated revenue of RMB 607 million in the reporting period[91] - The company's public fund management business oversees approximately 10,980 public fund products with a total net value exceeding RMB 27.69 trillion[97] - The company's large-scale collective public transformation product scale reached RMB 18.859 billion, an increase of 8.48% compared to the end of 2022[93] - The company obtained market-making qualifications for multiple derivatives, including 50ETF options, copper options, and iron ore options, between February and June 2023[90] - The company's ABS underwriting ranked 12th in the market during the reporting period[93] - The company's asset management business saw a decrease in collective asset management scale to RMB 772.62 billion from RMB 1051.73 billion at the end of 2022[94] - The company's single asset management scale decreased to RMB 1212.03 billion from RMB 1445.97 billion at the end of 2022[94] - The company's special asset management scale increased to RMB 436.85 billion from RMB 382.50 billion at the end of 2022[94] - The company launched the "Jinmao Shenwan-Shanghai Jinmao Building-Xinyue Green Asset-Backed Special Plan (Carbon Neutral)", the largest shelf carbon-neutral CMBS in China[95] - The company's public fund investment advisory business has launched 5 categories and 10 portfolio strategies, with an average entrusted assets per client reaching RMB 57,700 and a cumulative reinvestment rate exceeding 75%[98] - The company's public fund investment advisory business has a profit client ratio of nearly 90% for some medium and low-risk portfolios[98] - The company's public fund investment advisory business has allocated over RMB 14 billion in stocks and bonds of small and medium-sized enterprises[98] - The company's total asset management scale exceeded RMB 1.43 trillion as of June 30, 2023[98] - The company's non-monetary public fund asset management scale remains at the forefront of the industry[98] - The company's private fund management business added RMB 1.1 billion in fund management scale and supported small and medium-sized enterprises with RMB 2.818 billion[101] - The company completed 1 IPO project on the STAR Market[101] - The company will focus on the public fund investment advisory business in the second half of 2023, aiming to enhance customer experience and explore business cooperation models with banks and third-party platforms[99] - The company will continue to promote the establishment of specialized and innovative funds and regional funds in the second half of 2023[102] - The company will strengthen investment capacity building and the synergy of "research + investment + investment banking" in the second half of 2023[102] - Buyback and resale financial assets decreased by 49.07% to RMB 8.88 billion, mainly due to a reduction in bond and stock repurchase business[103] - Other equity instrument investments increased by 2,115.72% to RMB 44.97 billion, driven by an increase in non-trading equity investments[103] - Investment income surged by 1,319.44% to RMB 4.08 billion, primarily due to increased gains from the disposal of trading financial assets[103] - Fair value change losses decreased by 49.59% to RMB 2.25 billion, mainly due to reduced gains from derivative financial instruments[103] - Net cash flow from operating activities increased by 89.07% to RMB 48.24 billion, driven by increased cash inflows from the sale of financial instruments held for trading[103] - Net fee and commission income decreased by 12.09% to RMB 3.81 billion, with brokerage business income dropping by 15.40% due to market fluctuations[104] - Investment banking fee income increased by 2.79% to RMB 836.15 million, reflecting improved financial services capabilities[104] - Total investment income and fair value change income reached RMB 6.33 billion, accounting for 51.71% of total revenue, an increase of 33.16% year-on-year[105] - Interest expense decreased by 2.16% to RMB 4.89 billion, mainly due to reduced interest expenses on corporate bonds[105] - Other income, including other gains, exchange losses, and asset disposal income, decreased by 41.79% to RMB 2.19 billion, primarily due to a decline in bulk commodity sales[105] Legal and Compliance - The company's 2023 semi-annual financial report was unaudited[162] - The company renewed its audit contracts with PricewaterhouseCo

Financial Performance - The company reported unaudited interim results for the six months ending June 30, 2023[1]. - Total revenue and other income for the first half of 2023 was RMB 17,450,595, a decrease of 5.86% compared to RMB 18,536,642 in the same period of 2022[18]. - Profit before tax for the period was RMB 4,974,027, representing an increase of 21.65% from RMB 4,088,916 in the previous year[18]. - Net profit attributable to shareholders for the period was RMB 3,747,734, up 11.48% from RMB 3,361,796 in the same period last year[18]. - Basic earnings per share for the period was RMB 0.15, an increase of 15.38% from RMB 0.13 in the same period of 2022[18]. - The weighted average return on net assets increased to 3.85%, up 0.38 percentage points from 3.47% in the previous year[18]. - In the first half of 2023, the company achieved total revenue and other income of RMB 17,451 million, a year-on-year decrease of 5.86%[63]. - Profit before tax reached RMB 4,974 million, representing a year-on-year increase of 21.65%[63]. - Net profit attributable to shareholders was RMB 3,748 million, up 11.48% year-on-year, with basic earnings per share of RMB 0.15, an increase of 15.38%[63]. Financial Position - Total assets increased to 638,776,833, up 4.19% from 613,117,025[19]. - Total liabilities rose to 515,948,585, reflecting a 3.93% increase from 496,437,332[19]. - Equity attributable to shareholders reached 98,942,236, marking a 4.10% increase from 95,044,944[19]. - As of June 30, 2023, the company's total assets amounted to RMB 638,777 million, a growth of 4.19% from the beginning of the year[63]. - The total current liabilities were RMB 402,223,673 million, accounting for 77.95% of total liabilities as of June 30, 2023, compared to 77.49% on December 31, 2022[175]. - The total liabilities of the group were RMB 515,949 million, showing an increase of RMB 19,511 million or 3.93% compared to the previous year[177]. - The total equity attributable to shareholders of the company was RMB 98,942 million, representing an increase of RMB 3,897 million or 4.10% from the previous year[177]. Cash Flow - Cash inflow from operating activities for the first half of 2023 was RMB 52,339 million, an increase of RMB 38,455 million from RMB 13,884 million in the same period of 2022[172]. - For the first half of 2023, the net cash outflow was RMB 1,596 million, compared to a net cash inflow of RMB 12,104 million in the same period of 2022, resulting in an increase in cash outflow of RMB 13,700 million[172]. - Cash outflow from investing activities for the first half of 2023 was RMB 47,316 million, an increase of RMB 41,159 million from RMB 6,157 million in the same period of 2022[172]. - Cash outflow from financing activities for the first half of 2023 was RMB 6,619 million, a decrease from a net cash inflow of RMB 4,377 million in the same period of 2022, resulting in an increase in cash outflow of RMB 10,996 million[172]. Risk Management - The company has detailed potential market risks, including credit, liquidity, operational, policy, legal compliance, innovation, reputation, and exchange rate risks[3]. - The company emphasizes the importance of reading the management discussion and analysis section for understanding risk factors[3]. - The company emphasizes a comprehensive risk management system to effectively control operational risks and ensure healthy business development[62]. - The company plans to optimize the "Securities Lending Pass" system and improve risk identification and dynamic management for securities lending[110]. - The company is committed to enhancing its professional customer service capabilities and financial innovation in the margin financing and securities lending business[110]. Business Segments - The company operates primarily in capital markets with a focus on securities business, providing diversified financial products and services through a dual-structure model of "investment holding group + securities subsidiary"[32]. - The corporate finance segment includes investment banking services such as equity underwriting, bond underwriting, and financial advisory, alongside principal investment in non-listed companies[33]. - The personal finance segment caters to individual and non-professional institutional investors, offering services like securities brokerage, futures brokerage, margin financing, and investment advisory through both online and offline channels[34]. - Institutional services include providing prime brokerage and research consulting for professional institutional clients, as well as engaging in FICC and equity trading[35]. - The investment management business encompasses asset management, public fund management, and private fund management services, with no significant changes in the business model during the reporting period[36]. Awards and Recognition - The company received multiple awards, including the "Best IR Hong Kong Stock Company (A+H Shares)" from New Fortune and "Outstanding IR Company" from Panorama Network[37]. - The company was recognized for its contributions in various categories, including "Best Investment Advisory Team" and "Best Public Fund Allocation Award" by New Fortune[41]. - Shenyuan Hongyuan Securities received the Excellent Option Market Maker Award from Zhengzhou Commodity Exchange[43]. - Shenyuan Hongyuan Securities was awarded the 2023 China Securities Industry Agency Broker King Award[43]. - Shenyuan Hongyuan Securities won the third prize in the "Business Innovation Application" category at the first Xinjiang Financial Technology Innovation Competition[43]. Strategic Focus - The company is focusing on digital transformation and increasing investment in financial technology to enhance operational efficiency[28]. - The company aims to optimize asset allocation and enhance business collaboration to create a comprehensive financial service ecosystem[30]. - The company is actively expanding its investment layout around the capital market and securities business, promoting efficient collaboration between securities and investment operations[57]. - The company aims to enhance its comprehensive financial services by leveraging its capital market experience and focusing on internationalization and integration strategies in the second half of 2023[89]. - The company is committed to integrating financial services with rural revitalization by issuing "rural revitalization public welfare donation-type" income certificates and implementing risk protection tools for pig farmers[143]. Market Trends - The capital market is undergoing systematic reforms, promoting stable and high-quality industry development[24]. - The regulatory environment remains strict, with a "zero tolerance" approach to market misconduct being emphasized[29]. - The bond yield for ten-year government bonds decreased from 2.93% to around 2.60% in the first half of 2023, reflecting a downward trend in overall bond rates[128]. - The Shanghai Composite Index and CSI 300 Index experienced declines of 5.43% and 0.75%, respectively, reflecting a shift in market sentiment[137]. Future Plans - The company plans to enhance its wealth management model by focusing on asset allocation and value enhancement, leveraging financial technology to improve service efficiency in the second half of 2023[100]. - The company aims to strengthen its investment business's profitability and stability by focusing on strategic emerging industries and enhancing research capabilities in the second half of 2023[92]. - The company plans to deepen its "quality-based allocation" reform in the second half of 2023, optimizing its compliance and risk management mechanisms[139]. - The company aims to expand its cross-border business scale and profitability while enhancing its product innovation structure to meet diverse customer needs[147].

证券代码：000166 证券简称：申万宏源 公告编号：临2023-55 申万宏源集团股份有限公司 关于申万宏源证券有限公司总经理变动的公告 本公司及董事会全体成员保证信息披露的内容真实、准确和完整， 没有虚假记载、误导性陈述或重大遗漏。 公司对杨玉成先生在任职期间为公司及申万宏源证券的发展所 做的积极贡献表示衷心的感谢！ 特此公告。 申万宏源集团股份有限公司董事会 二○二三年八月二十九日 2023 年 8 月 29 日，申万宏源集团股份有限公司（以下简称"公 司"）所属全资子公司申万宏源证券有限公司（以下简称"申万宏源 证券"）召开第二届董事会第二十三次会议，审议通过《关于申万宏 源证券有限公司总经理、执行委员会副主任免职的议案》，同意杨玉 成先生不再担任申万宏源证券总经理、执行委员会副主任、成员的职 务；由申万宏源证券董事长、执行委员会主任刘健先生代行申万宏源 证券总经理职责，代职时间不超过 6 个月。 同日，杨玉成先生向申万宏源证券董事会递交了辞职报告，因工 作安排原因，申请辞去申万宏源证券董事职务。其辞任自辞职报告送 达申万宏源证券董事会时生效。 ...

2.召开方式：网络远程 3.公司出席人员：公司执行董事、总经理黄昊先生，财务总监任 全胜女士，董事会秘书徐亮先生，独立董事代表等。 二、投资者参与方式 1.投资者可通过以下网址或扫描二维码参与业绩说明会： 证券代码：000166 证券简称：申万宏源 公告编号：临2023-54 申 万 宏 源 集 团 股 份 有 限 公 司 关于召开 2023 年半年度业绩说明会的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 申万宏源集团股份有限公司（以下简称"公司"）2023年半年度 报告将于2023年8月31日披露。为便于广大投资者更深入全面了解公 司2023年半年度业绩和经营情况，公司定于2023年9月4日（星期一） 下午15:00-17:00举办2023年半年度业绩说明会。具体情况如下： 一、业绩说明会安排 1.召开时间：2023年9月4日（星期一）下午15:00-17:00 2.本公司将于业绩说明会召开前及召开期间为投资者提供提问 渠道。投资者可于2023年9月4日下午17:00前通过上述渠道提问。 https://eseb.cn/17x1C4pAB20 三、 ...

联合〔2023〕8490 号 联合资信评估股份有限公司通过对申万宏源集团股份有限公 司及其拟发行的 2023 年面向专业投资者公开发行公司债券（第二 期）的信用状况进行综合分析和评估，确定申万宏源集团股份有限 公司主体长期信用等级为 AAA，申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）的信用等级为 AAA， 评级展望为稳定。 特此公告 联合资信评估股份有限公司 评级总监： $$\exists0\exists\exists\exists\exists\exists\exists\exists\exists$$ 公司债券信用评级报告 www.lhratings.com 0 公司债券信用评级报告 申万宏源集团股份有限公司 2023 年面向专业投资者 公开发行公司债券（第二期）信用评级报告 评级结果： | 主体长期信用等级：AAA | | --- | | 本期债券信用等级：AAA | | 评级展望：稳定 | | 债项概况： | 本期债券发行规模：不超过 24.00 亿元（含） 本期债券期限：本期债券分为两个品种，品种 一为 1 年期固定利率债券，品种二为 3 年期固 定利率债券 偿还 ...

申万宏源集团股份有限公司 申万宏源集团股份有限公司 年 月 日 2023 8 29 告》之盖章页） （本页无正文，为《申万宏源集团股份有限公司关于公开发行公司债券更名的公 告》之盖章页） 申万宏源证券有限公司 年 月 日 8 29 （本页无正文，为《申万宏源集团股份有限公司关于公开发行公司债券更名的公 告》之盖章页） 关于公开发行公司债券更名的公告 申万宏源集团股份有限公司（以下简称"本公司"）于 2022 年 8 月 15 日获得中 国证券监督管理委员会《关于同意申万宏源集团股份有限公司向专业投资者公开发 行公司债券注册的批复》（证监许可[2022] 1790 号），公司获准向专业投资者公开 发行面值总额不超过 124 亿元的公司债券。 本次债券申报时命名为 "申万宏源集团股份有限公司 2022 年面向专业投资者 公开发行公司债券"，因分期发行，按照命名规则，本期债券名称确定为"申万宏 源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）"，品种 一债券简称确定为"23 申宏 03"、 品种二债券简称确定为"23 申宏 04"。 本次债券分期发行及名称变更不改变原签订的与本次债券发行相关 ...

申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）募集说明书摘要 股票简称：申万宏源 股票代码：000166 （住所：新疆乌鲁木齐市高新区北京南路 358 号大成国际大厦 20 楼 2001 室） 申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券 （第二期） 募集说明书摘要 本期债券发行金额：不超过 24 亿元（含 24 亿元） 增信措施情况：无增信措施 信用评级结果：主体 AAA/债项 AAA 信用评级机构：联合资信评估股份有限公司 牵头主承销商：申万宏源证券有限公司 （上海市徐汇区长乐路 989 号 45 层） 联席主承销商、受托管理人：财信证券股份有限公司 （湖南省长沙市岳麓区茶子山东路 112 号滨江金融中心 T2 栋(B 座)26 层） 签署日期： 年 月 日 2023 8 29 1 申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）募集说明书摘要 声明 募集说明书摘要的目的仅为向专业机构投资者提供有关本次发行的简要情 况，并不包括募集说明书全文的各部分内容。募集说明书全文同时刊载于发行 人及主承销商网站。投资者在做出认购决 ...

申万宏源集团股份有限公司 （住所：新疆乌鲁木齐市高新区北京南路 358 号大成国际大厦 20 楼 2001 室） 2023 年面向专业投资者公开发行公司债券 （第二期） 发行公告 牵头主承销商、簿记管理人 （住所：上海市徐汇区长乐路 989 号 45 层） 联席主承销商、债券受托管理人： （湖南省长沙市岳麓区茶子山东路112 号滨江金融中心T2 栋(B 座)26 层） 签署日期：2023 年8 月29 日 发行人本次债券采取分期发行的方式。申万宏源集团股份有限公司 2023 年 面向专业投资者公开发行公司债券（第二期）（以下简称"本期债券"）为本次债 券的第三期发行。 2、本期债券总规模不超过 24 亿元（含 24 亿元）。每张面值为 100 元，发行 价格为人民币 100 元/张。 3、根据《证券法》等相关规定，本期债券仅面向专业投资者中的机构投资 者发行，专业投资者中的个人投资者和普通投资者不得参与发行认购。本期债券 上市后将被实施投资者适当性管理，仅专业投资者中的机构投资者参与交易，专 业投资者中的个人投资者和普通投资者认购或买入的交易行为无效。 4、经联合资信评估股份有限公司综合评定，发行人的长期主体 ...

申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）募集说明书 股票简称：申万宏源 股票代码：000166 （住所：新疆乌鲁木齐市高新区北京南路 358 号大成国际大厦 20 楼 2001 室） 申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券 （第二期） 募集说明书 本期债券发行金额：不超过 24 亿元（含 24 亿元） 增信措施情况：无增信措施 信用评级结果：主体 AAA/债项 AAA 信用评级机构：联合资信评估股份有限公司 牵头主承销商：申万宏源证券有限公司 （上海市徐汇区长乐路 989 号 45 层） 联席主承销商、受托管理人：财信证券股份有限公司 （湖南省长沙市岳麓区茶子山东路 112 号滨江金融中心 T2 栋(B 座)26 层） 签署日期： 2023 年 8 月 24 2023 8 29 日 1 申万宏源集团股份有限公司 2023 年面向专业投资者公开发行公司债券（第二期）募集说明书 声明 发行人将及时、公平地履行信息披露义务，发行人及其全体董事、监事、 高级管理人员或履行同等职责的人员保证募集说明书信息披露的真实、准确、 完整，不存在虚假记载、误导性 ...

经深圳证券交易所审核，本期债券定于 2023 年 8 月 25 日起在深 圳证券交易所上市，面向专业投资者中的机构投资者交易，品种一债 券简称"23 申证 03"，债券代码为"148429"，品种二债券简称"23 申证 04"，债券代码为"148430"。 本公司及董事会全体成员保证信息披露的内容真实、准确、完整， 没有虚假记载、误导性陈述或重大遗漏。 申万宏源证券有限公司 2023 年面向专业投资者公开发行公司债 券（第二期）（以下简称"本期债券"）的发行工作于 2023 年 8 月 17 日结束。本期债券发行规模人民币 40 亿元，分两个品种，其中品种 一发行规模人民币 22 亿元，期限 2 年，票面利率 2.50%；品种二发 行规模人民币 18 亿元，期限 3 年，票面利率 2.67%。（相关情况请详 见公司于 2023 年 8 月 19 日在《中国证券报》《证券时报》《上海证券 报》和巨潮资讯网 www.cninfo.com.cn 上刊登的公告） 证券代码：000166 证券简称：申万宏源 公告编号：临2023-53 特此公告。 申 万 宏 源 集 团 股 份 有 限 公 司 关于申万宏源证券有限公司 ...