Financial Performance - Operating revenue for Q3 2024 was CNY 4,034,308,958.63, a decrease of 28.03% compared to the same period last year[3] - Net profit attributable to shareholders for Q3 2024 was CNY -1,612,549,669.65, representing a decline of 403.05% year-on-year[3] - Net profit attributable to shareholders after deducting non-recurring gains and losses for Q3 2024 was CNY -1,513,452,569.03, down 406.69% from the previous year[3] - Basic earnings per share for Q3 2024 was CNY -0.12, a decrease of 400.00% compared to the same period last year[3] - The net profit attributable to shareholders for the year-to-date period was CNY -659,452,300.81, down 115.12% year-on-year[3] - Total operating income for the first three quarters of 2024 was CNY 12,899,066,794.31, a decrease from CNY 22,573,794,437.97 in the same period of 2023, representing a decline of approximately 42.9%[19] - Net profit for the first three quarters of 2024 was a loss of CNY 211,670,066.72, compared to a profit of CNY 4,514,382,251.78 in 2023, indicating a significant downturn[20] - The company reported a loss attributable to shareholders of CNY 659,452,300.81 for the first three quarters of 2024, compared to a profit of CNY 4,361,744,499.35 in the same period of 2023[20] Assets and Liabilities - Total assets at the end of Q3 2024 were CNY 693,237,322,492.14, reflecting an 8.13% decrease from the end of the previous year[4] - Total assets amounted to CNY 693.24 billion, a decrease of 8.12% from CNY 754.59 billion on December 31, 2023[16] - Total liabilities decreased to CNY 523.75 billion from CNY 579.79 billion, a reduction of 9.66%[18] - Total liabilities decreased to ¥306.74 billion from ¥344.24 billion at the end of 2023[24] - The total liabilities and equity amounted to ¥468,461,072,632.41, a decrease from ¥497,510,462,955.19 in the previous year[26] Cash Flow - The net cash flow from investment activities increased significantly by 221.70% to ¥19,183,680,544.56 compared to ¥5,963,183,793.20 in the previous year[8] - In the first three quarters of 2024, the net cash flow from operating activities was ¥46.69 billion, a significant improvement compared to a net outflow of ¥21.56 billion in the same period of 2023[21] - The cash flow from operating activities totaled ¥102.81 billion in the first three quarters of 2024, compared to ¥46.25 billion in the same period of 2023[21] - Net cash flow from operating activities was CNY 16.51 billion, compared to a negative CNY 30.82 billion in the first three quarters of 2023[30] - Cash inflow from investment activities totaled CNY 65.38 billion, up from CNY 26.13 billion year-over-year[31] - Net cash flow from financing activities showed a net outflow of ¥43.90 billion, worsening from a net outflow of ¥11.73 billion in the same period last year[22] - Net cash flow from financing activities was negative CNY 16.24 billion, contrasting with a positive CNY 4.74 billion in 2023[31] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 230,977, with 142 being H-share holders[9] - The largest shareholder, Hong Kong Central Clearing (Agent) Co., Ltd., holds 3,409,058,956 shares, representing 26.09% of the total shares[9] - Shanghai Guosheng (Group) Co., Ltd. is the second-largest shareholder with 862,489,059 shares, accounting for 6.60%[9] Other Financial Metrics - The liquidity coverage ratio improved to 474.47% from 223.69% year-on-year[4] - The company reported a total of CNY -99,097,100.62 in non-recurring gains and losses for the current period[5] - The weighted average return on net assets for Q3 2024 was -0.99%, a decrease of 0.58 percentage points compared to the previous year[4] - The company reported a significant drop in derivative financial assets, which fell to CNY 1.52 billion from CNY 2.28 billion, a decrease of 33.06%[16] - The company’s financial investments in trading assets decreased to CNY 182.65 billion from CNY 221.27 billion, a decline of 17.43%[16] - The company’s long-term receivables decreased to CNY 71.93 billion from CNY 79.52 billion, a reduction of 9.73%[16] - The company reported a decrease in other comprehensive income, improving from -¥1,304,576,076.39 to -¥637,885,794.45[8] - Other comprehensive income after tax for the first three quarters of 2024 was CNY 475,932,695.94, slightly up from CNY 459,939,292.63 in 2023[20] Business Operations - The company is planning a merger with Guotai Junan Securities, pending necessary internal approvals and regulatory clearance[14] - The cash flow from financing activities showed a significant outflow of -¥43,901,395,392.15, compared to -¥11,731,752,271.66 in the previous period[8]

证券代码：600837 证券简称：海通证券 公告编号：临2024-070 海通证券股份有限公司 第八届监事会第九次会议决议公告 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。 海通证券股份有限公司（以下简称公司）第八届监事会第九次会议通知于 2024 年 10 月 16 日以电子邮件和传真的方式发出，会议于 2024 年 10 月 30 日在 公司以现场会议和电话会议相结合的方式召开。会议应到监事 9 名，实到监事 9 名，会议由监事会主席童建平主持，财务总监、董事会秘书、合规总监列席了会 议。会议召集、召开及表决程序符合《中华人民共和国公司法》《海通证券股份 有限公司章程》（以下简称《公司章程》）和《海通证券股份有限公司监事会议 事规则》的有关规定。会议审议并通过了以下议案： 一、审议通过了《公司 2024 年第三季度报告》 表决结果：[9]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 二、审议通过了《公司关于计提资产减值准备及核销资产的议案》 监事会认为：本次计提资产减值准备及核销资产符合《企业会计准则》和公 司会 ...

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。 为贯彻中央经济工作会议和中央金融工作会议精神，深入践行"以投资者为 本"的理念，进一步推动公司高质量发展和投资价值提升，维护全体股东合法权 益，基于对公司价值和未来发展的信心，海通证券股份有限公司（以下简称公司） 制定了《2024 年度"提质增效重回报"行动方案》，并于 2024 年 4 月 26 日经 公司第八届董事会第五次会议审议通过后对外发布。2024 年上半年，公司根据 行动方案贯彻落实各项工作，在发挥功能性作用、服务新质生产力、强化投资者 回报等多个方面取得积极成效，具体如下： 一、坚守金融本源，充分发挥功能性作用 2024 年上半年，公司积极响应落实新"国九条"，紧抓服务国家战略和实体 经济主线，充分发挥"投、融、保、研"与财富管理协同发力的综合金融服务优 势，以"海通所能"突出做好金融"五篇大文章"，持续强化证券公司的功能性 定位，切实提升金融服务实体经济质效。截至 2024 年 6 月末，公司及其子公司 （集团）总资产达 7,214 亿元，归属于母公司股东的净资产 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-069 海通证券股份有限公司 第八届董事会第十四次会议决议公告 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、审议通过了《公司 2024 年第三季度报告》 表决结果：[11]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 本议案已经公司董事会审计委员会全票审议通过。 二、审议通过了《公司关于计提资产减值准备及核销资产的议案》 根据《企业会计准则》和公司会计政策的相关规定，公司及下属子公司对截 至 2024 年 9 月 30 日的各项需要计提减值的资产进行了评估，并对截至 2024 年 9 月 30 日部分预计无法收回的资产进行了核销，具体如下： 1. 计提资产减值准备情况 公司 2024 年 7-9 月计提信用资产减值损失人民币 83,920.53 万元，计提其 他资产减值损失人民币 2,036.13 万元，合计计提资产减值损失人民币 85,956.66 万元，对净利润的影响超过公司 2023 年经审计的净利润的 10%。 1 单位：人民币万元 海通 ...

Financial Performance - Total revenue for Q3 2024 was CNY 4,034,308,958.63, a decrease of 28.03% compared to the same period last year[2] - Net profit attributable to shareholders was a loss of CNY 1,612,549,669.65, representing a decline of 403.05% year-over-year[2] - The net profit excluding non-recurring gains and losses was a loss of CNY 1,513,452,569.03, down 406.69% from the previous year[2] - The basic earnings per share for Q3 2024 was -CNY 0.12, a decline of 400.00% year-over-year[2] - The company's net profit for the first three quarters of 2024 was a loss of CNY 211.67 million, compared to a profit of CNY 4.51 billion in the same period of 2023[16] - The net profit attributable to the parent company for Q3 2024 was -129,609,700.16 CNY, compared to 4,652,148,242.69 CNY in Q3 2023, indicating a significant decline in profitability[17] - Net profit for the first three quarters of 2024 was CNY 5,276,944,894.01, up from CNY 4,697,031,346.06 in the previous year[22] Assets and Liabilities - Total assets decreased by 8.13% to CNY 693,237,322,492.14 compared to the end of the previous year[3] - Total assets as of September 30, 2024, were CNY 693.24 billion, down from CNY 754.59 billion at the end of 2023, a reduction of 8.1%[15] - Total liabilities decreased to CNY 523.75 billion from CNY 579.79 billion, representing a decline of 9.7%[15] - Total liabilities decreased to CNY 310,743,872,149.28 from CNY 344,239,296,806.33 year-on-year[21] - The company's total equity decreased to CNY 169.49 billion from CNY 174.80 billion, a decrease of 3.0%[15] - Total equity increased to CNY 157,717,200,483.13 from CNY 153,271,166,148.86 in the previous year[21] Cash Flow - Operating cash flow turned positive at CNY 46,686,135,148.11, a significant recovery from a negative cash flow of CNY -21,563,945,486.37 in the previous period[9] - The net cash flow from operating activities for the first three quarters of 2024 was 46,686,135,148.11 CNY, a substantial improvement from -21,563,945,486.37 CNY in the same period of 2023[18] - The net cash flow from investing activities for the first three quarters of 2024 was 19,183,680,544.56 CNY, compared to 5,963,183,793.20 CNY in the previous year[18] - The net cash flow from financing activities showed a significant outflow of -43,901,395,392.15 CNY in 2024, compared to -11,731,752,271.66 CNY in 2023[19] - The total cash and cash equivalents at the end of Q3 2024 amounted to 176,695,453,647.64 CNY, an increase from 149,162,354,129.28 CNY at the end of Q3 2023[19] - The net cash flow from investment activities is CNY 23.02 billion, a turnaround from a net outflow of CNY 1.67 billion in the same period last year[24] - Cash flow from financing activities resulted in a net outflow of CNY 16.24 billion, contrasting with a net inflow of CNY 4.74 billion in the previous year[25] Income and Expenses - Investment income for the first nine months of 2024 was CNY 3,406,659,311.74, a decrease of 35.03% compared to the same period in 2023[8] - Other income decreased by 51.26% to CNY 419,832,937.10, primarily due to a reduction in government subsidies[9] - Fair value changes resulted in a loss of CNY 1,514,102,229.81, reflecting a decrease in fair value gains from financial instruments[9] - Other business income fell by 59.95% to CNY 2,859,759,206.51, mainly due to reduced sales revenue from subsidiaries[9] - Net interest income for the first three quarters of 2024 was CNY 2.71 billion, down from CNY 3.27 billion in 2023, reflecting a decline of 17.2%[16] - Net commission and fee income decreased to CNY 5.35 billion in 2024 from CNY 7.43 billion in 2023, a drop of 28.1%[16] - Total operating expenses decreased to CNY 4,697,811,981.51 from CNY 5,038,470,008.34 year-on-year[22] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 230,977, with 230,835 being A-share holders[10] - The largest shareholder, Hong Kong Central Clearing Limited, holds 3,409,058,956 shares, representing 26.09% of total shares[10] - Shanghai Guosheng Group holds 862,489,059 shares, accounting for 6.60% of total shares[10] Strategic Developments - The company is planning a merger with Guotai Junan Securities, which requires necessary internal decision-making and regulatory approvals[13]

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。 海通证券股份有限公司（以下简称公司）第八届董事会第十四次会议和第 八届监事会第九次会议于 2024 年 10 月 30 日以现场会议和电话会议相结合的 方式召开，审议通过了《公司关于计提资产减值准备及核销资产的议案》。现 将具体情况公告如下： 证券代码：600837 证券简称：海通证券 公告编号：临2024-071 海通证券股份有限公司 关于计提资产减值准备及核销资产的公告 根据《企业会计准则》和公司会计政策的相关规定，公司及下属子公司对 截至 2024 年 9 月 30 日的各项需要计提减值的资产进行了评估,并对截至 2024 年 9 月 30 日部分预计无法收回的资产进行了核销，具体如下： 一、计提资产减值准备情况 公司 2024 年 7-9 月计提信用减值损失人民币 83,920.53 万元，计提其他资 产减值损失人民币 2,036.13 万元，合计计提资产减值损失人民币 85,956.66 万 元，对净利润的影响超过公司 2023 年经审计净利润的 10%。 单位：人民币 ...

中新经纬10月26日电 (薛宇飞)在26日举办的全球财富管理论坛·2024上海苏河湾大会上，国泰君安董事 长朱健谈到了国泰君安与海通证券合并重组情况，他称，合并后的公司在多项业务指标将跃居行业第 一。 朱健称，国泰君安正加快推进与海通证券的合并重组，这是在加快建设金融强国、打造上海国际金融中 心的大背景下，强强联合、优势互补共同打造一流投资银行的重要举措，也能够更加有力地推动上海金 融、科创"双中心"联动发展。 他表示，合并后，公司的总资产、净资产规模都将跃居行业第一，经纪业务、投行IPO业务等多个主要 业务指标将跃居行业首位，在集成电路、生物医药等重点科技产业的服务能力也将居于国内领先，私募 股权基金管理规模跃居行业前二，科技金融服务能力将明显提升。 "目前我们的重组还需完成一系列内部公司治理和外部监管审批程序。"朱健称，合并重组会带来新的效 应，为中国在全球范围内打造一流投行做一次更有力、更有效的尝试；新的公司将会有更强大而可持续 的资产负债表，显著提升资金使用效率。他还说："我相信，'1+1'是可以并且完全有可能大于2的。" 10月9日，国泰君安发布了换股吸收合并海通证券并募集配套资金暨关联交易预案，根 ...

海通证券股份有限公司： 经查，我会发现你公司在部分项目中履职尽责不到位；投行立项环节把关 不严；质控、内核核查把关不严；投行业务信息管理系统建设不完善。上述情 况违反了《证券公司和证券投资基金管理公司合规管理办法》（以下简称《合 规管理办法》）第六条的规定。根据《合规管理办法》第三十二条，我会决定 对你公司采取责令改正的行政监督管理措施。 你公司应引以为戒，认真查找和整改问题，建立健全和严格执行投行业务 内控制度、工作流程和操作规范，诚实守信、勤勉尽责，切实提升投行业务质 量。你公司应严格按照内部问责制度对责任人员进行内部问责，并向上海证监 局提交书面问责报告。 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。复议与诉讼期间，上述监督管理措施不停止执行。 中国证监会 2024年5月31日 海通证券股份有限公司： | 索 | 引 | 号 | bm56000001/2024-00012959 分 | 类 | | --- | --- | --- | --- | --- | | | 发布机构 | | 发文日期 | | ...

索 引 号 bm56000001/2024-00012970 分 类 发布机构 发文日期 名 称 关于对姜诚君采取监管谈话措施的决定 文 号 主 题 词 关于对姜诚君采取监管谈话措施的决定 姜诚君： 中国证监会 2024年5月31日 【打印】 【关闭窗口】 经查，我会发现海通证券股份有限公司在部分项目中履职尽责不到位；投 行立项环节把关不严；质控、内核核查把关不严；投行业务信息管理系统建设 不完善。上述情况违反了《证券公司和证券投资基金管理公司合规管理办法》 （以下简称《合规管理办法》）第六条的规定。 你作为分管投行业务高管，对相关违规行为负有责任。按照《合规管理办 法》第三十二条的规定，我会决定对你采取监管谈话的行政监管措施。现要求 你于2024年6月21日15时携带有效身份证件到我会（地址：北京市西城区金融 大街19号富凯大厦A座17层）接受监管谈话。 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。复议与诉讼期间，上述监督管理措施不停止执行。 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-068 海通证券股份有限公司股票交易异常波动公告 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： 海通证券股份有限公司（以下简称"公司"或"海通证券"）A 股股票于 2024 年 10 月 16 日、10 月 17 日、10 月 18 日连续三个交易日内收盘价格涨幅偏 离值累计达到 20%，根据《上海证券交易所交易规则》的有关规定，属于股票交 易异常波动情况。 （二）重大事项情况 经公司自查，公司于 2024 年 10 月 9 日召开第八届董事会第十三次会议（临 时会议），审议通过了《关于<国泰君安证券股份有限公司换股吸收合并海通证券 股份有限公司并募集配套资金暨关联交易预案>及其摘要的议案》等与本次交易 经公司自查并向公司第一大股东上海国盛（集团）有限公司（以下简称 "国盛集团"）书面函证，截至本公告披露日，除公司已披露的与国泰君安证券 股份有限公司（以下简称"国泰君安"）正在筹划的由国泰君安换股吸收合并公 司并募集配套资金（以下简称"本次交易 ...