| 股票代码：601211 | 股票简称：国泰君安 | 上市地点：上海证券交易所 | | --- | --- | --- | | 股票代码：02611 | 股票简称：国泰君安 | 上市地点：香港联合交易所 | | 股票代码：600837 | 股票简称：海通证券 | 上市地点：上海证券交易所 | | 股票代码：06837 | 股票简称：海通证券 | 上市地点：香港联合交易所 | 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 | 吸收合并方 | 被吸收合并方 | | --- | --- | | 国泰君安证券股份有限公司 | 海通证券股份有限公司 | | 中国（上海）自由贸易试验区商城路618号 | 上海市广东路689号 | 声 明 吸收合并方独立财务顾问 被吸收合并方独立财务顾问 三、吸收合并双方全体董事、监事、高级管理人员和国泰君安控股股东国资 公司及实际控制人国际集团承诺，如就本次交易所提供或披露的信息因涉嫌虚假 记载、误导性陈述或者重大遗漏，被司法机关立案侦查或者被中国证监会立案调 查的，在案件调查结论明确之前，将暂停转让各自拥有权益的股份，并于收到立 案稽查通 ...

中银国际证券股份有限公司 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 产业政策和交易类型 之 独立财务顾问核查意见 独立财务顾问 二〇二四年十月 1 中银国际证券股份有限公司（以下简称"中银证券"、"独立财务顾问"）作 为国泰君安证券股份有限公司（以下简称"国泰君安"）换股吸收合并海通证券 股份有限公司（以下简称"海通证券"）并募集配套资金暨关联交易（以下简称 "本次交易"）的海通证券独立财务顾问，根据中国证券监督管理委员会（以下 简称"中国证监会"）《监管规则适用指引——上市类第 1 号》和上海证券交易所 （以下简称"上交所"）《上海证券交易所上市公司自律监管指引第 6 号——重大 资产重组》等规范性文件的要求，对本次交易所涉及的产业政策和交易类型进行 了核查，具体核查意见如下： 一、本次交易涉及的行业或企业是否属于中国证监会《监管规则适用指引— —上市类第 1 号》的"汽车、钢铁、水泥、船舶、电解铝、稀土、电子信息、医 药、农业产业化龙头企业、高档数控机床和机器人、航空航天装备、海洋工程装 备及高技术船舶、先进轨道交通装备、电力装备、新一代信息技术、新材料 ...

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: 海通證券股份有限公司 呈交日期: 2024年10月7日 I. 法定/註冊股本變動 | 1. 股份分類 | 普通股 | 股份類別 | H | | | 於香港聯交所上市 (註1) | 是 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 (如上市) | 06837 | 說明 | | | | | | | | | | 法定/註冊股份數目 | | | 面值 | | 法定/註冊股本 | | | 上月底結存 | | | 3,409,568,820 | RMB | | 1 RMB | | 3,409,568,820 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 3,409,568,820 | RMB | | 1 RMB | | 3,409,568,820 | | 2. 股份分類 | 普通股 | 股份類別 | ...

证券代码：600837 证券简称：海通证券 公告编号：临 2024-059 注后续公告并注意投资风险。 特此公告。 海通证券股份有限公司（以下简称"公司"或"海通证券"）与国泰君安证 券股份有限公司（以下简称"国泰君安"）正在筹划由国泰君安通过向公司全体 A 股换股股东发行 A 股股票、向公司全体 H 股换股股东发行 H 股股票的方式换 股吸收合并海通证券并发行 A 股股票募集配套资金（以下简称"本次重组"）。 根据上海证券交易所的相关规定，经公司申请，公司 A 股股票（证券简称：海通 证券，证券代码：600837）自 2024 年 9 月 6 日（星期五）开市起停牌，预计停牌 时间不超过 25 个交易日，具体内容详见公司于 2024 年 9 月 6 日、9 月 13 日、9 月 24 日在上海证券交易所网站（www.sse.com.cn）披露的《海通证券股份有限公 司关于筹划重大资产重组的停牌公告》（公告编号：临 2024-056）、《海通证券 股份有限公司关于筹划重大资产重组事项的停牌进展公告》（公告编号：临 2024- 057、公告编号：临 2024-058）。 鉴于本次重组的相关事项存在重大不确定性， ...

证券代码：600837 证券简称：海通证券 公告编号：临 2024-058 海通证券股份有限公司 本次重组的具体合作方案以双方进一步签署的交易文件为准。本次重组尚需 履行必要的内部决策程序，并需经有权监管机构批准后方可正式实施，能否实施 尚存在不确定性。公司发布的信息以在上海证券交易所网站（www.sse.com.cn）、 香港联交所披露易网站（www.hkexnews.hk）刊登的公告为准，敬请广大投资者关 注后续公告并注意投资风险。 特此公告。 海通证券股份有限公司董事会 2024 年 9 月 23 日 海通证券股份有限公司（以下简称"公司"或"海通证券"）与国泰君安证 券股份有限公司（以下简称"国泰君安"）正在筹划由国泰君安通过向公司全体 A 股换股股东发行 A 股股票、向公司全体 H 股换股股东发行 H 股股票的方式换 股吸收合并海通证券并发行 A 股股票募集配套资金（以下简称"本次重组"）。 根据上海证券交易所的相关规定，经公司申请，公司 A 股股票（证券简称：海通 证券，证券代码：600837）自 2024 年 9 月 6 日（星期五）开市起停牌，预计停牌 时间不超过 25 个交易日，具体内容详见 ...

Financial Performance - Total revenue for the six months ended June 30, 2024, was RMB 17,592,860, a decrease of 32.41% compared to RMB 26,027,428 for the same period in 2023[21]. - Profit before tax for the same period was RMB 1,905,876, down 63.71% from RMB 5,251,724 in the previous year[21]. - Net profit attributable to shareholders for the six months ended June 30, 2024, was RMB 953,097, reflecting a decline of 75.11% from RMB 3,829,635 in the prior year[21]. - Basic and diluted earnings per share decreased to RMB 0.07, down 75.86% from RMB 0.29 in the same period last year[21]. - Total revenue for the first half of 2024 was RMB 17.59 billion, a decrease of RMB 8.43 billion or 32.41% compared to the same period last year[71]. - Commission and fee income amounted to RMB 4.94 billion, down RMB 1.52 billion or 23.53% year-on-year, primarily due to a decline in underwriting and sponsorship fees[72]. - Interest income was RMB 8.19 billion, a decrease of RMB 1.13 billion or 12.15% compared to the previous year, mainly due to reduced interest income from receivables under sale-leaseback arrangements[73]. - Investment income and gains (net) were RMB 1.79 billion, down RMB 1.50 billion or 45.51% year-on-year, primarily due to decreased returns from financial instrument investments[73]. - The total operating income for wealth management business decreased to RMB 6.249 billion, a decline of 11.76% year-on-year from RMB 7.082 billion[76]. - Investment banking business revenue fell to RMB 1.249 billion, down 50.32% year-on-year from RMB 2.514 billion, primarily due to a decrease in IPO financing amounts[76]. - Asset management business revenue decreased to RMB 1.103 billion, a decline of 6.72% year-on-year from RMB 1.182 billion, mainly due to a reduction in management fees[76]. Dividends and Share Repurchases - The company reported a cash dividend of RMB 0.3 per share, totaling RMB 389,613,765.99, which accounts for 40.88% of the net profit attributable to shareholders for the first half of 2024[3]. - The total amount for cash dividends and share repurchases reached RMB 692,666,997.79, representing 72.68% of the net profit attributable to shareholders for the first half of 2024[3]. - The company distributed a total cash dividend of RMB 1,298,712,553.30 (including tax) based on a total share capital of 12,987,125,533 shares[123]. - The cash dividend for A-shares amounted to RMB 957,755,671.30 (including tax), while for H-shares it was HKD 374,602,166.16 (including tax)[123]. - The proposed cash dividend distribution is RMB 0.30 per 10 shares (including tax), amounting to a total of RMB 389,613,765.99, which represents 40.88% of the net profit attributable to the parent company for the first half of 2024[126]. - The cash dividend will be paid in RMB to A-share shareholders and in HKD to H-share shareholders, with the HKD amount calculated based on the average exchange rate prior to the board meeting[127]. Assets and Liabilities - Total assets as of June 30, 2024, were RMB 721,414,535, a decrease of 4.40% from RMB 754,586,792 at the end of 2023[22]. - Total liabilities decreased by 5.10% to RMB 550,222,980 from RMB 579,787,233 at the end of 2023[22]. - The equity attributable to shareholders was RMB 163,027,730, a slight decrease of 0.13% from RMB 163,243,990 at the end of 2023[22]. - The asset-liability ratio improved to 72.16%, down 0.87 percentage points from 73.03% at the end of 2023[22]. - Cash and cash equivalents at the end of the first half of 2024 totaled RMB 69.227 billion, an increase of RMB 11.686 billion compared to the end of the previous year[81]. - The company's total assets amounted to RMB 721.415 billion, with net assets attributable to shareholders of RMB 163.028 billion as of June 30, 2023[27]. Risk Management - The company faces significant risks including legal and compliance risks, credit risks, market risks, operational risks, liquidity risks, and reputational risks, which could impact its financial performance[8]. - The company emphasizes the importance of risk management strategies to mitigate potential impacts on its operations and earnings[8]. - The company emphasizes a comprehensive risk management framework, focusing on compliance, risk control, and a proactive approach to risk identification and response[94]. - The Chief Risk Officer oversees the implementation of risk management policies and conducts regular assessments of the company's risk levels and management effectiveness[96]. - The company has established a liquidity risk management framework, achieving an average liquidity coverage ratio of 344.57% and a net stable funding ratio of 148.86%, both exceeding regulatory requirements[108]. Corporate Governance - The report was approved by the board of directors and supervisory board, with no objections raised[3]. - The company adheres to the corporate governance guidelines and has established various committees to ensure effective operation[134]. - The company emphasizes investor relations management and has implemented measures to enhance communication with investors[139]. - The company held its annual general meeting on June 12, 2024, approving 12 resolutions, including the 2023 annual report and profit distribution plan[113]. - The supervisory board comprises 9 members, ensuring compliance with legal and regulatory requirements[137]. Compliance and Regulatory Issues - The company was fined RMB 6,975,000 and had illegal gains of RMB 789,445.21 confiscated due to violations related to stock subscription activities[164]. - The company received multiple regulatory warnings and corrective measures from various regulatory bodies, including the Guangdong and Xinjiang Securities Regulatory Bureaus, for insufficient due diligence in bond underwriting and other compliance issues[165]. - The company has implemented internal accountability procedures and enhanced compliance training in response to regulatory scrutiny[166]. - The company has established a comprehensive related-party transaction management system and strictly adheres to relevant laws and regulations regarding related-party transactions[169]. Market and Economic Environment - The overall economic environment and market conditions in China are critical factors influencing the company's performance[8]. - The financial performance is closely tied to investor behavior and international economic conditions, which are subject to fluctuations[8]. - Future outlook remains cautious due to the interconnected nature of various risks that could lead to compounded effects on the company's operations[8]. Innovation and Technology - The company is a pioneer in financial technology innovation, focusing on building a digital ecosystem and enhancing its data governance capabilities[34]. - The company’s digital transformation initiatives include the launch of the "e Haitong" platform, which has maintained a leading position in monthly active users within the industry[34]. - The company focuses on supporting technological innovation in key industries such as semiconductors and biomedicine, enhancing its market influence[28]. Social Responsibility and ESG - The company is committed to supporting the national "dual carbon" goals through its green finance initiatives, including ESG system construction and green investment[110]. - The company launched the "Haitong Love Health" public welfare project, donating sports health equipment to 12 primary and secondary schools in targeted poverty alleviation areas[148]. - The company actively promoted a green culture by implementing paperless office practices and energy-saving measures, reducing resource waste and energy consumption[143]. - The company was selected as one of the "Top 100 ESG Listed Companies in China" by the China Central Radio and Television Station in 2024, highlighting its strong ESG management capabilities[143].

鉴于本次重组的相关事项存在重大不确定性，为保证公平信息披露，维护投 资者利益，避免造成公司股价异常波动，根据上海证券交易所相关规定，公司股 票将继续停牌。 停牌期间，公司将积极推进各项工作，并根据本次重组进展情况，严格按照 有关法律法规的规定和要求履行信息披露义务，待相关事项确定后，公司将及时 发布相关公告并申请公司股票复牌。 本次重组的具体合作方案以双方进一步签署的交易文件为准。本次重组尚需 履行必要的内部决策程序，并需经有权监管机构批准后方可正式实施，能否实施 尚存在不确定性。本公司发布的信息以在上海证券交易所网站（www.sse.com.cn）、 香港联交所披露易网站（www.hkexnews.hk）刊登的公告为准，敬请广大投资者关 注后续公告并注意投资风险。 特此公告。 证券代码：600837 证券简称：海通证券 公告编号：临 2024-057 海通证券股份有限公司 关于筹划重大资产重组事项的停牌进展公告 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。 海通证券股份有限公司（以下简称"公司"或"海通证券"）与国泰君安证 ...

Investment Rating - The report indicates that Guotai Junan plans to absorb and merge Haitong Securities, which suggests a significant shift in the investment landscape for the company [3]. Core Insights - Haitong Securities has experienced a dramatic decline in its market ranking, dropping from 142nd in 2021 to 4054th in 2023, indicating severe operational challenges [5][9]. - The merger, if successful, will result in a new Guotai Junan with total assets of 1.6 trillion and net assets of 331.1 billion, surpassing the industry leader CITIC Securities [3]. - Haitong Securities has faced substantial revenue and profit declines, with total revenue dropping from 432 billion in 2021 to 230 billion in 2023, and net profit plummeting from 128 billion to just 10 billion in the same period [9][11]. Summary by Sections Financial Performance - In 2023, Haitong Securities reported total revenue of 230 billion and a net profit of only 10 billion, marking a significant decline compared to previous years [11][12]. - The company was the largest revenue decliner among the top ten securities firms in the first half of 2024, with a revenue drop of 48% year-on-year [12]. Business Segments - Haitong Securities' business segments include wealth management, investment banking, asset management, trading and institutional, and leasing. The trading and institutional segment has seen significant losses, with a reported loss of 29 billion in 2023 [13][14]. - The revenue from trading and institutional business has fluctuated dramatically, leading to a substantial impact on overall income [16][18]. Investment Risks - The report highlights that Haitong Securities has significant exposure to high-yield real estate bonds through its subsidiary, Haitong International, which has led to substantial losses in recent years [19][25]. - Haitong International's losses amounted to approximately 120 billion RMB over two years, primarily due to poor performance in the secondary market for stocks and bonds [20][22]. Market Position - The report notes that Haitong Securities was once a leading firm but has now fallen to the bottom of the industry rankings, raising concerns about its operational management and risk control [5][25]. - The merger with Guotai Junan may provide an opportunity to restructure and strengthen the combined entity's risk management practices [25].

海通证券股份有限公司 关于筹划重大资产重组的停牌公告 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。 证券代码：600837 证券简称：海通证券 公告编号：临 2024-056 1 二、本次重组的基本情况 （一）吸并方的基本情况 重要内容提示： 证券停复牌情况：适用 因筹划重大资产重组，本公司的相关证券停复牌情况如下： | 证券代码 | 证券简称 | 停复牌类型 | | 停牌起始日 | 停牌期间 | 停牌终止日 | 复牌日 | | --- | --- | --- | --- | --- | --- | --- | --- | | 600837 | 海通证券 | A 股 | 停牌 | 2024/9/6 | | | | 一、停牌事由和工作安排 海通证券股份有限公司（以下简称"公司"或"海通证券"）与国泰君安证券 股份有限公司（以下简称"国泰君安"）正在筹划由国泰君安通过向公司全体 A 股 换股股东发行 A 股股票、向公司全体 H 股换股股东发行 H 股股票的方式换股吸收 合并海通证券（以下简称"本次合并"）并发行 A 股股票募集配 ...

招股说明书（申报稿）显示，发行人聘请CSO推广服务商开 展调研与咨询、学术推广、展览与宣传及会议会务等推广活动， 2020-2022 年各期业务推广费分别为 12,933.78 万元、20,426.98 万元、17,409.30 万元，占营业收入比例分别为 44.62%、46.72%、 39.95%。 深 圳 证 券 交 易 所 深证函〔2024〕556 号 关于对海通证券股份有限公司、韦健涵、 朱文杰的监管函 海通证券股份有限公司、韦健涵、朱文杰: 2023 年 2 月 23 日，本所受理了海通证券股份有限公司（以 下简称海通证券）推荐的赛克赛斯生物科技股份有限公司（以下 简称发行人）首次公开发行股票并在主板上市的申请，韦健涵、 朱文杰为项目保荐代表人。经查，你们在执业过程中存在以下违 规行为： 一、未充分关注并审慎核查发行人业务推广相关内部控制薄 弱环节及部分推广活动验收存在瑕疵的情形 申报文件显示，你们通过获取经销商向终端客户的销售情况， 并获取终端客户采购发行人产品相关的发票、流向单等原始凭证， 结合终端医院走访、公开渠道查询、分析性复核等对发行人终端 客户进行核查。 本所在审核过程中，针对发行人业务 ...