（网址：http://roadshow.sseinfo.com） 会议召开方式：视频和网络互动 投资者可于 2024 年 9 月 4 日（星期三）至 9 月 10 日（星期二）16:00 前 登录上证路演中心网站首页点击"提问预征集"栏目或通过公司董事会办公室邮 箱 dshbgs@haitong.com 进行提问。公司将在说明会上对投资者普遍关注的问题 进行回答。 海通证券股份有限公司（以下简称公司）已于 2024 年 8 月 30 日发布公司 2024 年半年度报告，为便于广大投资者更全面深入地了解公司 2024 年上半年经 营成果、财务状况，公司计划于 2024 年 9 月 11 日下午 13:00-14:00 召开 2024 年半年度业绩说明会，就投资者关心的问题进行交流。 关于召开 2024 年半年度业绩说明会的公告 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： 证券代码：600837 证券简称：海通证券 公告编号：临 2024-055 海通证券股份有限公司 一、 说明会类型 本次投资者说明会以 ...

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: 海通證券股份有限公司 呈交日期: 2024年9月2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 | A ...

Financial Performance - The company reported a net profit of 1.5 billion RMB for the first half of 2024, representing a 10% increase compared to the same period last year[20]. - Total revenue for the six months ended June 30, 2024, was RMB 17,592.86 million, a decrease of 32.41% compared to RMB 26,027.43 million for the same period in 2023[21]. - Profit before tax for the same period was RMB 1,905.88 million, down 63.71% from RMB 5,251.72 million year-on-year[21]. - Net profit attributable to shareholders for the six months ended June 30, 2024, was RMB 953.10 million, a decline of 75.11% from RMB 3,829.64 million in the previous year[21]. - Basic and diluted earnings per share decreased by 75.86% to RMB 0.07 from RMB 0.29[21]. - Wealth management business revenue was RMB 6.25 billion, a decrease of 11.76% compared to RMB 7.08 billion in the same period last year[76]. - Investment banking business revenue was RMB 1.25 billion, down 50.32% from RMB 2.51 billion year-on-year, primarily due to a decrease in IPO financing amounts[76]. - Asset management business revenue was RMB 1.10 billion, a decline of 6.72% from RMB 1.18 billion, mainly due to a decrease in management fees[76]. Dividend Distribution - 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 total number of shares for dividend distribution is based on 12,987,125,533 shares after excluding repurchased shares[3]. - The company plans to distribute a cash dividend of RMB 0.30 per 10 shares, totaling RMB 389,613,765.99, which is 40.88% of the net profit for the first half of 2024[126]. - The cash dividend for H-share holders will be paid in HKD at a rate of HKD 0.328343 per 10 shares, based on the average exchange rate prior to the board meeting[127]. - The company has authorized a 10% withholding tax rate for dividends distributed to non-resident shareholders[129]. Risk Management - The company faces significant risks including legal compliance, credit risk, market risk, operational risk, liquidity risk, and reputational risk, which could impact its financial performance[8]. - The company emphasizes a risk management framework based on "pragmatic, pioneering, stable, and excellent" principles, focusing on compliance and risk management as priorities[94]. - A multi-level risk management organizational structure is established, with clear responsibilities assigned to the board, supervisory board, management, and risk management departments[95]. - The company has established a comprehensive market risk management system, monitoring stock price fluctuations and employing diversification strategies to control market risks[104]. - The company has implemented a liquidity risk management strategy for subsidiaries, ensuring unified management of liquidity risks at the group level[108]. Corporate Governance - The board of directors consists of 11 members, including 3 executive directors and 4 independent non-executive directors, ensuring compliance with legal requirements[136]. - The audit committee has reviewed and confirmed the unaudited interim financial information for the six months ending June 30, 2024, without raising objections to the accounting policies used[136]. - The company emphasizes strict compliance with corporate governance standards and has established various committees to ensure effective operation[134]. - The supervisory board consists of 9 members, ensuring oversight of financial and operational compliance[137]. - The company has a robust investor relations management system in place, facilitating communication through multiple channels such as investor meetings and online platforms[139]. Market Expansion and Product Development - The company is actively involved in the development of new financial products and services to expand its market reach[11]. - The company is exploring opportunities for market expansion and potential mergers and acquisitions to enhance its competitive edge[11]. - The company is focusing on the development of new financial products, including a new retirement fund product expected to launch in Q3 2024, aiming to capture a 5% market share within the first year[20]. - The company has established strategic partnerships with fintech firms to enhance its digital service offerings, which are projected to increase customer engagement by 30%[20]. - The company has enhanced its technological capabilities by developing new trading platforms, which are expected to improve transaction efficiency by 20% in the upcoming fiscal year[20]. Compliance and Regulatory Matters - The company emphasizes a prudent operational philosophy and has established a comprehensive risk management system to effectively manage various risks, ensuring compliance and sustainable development[33]. - The company has no non-operational fund occupation by controlling shareholders or related parties during the reporting period[4]. - There were no violations of decision-making procedures regarding external guarantees during the reporting period[4]. - The company has established a comprehensive related party transaction system and strictly adheres to relevant laws and regulations regarding related transactions[169]. - The company received multiple regulatory warnings in April 2024, including a directive to rectify compliance issues in bond underwriting and risk management practices[165]. Employee and Talent Management - The company has implemented a comprehensive training program for employees, including the "Youth Talent Training Camp" and various specialized training sessions, with nearly 200 leaders participating in thematic training[122]. - The company emphasizes talent retention and has established a compensation system that includes fixed salaries, performance-based pay, and benefits, while also ensuring compliance with social insurance regulations[121]. - The company has established an enterprise annuity plan to provide supplementary retirement benefits for employees[121]. Environmental, Social, and Governance (ESG) Initiatives - The company was selected as one of the "Top 100 ESG Listed Companies in China" by the Central Radio and Television Station in 2024[143]. - The company actively promotes a green culture through initiatives like paperless offices and energy-saving practices, contributing to resource conservation[144]. - The company achieved a reduction of approximately 2.434 million kilowatt-hours in total energy consumption across its headquarters and data centers compared to the same period last year, despite a 55% increase in IT energy usage[146]. - The company has implemented various energy-saving measures, resulting in a 20% decrease in power energy consumption[146]. - The company provided ESG research consulting services to 605 institutional clients, enhancing its role in responsible investment and green finance[145].

Financial Performance - The company's operating revenue for the first half of 2024 was ¥8,864,757,835.68, a decrease of 47.76% compared to ¥16,968,366,973.04 in the same period last year[31]. - The net profit attributable to shareholders of the parent company was ¥953,097,368.84, down 75.11% from ¥3,829,634,781.60 year-on-year[31]. - The net profit attributable to shareholders of the parent company after deducting non-recurring gains and losses was ¥545,596,471.79, a decline of 83.01% compared to ¥3,212,220,025.91 in the previous year[31]. - The net cash flow from operating activities was ¥19,282,151,341.47, a significant improvement from a negative cash flow of ¥10,742,192,791.84 in the same period last year[31]. - The total assets at the end of the reporting period were ¥721,414,534,571.73, a decrease of 4.40% from ¥754,586,792,234.64 at the end of the previous year[31]. - The total liabilities decreased by 5.10% to ¥550,222,979,374.09 from ¥579,787,232,518.31 at the end of the previous year[31]. - The equity attributable to shareholders of the parent company was ¥163,027,730,461.97, a slight decrease of 0.13% from ¥163,243,990,487.16 at the end of the previous year[31]. - The total equity decreased by 2.06% to ¥171,191,555,197.64 from ¥174,799,559,716.33 at the end of the previous year[31]. - The company achieved total revenue of CNY 8.86 billion in the reporting period, a decrease of 47.76% compared to CNY 16.97 billion in the same period last year[85]. - The net profit attributable to the parent company for the first half of 2024 was CNY 9.53 billion, with a weighted average return on net assets of 0.58%[83]. Dividend and Share Repurchase - The company reported a cash dividend distribution of RMB 0.3 per 10 shares, totaling RMB 389,613,765.99, which accounts for 40.88% of the net profit attributable to shareholders for the first half of 2024[6]. - The total amount for cash dividends and share repurchase reached RMB 692,666,997.79, representing 72.68% of the net profit attributable to shareholders for the first half of 2024[6]. - The company has implemented a share repurchase amounting to RMB 303,053,231.80 during the reporting period[6]. - For the first half of 2024, the company's consolidated net profit attributable to the parent company was RMB 953,097,368.84, with a proposed cash dividend of RMB 0.30 per 10 shares[137]. - The total amount of cash dividends proposed for the first half of 2024 is RMB 389,613,765.99, which accounts for 40.88% of the net profit attributable to the parent company[137]. - The company has implemented a share buyback amounting to RMB 303,053,231.80, which combined with the cash dividend totals RMB 692,666,997.79, representing 72.68% of the net profit for the first half of 2024[137]. Risk Management - The company emphasizes that its business is highly dependent on the overall economic and market conditions in China and other regions, which poses significant risks to its operating performance[8]. - The report includes a risk statement highlighting potential legal, compliance, credit, market, operational, liquidity, and reputational risks that could impact the company's performance[8]. - The company’s risk management framework effectively addresses various risks, ensuring compliance and promoting sustainable development[48]. - The company has established a risk management department led by the Chief Risk Officer to oversee risk management policies and procedures, ensuring compliance across all subsidiaries[106]. - The company has implemented a comprehensive compliance management framework, enhancing its compliance culture and ensuring adherence to regulations, with a focus on proactive compliance measures[107]. - The company has developed a robust anti-money laundering and counter-terrorism financing risk management system, improving monitoring and reporting capabilities through enhanced information technology support[109]. - The average maintenance guarantee ratio for margin financing clients is 251.01%, with the average performance guarantee ratio for repurchase agreement clients at 288.24%[112]. - The company has optimized its credit risk management system, enhancing risk identification and measurement capabilities through the establishment of a T+1 risk data mart[112]. - The company emphasizes a proactive approach to credit risk assessment, ensuring timely and standardized evaluations of client credit ratings[112]. - The company has established a vertical risk management system for subsidiaries, integrating risk management into the overall corporate governance framework[106]. Compliance and Governance - The board of directors and management have confirmed the accuracy and completeness of the financial report, which has not been audited[5]. - There are no non-operating fund occupations by controlling shareholders or related parties reported[7]. - The company has not violated any decision-making procedures in providing guarantees[7]. - The company confirmed compliance with the "Standard Code" for securities trading by all directors and supervisors from January 1, 2024, to June 30, 2024[129]. - The company has established a comprehensive related party transaction system, ensuring compliance with relevant laws and regulations[176]. - The company has engaged in ongoing related party transactions with Shanghai Guosheng Group, with a framework agreement in place for transactions from 2023 to 2025[176]. - The company has a total of 13,346 employees as of the end of the reporting period, with 8,182 in the parent company and 5,164 in subsidiaries[133]. - The company held a total of 27 meetings during the reporting period, including 1 shareholders' meeting, 7 board meetings, and 4 supervisory board meetings[140]. - As of June 30, 2024, the board consists of 11 members, including 3 executive directors and 4 independent non-executive directors, ensuring compliance with legal requirements[141]. - The supervisory board comprises 9 members, including 1 chairperson and 3 employee representatives, maintaining legal qualifications[142]. Environmental, Social, and Governance (ESG) - The company has been recognized in the "Top 100 ESG Listed Companies in China" by the Central Radio and Television Station in 2024, reflecting its commitment to ESG principles[150]. - The company has implemented green operational practices, including energy-saving measures and the establishment of a green data center, which was listed as a national green data center in 2023[151]. - The company issued 19 green bonds and green asset-backed securities, raising a total of 24.4 billion yuan[154]. - The company invested in 64 green bonds with a total investment scale of 3.8 billion yuan, including over 220 million yuan in equity investments in leading companies in power devices and photovoltaic equipment[154]. - The company achieved a reduction in total energy consumption by approximately 2.434 million kilowatt-hours across its headquarters and technology parks compared to the previous year[155]. - The company’s carbon emissions primarily stem from electricity and natural gas usage, with measures implemented to reduce emissions through green data center operations and low-carbon commuting[155]. - The company’s carbon neutrality theme fund reached a total scale of 454 million yuan by the end of the reporting period[154]. - The company actively participates in rural comprehensive assistance, enhancing local agricultural output and collective economic development[162]. - The company plans to deepen paired assistance mechanisms, optimizing financial, industrial, intellectual, consumption, and public welfare support models for higher quality development[162]. - The company continues to enhance its public welfare initiatives under the "Love in Haitong" concept, expanding its annual public welfare project list[162]. Legal Matters - The company is involved in a financial trust dispute with a claim amounting to RMB 5.15 billion[168]. - The company faces a lawsuit from Postal Savings Bank for RMB 5.27 billion due to a substantial default on an asset-backed plan[169]. - The company has a total of four ongoing cases in the execution stage, involving an aggregate amount of RMB 11.57 billion[169]. - There are ongoing significant lawsuits, including a claim for RMB 0.95 billion related to infringement liability and another for RMB 1.22 billion concerning property damage compensation[169]. - In April 2024, the company was fined a total of RMB 7,764,445.21, including the confiscation of illegal gains of RMB 789,445.21 and a fine of RMB 6,975,000 for violations related to stock subscription activities[171]. - The company received multiple regulatory warnings and corrective measures from various regulatory bodies in 2024, indicating issues with compliance and internal controls in different business areas[171][172]. Strategic Initiatives - The company has established a comprehensive financial service platform covering multiple sectors, enhancing its competitive edge[43]. - The company has a strong customer base with over 25 million clients both domestically and internationally[45]. - The company is actively involved in supporting green finance initiatives and has made significant contributions to the "carbon peak and carbon neutrality" goals[42]. - The company established a cross-border comprehensive financial service platform through the acquisition of Haitong International and Haitong Bank, enhancing its competitive edge in the Asia-Pacific region and strategic reserves in Europe and the Americas[46]. - The company maintained a strong capital position with net assets consistently ranking among the industry leaders, supported by strategic equity and bond financing initiatives[47]. - The wealth management client base reached 18.75 million, with managed client assets totaling CNY 2.61 trillion, reflecting a robust growth strategy focused on customer-centric services[54]. - The company plans to enhance its digital financial capabilities to meet social financial service needs and promote digital transformation[122]. - The investment banking segment will accelerate mergers and acquisitions and increase investment in industrial bonds and financial bonds[122]. - The company is committed to supporting the construction of a multi-level pension security system through various pension products[122]. - The private equity investment and direct investment lines will focus on key investment directions and explore opportunities in leading industries in Shanghai[122].

证券代码：600837 证券简称：海通证券 公告编号：临2024-054 海通证券股份有限公司 2024年中期利润分配方案公告 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： 拟每股派发现金红利人民币0.03元（税前）。 本次利润分配方案以实施权益分派股权登记日登记的总股本扣除公司回 购专用证券账户的股份为基数，具体日期将在权益分派实施公告中明确。 在批准2024年中期利润分配方案的董事会召开日后至实施权益分派的股 权登记日前公司总股本扣除公司回购专用证券账户的股份发生变动的，拟维持每 股分配比例不变，相应调整分配总额，并将另行公告具体调整情况。 本公告并非权益分派实施公告。利润分配的具体安排将另行在权益分派 实施公告中明确。 一、利润分配方案内容 截至2024年6月30日，海通证券股份有限公司（以下简称公司）母公司报表 中期末未分配利润为人民币36,622,356,278.95元。从股东利益和公司发展等综合 因素考虑，经公司第八届董事会第十二次会议决议，公司2024年中期利润分配 方案如下： 1、公司2024 ...

同意公司按《香港联合交易所有限公司证券上市规则》及国际财务报告准则 等要求编制的公司 2024 年中期报告及业绩公告（H 股）。 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 2024 年中期利润分配预案》 证券代码：600837 证券简称：海通证券 公告编号：临2024-052 海通证券股份有限公司 第八届董事会第十二次会议决议公告 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个别及连带责任。 海通证券股份有限公司（以下简称公司）第八届董事会第十二次会议通知于 2024 年 8 月 15 日以电子邮件和传真方式发出，会议于 2024 年 8 月 29 日在公司 召开。本次会议采用现场会议和电话会议相结合的方式召开，会议应到董事 11 人，实到董事 11 人。本次董事会由周杰董事长主持，9 位监事和财务总监、董事 会秘书、合规总监、首席风险官列席了会议，会议召集、召开及表决程序符合《中 华人民共和国公司法》《公司章程》和《公司董事会议事规则》 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-053 海通证券股份有限公司 第八届监事会第七次会议决议公告 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 司会计政策的相关规定，计提资产减值准备及核销资产依据充分，决策程序符合 有关法律法规和《公司章程》等规定，不存在损害公司及股东利益的情形。监事 会同意本次公司计提资产减值准备及核销资产事项。 表决结果：[9]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 1 三、审议通过了《公司 2024 年上半年集团风险评估报告》 本公司及监事会全体成员保证公告内容的真实、准确和完整，对公告的虚假记载、误 导性陈述或重大遗漏负连带责任。 海通证券股份有限公司（以下简称公司）第八届监事会第七次会议通知于 2024 年 8 月 15 日以电子邮件和传真的方式发出，会议于 2024 年 8 月 29 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、首席风 险官列席了会议。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 ...

2024 半年度报告 海通证券股份有限公司 重要提示 一、 本公司董事会、监事会及董事、监事、高级管理人员保证半年度报告内容的真实性、准确性、完整性， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 四、 公司负责人周杰、主管会计工作负责人张信军及会计机构负责人（会计主管人员）马中声明：保证半 年度报告中财务报告的真实、准确、完整。除特别说明外，本报告所列数据以人民币为单位。 五、 董事会决议通过的本报告期利润分配预案或公积金转增股本预案 公司 2024 年中期利润分配采用现金分红的方式，以 2024 年中期分红派息股权登记日登记的 总股本扣除公司回购专用证券账户的股份为基数，每 10 股分配现金红利人民币 0.3 元（含税）。若 以审议 2024 年中期利润分配预案的董事会召开日公司总股本 13,064,200,000 股扣除公司回购专 用证券账户的股份 77,074,467 股，即 12,987,125,533 股为基数计算，分配现金红利总额为人民币 389,613,765.99 元，占 2024 年 1-6 月合并口径归属于母公司股东净利润的 40.88%；公司 2024 年 1-6 ...

Financial Data and Key Indicator Changes - The report highlights a significant increase in the number of companies facing delisting risk due to non-compliance with disclosure regulations, with 28% of such companies delisted since 2021 [10][12] - Companies under risk warning due to non-compliance have shown poor stock performance, with an average excess return of -7% relative to the market within a week of the warning [6][66] Business Line Data and Key Indicator Changes - The report does not provide specific data on individual business lines, focusing instead on overall compliance and risk indicators across the market [1][2] Market Data and Key Indicator Changes - The average excess return for stocks under risk warning due to non-compliance has been consistently negative, with a decline of -29.42% over a quarter following the warning [20][66] - The report indicates that stocks facing major disclosure defects have an average excess return of -4.5% after a quarter [27][66] Company Strategy and Development Direction and Industry Competition - The report emphasizes the importance of compliance with disclosure regulations and internal controls as a strategy to mitigate risks associated with delisting [1][2] - Companies are encouraged to improve their internal control systems to avoid being flagged for non-compliance, which can lead to significant financial repercussions [32][34] Management's Comments on Operating Environment and Future Outlook - The management comments indicate a challenging operating environment, with increased scrutiny from regulatory bodies leading to a higher incidence of risk warnings [1][2] - The future outlook suggests that companies must prioritize compliance to avoid the negative impacts of risk warnings on their stock performance [66] Other Important Information - The report outlines various types of risk warnings, including non-compliance with disclosure, internal control issues, and company restructuring, which can lead to significant market consequences [1][2][5] - A total of 21 companies have been flagged due to frozen bank accounts, indicating a growing concern over liquidity and operational stability [56][57] Summary of Q&A Session Questions and Answers - The report does not include a Q&A session, focusing instead on summarizing the findings related to risk warnings and compliance issues [1][2][5]

董事長 周杰 中國‧上海 2024年8月15日 於本公告日期，本公司執行董事為周杰先生、李軍先生、韓建新先生；本公司非 執行董事為屠旋旋先生、石磊先生、肖荷花女士及許建國先生；本公司獨立非執 行董事為范仁達先生、毛付根先生、毛惠剛先生及周宇先生。 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通知的內容概不負責，對其準確性 或完整性亦不發表任何聲明，並明確表示，概不對因本通知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。 （在中華人民共和國註冊成立之股份有限公司） （股份代號：6837） 董事會會議通知 海通證券股份有限公司（「本公司」）董事會（「董事會」）謹此宣佈，本公司將於 2024年8月29日（星期四）舉行董事會會議，以考慮及批准（其中包括）本集團（包 括本公司及其附屬公司）截至2024年6月30日止六個月之中期業績，並考慮建議派 發中期股息（如有）。 承董事會命 海通證券股份有限公司 * 僅供識別 ...