证券代码：600837 证券简称：海通证券 公告编号：临 2024-026 海通证券股份有限公司 2024 年度"提质增效重回报"行动方案 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。 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。具体如下： 一、坚守金融本源，充分发挥功能性作用 公司始终践行金融报国、金融为民的发展理念，紧抓服务国家战略和实体经 济主线，积极推进"投、融、保、研、招"与财富管理各环节协同发力，强化金 融资源配置功能，做好科技金融等"五篇大文章"，持续强化证券公司的"功能 性"定位，发挥好直接融资"服务商"、资本市场"看门人"、社会财富"管理 者"的作用，推动服务实体经济提质增效。 2024 年，公司将坚持功能性 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-024 海通证券股份有限公司 第八届监事会第五次会议决议公告 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。 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》 具体内容请见本公司于同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计提资产减值准备及核销资产的公告》。 表决结果：[9]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 特此公告。 海通证券股份有限公司监事会 2024 年 4 月 26 日 海通证券股份有限公司（以下简称公司）第八届监事会第五次会议通知于 2024 年 4 月 12 日以电子邮件和传真的方式发出，会议于 2024 年 4 月 26 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。 会议的召集、召开及表决程序符合《中华人民共和国公司法》 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-028 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 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）第八届董事会第五次会议和第八 届监事会第五次会议于 2024 年 4 月 26 日以现场会议加电话会议的方式召开， 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： 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 3 月 31 日的各项需要计提减值的资产进行了评估,并对截至 2024 年 3 月 31 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 1-3 月计提信用减值损失人民币 26,139.28 万元，冲回其他资 产减值损失人民币 189.16 万元，合计计提资产减值损失人民币 25,950.12 万 元，对净利润的影响超过公司 2023 年度经审计净利润的 10%。 单位：人民币万元 | 2 ...

（一）获得补助概况 海通证券股份有限公司（以下简称公司）及子公司 2024 年 1-3 月累计获得 与收益相关的政府补助合计人民币 46,151 万元，占公司最近一期经审计净利 润的 45.77%。 （二）补助具体情况 单位：人民币万元 证券代码：600837 证券简称：海通证券 公告编号：临2024-027 海通证券股份有限公司 关于获得政府补助的公告 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法律责任。 重要内容提示： 一、获得补助的基本情况 二、补助的类型及其对上市公司的影响 2 公司参照《企业会计准则第 16 号——政府补助》的有关规定，将与收益相 关的政府补助计入当期损益，预计增加公司 2024 年度净利润约人民币 33,224 万元。上述政府补助数据未经审计，具体会计处理以及对公司相关财务数据的 影响最终以 2024 年年度审计确认后的结果为准，敬请广大投资者注意投资风 险。 特此公告。 海通证券股份有限公司 2024 年 4 月 26 日 | 序号 | 获得时间 | 补助类型 | 补助金额 | 占公司最近一期经审计 净 ...

Financial Performance - The company's operating revenue for Q1 2024 was CNY 4,761,703,435.99, representing a decrease of 44.11% compared to the same period last year[4] - The net profit attributable to shareholders for Q1 2024 was CNY 911,298,865.24, down 62.56% year-on-year[4] - The net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 527,329,111.74, a decline of 71.53% compared to the previous year[4] - The basic and diluted earnings per share for Q1 2024 were both CNY 0.07, reflecting a decrease of 63.16% year-on-year[4] - Total operating revenue for Q1 2024 was CNY 4,761,703,435.99, a decrease of 44.5% from CNY 8,520,170,580.48 in Q1 2023[18] - Net profit attributable to shareholders of the parent company was CNY 911,298,865.24, a decrease of 62.6% compared to CNY 2,433,770,742.35 in Q1 2023[20] - The company reported a total profit of CNY 1,418,427,129.04 for Q1 2024, down from CNY 3,346,016,344.03 in the same period last year[20] - Net profit for Q1 2024 was CNY 1,808,499,919.00, a slight decrease of 3.23% from CNY 1,869,038,254.61 in Q1 2023[27] - Comprehensive income for Q1 2024 was CNY 2,174,835,800.35, a decrease of 2.32% from CNY 2,226,093,190.54 in Q1 2023[27] Assets and Liabilities - The total assets at the end of Q1 2024 were CNY 713,945,450,149.57, down 5.39% from the end of the previous year[5] - The company's total assets decreased to CNY 713,945,450,149.57 from CNY 754,586,792,234.64, a decline of 5.4%[18] - Total liabilities decreased to CNY 541,299,914,881.84 from CNY 579,787,232,518.31, a reduction of 6.6%[18] - The total liabilities decreased to CNY 308,084,455,383.74 from CNY 344,239,296,806.33, reflecting a reduction of 10.54%[25] - The company's total liabilities as of March 31, 2024, were not explicitly stated but can be inferred from the cash flow and asset changes[24] Cash Flow - The net cash flow from operating activities was negative at CNY -6,923,972,193.49, indicating a significant cash outflow[4] - Net cash flow from operating activities for Q1 2024 was -6,923,972,193.49 RMB, compared to -377,112,384.85 RMB in Q1 2023, indicating a significant decline[22] - In Q1 2024, the net cash flow from operating activities was -14.20 billion RMB, a significant decrease compared to 21.51 million RMB in Q1 2023[28] - Total cash inflow from operating activities reached 27.80 billion RMB, while cash outflow was 42.00 billion RMB, resulting in a net cash outflow of 14.20 billion RMB[28] - The net cash flow from financing activities was -1,013,978,808.92 RMB in Q1 2024, down from 7,748,270,275.15 RMB in Q1 2023, reflecting a decrease in financing activities[23] - The net cash flow from financing activities was 4.21 billion RMB, down from 5.93 billion RMB in the previous year[30] Investment Income - Investment income for Q1 2024 was CNY 528,842,688.61, a decrease of 74.56% compared to CNY 2,078,916,517.40 in the same period last year[10] - Investment income for Q1 2024 was CNY 528,842,688.61, significantly lower than CNY 2,078,916,517.40 in Q1 2023[18] - Investment income dropped significantly to CNY 117,060,871.00, down 91.66% from CNY 1,406,018,177.28 year-over-year[26] Equity and Shareholder Information - The equity attributable to shareholders increased slightly to CNY 164,496,425,733.86, a rise of 0.77% compared to the end of the previous year[5] - Total equity attributable to shareholders of the parent company increased to CNY 164,496,425,733.86 from CNY 163,243,990,487.16, an increase of 0.8%[18] - Total equity increased to CNY 155,278,150,674.05 from CNY 153,271,166,148.86, marking a growth of 1.31%[25] Other Financial Metrics - The company reported a significant increase in fair value changes with a gain of CNY 578,199,582.87, up 283.01% year-on-year[10] - The company reported a significant increase in cash received from investment recoveries, totaling 27,310,573,696.05 RMB in Q1 2024, compared to 5,434,048,035.81 RMB in Q1 2023[22] - The company reported a significant increase in cash received from investment recoveries, totaling 25.87 billion RMB, compared to 4.70 billion RMB in Q1 2023[28]

Core Viewpoint - Haitong Securities has received a notice of administrative penalty from the China Securities Regulatory Commission (CSRC) regarding violations related to stock transfer restrictions involving key individuals and companies [1][5]. Summary by Sections Investigation Findings - The investigation revealed that Wang Zelong and others engaged in a series of transactions that effectively allowed them to participate in a non-public stock issuance while circumventing the lock-up period [1][4]. - The transactions involved recommending a derivative trading scheme that enabled early profit realization from a non-public stock issuance [1][2]. Transaction Details - From July to August 2022, CITIC Zhongzheng recommended a plan for Wang Zelong to engage in arbitrage through a non-public stock issuance of Zhonghe Titanium White Co., Ltd. [1][2]. - The plan involved borrowing shares from an employee stock ownership plan and executing derivative trades to lock in profits before the lock-up period ended [1][2]. Financial Outcomes - Wang Zelong ultimately realized a profit of approximately RMB 58.16 million, while other participants also gained significant profits through the scheme [4][5]. - The total illegal gains from the transactions amounted to RMB 77.53 million, which will be confiscated as part of the penalties [5][6]. Penalties and Legal Consequences - The CSRC proposed fines totaling RMB 120 million for the involved parties, with specific allocations based on their roles in the violations [5][6]. - Wang Zelong faces an additional fine of RMB 2 million for failing to disclose his participation in the non-public issuance [6]. Company Response - Haitong Securities has acknowledged the penalties and committed to improving compliance and internal control mechanisms to prevent future violations [7].

2022 年 9 月，王泽龙决定实施定增套利，通过中核钛白员工持股计划定向 出借券源，并以某投资发展有限公司（以下简称某投资公司）名义与中信中证开 展场外衍生品交易。韩雨辰具体执行套利方案，负责对接中信中证和中信证券。 证券代码：600837 证券简称：海通证券 公告编号：临2024-022 海通证券股份有限公司关于收到 中国证券监督管理委员会行政处罚事先告知书的公告 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。 海通证券股份有限公司（以下简称公司或海通证券）于 2024 年 4 月 12 日收 到中国证券监督管理委员会（以下简称中国证监会）《立案告知书》（证监立案字 03720240050 号）。详见公司日期为 2024 年 4 月 12 日的公告，公告编号：临 2024- 021。 2024 年 4 月 19 日，公司收到了中国证监会《行政处罚事先告知书》（处罚 字〔2024〕56 号），原文内容如下： 王泽龙、洪浩炜、中信中证资本管理有限公司（以下简称中信中证）、中信 证券股份有限公司（以下简称中信证券）、海通证 ...

FF304 翌日披露報表 (股份發行人 ── 已發行股本變動及/或股份購回) 表格類別： 股票 狀態： 新提交 公司名稱： 海通證券股份有限公司 呈交日期： 2024年4月19日 | 第一章節 | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | | A | 否 | 1. 股份分類 | 普通股 | 股份類別 | 於香港聯交所上市(註11) | | | | 於上海證券交易所上市 | 證券代號 (如於香港聯交所上市) | 說明 | | | | | | | 已發行股份佔 | 有關股份發行前的 | 上一個營業日 | 發行價較市值的折讓/ | | | | | | 發行股份 | 每股發行價 | 股份數目 | 現有已發行股份數目 | 的每股收市價 | 溢價幅度(百分比) | (註6及7) | (註1及7) | | 百分比 | (註5) | (註7) | (註4、6及7) | | | | | | 9,654,631,180 | 於下列日期開始時的結存(註2) | 2024年4月17日 | | | | | | | 1). | 購回股份(或其他證券)但 ...

Financial Performance - Total revenue for 2023 was RMB 41,765.12 million, a decrease of 0.51% compared to RMB 41,980.22 million in 2022[51]. - Profit before tax for 2023 was RMB 1,565.88 million, down 80.42% from RMB 7,999.04 million in 2022[51]. - Net profit attributable to shareholders for 2023 was RMB 1,008.41 million, a decline of 84.59% from RMB 6,545.35 million in 2022[51]. - Cash flow from operating activities for 2023 was RMB 14,902.04 million, a decrease of 16.25% compared to RMB 17,793.02 million in 2022[51]. - Basic earnings per share for 2023 were RMB 0.08, down 84.00% from RMB 0.50 in 2022[51]. - The weighted average return on equity for 2023 was 0.61%, a decrease of 3.38 percentage points from 3.99% in 2022[51]. - The net income for the asset management business in the reporting period was RMB 36.418 billion, a decrease from RMB 39.690 billion in the same period last year, reflecting a decline of approximately 5.7%[90]. - The wealth management business generated revenue of RMB 14.37 billion, a decrease of RMB 885 million or 5.80% year-on-year, mainly due to reduced securities brokerage income[122]. - The investment banking business reported revenue of RMB 4.34 billion, down RMB 306 million or 6.59% year-on-year, primarily due to a decline in IPO financing amounts[122]. - The trading and institutional services business saw revenue increase to RMB 5.32 billion, up RMB 851 million or 19.06% year-on-year, driven by market volatility[122]. Dividends and Shareholder Returns - The company plans to distribute a cash dividend of RMB 1.00 per share, totaling RMB 1,300,454,163.30, which accounts for 128.96% of the net profit attributable to shareholders for 2023[2]. - The company repurchased nearly RMB 600 million worth of A-shares, positively impacting shareholder confidence and stabilizing market expectations[8]. Customer Base and Market Position - As of the end of 2023, the company has served over 24 million clients, reflecting a strong customer base[6]. - The company has maintained a leading position in equity financing business, showcasing its professional advantages in the industry[7]. - The company has cumulatively assisted nearly 60 enterprises in listing on the Sci-Tech Innovation Board, ranking second in total fundraising scale in the market[5]. - The company is focused on building a customer-centric business system and a management system centered on service operations[9]. Digital Transformation and Innovation - The company is advancing its digital transformation with the goal of building a "Digital Haitong 2.0" platform, emphasizing agility, platformization, and intelligence[7]. - The company launched several innovative financial products, including the first offshore bond in the Shanghai Free Trade Zone and a green asset-backed security project, contributing to its recognition in the industry[149][150]. - The company launched the industry's first vertical large model "Fan Hai Yan Dao" in 2023, enhancing financial services through intelligent applications such as smart Q&A and research reports[151]. Risk Management and Compliance - The company emphasizes compliance and risk management, reinforcing its internal control foundation amid a tightening regulatory environment[9]. - The company has established a multi-level risk management organizational structure, clearly defining responsibilities across the board, supervisory committee, management, chief risk officer, and various departments and subsidiaries[161]. - The company faces various risks including compliance risk, money laundering and terrorist financing risk, credit risk, market risk, operational risk, liquidity risk, and reputation risk, with specific measures in place to address these[166]. - The company has implemented a strategy to enhance compliance management, focusing on system construction, mechanism development, team building, and system upgrades[170]. Asset Management and Investment Strategy - The total asset management scale of the group reached nearly RMB 2 trillion by the end of 2023, reflecting a strategic focus on high-quality development in asset management[85]. - The private equity investment fund added 52 new investment projects in 2023, with a total investment amount of RMB 3.1 billion, while the total number of managed funds increased to 63, up from 55 at the end of the previous year[93]. - The company has focused on high credit rating assets in its investment strategy to control concentration risk[174]. Corporate Governance and Structure - The company has established a scientific and standardized corporate governance structure, ensuring clear responsibilities among the board of directors, supervisory board, and management[35]. - The company has a strong presence in both A-shares and H-shares markets, listed on Shanghai Stock Exchange (600837) and Hong Kong Stock Exchange (6837)[27]. - The company has established a comprehensive network for information disclosure, ensuring transparency and compliance with regulatory requirements[27]. Social Responsibility and Public Welfare - The company donated approximately RMB 16.56 million for public welfare activities throughout the year, including support for earthquake relief efforts in Gansu[8]. - The company established the "Love in Haitong" public welfare foundation to lead various charitable initiatives[8]. Future Outlook and Strategic Goals - The company aims to strengthen its financial resource allocation function to support the real economy and promote high-quality development[5]. - The company anticipates further industry concentration and supports securities firms in achieving growth through innovation and mergers[153]. - In 2024, the company plans to enhance its investment banking services to provide high-quality direct financing for the real economy[157].

以下为晚报正文： 1、央行最新发声 谈M2突破300万亿、货币政策 重要程度：★★★★★ 国新办举行新闻发布会，央行、外汇局介绍2024年一季度金融运行和外汇收支情况，并答记者问。具体内容如下： ①央行：未来货币政策还有空间，将密切观察政策效果、用好储备政策; ②央行：对保持人民币汇率基本稳定的目标和决心不会变; ③央行谈M2突破300万亿元：不宜做简单同期比较，将加强资金空转监测; ④外汇局：外资今年一季度净增持我国债券416亿美元; ⑤外汇局：一季度跨境资金小幅净流入，银行结售汇小幅逆差。 2、华为发声!鸿蒙今年最关键 产业链一览 重要程度：★★★★ 第21届华为分析师大会在深圳开幕。华为副董事长、轮值董事长徐直军在大会上重点强调了5G-A、大模型以及新能源的机会，并表示打造鸿蒙原生应用生 态，这是华为2024年最关键的事情。 海通证券指出，鸿蒙生态逐渐发展壮大，建议重点关注以下原生鸿蒙&开源鸿蒙产业链标的： 华为鸿蒙深度合作伙伴：开源鸿蒙社区共建工作量前10，包括中国软件国际、软通动力、润和软件、拓维信息、九联科技、中科创达等。 细分垂直领域鸿蒙生态参与者：新大陆、新国都、捷顺科技、东方中科、智微智能、 ...