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3日 FF304 | 第一章節 | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | | 1. 股份分類 | 普通股 | 股份類別 | A | 於香港聯交所上市(註11) | 否 | | | | 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2日 | | | | | | | 1). | 購回股份(或其他證券)但沒有 ...

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3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4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 | 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 | | 於 ...

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2日 | 第一章節 | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | | 1. 股份分類 | 普通股 | 股份類別 | A | 於香港聯交所上市(註11) | 否 | | | | 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) | | | | | | 於下列日期開始時的結存(註2) | 2024年4月1日 | 9,654,631,180 | | | | | | | 1). | 購回股份(或其他證券)但沒有 ...

证券代码：600837 证券简称：海通证券 公告编号：临2024-020 2024 年 1 月 30 日，海通证券股份有限公司（以下简称公司）召开第八届董 事会第三次会议（临时会议），审议通过了《关于以集中竞价交易方式回购公司 A 股股份方案的议案》。本次回购 A 股股份方案的具体内容详见公司于 2024 年 1 月 31 日披露的《关于以集中竞价交易方式回购公司 A 股股份方案的公告》（公 告编号：临 2024-005）。 公司现将本次回购的进展情况公告如下： 海通证券股份有限公司关于以集中竞价交易方式 回购公司 A 股股份的回购进展公告 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个别及连带责任。 特此公告。 海通证券股份有限公司董事会 2024 年 4 月 2 日 截至 2024 年 3 月 29 日，公司通过集中竞价交易方式已累计回购 A 股股份 19,320,500 股，占公司总股本的比例为 0.1479%，购买的最高价为人民币 9.12 元/股，最低价为人民币 8.18 元/股，已支付的总金额为人民币 167,840,50 ...

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1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3月22日 | | | | | | | 1). | 購回股份(或其他證券)但沒 ...

Financial Performance - The company's operating revenue for 2023 was approximately RMB 22.95 billion, a decrease of 11.54% compared to RMB 25.95 billion in 2022[50]. - The net profit attributable to shareholders for 2023 was approximately RMB 1.01 billion, down 84.59% from RMB 6.55 billion in 2022[50]. - The net cash flow from operating activities for 2023 was approximately RMB 3.05 billion, a decline of 65.38% compared to RMB 8.82 billion in 2022[50]. - The total assets at the end of 2023 were approximately RMB 754.59 billion, a slight increase of 0.13% from RMB 753.61 billion at the end of 2022[50]. - The total liabilities at the end of 2023 were approximately RMB 579.79 billion, an increase of 0.66% from RMB 575.99 billion at the end of 2022[50]. - The 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 company's cash and cash equivalents decreased by 9.99% from CNY 158.58 billion to CNY 142.73 billion[59]. - The net interest income fell by 34.16% to CNY 4.09 billion from CNY 6.21 billion[60]. - The investment income increased by 130.60% to CNY 6.48 billion from CNY 2.81 billion[60]. - The net income from fees and commissions decreased by 19.27% to CNY 9.35 billion[60]. - The company reported a comprehensive income total of CNY -183.56 million, a decline of 103.63% compared to the previous year[60]. Shareholder Returns - The company plans to distribute a cash dividend of 1.00 RMB per 10 shares, totaling approximately 1.3 billion RMB, which accounts for 128.96% of the net profit attributable to shareholders for 2023[8]. - The company has repurchased shares totaling nearly 600 million RMB, positively impacting shareholder confidence and stabilizing market expectations[16]. Client and Market Engagement - As of the end of 2023, the company has served over 24 million clients, enhancing its comprehensive financial service capabilities[14]. - In 2023, the company's wealth management client base grew to 18.09 million, an increase of 6.20% year-over-year, with managed client assets reaching CNY 3 trillion, up 0.60% from the previous year[66]. - The company's total trading volume for stocks was CNY 12.50 trillion, down 8.60% from CNY 13.68 trillion in the previous year, while fund trading volume increased to CNY 3.50 trillion, up 3.52%[67]. - The company signed strategic cooperation agreements with over 80 government and enterprise partners to enhance regional coverage and service capabilities[68]. Innovation and Product Development - The company has successfully issued multiple market-first products, including the first "green + low-carbon transition-linked" asset-backed securities in the country[13]. - The company is advancing its digital transformation with the goal of building a "Digital Haitong 2.0" platform, focusing on agile, platform-based, intelligent, and ecological financial technology[15]. - The company launched new structured products for high-net-worth clients, enhancing investment options and risk management strategies[73]. - The company launched the first vertical large model in the industry, "Pan Hai Yan Dao," enhancing financial services through advanced AI technologies[138]. Regulatory Compliance and Risk Management - The company is committed to strengthening compliance and risk management in response to increased regulatory scrutiny[17]. - The company has established a comprehensive risk management system, including a performance assessment framework for risk management effectiveness and a complete information technology system for data quality control[147]. - The company has identified various risks including compliance risk, money laundering and terrorist financing risk, credit risk, market risk, operational risk, liquidity risk, and reputation risk[149]. - The company has strengthened its compliance management framework, designating 2023 as the "Compliance Internal Control Culture Consolidation Year" to enhance compliance practices[151]. Strategic Initiatives and Future Outlook - The company emphasizes the importance of deepening reforms to drive high-quality development amidst a challenging external environment[17]. - The company aims to enhance its role as a service provider for direct financing and a gatekeeper for the capital market[17]. - The company plans to explore a collaborative operational model integrating investment banking, investment, and research[17]. - The company is focusing on supporting advanced manufacturing, digital economy, green development, and technology innovation as key business transformation directions[99]. - The company is committed to improving its asset quality and risk management capabilities in its leasing services, while promoting inclusive finance[144]. Organizational Structure and Governance - The company has a transparent governance structure with a clear separation of powers among the shareholders' meeting, board of directors, and supervisory board[177]. - The company completed the election of the eighth board of directors on October 12, 2023, consisting of 11 members, including 3 executive directors, 4 non-executive directors, and 4 independent non-executive directors[198]. - The company has emphasized the importance of compliance and risk management in its operations, appointing a new Chief Risk Officer in June 2023[197]. - The company has established a dedicated human resources department, ensuring independent personnel management and compliance with legal procedures for appointing directors and senior management[179].

Investment Rating - The report maintains an "Outperform" rating for the company [5] Core Views - The company reported a significant decline in revenue and net profit for 2023, with revenue at 22.953 billion yuan, down 11.5% year-on-year, and a net profit of 1.008 billion yuan, down 85% year-on-year [5][6] - The decline in performance is attributed to credit and impairment losses, which heavily impacted earnings [5] - Despite the challenges, the company has shown growth in new client asset scale and maintained a strong position in the equity underwriting market [5] Summary by Sections Financial Performance - In 2023, the company achieved a revenue of 22.953 billion yuan, a decrease of 11.5% year-on-year, and a net profit of 1.008 billion yuan, down 85% year-on-year [5][6] - The fourth quarter of 2023 saw a drastic drop in revenue to 0.38 billion yuan, down 95% year-on-year and 93% quarter-on-quarter, with a net loss of 3.35 billion yuan [5] - The return on equity (ROE) for the year was 0.61%, a decrease of 3.38 percentage points year-on-year [5] Revenue Breakdown - The company's main revenue sources in 2023 included brokerage (3.83 billion yuan, -18%), investment banking (3.42 billion yuan, -18%), asset management (1.91 billion yuan, -15%), net interest income (4.09 billion yuan, -34%), and net investment income (0.14 billion yuan, turning from loss to profit) [5] - Investment income positively contributed to the main revenue, while credit business negatively impacted it [5] Client Growth and Market Position - The company opened 1.1 million new client accounts in 2023, with new client assets totaling 259.2 billion yuan, a year-on-year increase of 31% [5] - The company’s market share in stock trading decreased to 3.32%, down 12 basis points year-on-year, with a trading volume of 16 trillion yuan, down 6.2% year-on-year [5] Asset Management and Fund Performance - The company’s asset management division reported a profit contribution of 0.98 billion yuan, down 20% year-on-year, with a total asset under management (AUM) of 1,025 billion yuan, up 10% year-on-year [5] - The company’s fund management subsidiary, HFT Fund, maintained a strong position with an AUM of 571.1 billion yuan, ranking fifth in the industry [5] Investment Banking Performance - The company achieved an IPO underwriting volume of 46.6 billion yuan in 2023, up 30% year-on-year, with a market share of 13% [5] - The company also reported a significant increase in debt financing, with a total of 484.7 billion yuan, up 48% year-on-year [5] Future Outlook - The report projects a recovery in net profit for 2024, estimating it at 4.148 billion yuan, representing a year-on-year increase of 311.5% [6] - The target price for the company's stock is set at 9.82 yuan per share, indicating a potential upside of 13% from the current price [5]

Financial Performance - Total revenue for 2023 was RMB 41,765,123, a decrease of 0.51% compared to RMB 41,980,221 in 2022[52]. - Profit before tax dropped significantly to RMB 1,565,875, down 80.42% from RMB 7,999,036 in the previous year[52]. - Net profit attributable to shareholders was RMB 1,008,406, reflecting an 84.59% decline from RMB 6,545,347 in 2022[52]. - Cash flow from operating activities decreased by 16.25% to RMB 14,902,043 from RMB 17,793,023 in 2022[52]. - Total assets as of December 31, 2023, were RMB 754,586,792, a slight increase of 0.13% from RMB 753,609,305 in 2022[53]. - Total liabilities rose to RMB 579,787,233, marking a 0.66% increase from RMB 575,987,247 in the previous year[53]. - The company's debt-to-asset ratio increased to 73.03%, up 0.87 percentage points from 72.16% in 2022[53]. - Basic earnings per share decreased to RMB 0.08, down 84.00% from RMB 0.50 in 2022[52]. - The company's net capital as of December 31, 2023, was approximately RMB 80.84 billion, down from RMB 93.82 billion in the previous year[60]. Client and Market Expansion - As of the end of 2023, the company has served over 24 million clients, reflecting a significant expansion in its customer base[8]. - The company reported a significant increase in user engagement, reflecting a growing customer base in its financial services[27]. - The company opened 1.1 million new client accounts in 2023, with new client assets amounting to RMB 259.2 billion, representing a 30.91% year-on-year growth[66]. - The number of wealth management clients increased by 6.20% to 18.09 million, with total assets under custody reaching RMB 3.0 trillion, a 0.60% increase[66]. - As of the end of 2023, the company has added over RMB 170 billion in corporate client assets, with 785 new corporate clients[68]. Product and Service Innovation - The company has successfully issued multiple market-first products, including the first "green + low-carbon transition-linked" asset securitization product in the country, demonstrating its commitment to innovation and green finance[6]. - The company has optimized its wealth management transformation, focusing on enhancing comprehensive financial service capabilities for clients throughout their lifecycle[8]. - The company is committed to continuous innovation in financial products, aiming to meet evolving market demands[27]. - The company launched a comprehensive service system for off-market funds, enhancing customer investment experience[71]. - The company has established a structured governance framework in compliance with relevant laws and regulations[36]. Risk Management and Compliance - The company has established a comprehensive risk management framework to address potential operational challenges[19]. - The company is committed to enhancing compliance and risk management frameworks to adapt to the evolving regulatory environment[12]. - The company has implemented a compliance management framework to enhance compliance monitoring and accountability, designating 2023 as the "Compliance Internal Control Culture Consolidation Year"[155]. - The company has identified major risks including compliance risk, money laundering and terrorist financing risk, credit risk, market risk, operational risk, liquidity risk, and reputation risk[153]. - The company has implemented a dynamic risk control indicator monitoring platform to ensure compliance with regulatory requirements for risk control indicators[176]. Social Responsibility and Community Engagement - The company has maintained a strong commitment to social responsibility and has integrated its operations with national strategic development[5]. - The company donated approximately RMB 16.56 million for public welfare activities throughout the year, including support for earthquake relief efforts in Gansu[11]. - The company has established a public welfare foundation to further its community support initiatives[11]. - The company has been recognized with an MSCI ESG rating of A for two consecutive years, highlighting its commitment to social responsibility[11]. Strategic Initiatives and Future Plans - The company aims to enhance its organizational structure and optimize its wealth management and trading lines, maintaining industry leadership in equity financing[11]. - The company plans to strengthen its role as a service provider in direct financing and as a gatekeeper of the capital market[14]. - The company is focused on deepening reforms to drive high-quality development, emphasizing a customer-centric business system[12]. - The company aims to strengthen its core capabilities in capital management, investment banking, asset management, institutional brokerage, and wealth management to become a leading modern financial services enterprise[146]. - The company plans to explore a collaborative operational model between investment banking, investment, and research to better serve the real economy in 2024[147]. Financial Technology and Digital Transformation - The company is accelerating the application of financial technology, targeting the construction of a "Digital Haitong 2.0" platform[11]. - The company has focused on enhancing digital financial platforms and expanding its network in key cities to improve service quality and client engagement[66]. - Total information technology investment amounted to RMB 24.13 billion in 2023, with RMB 15.21 billion allocated to the parent company for upgrading core trading systems and digital transformation initiatives[175]. Governance and Organizational Structure - The governance structure includes a separation of powers among the shareholders' meeting, board of directors, supervisory board, and management, ensuring compliance and transparency[198]. - The company has a clear organizational structure with defined responsibilities among its governance bodies[36]. - The company has established a risk management department led by the Chief Risk Officer to oversee risk management policies and procedures[152].

证券代码：600837 证券简称：海通证券 公告编号：临2024-015 海通证券股份有限公司 第八届监事会第四次会议决议公告 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。 海通证券股份有限公司（以下简称公司）第八届监事会第四次会议通知于 2024 年 3 月 14 日以电子邮件和传真的方式发出，会议于 2024 年 3 月 28 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。会议的召集、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》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 2023 年年度报告》（A+H 股） 同意公司按中国境内相关法律法规及中国企业会计准则等要求编制的公司 2023 年年度报告全文及摘要（A 股）。 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 2023 年年度报告及业绩公告（H 股） ...

公司代码：600837 公司简称：海通证券 海通证券股份有限公司 2023 年度内部控制评价报告 海通证券股份有限公司全体股东： 根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制监管要求（以下简称企业内部 控制规范体系），结合本公司（以下简称公司）内部控制制度和评价办法，在内部控制日常监督和专项 监督的基础上，我们对公司2023年12月31日（内部控制评价报告基准日）的内部控制有效性进行了评价。 一. 重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其有效性，并如实披露内 部控制评价报告是公司董事会的责任。监事会对董事会建立和实施内部控制进行监督。经理层负责组织 领导企业内部控制的日常运行。公司董事会、监事会及董事、监事、高级管理人员保证本报告内容不存 在任何虚假记载、误导性陈述或重大遗漏，并对报告内容的真实性、准确性和完整性承担个别及连带法 律责任。 公司内部控制的目标是合理保证经营管理合法合规、资产安全、财务报告及相关信息真实完整，提 高经营效率和效果，促进实现发展战略。由于内部控制存在的固有局限性，故仅能为实现上述目标提供 合理保证。此外，由于情况的变化可能导致内部 ...