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) FF304 備註： 已發行股份佔有關股份發行前的現有已發行股份數目百分比是依據本公司全部已發行股份總數13,064,200,000 股 (包括3,409,568,820股 H 類普通股及 9,654,631,180股A 類普通股)計算。本公司於2023年9月7日並未購回任何H 類普通股。 第 2 頁 共 5 頁 v 1.2.5 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： 2023年9月7日 | 第一章節 | | | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 1. 股份分類 | 否 | 普通股 | | | 股份類別 A | | | 於香港聯交所上市(註11) | | | 證券代號 (如於香港聯交所上市) | | | | 於上海證券交易所上市 | 說明 | | | | | | 發行股份 | | (註6及7) | | | 股份數目 | 已發行股份佔 有關股份發行前的 現有已發行股份數目 百分 ...

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： 2023年9月6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 | | | 證券代號 (如於香港聯交所上市) | | 說明 | 於上海證券交易所上市 | | | | | | 發行股份 (註6及7) | 股份數目 | 已發行股份佔 有關股份發行前的 現有已發行股份數目 百分比 (註4、6及7) | 每股發行價 (註1及7) | 上一個營業日 的每股收市價 (註5) | 發行價較市值的折讓/ 溢價幅度(百分比) (註7) | | 於下列日期開始時的結存(註2) | 2023年9月5日 | 9,654,631,180 | | | | | | 1). 變動日期 | 購回股份(或其他證券)但沒有註銷 2023年9月4日 | 8,000,000 | 0.0612 % | | | % | | ...

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： 2023年9月5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 | | | 證券代號 (如於香港聯交所上市) | | 說明 | 於上海證券交易所上市 | | | | | | 發行股份 | (註6及7) | 股份數目 | | 已發行股份佔 有關股份發行前的 現有已發行股份數目 百分比 (註4、6及7) | 每股發行價 (註1及7) | 上一個營業日 的每股收市價 (註5) | 發行價較市值的折讓/ 溢價幅度(百分比) (註7) | | 於下列日期開始時的結存(註2) | 2023年9月4日 | | 9,654,631,180 | | | | | | 1). | 購回股份(或其他證券)但沒有註銷 | | 8,000,000 | 0.0612 % | | | % ...

证券代码：600837 证券简称：海通证券 公告编号：临 2023-039 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股股份的回购报告书 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： 本次回购的相关议案已经海通证券股份有限公司（以下简称公司）于 2023 年 8 月 30 日召开的第七届董事会第四十一会议审议通过 拟回购股份的用途：维护公司价值及股东权益 拟回购股份的种类：公司发行的人民币普通股（A 股）股票 回购资金总额：拟回购资金总额下限为 3 亿元人民币，上限为 6 亿元人 民币 回购期限：自董事会审议通过本次回购 A 股股份方案之日起不超过 3 个 月 回购价格：不超过人民币 12.80 元/股 回购资金来源：公司自有资金 相关股东是否存在减持计划：截至本公告披露之日，公司董事、监事、 高级管理人员、控股股东、实际控制人、持股 5%以上的股东在未来 3 个月、未来 6 个月不存在减持公司股票的计划。上述主体如未来有减持计划，相关方及公司 将严格按照有关法律、法规及规范性文件的相关规定 ...

2023 年 8 月 30 日，海通证券股份有限公司（以下简称公司）第七届董事会 第四十一次会议审议通过了《关于以集中竞价交易方式回购公司 A 股股份方案的 公告》。有关本次回购股份事项的具体情况详见公司于 2023 年 8 月 31 日披露的 《关于以集中竞价交易方式回购公司 A 股股份方案的议案》（临 2023-036）。 根据《上市公司股份回购规则》《上海证券交易所股票上市规则》及《上海 证券交易所上市公司自律监管指引第 7 号——回购股份》等法律、法规相关规 定，现将董事会公告回购股份决议的前一个交易日（即 2023 年 8 月 30 日）登记 在册的 A 股前 10 大股东和前 10 大无限售条件股东的名称及持股数量、比例情况 公告如下： 一、董事会公告回购股份决议的前一个交易日（2023 年 8 月 30 日）前十大 （A 股）股东持股情况 | 序号 | 股东名称 | A 股持股数量（股） | 占公司 A 股 | 占公司总股本 | | --- | --- | --- | --- | --- | | | | | 比例（%） | 比例（%） | | 1 | 上海国盛（集团）有限公司 | 862,489 ...

证券代码：600837 证券简称：海通证券 公告编号：临2023-041 海通证券股份有限公司关于 以集中竞价交易方式首次回购公司 A 股股份的公告 特此公告。 海通证券股份有限公司董事会 2023 年 8 月 30 日，海通证券股份有限公司（以下简称公司）召开第七届董 事会第四十一次会议，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 2023 年 8 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 2023-036）。 2023 年 9 月 4 日，公司通过上海证券交易所交易系统以集中竞价交易方式 实施首次回购 A 股股份，根据相关法律法规规定，现将本次回购 A 股股份情况公 告如下： 公司首次回购 A 股股份数量为 8,000,000 股，占公司总股本的比例为 0.0612%， 购买的最高价为人民币 10.03 元/股，最低价为人民币 9.99 元/股，已支付的总 金额为人民币 80,058,309.00 元（不含交易费用）。本次回购 A 股股份符合法律 法规的有关规定和公司回购 A 股股份 ...

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 | | 於香港聯交所上市 (註1) | | 否 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 600837 | 說明 | | 於上海證券交易所上 ...

Financial Performance - The company achieved operating revenue of 16.968 billion RMB and net profit attributable to shareholders of 3.830 billion RMB for the first half of 2023[68]. - The company's operating revenue for the first half of 2023 reached ¥16,968,366,973.04, representing a 40.18% increase compared to the same period last year[39]. - The net profit for the first half of 2023 was ¥3,924,731,802.09, a decrease of 12.11% compared to ¥4,465,360,883.37 in the same period last year[45]. - The total comprehensive income for the first half of 2023 was ¥4,720,291,858.73, representing a 4.35% increase year-on-year[45]. - The company reported a 15% increase in total revenue for the first half of 2023, reaching approximately 1.5 billion RMB compared to the same period last year[31]. - The net profit attributable to shareholders of the parent company was ¥3,829,634,781.60, a decrease of 19.51% year-on-year[39]. - The net cash flow from operating activities was negative at ¥10,742,192,791.84, a decline of 162.04% compared to the previous year[39]. - The company's net income from fees and commissions decreased by 18.26% to 3.544 billion RMB compared to the same period in 2022[68]. - The company’s investment income turned positive at 1.926 billion RMB, compared to a loss of 778.81 million RMB in the previous year[68]. - The company’s operating costs rose to 11.80 billion RMB, reflecting an 88.54% increase year-on-year[116]. Risk Management - The company faces significant risks including legal compliance risks, credit risks, market risks, operational risks, liquidity risks, and reputational risks[17]. - The company emphasizes a comprehensive risk management framework, focusing on compliance, risk identification, assessment, monitoring, and response[135]. - The company has established a comprehensive credit risk management system, focusing on risk identification, assessment, measurement, monitoring, reporting, and response[147]. - The company has implemented a diversified investment strategy to control investment scale and adjust risk exposure effectively, mitigating market risks[151]. - The company has established a liquidity risk management framework that includes daily monitoring and analysis of liquidity indicators, ensuring liquidity risks are measurable and controllable[155]. - The company has strengthened its compliance management mechanisms, focusing on key areas such as anti-money laundering and regulatory adherence[141]. - The company has implemented a "risk-based" anti-money laundering and counter-terrorism financing risk management strategy, enhancing its management system and promoting a culture of risk management[142]. - The company has established a three-tier risk control indicator system to dynamically monitor and provide early warnings for potential risks[135]. - The company actively conducts stress tests to evaluate the impact of extreme risks and has developed emergency response plans for significant risk events[135]. - The company's market risk management system utilizes a Value at Risk (VaR) model with a 95% confidence level and a 1-day horizon, maintaining the risk value at less than 0.2% of the company's net assets[152]. Corporate Governance - The board of directors and supervisory board guarantee the truthfulness and completeness of the semi-annual report[14]. - The company has confirmed compliance with the "Standard Code" for securities trading by all directors and supervisors from January 1 to June 30, 2023[189]. - The company has established a corporate annuity plan to provide supplementary pension security for employees[194]. - The company has implemented a performance-oriented compensation system, which includes fixed salary, performance pay, and benefits[194]. - The company has made significant changes in its board and supervisory personnel, with multiple resignations and appointments throughout 2023[190][191]. - The company is committed to maintaining transparency and compliance throughout its leadership transitions, ensuring stakeholder confidence[186]. - The company has established four committees under the board, including the development strategy and ESG management committee, which is chaired by the chairman[200]. - The audit committee has 5 members and is responsible for overseeing internal and external audits, confirming the mid-year performance and financial report as of June 30, 2023[200]. - The company ensures equal rights for all shareholders in accordance with its articles of association and shareholder meeting rules[200]. Strategic Initiatives - The company continues to focus on expanding its market presence and enhancing its product offerings[27]. - The company is actively pursuing new strategies for growth, including potential mergers and acquisitions[27]. - The company is expanding its market presence by entering the North Exchange for margin trading services, which was approved in February 2023[32]. - The company has launched new financial products, including a personal pension fund sales qualification obtained in November 2022, aimed at enhancing its product portfolio[32]. - The company is focusing on risk management strategies, particularly in credit derivatives and interest rate swaps, to mitigate potential financial risks[32]. - The company is committed to enhancing compliance and risk control systems across all business lines, ensuring high-quality development[162]. - The company plans to strengthen its high-end industry leadership function in the investment banking sector and optimize internal and external collaboration mechanisms in the second half of 2023[162]. - The wealth management business accelerated the establishment of a comprehensive service system, enhancing investor protection and building a strategic customer service framework[160]. Market Position and Client Engagement - The company has over 2.3 million clients both domestically and internationally, supported by a wide network of 340 branches in China and international presence in 15 countries[71]. - As of June 2023, the company had 17.77 million wealth management clients, a 4.3% increase from the end of the previous year, with a total asset under custody of 3.16 trillion yuan, up 5.8%[78]. - The company's "e Haitong Finance" APP had over 5.5 million monthly active users, maintaining a leading position in the industry[75]. - In the first half of 2023, the company's new client acquisition increased by 29.3%, with new client assets growing by 193.4%[78]. - The total trading volume for stocks was 6.65 trillion yuan, while fund trading volume reached 1.60 trillion yuan, resulting in a combined trading volume of 8.25 trillion yuan in the first half of 2023[79]. Compliance and Audit - The financial report for the first half of 2023 has not been audited, with opinions provided by PwC and Deloitte[15]. - The company assures the accuracy and completeness of the financial report, with key personnel confirming the report's integrity[15]. - The company did not report any instances of more than half of the directors being unable to guarantee the report's accuracy[16]. - The audit committee reviewed and confirmed the group's mid-year performance and financial report without objections to the accounting policies used[200]. Employee and Talent Development - The company has a total of 12,262 employees, with 6,865 in the parent company and 5,397 in subsidiaries[194]. - The company has focused on talent development through various training programs, including the "Dolphin Plan" for fresh graduates and the "Starfish Plan" for new employees[195]. - The company has implemented a performance-oriented compensation system, which includes fixed salary, performance pay, and benefits[194].

Financial Performance - Total revenue for the first half of 2023 reached RMB 26,027,428 thousand, an increase of 31.02% compared to RMB 19,864,831 thousand in the same period of 2022[28]. - Profit before tax decreased by 10.78% to RMB 5,251,724 thousand from RMB 5,886,065 thousand year-on-year[28]. - Net profit attributable to shareholders was RMB 3,829,635 thousand, down 19.51% from RMB 4,757,725 thousand in the previous year[28]. - Cash flows from operating activities showed a significant decline, with a net cash outflow of RMB 13,306,411 thousand compared to an inflow of RMB 10,928,558 thousand in the same period last year, representing a decrease of 221.76%[28]. - The basic earnings per share decreased to RMB 0.29, down 19.44% from RMB 0.36 in the previous year[28]. - The weighted average return on net assets was 2.29%, down from 2.88% in the previous year, a decrease of 0.59 percentage points[28]. - The company achieved a total revenue of RMB 260.27 billion and a net profit attributable to shareholders of RMB 38.30 billion for the six months ended June 30, 2023[34]. Assets and Liabilities - Total assets as of June 30, 2023, amounted to RMB 762,391,665 thousand, reflecting a 1.17% increase from RMB 753,609,305 thousand at the end of 2022[29]. - Total liabilities increased by 1.13% to RMB 582,523,133 thousand from RMB 575,987,247 thousand at the end of 2022[29]. - The equity attributable to shareholders rose to RMB 167,019,635 thousand, a 1.47% increase from RMB 164,591,957 thousand at the end of 2022[29]. - The asset-liability ratio improved slightly to 72.00% from 72.16% at the end of 2022, a decrease of 0.16 percentage points[29]. - As of June 30, 2023, the company's net capital was RMB 90.60 billion, a decrease of RMB 3.22 billion from the end of the previous year[32]. 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 directly impact its operations and earnings[15]. - The company has a strong focus on risk management strategies to mitigate potential impacts from identified risks[15]. - The company's risk management system effectively manages various risks, including market, credit, liquidity, and operational risks, ensuring compliance and stability[39]. - The company has established a Chief Risk Officer to oversee comprehensive risk management, ensuring compliance with risk management policies and procedures[107]. - The company has implemented a compliance management framework to mitigate compliance risks, focusing on enhancing compliance culture and internal control mechanisms in 2023[111]. Business Operations - Haitong Securities is involved in various business activities including securities brokerage, proprietary trading, underwriting, and financial advisory services[18]. - The company has established a comprehensive financial service platform covering multiple business areas, including wealth management, investment banking, and asset management[36]. - The company has actively expanded its international presence with branches and subsidiaries in 15 countries across five continents[37]. - The company completed domestic financing exceeding RMB 30 billion through various debt instruments in the first half of 2023, enhancing liquidity management and risk control[35]. - The company has maintained its status as a qualified domestic institutional investor, allowing it to engage in overseas securities investment management[20]. Corporate Governance - The board of directors and supervisory board confirmed the accuracy and completeness of the interim report, with no objections raised[3]. - The company held its 2022 Annual General Meeting on June 16, 2023, where 11 resolutions were approved, including the 2022 annual report and financial statements[130]. - The company has established a corporate annuity plan to provide supplementary retirement benefits for employees[143]. - The company complies with all relevant governance standards and has maintained orderly management practices[147]. - The company continues to comply with regulatory requirements by disclosing changes in management and board members on the Hong Kong Stock Exchange[134]. Legal and Compliance Issues - The company reported a significant legal dispute involving a claim for RMB 300 million against Nanyi Agricultural Company due to a breach of stock pledge agreement[179]. - Another legal case involves a claim for RMB 320 million against Nanyi Agricultural Company related to a default on a financial management contract[180]. - The company received a regulatory warning from the Shanghai Securities Regulatory Bureau in May 2023 for not strictly regulating the conduct of its employees[185]. - In June 2023, the company received a regulatory warning from the Shanghai Stock Exchange for inadequate due diligence in its sponsorship work[185]. - The company has not faced any significant administrative penalties or criminal investigations during the reporting period[185]. Employee and Management Changes - Several senior management personnel changes occurred, including the resignation of the Chief Risk Officer and the appointment of a new Compliance Director[132]. - The company appointed Mr. Shi Xu as the Chief Risk Officer, effective immediately upon board resolution[137]. - The company appointed Ms. Zhao Huiwen as the Compliance Officer, with her official role commencing after approval from the China Securities Regulatory Commission[137]. - The company has a total of 12,262 employees, with 6,865 in the parent company and 5,397 in subsidiaries[143]. - Employee compensation consists of fixed salary, performance pay, and benefits, with a focus on market-oriented distribution and performance orientation[143]. Environmental, Social, and Governance (ESG) Initiatives - The company has established a three-tier management structure for ESG (Environmental, Social, and Governance) to integrate ESG principles into its development strategy and daily operations[157]. - The company promotes green and low-carbon development through initiatives such as paperless offices and energy-saving measures, contributing to environmental responsibility[158]. - The company’s new headquarters, Haitong Bund Financial Plaza, received LEED Gold certification and WELL Platinum certification, showcasing its commitment to sustainable building practices[159]. - The company launched the "CITIC Haitong Securities ESG Stock-Bond Linked Strategy Index," marking it as the first ESG strategy index in the industry[162]. - The company has been actively involved in poverty alleviation efforts, supporting five poverty-stricken counties in China[164].

证券代码：600837 证券简称：海通证券 公告编号：临2023-038 海通证券股份有限公司 关于召开 2023 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。 二、 说明会召开的时间、地点 （一） 会议召开时间：2023 年 9 月 7 日下午 13:00-14:00 1 重要内容提示： 会议召开时间： 2023 年 9 月 7 日（星期四）下午 13:00-14:00 会 议 召 开 地 点 ： 上 海 证 券 交 易 所 上 证 路 演 中 心 （ 网 址 ： http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 8 月 31 日（星期四）至 9 月 6 日（星期三）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 2023 年 8 月 ...