证券代码：601688 证券简称：华泰证券 公告编号：临 2026-004 华泰证券股份有限公司关于间接全资子公司根据中期 票据计划进行发行并由全资子公司提供担保的公告 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： 担保对象及基本情况 | | 被担保人名称 | | 华泰国际财务有限公司 | | --- | --- | --- | --- | | | 本次担保金额 | | 亿美元 1.38 | | 担保对象 | 实际为其提供的担保余额 | | 20.33 亿美元 | | | 是否在前期预计额度内 | 是 □否 | □不适用 | | | 本次担保是否有反担保 | □是 否 | □不适用 | 累计担保情况 | 对外担保逾期的累计金额（人民币亿元） | | - | | --- | --- | --- | | 截至本公告日上市公司及其控股子公司对外担保总额（人民币亿 | | 481.56 | | 元） | | | | 对外担保总额占上市公司最近一期经审计净资产的比例（%） | | 25.12 | | 特别风险提示 ...

华泰证券公告称，2026年1月15日，其境外全资子公司华泰国际的附属公司华泰国际财务，在中票计划 下发行三笔共1.38亿美元中期票据，由华泰国际提供担保，担保金额折合人民币9.70亿元。本次发行 后，担保余额为20.33亿美元。截至公告披露日，公司及控股子公司担保总额为481.56亿元，占最近一期 经审计净资产的25.12%，无逾期担保。 ...

Core Insights - The 2025 China Enterprise ESG "Golden Responsibility Award" was launched to recognize companies making significant contributions to ESG practices in China [1][4] - Over 5,000 companies participated in the award selection process, which lasted for more than three months, evaluating ESG performance, professional scoring, and online voting [5] Group 1: Award Overview - The award aims to promote responsible corporate behavior in environmental, social, and governance aspects, encouraging more companies to enhance their ESG development [1][4] - The award is based on principles of fairness, justice, and openness, utilizing an authoritative ESG rating database [1][4] Group 2: Award Recipients - The award for Best Responsible Investment Securities Company was given to several firms, including Guotai Junan, Industrial Securities, Orient Securities, CITIC Securities, Huatai Securities, and China International Capital Corporation [2][5] - The award committee expressed hopes that these leading companies will inspire others to improve their ESG capabilities and contribute to high-quality development in China [2][5] Group 3: ESG Rating Center - The Sina Finance ESG Rating Center is the first Chinese platform dedicated to ESG information and ratings, promoting sustainable development and responsible investment [3][6] - The center aims to establish ESG evaluation standards suitable for China's characteristics and enhance corporate ratings [3][6]

Core Viewpoint - The solid-state battery sector is experiencing significant growth, driven by favorable policies and technological advancements, positioning it as a key focus area in the market. Group 1: Market Performance - The battery and solid-state battery sectors are leading the market, with notable stock performances from companies like Xianhui Technology, which rose by 11.59%, and Huayou Cobalt, which increased by over 7% [1][2]. - Key companies in the industry, including CATL and Yiwei Lithium Energy, also saw upward movements, indicating a strong response across the supply chain [1]. Group 2: Policy Support - The Ministry of Industry and Information Technology emphasizes accelerating breakthroughs in solid-state battery technology, highlighting a collaborative effort between national and local governments to enhance the supply chain's self-sufficiency [3]. - Local governments are integrating solid-state batteries into their industrial strategies, with regions like Jiangxi and Chongqing focusing on advancing core technologies in this field [3]. Group 3: Technological Advancements - Companies are rapidly advancing their solid-state battery technologies, with Weichai Power announcing successful laboratory research on sulfide solid-state batteries and plans for industrialization [4]. - Jinlongyu is investing 1.2 billion yuan to establish a production line for solid-state batteries, while Haopeng Technology aims for mass production of solid-state batteries by 2025 [4]. Group 4: Market Potential - Solid-state batteries are expected to penetrate various sectors, including electric vehicles, energy storage, aerospace, and consumer electronics, due to their performance advantages over traditional lithium-ion batteries [6]. - TrendForce forecasts that the global demand for solid-state batteries will exceed 206 GWh by 2030 and further expand to over 740 GWh by 2035, indicating a transition to large-scale applications [6]. Group 5: Industry Growth Outlook - Analysts are optimistic about the growth potential of the solid-state battery supply chain, with expectations of high demand driven by the increasing sales of electric vehicles [6][7]. - The period from 2027 to 2030 is identified as a critical window for the industrialization of solid-state battery technologies, with equipment manufacturers likely to benefit first from this growth [7].

1月15日，三大指数集体低开后一度翻红，多空博弈激烈。截至午间收盘，沪指跌0.6%，深成指跌 0.44%，创业板指跌1.02%。 值得注意的是，多只宽基ETF今日显著放量，沪深300ETF华泰柏瑞成交近105亿，上证50ETF、科创 50ETF易方达、沪深300ETF易方达均成交超20亿元，且已经超出昨日全天成交额。 此前以沪深300ETF为代表的多只宽基ETF异动时，多位业内人士曾表示，此举能够为市场注入信心， 提升资本市场的内在稳定性。 回到盘面上，光伏板块低开高走，拓日新能2连板；贵金属概念表现活跃，四川黄金逼近涨停；锂电池 概念走强，天宏锂电涨超14%，天际股份涨超7%；旅游板块集体反弹，众信旅游2连板；智能驾驶概念 拉升，索菱股份涨停，此前威帝股份、锦江在线涨停。下跌方面，商业航天概念集体调整，银河电子、 海格通信、通宇通讯、鲁信创投、巨力索具、东方通信等多股跌停。 焦点股方面，受重组终止等利空影响，向日葵开盘封20cm一字跌停，封单金额约2.5亿元。 展望后市，中信证券表示，尽管近期监管层适度引导市场降温，防范短期过热风险，但权益市场当前整 体交易投资活跃度仍维持在历史高位水平，证券公司有望持续受 ...

Market Overview - On January 15, A-shares opened lower and then experienced slight gains before declining, with the Shanghai Composite Index down 0.6% at 4101.52 points, the Shenzhen Component down 0.44% at 14186.11 points, and the ChiNext Index down 1.02% at 3314.88 points. The total trading volume in the Shanghai and Shenzhen markets reached 1.87 trillion yuan, with over 3600 stocks declining [1] Sector Performance - The tourism and hotel sector showed strong performance, with stocks like Zhongxin Tourism hitting a two-day limit up and Shaanxi Tourism reaching the daily limit [4] - The precious metals sector was active, with Sichuan Gold nearing the daily limit and other stocks like Chifeng Gold and Hunan Silver following suit. Recent news indicated that spot silver prices surged over 7%, reaching a historical high of $93 per ounce, while spot gold also hit a record high of $4643 per ounce [2] - The lithium battery sector strengthened, with Tianhong Lithium rising over 14% and other companies like Tianji Co. and Huasheng Lithium also seeing gains. The price of industrial-grade lithium carbonate increased by 36.71% from the beginning of the month, reaching 160,000 yuan per ton [3] - The smart driving sector saw a rise, with stocks like Suoling Co. hitting the daily limit. The Shanghai Municipal Economic and Information Commission announced plans for the large-scale application of high-level autonomous driving by 2027 [6] Institutional Insights - CITIC Securities noted that despite recent regulatory measures to cool the market, overall trading activity remains high, with key indicators like daily trading volume and margin financing balances above long-term averages. The firm expects continued benefits for securities companies and a potential for revenue diversification and quality improvement [7] - CITIC Jiantou highlighted that the mid-term "stock-bond seesaw" effect will further support A-share performance, with macro liquidity showing characteristics of "internal and external easing resonance" [9] - Huatai Securities reported that the innovative drug sector is experiencing a liquidity recovery, with significant growth in BD transactions compared to the previous year, indicating a potential bullish trend for innovative drugs [10]

据知情人士透露，近几个月来，中信证券、华泰证券和中信建投证券等几家大型券商的投银业务部门招 募了数十名初级和中级银行家。招聘的新员工以执行岗位为主，而非资深投银家，说明这些公司需要迅 速重建业务能力，同时还要控制成本。此外，知情人士称，一些大型券商初级银行家的基本工资已调整 回整顿行动前的水平，但奖金池仍然与交易完成情况和监管机构对该行业的态度密切相关。（新浪财 经） ...

Core Viewpoint - The 2025 China Enterprise ESG "Golden Responsibility Award" aims to recognize companies and institutions that have made significant contributions to ESG initiatives in China, reflecting a shift from voluntary practices to compliance requirements in ESG performance [1][18]. Group 1: Award Categories and Winners - The award includes ten categories: Best Environmental Responsibility Award, Best Social Responsibility Award, Best Corporate Governance Responsibility Award, Best Responsibility Initiative Award, Annual Sustainable Development Award, Best Responsible Investment Bank Award, Best Responsible Investment Securities Company Award, Best Responsible Investment Insurance Company Award, Best Responsible Investment Fund Company Award, and Best Responsible Investment Asset Management Institution Award [1][18]. - The Best Environmental Responsibility Award winners include: Sungrow Power Supply, Industrial Fulian, Kweichow Moutai, Geely Automobile, Haier Smart Home, Hisense Visual Technology, Linyang Electronics, Tongwei Co., Weichai Power, and Luxshare Precision [10][28]. - The Best Social Responsibility Award winners include: China Shenhua, China General Nuclear Power, China Resources Sanjiu, Sinopec, Shougang, Wuliangye, Yangtze Power, China Telecom, China Oilfield Services, and LONGi Green Energy [10][28]. - The Best Corporate Governance Responsibility Award winners include: Zijin Mining, SF Holding, ZTE Corporation, Industrial Fulian, JA Solar, Sany Heavy Industry, Nanjing Steel, Bright Dairy, TCL Zhonghuan, and Fuyao Glass [10][28]. - The Best Responsibility Initiative Award winners include: FiberHome Technologies, Wens Foodstuff Group, Haitian Flavoring and Food, Aier Eye Hospital, Yunnan Baiyao, Anker Innovations, Kingfa Sci. & Tech., Huatai Securities, Silex, and Hainengda [11][28]. - The Annual Sustainable Development Award winners include: China General Nuclear Power, Sungrow Power Supply, Kweichow Moutai, Contemporary Amperex Technology, Zijin Mining, Hikvision, Yili, Baosteel, Chint Electric, and China Mobile [11][28]. Group 2: Responsible Investment Awards - The Best Responsible Investment Bank Award winners include: Agricultural Bank of China, Industrial and Commercial Bank of China, China Construction Bank, China Merchants Bank, Industrial Bank, and Bank of China [11][28]. - The Best Responsible Investment Securities Company Award winners include: Guotai Junan, Everbright Securities, CITIC Securities, Huatai Securities, and CICC [12][28]. - The Best Responsible Investment Insurance Company Award winners include: China Life Insurance, China Ping An, China Pacific Insurance, China Re, Sunshine Insurance, and China Life [13][28]. - The Best Responsible Investment Fund Company Award winners include: Bosera Funds, Southern Fund, China Asset Management, Penghua Fund, Huitianfu Fund, and E Fund [14][28]. - The Best Responsible Investment Asset Management Institution Award winners include: China Life Asset Management, Huaxia Wealth Management, Xingyin Wealth Management, Taikang Asset, Taikang Asset, and Galaxy Investment [15][28]. Group 3: ESG Development Context - By 2025, China's ESG development has transitioned from "setting standards" to "strengthening regulations," with a comprehensive disclosure standard system being established [1][18]. - The ESG performance of enterprises is now a compliance requirement, linking commercial value with social value [1][18]. - The ESG rating center aims to promote sustainable development and responsible investment, enhancing the ESG performance of listed companies [17][34].

Market Overview - On January 15, A-shares opened lower, with the ChiNext index turning positive after a near 1% drop, while the Shenzhen Component index turned red. By the time of reporting, the Shanghai Composite index was down 0.2%, the Shenzhen Component index was up 0.21%, and the ChiNext index was up 0.23% [1] Sector Performance - The tourism sector rebounded collectively, with Zhongxin Tourism achieving a second consecutive limit-up. Other stocks such as Junting Hotel, Shaanxi Tourism, China Youth Travel, Jinjiang Hotel, and ShouLai Hotel also saw gains [2] - The photovoltaic sector opened low but recovered, with Tuori New Energy also achieving a second consecutive limit-up [1] Focus Stocks - Sunflower faced a significant drop, hitting a 20% limit down due to negative impacts from a terminated restructuring, with a sealed order amounting to approximately 250 million yuan [1] Institutional Insights - CITIC Securities indicated that despite recent regulatory measures to cool the market and prevent overheating risks, the overall trading activity in the equity market remains at historically high levels. Key indicators such as average daily trading volume and margin financing balances are above long-term averages, suggesting that securities firms are likely to continue benefiting [4] - CITIC Jiantou noted that the global interest rate cut cycle is entering its second half in 2026, with macro liquidity characterized by "internal and external easing resonance." The depreciation of the dollar and appreciation of the yuan are expected to support A-share strength [5] - Huatai Securities reported that the innovative drug sector is experiencing a liquidity recovery, with significant growth in BD transactions compared to the same period last year, indicating a potential bullish trend in the innovative drug market [6] -招商证券 suggested that the chemical industry may see marginal improvements in profitability as outdated production capacity is expected to be eliminated, following a period of price declines in chemical products [7]

Group 1 - On January 14, Huatai Securities experienced a decline of 1.79% with a trading volume of 3.362 billion yuan, and the net financing buy was -31.39 million yuan [1] - As of January 14, the total margin trading balance of Huatai Securities was 6.148 billion yuan, with a financing balance of 6.133 billion yuan, accounting for 3.55% of the circulating market value, which is below the 10% percentile level over the past year [1] - The company repaid 95,800 shares of securities lending and sold 97,900 shares on January 14, with a selling amount of 2.3153 million yuan, while the securities lending balance was 15.382 million yuan, exceeding the 90% percentile level over the past year [1] Group 2 - As of September 30, Huatai Securities had 195,500 shareholders, a decrease of 6.96% from the previous period, with an average of 38,566 circulating shares per person, an increase of 7.62% [2] - For the period from January to September 2025, Huatai Securities reported an operating income of 27.129 billion yuan, a year-on-year decrease of 13.67%, while the net profit attributable to shareholders increased by 1.69% to 12.733 billion yuan [2] - The company has distributed a total of 42.893 billion yuan in dividends since its A-share listing, with 13.994 billion yuan distributed in the last three years [3] Group 3 - As of September 30, 2025, the largest circulating shareholder of Huatai Securities was Hong Kong Central Clearing Limited, holding 442 million shares, a decrease of 108 million shares from the previous period [3] - China Securities Finance Corporation remained the seventh largest circulating shareholder with 153 million shares, unchanged from the previous period [3] - The Guotai CSI All-Share Securities Company ETF (512880) entered as a new shareholder, holding 131 million shares [3]