证券代码：600369 证券简称：西南证券 西南证券股份有限公司投资者关系活动记录表 □特定对象调研 □分析师会议 □媒体采访 ■业绩说明会（2024年第一季度业绩说明会） 类别 □新闻发布会 □路演活动 □现场参观 □其他（请说明_______________） 上证路演中心网络互动 形式 2024年5月27日9:00-10:00 时间 roadshow.sseinfo.com（上证路演中心网站） 地点 公司董事长吴坚先生，董事、总经理杨雨松先生，董事、副总经理、董秘李 参会人员 军先生，独立董事徐秉晖女士，副总经理、财务负责人叶平先生。 1、公司会在2024 年中期进行分红吗？ 尊敬的投资者，您好！根据公司2023年年度股东大会审议通过的《关 于公司2023年度利润分配预案的议案》，公司在2023年年度现金分红基础 上，为积极响应监管号召，提高股东回报，将推动一年多次分红。结合监管 规则，将以2023年经审计未分配利润为基准，合理考虑当期利润情况实施 ...

证券代码：600369 证券简称：西南证券 西南证券股份有限公司投资者关系活动记录表 ■特定对象调研 □分析师会议 □媒体采访 □业绩说明会 类别 □新闻发布会 □路演活动 □现场参观 □其他（请说明_______________） 形式 现场调研 时间 2024年5月22日10:00-11:30 地点 公司2楼会议室 国海证券股份有限公司非银金融&金融科技首席分析师孙嘉赓，东海证券股 份有限公司非银行金融行业首席分析师陶圣禹；公司证券事务代表、董事会 参会人员 办公室主任刘瑞，公司投行战略客户服务小组负责人韩念龙，自营合规风控 部王靖雯，信用交易部朱颖。 1. 监管鼓励并购重组的大背景下，公司是否有进一步做大做强的发展规 划？ 公司控股股东是重庆渝富资本运营集团有限公司，重庆市国资委是公司 的实际控制人，作为唯一一家注册在重庆的国有证券公司，西南证券将坚持 金融工作的政治性和人民性，认真贯彻落实新“国九条”，推进“三攻坚一 ...

证券代码：600369 证券简称：西南证券 公告编号：临 2024-018 西南证券股份有限公司 关于召开 2024 年第一季度业绩说明会的公告 （一）会议召开时间：2024 年 5 月 27 日上午 9:00-10:00 （二）会议召开地点：上证路演中心 1 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： 上海证券交易所上证路演中心（网址：https://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2024 年 5 月 20 日（星期一）至 5 月 24 日（星期五）16:00 前登录上证路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 dshb@swsc.com.cn 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。 西南证券股份有限公司（以下简称公司）已于 2024 年 4 月 30 日发布公司 2024 年第一季度报告，为便于广大投资者更全面深入地了解公司 2024 年第一季 度经营成果、财务状况，公司计划于 2024 年 5 月 27 ...

2023 年年度股东大会 会议材料 二〇二四年五月 | 一、会议须知 3 | | | --- | --- | | 二、会议议程 4 | | | 三、关于公司 年度董事会工作报告的议案 2023 5 | | | 四、关于公司 年度监事会工作报告的议案 2023 15 | | | 五、关于公司独立董事 年度工作报告的议案 2023 23 | | | 六、关于公司 2023 年年度报告的议案 57 | | | 七、关于公司2023年度日常关联交易执行情况及预计2024年度日常关联交易的 | | | 议案 58 | | | 八、关于公司 2023 年度财务决算报告的议案 64 | | | 九、关于公司 2023 | 年度利润分配预案的议案 68 | 2023 年年度股东大会会议材料 会议须知 为维护全体股东的合法权益，确保股东大会的正常秩序和议事效率，保证大 会顺利进行，根据《上市公司股东大会规则》《上海证券交易所上市公司自律监 管指引第 1 号——规范运作》等文件的要求，特制定本须知。 一、公司根据《公司法》《证券法》《公司章程》等规定，认真做好召开股 东大会的各项工作。 二、公司董事会以维护股东的合法权益、确保大 ...

Financial Performance - The company's operating revenue for Q1 2024 was CNY 584,509,904.72, representing a decrease of 20.77% compared to the same period last year[4] - Net profit attributable to shareholders was CNY 229,529,418.63, showing an increase of 1.77% year-over-year[4] - The company's investment income decreased by 48.57% year-over-year to CNY 171,203,619.95[6] - The company's other business income saw a significant decline of 94.74% year-over-year, amounting to CNY 1,009,149.70[6] - The company's total equity attributable to shareholders increased to ¥25,623,857,870.78 from ¥25,410,020,799.84, reflecting a growth of 0.84%[12] - The revenue for Q1 2024 was ¥584,509,904.72, a decrease of 20.83% compared to ¥737,720,653.27 in Q1 2023[14] - The company's other comprehensive income after tax attributable to shareholders decreased to -¥15,692,347.69 from ¥46,559,998.27, indicating a significant drop[14] - Net profit for Q1 2024 was CNY 249.62 million, an increase of 19.8% from CNY 208.43 million in Q1 2023[17] - The company reported a total comprehensive income of CNY 233.88 million for Q1 2024, slightly down from CNY 259.56 million in Q1 2023[17] Cash Flow and Liquidity - The net cash flow from operating activities was CNY 3,283,068,805.02, with no applicable year-over-year comparison[4] - The company's cash and cash equivalents decreased to ¥14,064,274,902.01 from ¥15,300,677,708.63, representing a decline of 8.06%[11] - The net cash flow from operating activities for Q1 2024 was ¥3,283,068,805.02, a significant improvement compared to a net outflow of ¥640,910,269.56 in Q1 2023[15] - Cash flow from operating activities generated CNY 3.26 billion, a significant recovery from a negative cash flow of CNY -470.40 million in Q1 2023[19] - Cash flow from investing activities showed a net inflow of CNY 868.00 million, compared to a net outflow of CNY -990.84 million in the previous year[19] - The company reported a net cash outflow from financing activities of ¥6,123,676,591.41 in Q1 2024, contrasting with a net inflow of ¥640,907,154.19 in Q1 2023[15] Assets and Liabilities - The total assets at the end of the reporting period were CNY 84,109,192,432.81, a decrease of 0.67% from the end of the previous year[4] - The total liabilities decreased to ¥58,495,176,211.06, down from ¥59,272,567,415.11, indicating a reduction of 1.30%[12] - The total liabilities to total assets ratio as of March 31, 2024, was approximately 69.5%, compared to 70.0% at the end of 2023[12] - The total assets as of March 31, 2024, amounted to ¥81,265,503,423.94, slightly up from ¥81,091,144,169.44 at the end of 2023[16] - The total liabilities decreased marginally to ¥56,333,335,340.42 from ¥56,392,858,179.50 at the end of 2023[16] Shareholder Information - Total number of common shareholders at the end of the reporting period was 130,922[7] - The largest shareholder, Chongqing Yufu Capital Operation Group Co., Ltd., holds 1,853,443,610 shares, representing 27.89% of total shares[7] - Chongqing Urban Construction Investment (Group) Co., Ltd. holds 689,293,065 shares, accounting for 10.37%[7] - Chongqing High-Speed Road Group Co., Ltd. has 275,128,400 shares, which is 4.14% of total shares[8] - The report indicates that there were no changes in the top 10 shareholders due to securities lending activities[8] Corporate Governance and Legal Matters - The company appointed Mr. Wang Wei as the vice general manager in January 2024[9] - The company reported no significant litigation or arbitration matters exceeding 10 million RMB during the reporting period[9] - The company has no major lawsuits or arbitration cases exceeding 10% of the latest audited net assets[9] - The company is currently involved in a debt default dispute with Zhengyuan Real Estate Development Co., Ltd., which is in the execution stage[10] Other Financial Metrics - The weighted average return on equity was 0.90% for the reporting period[4] - Non-recurring gains and losses totaled CNY 155,673.93, after accounting for tax effects[5] - The company's short-term financing payables decreased by 54.87% to CNY 4,434,119,532.03[6] - The company's cash inflow from interest, fees, and commissions was ¥695,212,780.85, down from ¥787,521,412.53 in Q1 2023[15] - The cash outflow for operating activities totaled ¥3,566,983,153.64 in Q1 2024, compared to ¥8,355,688,859.33 in Q1 2023[15]

证券代码：600369 证券简称：西南证券 西南证券股份有限公司投资者关系活动记录表 化竞争优势。通过数字化转型，实现全方位赋能，聚力打造差异化竞争优 势。二是围绕综合金融服务，为高质量发展提供经营效益保障。公司将全力 构建全产业链、全价值链、全生命周期的综合金融服务体系，推动公司经营 效益有力有效提升。公司经纪业务将通过切实做大客户基数和资产规模，推 动财富管理数字化转型落实落地，打造多层次、全策略的产品货架，推动网 点布局优化发展，持续打造投资者教育品牌。投行业务将持续深化"资本+ 中介"业务模式，进一步提升服务客户实力和多元化市场竞争力，发挥好重 庆总部区位优势，以服务成渝地区双城经济圈、西部陆海新通道和西部金融 中心建设为重点，深耕成渝地区，不断提高公司本地市场占有率，在服务中 小企业方面打造精品投行特色。自营业务将积极谋划整体转型，在巩固传统 优势，坚持绝对收益，稳定业绩来源的同时，逐步构建起灵活、高效、优质 的大类资产配置格局。资管业务将根据"特色化、子公司化、公募化"的发 展方向，以客户需求为中心、以稳健增值为目标，突出地域特色和产业特 色，打造特色资管产品。感谢您的关注！ （2）请问公司资产情 ...

西南证券股份有限公司 关于召开 2023 年年度股东大会的通知 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： 证券代码：600369 证券简称：西南证券 公告编号：临 2024-014 股东大会召开日期：2024年5月13日 本次股东大会采用的网络投票系统：上海证券交易所股东大会网络投票 系统 一、召开会议的基本情况 （一）股东大会类型和届次 2023 年年度股东大会 （二）股东大会召集人：董事会 （三）投票方式：本次股东大会所采用的表决方式是现场投票和网络投票相 结合的方式 （四）现场会议召开的日期、时间和地点 召开的日期时间：2024 年 5 月 13 日 14 点 30 分 召开地点：西南证券总部大楼 402 会议室（重庆市江北区金沙门路 32 号） （五）网络投票的系统、起止日期和投票时间 网络投票系统：上海证券交易所股东大会网络投票系统 网络投票起止时间：自 2024 年 5 月 13 日 至 2024 年 5 月 13 日 采用上海证券交易所网络投票系统，通过交易系统投票平台的投票时间为股 东大会 ...

证券代码：600369 证券简称：西南证券 公告编号：临 2024-013 西南证券股份有限公司 关于召开 2023 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法律责任。 重要内容提示： 会议召开时间：2024 年 4 月 26 日（星期五）13:00-14:30 会议召开地点： 上海证券交易所上证路演中心（网址：https://roadshow.sseinfo.com/） 会议召开方式：上证路演中心视频和网络互动 投资者可于 2024 年 4 月 19 日（星期五）至 4 月 25 日（星期四）16:00 前 登录上证路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 dshb@swsc.com.cn 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。 西南证券股份有限公司（以下简称公司）已于 2024 年 3 月 30 日发布公司 2023 年年度报告，为便于广大投资者更全面深入地了解公司 2023 年度经营成果、 财务状况，公司计划于 2024 年 4 月 26 日 13:00-14:30 举 ...

上海证券交易所 监管措施决定书 西南证券股份有限公司。 你公司应当严格遵守法律法规、本所业务规则，完善并有效 落实对公司债券承接、申报、发行、存续期管理等方面的内部控 制制度，及时自查整改，维护公司债券投资者合法权益。你公司 应当于收到本书面警示决定后 1 个月内将加盖公司公章的整改 报告书面报送本所。 经查明，西南证券股份有限公司（以下简称西南证券）作为 公司债券的受托管理人，在有关公司债券受托管理工作中，未严 格履行对发行人募集资金的监督义务。该违规行为已经中国证监 上海证券交易所 2024 年 1 月 17 日 -1- ──────────────────────── 〔2024〕8 号 会浙江监管局《关于对西南证券股份有限公司采取出具警示函措 施的决定》（〔2023〕212 号）予以认定。同时，该行为违反了《上 海证券交易所非公开发行公司债券挂牌规则（2022 年修订）》第 1.5 条、第 1.7 条、第 4.2.1 条等相关规定。 关于对西南证券股份有限公司予以 书面警示的决定 鉴于上述违规事实和情节，根据《上海证券交易所会员管理 规则》第 8.5 条、《上海证券交易所非公开发行公司债券挂牌规 则（ ...

Financial Performance - The company reported a total revenue of 1.5 billion, representing a year-over-year growth of 15%[25]. - The company's operating revenue for 2023 reached CNY 2,328,768,998.97, representing a 30.33% increase compared to CNY 1,786,841,809.16 in 2022[26]. - Net profit attributable to shareholders of the parent company was CNY 602,229,285.63, a significant increase of 94.63% from CNY 309,416,341.76 in the previous year[26]. - The company reported a net profit margin of 12%, which is an improvement from 10% in the previous year[25]. - The company achieved a significant increase in other income, which rose by 101.42% to RMB 16,042,112.04, mainly due to increased fiscal rewards[41]. - The company reported a significant increase in revenue, achieving a total of 1.2 billion yuan, representing a 15% year-over-year growth[129]. - The company reported a significant increase in revenue, reaching a total of $1.5 billion, representing a 20% year-over-year growth[130]. Dividends and Capital - The company plans to distribute a cash dividend of 0.35 RMB per 10 shares, totaling 232,578,819.34 RMB, which represents 38.62% of the net profit attributable to shareholders for the year 2023[2]. - The registered capital remains at 6,645,109,124 RMB, while the net capital increased to 15,612,760,932.11 RMB from 14,561,985,039.16 RMB in the previous year[9]. - The registered capital of the company was increased to 6,645,109,124 yuan after a non-public offering of up to 1 billion new shares approved by the China Securities Regulatory Commission in June 2020[17]. Audit and Compliance - The company has received a standard unqualified audit report from Tianjian Accounting Firm[2]. - The board of directors has confirmed the authenticity and completeness of the annual report, with all members present at the meeting[2]. - The company has been recognized as a "white list" company by the China Securities Regulatory Commission for three consecutive years, indicating strong compliance and operational standards[42]. - The company has conducted three meetings of the related party transaction decision-making committee during the reporting period, with significant proposals approved[153]. Risk Management - The company has outlined potential risks in its operations, which are detailed in the management discussion and analysis section[4]. - The company has strengthened risk control measures, particularly for overseas subsidiaries, credit risks in bond investments, and liquidity risks in bond repurchase financing[95]. - The company has established a risk management system that includes quantitative indicators such as risk appetite, tolerance, and limits, ensuring alignment with business operations[99]. - The company has implemented a digital transformation in risk management, enhancing its risk data governance and management systems to support risk identification and monitoring[101]. Operational Expansion - The company has expanded its operations across 15 provinces, municipalities, and autonomous regions in China, including Beijing, Shanghai, and Guangdong[19]. - The company operates a total of 39 branches across 28 provinces in China as of December 31, 2023[22]. - The company has expanded its presence in various regions, including Chongqing, Beijing, Shanghai, and Guangdong, among others[22]. - The company is positioned to leverage its extensive branch network for future market opportunities[22]. Strategic Initiatives - The company is investing 50 million in R&D for new technologies aimed at enhancing user experience[25]. - Market expansion plans include entering three new provinces, projected to increase market share by 5%[25]. - The company is considering strategic acquisitions to enhance its product portfolio, with a budget of 100 million allocated for this purpose[25]. - The company plans to enhance its digital marketing strategy, aiming for a 30% increase in online engagement[25]. Employee and Management - The total pre-tax remuneration for the company's directors, supervisors, and senior management during the reporting period amounted to 694.47 million yuan[127]. - The company has appointed a new Chief Risk Officer and Chief Information Officer to strengthen its governance and operational efficiency[127]. - The company has established a market-oriented employee compensation system that includes basic salary, performance pay, and benefits, adhering to principles of fairness and compliance[157]. Community and Social Responsibility - The company invested a total of 13.39 million yuan in social responsibility initiatives, excluding rural revitalization consumption assistance[181]. - The company has supported over 200 high-quality farmers and trained 150 new e-commerce farmers through various educational initiatives[183]. - The company has committed to maintaining its main business operations without significant changes for a period of 12 months[186]. Legal Matters - The company has no significant lawsuits or arbitration matters affecting the company this year, with no cases exceeding 10 million RMB in the latest audited net assets[190]. - The company is currently facing a lawsuit from Xinyuan Asset Management Co., Ltd. for approximately CNY 231.28 million in entrusted assets and related damages[198]. - The company has been involved in multiple legal disputes regarding bond defaults, including a case where it was awarded CNY 231 million in principal and interest from Tongyi Industrial Group Co., Ltd.[199].