证券代码：600369 证券简称：西南证券 公告编号：临 2023－029 西南证券股份有限公司 2023 年半年度募集资金存放与实际使用情况专项报告 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。 （一）实际募集资金金额和资金到账时间 经中国证券监督管理委员会《关于核准西南证券股份有限公司非公开发行股 票的批复》（证监许可〔2020〕1090 号）核准，并经上海证券交易所同意，西南 证券股份有限公司（以下简称公司）由主承销商华福证券有限责任公司采用非公 开发行方式，向特定对象重庆渝富资本运营集团有限公司等四名投资者定向增发 人民币普通股（A 股）100,000 万股，发行价格为每股人民币 4.90 元，共计募集 资金总额为 490,000.00 万元，减除发行费用人民币 1,385.39 万元（不含增值税） 后，募集资金净额为 488,614.61 万元。上述资金于 2020 年 7 月 20 日到位，全部 由主承销商华福证券有限责任公司存入公司开立的募集资金专户，业经天健会计 师事务所（特殊普通合伙）予以验证并出具天 ...

第九届监事会第十七次会议决议公告 本公司监事会及全体监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。 西南证券股份有限公司（以下简称公司）第九届监事会第十七次会议，于2023 年8月25日以现场表决方式在重庆召开。会前，公司按规定发出了会议通知及会议材 料。本次会议应到监事3人，实到监事3人。会议由倪月敏监事会主席主持，会议的 召集、召开符合《公司法》以及《公司章程》的有关规定。 本次会议以记名投票方式审议并通过如下议案： 证券代码：600369 证券简称：西南证券 公告编号：临 2023-028 西南证券股份有限公司 表决结果：[ 3 ]票同意，[ 0 ]票反对，[ 0 ]票弃权，审议通过本议案。 三、审议通过《关于公司2023年半年度募集资金存放与实际使用情况专项报告 的议案》 表决结果：[ 3 ]票同意，[ 0 ]票反对，[ 0 ]票弃权，审议通过本议案。 四、审议通过《关于公司2023年上半年度风险评估报告的议案》 表决结果：[ 3 ]票同意，[ 0 ]票反对，[ 0 ]票弃权，审议通过本议案。 特此公告 西南证券股份有限公司监事会 ...

三、关于会计政策变更 公司本次变更会计政策系根据财政部《关于印发<企业会计准则解释第16 号>的通知》（财会〔2022〕31号）作出的相应变更，变更后的会计政策能够更 加客观、准确地反映公司财务状况和经营成果；本次会计政策变更的审议决策程 序合法、合规，不存在损害公司和中小股东合法权益的情况，对《关于变更公司 会计政策的议案》发表同意意见。 四、关于半年度募集资金存放与实际使用情况 西南证券股份有限公司独立董事关于 第九届董事会第二十九次会议相关事项的独立意见 根据《上市公司独立董事规则》《公司章程》及《公司独立董事工作细则》 等规定和要求，作为公司独立董事，我们认真审阅了公司第九届董事会第二十九 次会议相关议案，基于独立判断的立场，就上述议案发表独立意见如下： 一、关于公司主要负责人2022年度经营业绩考核结果 公司董事会审议的《关于确定公司主要负责人2022年度经营业绩考核结果的 议案》，符合相关监管规定以及公司实际情况，不存在损害公司和中小股东合法 权益的情况。该议案的审议决策程序合法、合规，对《关于确定公司主要负责人 2022年度经营业绩考核结果的议案》发表同意意见。 二、关于公司主要负责人2023年 ...

证券代码：600369 证券简称：西南证券 公告编号：临 2023－030 西南证券股份有限公司 会计政策变更公告 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。 重要内容提示： 本次会计政策变更是西南证券股份有限公司（以下简称公司）根据中华 人民共和国财政部（以下简称财政部）发布的相关文件进行的相应变更，不会对 公司财务状况、经营成果和现金流量产生重大影响。 一、概述 财政部于2022年11月30日发布了《关于印发<企业会计准则解释第16号>的 通知》（财会〔2022〕31号）(以下简称"解释16号")，其中第一款规定了"关于单 项交易产生的资产和负债相关的递延所得税不适用初始确认豁免的会计处理"， 公司自2023年1月1日起施行。 （二）会计政策变更的影响 公司执行该会计政策须追溯调整以前年度财务报表，该追溯调整对公司财务 报告的影响不重大。本次变更后的会计政策能够更客观、公允地反映公司的财务 状况和经营成果，不会对公司未来的财务报告产生重大影响，也不存在损害公司 及股东利益的情形。 三、独立董事、监事会的结论性意见 ...

证券代码：600369 证券简称：西南证券 公告编号：临2023-026 西南证券股份有限公司 关于股东权益变动的提示性公告 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。 2023 年 8 月 14 日，西南证券股份有限公司（以下简称公司）接到重庆渝富 控股集团有限公司（以下简称渝富控股，其持有公司控股股东重庆渝富资本运营 集团有限公司 100%股权）通知：为深化国有企业改革，重庆市国有资产监督管理 委员会拟将其持有的重庆水务环境控股集团有限公司 80%股权和重庆轻纺控股 （集团）公司 80%股权无偿划转给渝富控股，目前正在履行相关审批手续。 西南证券股份有限公司董事会 2023 年 8 月 15 日 1 上述无偿划转事项可能导致渝富控股间接持有公司的股份发生变动，但不会 导致公司控股股东、实际控制人变更，公司控股股东仍为重庆渝富资本运营集团 有限公司，公司实际控制人仍为重庆市国有资产监督管理委员会。该事项尚需获 得有权机关批准，有关事项具有不确定性，为及时、公平披露信息，维护广大投 资者权益，现予以公告。 上述无偿划 ...

证券代码：600369 证券简称：西南证券 公告编号：临2023-018 西南证券股份有限公司 关于召开 2022 年度暨 2023 年第一季度 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。 重要内容提示： 会议召开时间：2023 年 6 月 1 日（星期四）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.ss einfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 5 月 25 日（星期四）至 5 月 31 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。 二、说明会召开的时间、地点 （一）会议召开时间：2023 年 6 月 1 日 13:00-14:00 （二）会议召开地点：上证路演中心 （三）会议召开方式：上证路演中心网络互动 三、参加人员 公司董事长、总裁、财务负责人吴坚先生 ...

Financial Performance - The company's operating revenue for 2022 was ¥1,786,841,809.16, a decrease of 42.29% compared to ¥3,096,080,385.10 in 2021[34]. - The net profit attributable to shareholders of the parent company was ¥309,416,341.76, down 70.20% from ¥1,038,152,895.95 in the previous year[34]. - The company reported a comprehensive loss of ¥120,790,501.39 for 2022, compared to a loss of ¥155,344,875.95 in 2021[34]. - Basic earnings per share decreased by 68.75% to CNY 0.05 in 2022 from CNY 0.16 in 2021[35]. - The company's operating income in Beijing decreased by 22.72% to approximately 63.64 million RMB, while the income in Guangdong fell by 41.55% to approximately 37.16 million RMB[75]. - The total operating profit was 109,088,954.66 RMB, a decrease of 89.50% compared to the previous year[79]. - The company reported a significant increase in revenue, achieving a total of $1.5 billion, representing a 20% year-over-year growth[135]. - The company reported a significant increase in revenue, achieving a total of 1.5 billion yuan, representing a 20% year-over-year growth[136]. Dividend Distribution - The profit distribution plan for 2022 proposes a cash dividend of CNY 0.30 per 10 shares, totaling CNY 199,353,273.72, which accounts for 64.43% of the net profit attributable to shareholders[7]. - The company plans to carry forward any undistributed profits to the next fiscal year after the proposed dividend distribution[7]. - The cash dividend per 10 shares is CNY 0.30 (tax included)[162]. Capital Structure - The registered capital remains at CNY 6,645,109,124, while net capital decreased to CNY 14,561,985,039.16 from CNY 15,882,718,611.51 in the previous year[16]. - Total assets at the end of 2022 were ¥80,994,403,028.86, a decrease of 1.54% from ¥82,258,033,563.18 at the end of 2021[34]. - Total liabilities decreased by 1.61% to ¥56,058,559,636.84 from ¥56,975,519,750.63 in the previous year[34]. - The equity attributable to shareholders of the parent company was ¥24,939,621,852.31, down 1.65% from ¥25,357,779,155.53 in 2021[34]. - The liquidity coverage ratio improved to 180.30% in 2022 from 176.02% in the previous year[36]. - The ratio of net capital to total liabilities was 35.46% at the end of 2022, down from 39.20% at the end of the previous year[36]. Risk Management - The company has established a risk management system centered on the "Southwest Securities Risk Management System," which includes various risk management measures and regular assessments[106]. - The company has implemented measures to optimize risk limit management and enhance business volume risk control, including stress testing to determine risk tolerances[107]. - The company is focused on creating a proactive risk prevention and control environment, adjusting investment scales, and managing exposure to minimize risks in extreme market conditions[107]. - The company faced various risks including liquidity risk, market risk, credit risk, operational risk, and reputational risk, with specific measures in place to address each[112]. - The company has enhanced its liquidity risk management by conducting regular stress tests and improving its emergency financing capabilities[113]. Compliance and Governance - The company has established a comprehensive internal control system, including over 800 regulations covering governance, business management, compliance, risk control, and financial management[165]. - The company has maintained compliance with regulatory standards for all risk control indicators, with no instances of non-compliance reported during the reporting period[127]. - The company has established a four-tier compliance management system to effectively identify, assess, and manage compliance risks[125]. - The company has not experienced any significant compliance risk events during the reporting period[125]. - The company has not faced any administrative penalties related to environmental issues during the reporting period[173]. Business Operations - The company has expanded its operations to 16 provinces and municipalities across China, enhancing its market presence[26]. - The company operates a total of 39 branches across various provinces and municipalities in China as of December 31, 2022[30]. - The company has established multiple operational branches in major cities including Chongqing, Beijing, Shanghai, and Shenzhen, enhancing its market presence[31]. - The company has diversified its business into securities brokerage, investment banking, proprietary trading, and asset management[57]. - The company is focusing on compliance risk control and enhancing its wealth management transformation[57]. Strategic Initiatives - The company is focusing on market expansion and new product development as part of its future strategy[33]. - The company aims to leverage digital technologies such as AI, big data, and blockchain to drive the digital transformation of the securities industry, enhancing customer service and creating new competitive advantages[96]. - The company is exploring potential transactions involving the sale of a 74.1% stake in Xizheng International Securities and a perpetual bond worth HKD 580 million, although no formal agreement has been reached yet[93]. - The company is considering strategic acquisitions to bolster its market position, with a budget of $100 million allocated for potential deals[135]. Social Responsibility - The company donated over 13 million CNY to support poverty alleviation and rural revitalization projects, including 1.3 million CNY in cash donations to Youyang County[181]. - The company has reported a total investment of 1,394.34 million CNY in social responsibility initiatives, including educational support and environmental projects[180]. - The company has implemented measures to promote energy conservation and environmental protection, including online trading and remote meetings[173]. Legal Matters - The company is involved in multiple ongoing legal cases related to stock pledge transactions, with one case involving a principal amount of 400 million RMB[195]. - The company has successfully recovered CNY 777,600 (0.7776 million) in a guarantee contract dispute and is in the process of recovering an additional CNY 1.4274 million (1.4274 million) through asset liquidation[198]. - The company is involved in a securities false statement liability dispute with a claim from Changjin Hexin Fund Management Co., Ltd., but specific financial details were not disclosed in the report[199].

单位：元 币种：人民币 项目 本报告期 本报告期比上年同期增减变动幅度(%) 2023 年第一季度报告 证券代码：600369 证券简称：西南证券 西南证券股份有限公司 2023 年第一季度报告 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 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务 信息的真实、准确、完整。 第一季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 | --- | --- | --- | --- | |-----------------------------------------------|-------------------|-------------------|---------------------------------------| | 营业收入 | 73 ...

Group 1: Event Details - The online investor reception day is scheduled for December 23, 2022, from 15:00 to 17:00 [1] - Investors can participate via the Shanghai Stock Exchange Roadshow Center website [1] Group 2: Purpose and Goals - The event aims to enhance investor relations management among listed companies in the Chongqing area [1] - It seeks to improve corporate governance and overall quality of listed companies [1] Group 3: Participation and Interaction - Company representatives will engage in an "one-to-many" online communication format with investors [1] - Investors are encouraged to actively participate and ask questions during the event [1]

Financial Performance - Operating revenue for Q3 2022 was CNY 311,837,047.55, a decrease of 48.36% compared to the same period last year[4] - Net profit attributable to shareholders for Q3 2022 was CNY 31,883,558.23, down 85.38% year-on-year[4] - Basic earnings per share for Q3 2022 was CNY 0.005, reflecting a decline of 83.33% compared to the previous year[4] - Total operating revenue for the first three quarters of 2022 was ¥1,194,917,522.02, a decrease of 53.3% compared to ¥2,562,254,515.58 in the same period of 2021[19] - Net profit attributable to shareholders of the parent company for Q3 2022 was ¥226,714,325.19, down 74.9% from ¥904,267,375.32 in Q3 2021[19] - Investment income for Q3 2022 was ¥607,687,988.56, a significant decrease of 59.5% from ¥1,501,438,575.86 in Q3 2021[19] - Net profit for the first three quarters of 2022 was RMB 559.52 million, a decrease of 25.5% compared to RMB 750.06 million in the same period of 2021[24] - The company's revenue for the first three quarters of 2022 was RMB 1.37 billion, down 36.4% from RMB 2.16 billion in the previous year[24] Assets and Liabilities - Total assets at the end of Q3 2022 amounted to CNY 82,742,513,363.80, a slight increase of 0.59% from the end of the previous year[4] - Total assets as of September 30, 2022, amounted to ¥82,742,513,363.80, an increase from ¥82,258,033,563.18 at the end of 2021[17] - Total liabilities increased to ¥57,853,907,452.21 as of September 30, 2022, compared to ¥56,975,519,750.63 at the end of 2021[17] - The company's total liabilities reached RMB 54.58 billion, up from RMB 53.40 billion year-over-year, indicating a rise of 2.2%[23] Shareholder Information - Total number of common shareholders at the end of the reporting period is 123,513[8] - The largest shareholder, Chongqing Yufu Capital Operation Group Co., Ltd., holds 1,853,443,610 shares, accounting for 27.89% of total shares[8] - The second largest shareholder, Chongqing Urban Construction Investment (Group) Co., Ltd., holds 689,293,065 shares, representing 10.37%[8] - The top ten shareholders collectively hold a significant portion of the company's shares, with the top three alone accounting for over 44%[8] - The company has not disclosed any other significant shareholder relationships or concerted actions among the top shareholders[10] Cash Flow - Net cash flow from operating activities was CNY 866,700,323.75, compared to CNY 1,133,017,312.03 in the previous year[22] - Cash inflow from operating activities totaled CNY 7,999,048,649.62, a decrease from CNY 8,252,947,079.78 year-over-year[22] - Cash outflow from operating activities was CNY 7,132,348,325.87, slightly up from CNY 7,119,929,767.75 in the previous year[22] - Net cash flow from investing activities was negative CNY 483,332,588.48, a significant decline from a positive CNY 2,548,073,456.96 in the previous year[22] - Cash inflow from financing activities was CNY 14,727,472,876.17, compared to CNY 7,453,334,515.72 in the previous year[22] - Net cash flow from financing activities was negative CNY 890,088,585.62, an improvement from negative CNY 3,760,661,719.90 in the previous year[22] - The ending balance of cash and cash equivalents was CNY 19,148,815,868.45, down from CNY 20,547,892,324.56 in the previous year[22] Other Financial Metrics - The weighted average return on equity for Q3 2022 was 0.13%, a decrease of 0.74 percentage points year-on-year[4] - The company reported a significant increase in receivables, with accounts receivable rising by 127.41% to CNY 657,906,822.53[6] - Short-term financing payables increased by 135.44% to CNY 7,974,090,212.02, indicating a rise in short-term debt[7] - The company experienced a 30.99% increase in deferred tax assets, amounting to CNY 691,178,900.42, primarily due to changes in the fair value of financial instruments[7] - The company’s total equity decreased to ¥24,888,605,911.59 as of September 30, 2022, from ¥25,282,513,812.55 at the end of 2021[17] - The total comprehensive income attributable to the parent company's owners was CNY 200,143,854.14, a decrease from CNY 782,214,030.46 in the previous year[20] - Basic and diluted earnings per share were both CNY 0.03, down from CNY 0.14 in the same period last year[20]