证券代码：600621 证券简称：华鑫股份 公告编号：临 2023－050 上海华鑫股份有限公司 对外投资公告 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： 一、对外投资概述 （一）对外投资基本情况 为把握资产管理行业的业务发展机遇，拓展公司资产管理业务发 展的深度和广度，建设较为领先的资产管理平台，主动创造新的业务 增长机会，上海华鑫股份有限公司（以下简称"公司"）全资子公司 华鑫证券有限责任公司（以下简称"华鑫证券"）拟出资人民币 10 亿 元设立全资资产管理子公司（以下简称"资管子公司"），从事证券资 产管理业务。资管子公司成立后将承接华鑫证券资产管理业务，以独 立法人形式开展资产管理业务。 （二）董事会审议情况 公司第十一届董事会第六次会议于 2023 年 11 月 24 日以通讯表 决方式召开。公司于 2023 年 11 月 21 日通过电子邮件形式向公司董 1 投资标的名称：华鑫证券（上海）资产管理有限公司 （暂定名， 最终名称以登记机关核准内容为准） 投资金额：人民币 10 亿元 相关风险提示： ...

Financial Performance - Revenue for the third quarter was RMB 499,981,521.85, a decrease of 19.60% year-over-year[6] - Net profit attributable to shareholders of the listed company for the third quarter was RMB 249,138,465.61, an increase of 397.31% year-over-year[6] - Basic earnings per share for the third quarter were RMB 0.23, an increase of 360.00% year-over-year[6] - Total revenue for the first three quarters of 2023 was RMB 1,531,910,063.57, a decrease compared to RMB 1,898,095,735.51 in the same period of 2022[28] - Net profit for the first three quarters of 2023 was RMB 418,402,301.83, an increase from RMB 245,419,493.52 in the same period of 2022[28] - Net profit attributable to parent company shareholders increased to RMB 415.28 million, up 70% from RMB 244.27 million in the same period last year[30] - Comprehensive income totaled RMB 428.56 million, a 77% increase from RMB 242.34 million in the previous year[30] - Basic earnings per share rose to RMB 0.39, up 70% from RMB 0.23 in the same period last year[30] Asset and Liability Changes - Total assets as of the end of the third quarter were RMB 37,734,236,454.23, an increase of 7.70% compared to the end of the previous year[6] - Monetary funds as of September 30, 2023, were RMB 6,950,056,759.99, a decrease from RMB 8,701,784,834.03 at the end of 2022[25] - Trading financial assets as of September 30, 2023, were RMB 16,575,855,042.27, a significant increase from RMB 9,345,190,384.85 at the end of 2022[25] - Total assets increased to 37,734,236,454.23, up from 35,035,478,696.98 in the previous period[35] - Non-current assets rose to 2,355,302,506.92, compared to 1,898,837,437.36 previously[35] - Current liabilities totaled 22,746,531,276.22, with a slight increase to 22,748,640,019.52[33] - Deferred tax assets grew by 44,056,912.88, reaching 148,266,916.84[33] - Buyback financial assets surged to 2,113,907,384.99, up from 1,275,806,515.14[35] - Short-term borrowings decreased to 218,131,905.09, down from 199,082,739.13[35] - Payables for securities trading dropped to 11,829,468,960.52, from 10,383,787,063.36[35] - Deferred tax liabilities increased by 41,889,010.11, reaching 100,939,903.25[33] - Intangible assets stood at 166,213,390.51, up from 142,129,006.78[35] - Total liabilities for current and non-current categories showed a combined increase, reflecting higher financial obligations[33][35] - Total liabilities increased to 29.88 billion CNY, up from 27.50 billion CNY in the previous period[36] - Current liabilities rose to 26.19 billion CNY, compared to 22.75 billion CNY previously[36] - Non-current liabilities decreased to 3.69 billion CNY from 4.75 billion CNY[36] - Total owner's equity increased to 7.86 billion CNY, up from 7.53 billion CNY[36] - Unallocated profit grew to 4.52 billion CNY, compared to 4.23 billion CNY previously[36] - Short-term financing liabilities decreased to 1.26 billion CNY from 2.47 billion CNY[36] - Bonds payable reduced to 2.50 billion CNY from 3.60 billion CNY[36] - Lease liabilities decreased to 81.70 million CNY from 95.97 million CNY[36] - Deferred tax liabilities increased to 110.46 million CNY from 59.05 million CNY[36] Shareholder and Equity Information - The top shareholder, Shanghai Instrumentation (Group) Co., Ltd., holds 34.12% of the company's shares[14] - The second-largest shareholder, Huaxin Real Estate (Group) Co., Ltd., holds 13.15% of the company's shares[14] - The third-largest shareholder, Shanghai Guosheng Group Asset Co., Ltd., holds 9.99% of the company's shares[17] - Shareholder Zhou Jie holds 2,800,182 shares through a margin trading account[21] - Shanghai Guosheng Group Asset Co., Ltd. participated in securities lending business with a cumulative volume of 10.6055 million shares from January 1 to September 30, 2023[21] Cash Flow and Investment Activities - The decrease in operating cash flow was primarily due to a reduction in net inflows from financing activities and a net outflow of customer funds compared to the previous period[13] - Cash flow from operating activities was negative RMB 355.86 million, compared to positive RMB 1.57 billion in the previous year[31] - Cash flow from investing activities was positive RMB 366.25 million, a 229% increase from RMB 111.15 million in the same period last year[31] - Cash flow from financing activities was negative RMB 1.95 billion, compared to negative RMB 1.01 billion in the previous year[31] - Cash and cash equivalents decreased by RMB 1.94 billion, compared to an increase of RMB 675 million in the same period last year[31] - Investment income for the first three quarters of 2023 was RMB 617,126,547.27, significantly higher than RMB 198,537,443.39 in the same period of 2022[28] Revenue and Expense Breakdown - Revenue from sales of goods and services dropped to RMB 6.69 million, down 93% from RMB 95.10 million in the previous year[31] - Interest and commission income decreased to RMB 1.59 billion, down 17% from RMB 1.90 billion in the same period last year[31] - Repurchase business funds increased to RMB 6.74 billion, up 147% from RMB 2.73 billion in the previous year[31] - The company's interest income for the first three quarters of 2023 was RMB 464,067,233.03, a slight decrease from RMB 493,840,913.70 in the same period of 2022[28] - The company's financial expenses for the first three quarters of 2023 were RMB 3,327,316.30, a decrease from RMB 4,932,975.34 in the same period of 2022[28] Corporate Actions and Strategic Moves - The company's subsidiary, Huaxin Securities, transferred 36% of its shares in Morgan Stanley Huaxin Fund Management Co., Ltd., contributing to the significant increase in net profit[13] - The company terminated its private placement of A shares and withdrew the application documents on August 7, 2023[22] Profitability Metrics - The weighted average return on equity for the third quarter was 3.26%, an increase of 2.57 percentage points year-over-year[6]

证券代码：600621 证券简称：华鑫股份 编号：临 2023－049 上海华鑫股份有限公司 第十一届董事会第五次会议决议公告 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。 经与会董事审议，通过了以下事项： 一、《公司 2023 年第三季度报告》 表决结果：赞成 7 票，反对 0 票，弃权 0 票。 二、《公司关于调整组织架构的议案》 表决结果：赞成 7 票，反对 0 票，弃权 0 票。 上海华鑫股份有限公司（以下简称"公司"）第十一届董事会第五次会议于 2023 年 10 月 27 日以通讯表决方式召开。公司于 2023 年 10 月 24 日通过电子邮 件形式发出会议通知及会议文件。会议应到董事 7 人，实到董事 7 人。会议的召 开符合《公司法》和公司章程的有关规定。 特此公告 2023 年 10 月 28 日 上海华鑫股份有限公司 董 事 会 ...

1 证券简称：华鑫股份 证券代码：600621 上海华鑫股份有限公司 投资者关系活动记录表 | | □特定对象调研 □分析师会议 | | --- | --- | | 投 资 者 关 系 | □媒体采访 ■业绩说明会 □新闻发布会 □路演活动 | | 活动类别 | □现场参观 □一对一沟通 | | | □其他 | | 时间 | 2023 年 10 月 20 日 星期五 14 时至 15 时 | | 地点 | 上海市黄浦区福州路 666 号华鑫海欣大厦九楼会议室 | | 上 市 公 司 接 | 华鑫股份董事长：李军先生 | | 待人员姓名 | | | | 华鑫股份董事、总经理：俞洋先生 | | | 华鑫股份独立董事：宋晓满先生 | | | 华鑫股份副总经理、总会计师：田明先生 | | | 华鑫股份董事会秘书：胡之奎先生 | | 效。下一步，华鑫证券将坚持金融科技引领业务发展的核心战 | | --- | | 略，向各业务条线有序赋能，把华鑫证券打造成为具有核心竞争 | | 力的特色券商。感谢您的关注。 | | 投资人提问 3：华鑫股份现主业是证券业务，请问华鑫证券发展 | | 目标是什么?怎样达成目标? | | 回 ...

重要内容提示： https://roadshow.sseinfo.com/） 证券代码：600621 证券简称：华鑫股份 公告编号：临 2023-048 上海华鑫股份有限公司 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法律责任。 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 10 月 13 日(星期五) 至 10 月 19 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 wangwei@shchinafortune.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。 上海华鑫股份有限公司（以下简称"公司"）已于 2023 年 8 月 30 日发布公 司 2023 年半年度报告，为便于广大投资者更全面深入地了解公司 2023 年半年度 经营成果、财务状况，公司计划于 2023 年 10 月 20 日 下午 14:00-15:00 举行 2023 年半年度业绩说明会，就投资者关心的问题进行交流。 一、 说明会类型 本 ...

上海华鑫股份有限公司 迁址公告 2023 年 9 月 18 日 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。 上海华鑫股份有限公司（以下简称"公司"）于 2023 年 9 月 16 日迁至新的 办公地址上海市黄浦区福州路 666 号华鑫海欣大厦办公，接待楼层 4 楼。邮政编 码：200001。 上海华鑫股份有限公司 董 事 会 证券代码：600621 证券简称：华鑫股份 公告编号：临 2023-047 除上述变更内容外，公司注册地址、网址、电话、邮箱等其他联系方式保持 不变，具体联系方式如下： 公司网址：https://www.shchinafortune.com 电子信箱：shfc@shchinafortune.com 投资者接待电话：021-54967663、021-54967667 传真号码：021-54967032 特此公告 ...

Financial Performance - Total operating revenue for the first half of 2023 was CNY 1,031,928,541.72, a decrease of 19.14% compared to CNY 1,276,256,206.59 in the same period last year[18]. - Net profit attributable to shareholders for the first half of 2023 was CNY 166,141,594.22, down 14.44% from CNY 194,176,263.38 year-on-year[18]. - Basic earnings per share for the first half of 2023 was CNY 0.16, a decrease of 11.11% compared to CNY 0.18 in the same period last year[19]. - The weighted average return on net assets for the first half of 2023 was 2.22%, down 0.45 percentage points from 2.67% year-on-year[19]. - Operating income for the first half of 2023 was CNY 7,154,443.43, down 85.70% from CNY 50,030,067.11 in the same period last year[18]. - The net profit after deducting non-recurring gains and losses was CNY 162,251,574.86, a decrease of 10.89% compared to CNY 182,074,036.83 year-on-year[18]. - Total revenue for the reporting period was CNY 1,031,928,541.72, a decrease of 19.14% compared to CNY 1,276,256,206.59 in the same period last year[41]. - Interest income decreased by 3.53% to CNY 319,115,351.76, down from CNY 330,790,158.41[41]. - Commission and fee income fell by 21.19% to CNY 705,658,746.53, compared to CNY 895,435,981.07 last year[41]. - Investment income surged by 266.34%, reaching CNY 311,878,477.60, up from CNY 85,134,378.91[42]. - The total comprehensive income for the first half of 2023 was CNY 180,867,623.58, compared to CNY 189,020,564.13 in the first half of 2022, showing a decline of approximately 4.06%[115]. Cash Flow and Liquidity - Net cash flow from operating activities for the first half of 2023 decreased by 114.73%, resulting in a net outflow of CNY 270,037,178.94[18]. - The cash flow from operating activities for the first half of 2023 was negative at CNY -270,037,178.94, compared to a positive CNY 1,832,757,646.11 in the first half of 2022[119]. - The cash outflow from operating activities for the first half of 2023 was CNY 5,199,297,307.54, an increase from CNY 4,111,524,664.98 in the same period of 2022[119]. - The net cash flow from financing activities was -116,363,093.27 RMB, compared to -109,411,520.28 RMB in the first half of 2022, reflecting increased cash outflows related to financing[123]. - The company experienced a net decrease in cash and cash equivalents of 734,741,404.78 RMB in the first half of 2023, contrasting with an increase of 1,475,685,573.48 RMB in the same period of 2022[120]. Assets and Liabilities - Total assets at the end of the reporting period were CNY 37,667,893,579.88, an increase of 7.51% from CNY 35,035,478,696.98 at the end of the previous year[18]. - Total liabilities reached CNY 30.06 billion, up from CNY 27.50 billion, indicating an increase of about 9.3%[109]. - The company's total equity as of June 30, 2023, was CNY 6,046,465,805.27, down from CNY 6,100,023,884.37 at the end of 2022, indicating a decline of 0.9%[112]. - The company's asset-liability ratio was reported at 72.44%[90]. - The company's total liabilities to equity ratio stands at approximately 3.95, indicating a leverage increase compared to the previous period[109]. Investment and Asset Management - In the first half of 2023, the total scale of asset management business reached 51.347 billion, a year-on-year increase of 7.38%[31]. - The asset management department launched the "Commodity Cross-Section Multi-Factor Strategy Index" as an industry first during the reporting period[31]. - The company is actively exploring investment opportunities in sectors such as semiconductors, biomedicine, and artificial intelligence, with a focus on Pre-IPO investments[35]. - The company’s trading financial assets increased to ¥14.1 billion, representing 37.43% of total assets, up 50.86% from the previous year[46]. - The company reported a significant increase in sell-back financial assets to ¥7.44 billion, up 95.25% from the previous year, indicating growth in pledged repurchase business[47]. Regulatory and Compliance - The company faces potential policy risks that could adversely affect its operations, particularly in the highly regulated securities industry[56]. - Regulatory requirements focus on net capital management, with potential negative impacts on business operations and market reputation if capital structure adjustments are not timely[61]. - The company has committed to ensuring that its operations do not rely on other controlled enterprises, maintaining operational independence[77]. - The company has committed to adhering to the latest regulatory requirements regarding return compensation measures[80]. Environmental and Social Responsibility - The company emphasizes environmental responsibility by promoting green building practices and using energy-efficient materials in new and renovated offices[70]. - The company has committed to maintaining independence and avoiding conflicts of interest with its subsidiaries post-transaction, ensuring no competitive business activities[76]. - The company has established a training program for rural teachers to enhance educational support in impoverished areas, contributing to community development[73]. - The company promotes the use of electronic documents to significantly reduce paper usage and waste, thereby minimizing environmental impact[72]. Corporate Governance - The company held its first and second extraordinary general meetings in February and March 2023, respectively, to address board and supervisory committee elections[64]. - The company appointed new independent directors and supervisors during the 2022 annual general meeting held on May 15, 2023[65]. - The company has established independent governance structures and management institutions to ensure operational independence[77]. - The company has committed to linking executive compensation to the execution of return compensation measures[80]. Financial Instruments and Risk Management - The company assesses credit risk for financial instruments at each reporting date to determine expected credit losses, with provisions based on whether credit risk has significantly increased since initial recognition[179]. - The company recognizes expected credit losses for financial assets measured at amortized cost and those measured at fair value through other comprehensive income[178]. - The company uses derivative financial instruments to hedge risks related to exchange rates, interest rates, and security price fluctuations, measured at fair value[194]. - The company recognizes and measures impairment for contract assets based on expected credit losses over the entire duration[184].

上海证券交易所文件 上证上审（再融资）〔2023〕566 号 关于终止对上海华鑫股份有限公司 向特定对象发行股票审核的决定 上海华鑫股份有限公司： 上海证券交易所（以下简称本所）于 2023 年 3 月 21 日 依法受理了你公司向特定对象发行股票的申请文件，并按照 规定进行了审核。 2023 年 8 月 7 日，你公司和保荐人海通证券股份有限公 司及华鑫证券有限责任公司向本所提交了《华鑫股份关于撤 回上海华鑫股份有限公司 2022 年度向特定对象发行 A 股股 票申请文件的申请》《海通证券关于撤回上海华鑫股份有限 公司 2022 年度向特定对象发行 A 股股票申请文件的申请》 和《华鑫证券关于撤回上海华鑫股份有限公司 2022 年度向 特定对象发行 A 股股票申请文件的申请》，申请撤回向特定 1 主题词：主板 再融资 终止通知 上海证券交易所 2023 年 08 月 10 日印发 2 ─────────────── 对象发行股票的申请文件。根据《上海证券交易所上市公司 证券发行上市审核规则》第十九条、《上海证券交易所股票 发行上市审核规则》第六十三条（二）的有关规定，本所决 定终止对你公司向特定对象发行股票 ...

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。 上海华鑫股份有限公司（以下简称"公司"）于 2023 年 8 月 7 日召开了公司第十 一届董事会第三次会议，审议通过了《公司关于终止向特定对象发行股票事项并撤回申 请文件的议案》，同意公司终止 2022 年度向特定对象发行 A 股股票（以下简称"本次 向特定对象发行股票"）事项，并向上海证券交易所（以下简称"上交所"）申请撤回 相关申请文件。具体内容详见公司于 2023 年 8 月 8 日在上交所网站（www.sse.com.cn） 披露的《公司关于终止向特定对象发行股票事项并撤回申请文件的公告》。 证券代码：600621 证券简称：华鑫股份 编号：临 2023－046 上海华鑫股份有限公司关于收到 上海证券交易所《关于终止对上海华鑫股份有限公司 向特定对象发行股票审核的决定》的公告 公司和保荐人海通证券股份有限公司及华鑫证券有限责任公司于 2023 年 8 月 7 日 向上交所提交了《关于撤回上海华鑫股份有限公司 2022 年度向特定对象发行 A 股股票 申请文件的申请》《海 ...

Financial Performance - The net profit attributable to the parent company's shareholders for Q1 2023 was ¥86,757,261.63, compared to ¥80,568,250.70 in Q1 2022, representing an increase of approximately 8.3%[13] - The comprehensive income total for Q1 2023 was ¥105,288,635.99, compared to ¥79,180,424.23 in Q1 2022, marking an increase of approximately 33.0%[13] - The diluted earnings per share remained stable at ¥0.08 for both Q1 2023 and Q1 2022[13] - Total revenue for Q1 2023 was ¥522,744,062.60, a decrease of 17.4% compared to ¥632,875,451.10 in Q1 2022[29] - Interest income for Q1 2023 was ¥164,494,423.32, down from ¥170,423,824.33 in Q1 2022, reflecting a decline of 5.4%[29] - Total operating revenue for the reporting period was ¥522,744,062.60, representing a decrease of 17.40% compared to the same period last year[59] - Operating income for the reporting period was ¥4,384,085.02, showing a significant decline of 84.23% year-over-year[59] - Net profit attributable to shareholders after deducting non-recurring gains and losses was ¥84,004,814.14, reflecting a growth of 5.98% year-over-year[59] Assets and Liabilities - The total assets as of the end of Q1 2023 amounted to ¥38,882,618,467.88, up from ¥35,035,478,696.98 at the end of Q1 2022, indicating a growth of about 8.1%[11] - The total liabilities increased to ¥26,452,441,379.69 in Q1 2023 from ¥22,746,531,276.22 in Q1 2022, reflecting a rise of approximately 16.5%[11] - The total equity attributable to the parent company's shareholders increased to ¥12,430,177,088.19 from ¥11,288,947,420.76, reflecting a growth of approximately 10.1%[11] - The total liabilities increased to ¥31,242,451,109.03 in Q1 2023, up from ¥27,500,659,133.58 in Q1 2022, reflecting a growth of 9.9%[29] - Total equity attributable to shareholders rose to ¥7,519,364,104.58 in Q1 2023, compared to ¥7,414,872,410.95 in Q1 2022, an increase of 1.4%[29] Cash Flow - The company's cash and cash equivalents decreased to ¥1,564,036,354.23 from ¥2,295,753,993.12, a decline of about 31.9%[11] - The net cash inflow from investment activities was 315,742,937.75 RMB, compared to 165,386,002.46 RMB in the previous period, indicating a significant increase[15] - The net cash outflow from investment activities amounted to 22,852,715.39 RMB, a decrease from a net inflow of 62,110,972.63 RMB in the previous period[15] - The net cash flow from financing activities was -836,339,273.09 RMB, a decline from a net inflow of 1,349,770,971.18 RMB in the previous period[15] - Net cash flow from operating activities for Q1 2023 was -¥963,946,419.05, compared to a positive cash flow of ¥164,296,423.57 in Q1 2022[32] - Cash inflow from operating activities totaled ¥7,131,757,859.69 in Q1 2023, significantly higher than ¥3,557,807,501.78 in Q1 2022, marking an increase of 100.1%[32] - Cash outflow from operating activities was ¥8,095,704,278.74 in Q1 2023, compared to ¥3,393,511,078.21 in Q1 2022, representing an increase of 138.5%[32] - The net increase in cash and cash equivalents was -1,824,192,794.23 RMB, compared to an increase of 1,576,044,649.51 RMB in the previous period[15] Shareholder Information - The top shareholder, Shanghai Yidian (Group) Co., Ltd., holds 34.12% of the shares, totaling 361,974,793 shares[62] - The second-largest shareholder, Huaxin Real Estate (Group) Co., Ltd., owns 13.15% of the shares, amounting to 139,517,522 shares[62] Regulatory and Operational Changes - The company received approval from the China Securities Regulatory Commission for a change in the actual controller of Morgan Stanley Huaxin Fund Management Co., Ltd. on February 3, 2023[8] - The company is implementing new accounting standards starting from 2023, which may affect the financial statements[33] - The company has not disclosed any new product developments, market expansions, or mergers and acquisitions during this reporting period[63] Research and Development - Research and development expenses increased to approximately CNY 4.83 million from CNY 3.38 million year-over-year[50]