中信证券股份有限公司（以下简称"中信证券"或"保荐人"）作为建元信 托股份有限公司（以下简称"建元信托"或"公司"）向特定对象发行股票持续 督导工作的保荐人，根据《证券发行上市保荐业务管理办法》《上市公司监管指 引第 2 号——上市公司募集资金管理和使用的监管要求》《上海证券交易所股票 上市规则》《上海证券交易所上市公司自律监管指引第 1 号——规范运作》等法 律法规的规定，对建元信托 2023 年度募集资金存放与使用情况进行了核查，核 查情况如下： 一、募集资金基本情况 （一）募集资金金额及到位时间 经中国证券监督管理委员会《关于核准安信信托股份有限公司非公开发行股 票的批复》（证监许可〔2023〕291 号）核准，公司向特定对象上海砥安投资管 理有限公司发行人民币普通股 4,375,310,335 股，每股价格人民币 2.06 元。公司 于 2023 年 4 月 19 日收到主承销商中信证券股份有限公司划转的股票募集款 8,981,339,290.10 元（发行收入 9,013,139,290.10 元，扣除承销费、保荐费及持续 督导费含税金额 31,800,000.00 元），扣除各项其他发行费用（不含 ...

建元信托股份有限公司 2023 年度末合伙人数量：278 人 2023 年度末注册会计师人数：2,533 人 2023 年度末签署过证券服务业务审计报告的注册会计师人数： 693 人 关于对立信会计师事务所（特殊普通合伙） 2023 年度履职情况的评估报告 根据《中华人民共和国公司法》《中华人民共和国证券法》《上市 公司治理准则》《国有企业、上市公司选聘会计师事务所管理办法》 以及《公司章程》《董事会专门委员会实施细则》等规定，建元信托 股份有限公司（以下简称"公司"）对立信会计师事务所（特殊普 通合伙）2023 年度履职进行评估，具体情况如下： 一、2023 年年审会计师事务所情况 （一）基本情况 立信会计师事务所（特殊普通合伙）（以下简称"立信会计师事 务所"、"立信"）由我国会计泰斗潘序伦博士于 1927 年在上海 创建，1986 年复办，2010 年成为全国首家完成改制的特殊普通合 伙制会计师事务所，注册地址为上海市，首席合伙人为朱建弟先生。 立信会计师事务所是国际会计网络 BDO 的成员所，长期从事证券 服务业务，新证券法实施前具有证券、期货业务许可证，具有 H 股 审计资格，并已向美国公众公司会计 ...

建元信托股份有限公司 2023 年度独立董事述职报告 各位股东： 2023 年，本人作为建元信托股份有限公司（以下简称"公司"、 "本公司"）独立董事，严格按照《中华人民共和国公司法》《中华 人民共和国证券法》《上市公司独立董事规则》《上市公司独立董事 管理办法》《信托公司治理指引》《银行保险机构公司治理准则》《上 海证券交易所股票上市规则》等法律、法规的规定以及《公司章程》 《公司独立董事制度》等规章制度的要求，本着恪尽职守、勤勉尽责 的工作态度，积极出席公司相关会议，认真行使职权，及时了解公司 的经营信息，全面关注公司的发展状况，并对审议的相关事项发表了 客观、公正、独立的意见，忠实履行了独立董事的职责，切实维护了 公司及全体股东尤其是中小股东的合法权益。 现就 2023 年度的履职情况报告如下： 一、 独立董事的基本情况 （一）工作履历、专业背景以及兼职情况 徐新林先生：副教授，曾任复旦大学法律系讲师、复旦大学法学 院副教授，日本成蹊大学法学部客座研究员，日本早稻田大学访问学 者，金光集团 APP 中国总部、金光纸业（中国）投资有限公司法务部 总经理，海利润基金管理公司合规总监。现任常州百瑞吉生物医药股 ...

Financial Performance - The total operating income for 2023 was approximately ¥334.23 million, representing a 71.52% increase compared to ¥194.87 million in 2022[18]. - The net profit attributable to shareholders of the listed company for 2023 was approximately ¥42.48 million, a significant recovery from a loss of ¥1.04 billion in 2022[18]. - The net profit attributable to shareholders of the listed company for 2023 was -21,792,882.44 RMB, compared to 46,670,353.19 RMB in 2022[24]. - The basic earnings per share for 2023 was 0.0051 RMB, a significant improvement from -0.1907 RMB in 2022[21]. - The diluted earnings per share for 2023 was also 0.0051 RMB, consistent with the basic earnings per share[21]. - The company reported a non-recurring gain from government subsidies amounting to 46,372,019.23 RMB in 2023[25]. - The company’s net assets attributable to shareholders at the end of 2023 were 13,090,495,972.24 RMB, reflecting a substantial increase from previous years[20]. - The total assets increased by 35.52% from 16,447,335,304.82 RMB in 2022 to 22,288,860,574.83 RMB in 2023[20]. - The net cash flow from operating activities for 2023 was -316,701,834.46 RMB, compared to -767,767,354.99 RMB in 2022, indicating a reduction in cash outflow[24]. - The weighted average return on equity for 2023 was 0.48%, recovering from -345.82% in 2021[21]. Governance and Compliance - The audit report issued by Lixin Certified Public Accountants was a standard unqualified opinion, ensuring the accuracy of the financial statements[3]. - The company’s financial report has been confirmed by the board of directors and management, ensuring its authenticity and completeness[3]. - The company has strengthened its governance structure by formulating or revising over 30 regulations, enhancing its risk management capabilities[31]. - The board of directors held 9 meetings and approved 47 resolutions during the reporting period, enhancing governance and decision-making efficiency[87]. - The company operates independently from its controlling shareholders in terms of assets, personnel, finance, and business operations[88]. - The company has established an independent financial department and accounting system to ensure financial autonomy[89]. - The company has independent directors who believe that the remuneration scheme for senior management is reasonable and effective in motivating performance[102]. - The company’s independent directors confirmed that the remuneration decision-making process complies with relevant laws and regulations, ensuring no harm to the company or shareholders[102]. - The company has faced regulatory scrutiny, including a warning letter from the China Securities Regulatory Commission in September 2023[105]. - The company has established a special rectification team to address historical compliance issues and improve information disclosure practices[155]. Risk Management - The company has detailed various risks including credit risk, market risk, operational risk, compliance risk, reputation risk, strategic risk, and liquidity risk in its report[6]. - The company is actively managing credit risk by implementing strict internal review processes and enhancing due diligence measures[80]. - The company is closely monitoring market risks, particularly in the domestic real estate sector, and adjusting its product strategies accordingly[81]. - The company has established a comprehensive internal control mechanism to mitigate operational risks, ensuring compliance throughout the entire business process[82]. - The company has enhanced its compliance risk management capabilities, with no significant violations reported during the reporting period[83]. - The company has implemented a reputation risk management system, successfully preventing any major reputation risks that could harm beneficiaries[84]. - The company plans to enhance its risk management and compliance systems while improving operational processes to support high-quality development[74]. - The company plans to accelerate the disposal of existing risks and implement targeted solutions to reduce these risks effectively[75]. Capital and Financing - The company successfully raised 9.01 billion yuan through the issuance of 4.375 billion shares, increasing its registered capital from 5.469 billion yuan to 9.844 billion yuan[30]. - The company raised a total of 9.01 billion yuan through a private placement of 4.375 billion shares, significantly enhancing its capital strength[43]. - The company has no overdue guarantees and the total guarantee amount does not exceed 50% of net assets[163]. - The company has not engaged in any cash asset management or entrusted loans during the reporting period[165]. - The company has not made any changes to the use of raised funds during the reporting period[167]. - The company has successfully completed the issuance and registration of new shares with Shanghai Zhi'an Investment Management Co., Ltd.[160]. - The total amount of funds raised was RMB 901,313.93 million, with a net amount of RMB 897,156.81 million after deducting issuance costs[166]. - The cumulative investment of raised funds reached RMB 897,194.23 million, achieving a 100% investment progress[167]. Strategic Initiatives - The company plans to enhance its digital transformation over the next three years, including the establishment of a new IT architecture and multiple key system developments[37]. - The company aims to develop a comprehensive financial service provider model, focusing on asset management and innovative services[32]. - The company is focusing on increasing inherent investment returns while supporting the development of its trust business[76]. - The company will explore new business directions, including green trusts and risk management service trusts, to capitalize on emerging opportunities[77]. - The company is committed to serving local economies by providing comprehensive financial services tailored to local enterprises' needs[78]. - The company is enhancing its digital capabilities across various functions, including marketing and risk control, to improve overall service delivery[79]. - The company plans to focus on transforming its business model towards light capital operations and enhancing service trust offerings to adapt to market changes[39]. Shareholder and Market Information - The company’s stock is listed on the Shanghai Stock Exchange under the ticker 600816, previously known as ST JY and ST Anxin[16]. - The total number of employees in the parent company is 312, with 14 retirees that the company needs to support[118]. - The company has a total of 14,576 hours of outsourced labor, with total payments amounting to 1.73 million RMB[121]. - The top ten shareholders hold a total of 4,951,853,439 shares, representing 50.30% of the company[179]. - The largest shareholder, Shanghai Zhi'an Investment Management Co., holds 4,375,310,335 shares, all of which are pledged[180]. - The company has a total of 411,485,483 shares frozen, primarily held by Shanghai Zhi'an Investment Management Co.[180]. - The company does not have any strategic investors or general legal entities that have become top ten shareholders through new share allocation[184]. - The company underwent a change in controlling shareholder, with Shanghai Tiaan becoming the new controlling shareholder holding 4,951,853,439 shares, representing 50.30% of the total share capital[187]. Legal and Regulatory Matters - The company is facing 17 lawsuits related to providing guarantee letters as of December 31, 2023, with details available on the Shanghai Stock Exchange website[151]. - The company faced litigation involving a trust business dispute with an amount of RMB 52.66 million, with the court ruling in favor of the company, requiring the defendant to pay RMB 22.34 million to the plaintiff[152]. - The company reported a financial loan contract dispute with an amount of RMB 30 million, which has been halted as the litigation was stopped[153]. - The company received warning letters from the China Securities Regulatory Commission for regulatory violations involving its former chairman and president[155]. - The company has committed to maintaining the independence of its operations and avoiding any conflicts of interest with its subsidiaries[139]. Social Responsibility and Environmental Initiatives - The company has made a total charitable investment of 1.03 million CNY, including 630,000 CNY in cash donations and 400,000 CNY in material donations[136]. - The charitable efforts benefited 113 individuals, including 10 disabled university students, 40 underprivileged individuals, and 63 children from a welfare institute[136]. - The company promotes low-carbon and environmentally friendly office practices but has not disclosed specific carbon reduction measures[133]. - The company has not established an environmental protection mechanism and has not invested any funds in environmental protection during the reporting period[130]. - The company has set a dual-sided printing default for office printers as part of its green office initiative[134]. - The company is actively promoting electronic office processes to enhance efficiency[134].

建元信托股份有限公司公告 证券代码：600816 股票简称：建元信托 编号：临 2024-023 建元信托股份有限公司 第九届监事会第十二次会议决议公告 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法律责任。 一、 审议通过《公司 2023 年度监事会工作报告》 具体内容详见公司同日在上海证券交易所网站（www.sse.com.cn）披露的 《2023 年度监事会工作报告》。 表决结果：同意 3 票；反对 0 票；弃权 0 票。 本议案尚需提交股东大会审议。 建元信托股份有限公司（以下简称"公司"）第九届监事会第十二次会议于 2024 年 4 月 23 日在公司会议室以现场结合视频方式召开，本次会议通知于 2024 年 4 月 10 日以电子邮件方式发出。本次会议应出席表决监事 3 名，实际出席表 决监事 3 名，本次会议由公司监事会主席徐立军先生主持。本次会议的召集召开 及程序符合《中华人民共和国公司法》《公司章程》等有关规定，会议合法有效。 经全体监事审议并表决，通过如下决议： 二、 审议通过《2023 年度募集资金存放与实际使用 ...

一、关于新增日常关联交易额度预计的议案 建元信托股份有限公司 经审核，公司新增日常关联交易额度预计是为满足公司正常开展业务所需， 公司将根据市场化原则，以公允价格开展交易，不存在利益输送和损害公司及股 东利益，特别是中小股东利益的情形。 2024 年第二次独立董事专门会议审核意见 公司全体独立董事同意《关于新增日常关联交易额度预计的议案》并提交公 司第九届董事会第十六次会议审议。 根据《上市公司独立董事管理办法》《上海证券交易所股票上市规则》《上 海证券交易所上市公司自律监管指引第 1 号——规范运作》等法律法规、规范性 文件等有关规定，建元信托股份有限公司（以下简称"公司"）2024 年第二次独 立董事专门会议于 2024 年 4 月 22 日召开，对拟提交公司第九届董事会第十六次 会议审议的新增日常关联交易额度预计及 2023 年度公司高级管理人员绩效考核 等级及绩效奖金方案的事项进行了审核，会议审核意见如下： 经审核，2023 年度公司高级管理人员绩效考核等级及绩效奖金方案符合公 司实际情况，可以有效激励高级管理人员的工作积极性、主动性，有利于公司经 营发展，不存在损害公司及股东利益的情形，方案合理有效 ...

建元信托股份有限公司 2023 年度财务决算报告 建元信托股份有限公司（以下简称"公司"）根据财政部制定的 《企业会计准则》和中国证监会的相关规定，已完成《建元信托股份有 限公司2023 年度财务决算报告》，财务决算报告内容如下： 一、经营成果 1、营业总收入 按合并报表，2023 年度公司实现营业总收入 33,423.41 万元，与上年 同期相比增加13,936.63 万元，涨幅为71.52％。其中：利息收入 2,906.59 万元、手续费及佣金净收入 30,516.83 万元。 2、归属于母公司的净利润 二、财务状况 1、总资产 按合并报表，截至 2023年12 月31 日，公司总资产2,228,886.06 万 元，较年初增加584,152.53 万元，增幅为35.52%。 按合并报表，2023 年度归属于母公司所有者的净利润为 4,247.95 万元，上年同期为亏损 104,283.13 万元。 3、其他指标 按合并报表，公司2023 年度每股收益 0.0051 元；2023 年度公司加 权平均净资产收益率 0.48%。 按合并报表，公司 2023 年度经营活动产生的现金流量净额为 -203,138. ...

一是通过有序组织监事会会议对公司重大事项发表意见。2023 年公司第九届监事会召开监事会会议 7 次，认真审议包括公司定期报 告、利润分配预案、内部控制评价报告、董事监事履职评价报告等议 案合计 26 项。 二是深度参与公司治理，认真履行监督责任。2023 年监事会成 员出席股东大会 3 次（共召开 3 次），列席董事会会议 9 次（共召开 9 次），累计听取报告 47 项。监事会通过列席会议的形式，依据监管 规则通过多种形式对公司依法运作、经营决策、财务情况、风险管理 和内部控制情况、关联交易情况、董事高管履职情况等方面进行有效 监督，持续推动公司治理机制的完善。 三是持续追踪整改结果，压实监督责任。2023 年，监事会结合监 建元信托股份有限公司 2023 年度监事会工作报告 2023 年，建元信托股份有限公司（以下简称"公司"）监事会在 监管部门指导下，勤勉尽职，忠实履行有关法律法规和《公司章程》 赋予的职权，切实维护股东和其他利益相关者的合法权益，促进公司 持续稳健发展。现将 2023 年主要工作情况报告如下： 一、2023 年监事会工作情况 （一）参与公司治理，履行基本职责 1 管意见与内部自查，对 ...

建元信托股份有限公司 2023 年度独立董事述职报告 各位股东： 2023 年，本人作为建元信托股份有限公司（以下简称"公司"、 "本公司"）独立董事，严格按照《中华人民共和国公司法》《中华 人民共和国证券法》《上市公司独立董事规则》《上市公司独立董事 管理办法》《信托公司治理指引》《银行保险机构公司治理准则》《上 海证券交易所股票上市规则》等法律、法规的规定以及《公司章程》 《公司独立董事制度》等规章制度的要求，本着恪尽职守、勤勉尽责 的工作态度，积极出席公司相关会议，认真行使职权，及时了解公司 的经营信息，全面关注公司的发展状况，并对审议的相关事项发表了 客观、公正、独立的意见，忠实履行了独立董事的职责，切实维护了 公司及全体股东尤其是中小股东的合法权益。 现就 2023 年度的履职情况报告如下： 一、 独立董事的基本情况 （一）工作履历、专业背景以及兼职情况 不存在影响独立性的情况。作为公司独立董事，本人不在公司兼 任除董事会专门委员会委员外的其他职务，与公司及其主要股东不存 1 / 6 在可能妨碍本人进行独立客观判断的关系，独立履行职责，不受上市 公司主要股东、实际控制人或者其他与公司存在利害关系的单 ...

在资管新规的框架之下，持续严格的金融监管将推动信托行业进 入新的发展阶段，高质量发展成为趋势。按照信托资金来源划分，集 合资金信托占比开始超过单一资金信托，成为最主要的资金来源；按 照信托功能划分，投资类信托步入快速发展阶段，通道类业务占比的 不断下降，信托业回归主业、服务支持实体经济的转型取得明显成效。 （二）行业转型引领各公司发展转型 建元信托股份有限公司 未来三年资本管理及使用规划（2024 年-2026 年） 根据《信托公司净资本管理办法》，国家金融监督管理总局（以 下简称"金融监管总局"）对信托公司实行净资本管理，要求信托公 司按照各项业务的规模及金融监管总局规定的各项业务的风险资本 比例计算风险资本。信托公司应当持续符合净资本不得低于各项风险 资本之和的 100%以及净资本不得低于净资产的 40%两项指标。净资 本成为信托公司经营风险的最后一道防线，是衡量信托公司实力强弱、 抵御风险能力高低的重要指标。 信托公司资本金除了满足监管要求、抵御风险外，还需要满足安 全性、流动性和盈利性的要求，并根据宏观经济形势、监管政策导向、 市场变化等情况，按照公司经营范围和战略规划等灵活配置。为进一 步增强公司抗 ...