建元信托股份有限公司公告 证券代码：600816 证券简称：建元信托 公告编号：临 2024-030 建元信托股份有限公司 第九届董事会第十七次会议决议公告 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。 建元信托股份有限公司（以下简称"公司"）第九届董事会第十七次会议于 2024 年 5 月 24 日以通讯表决方式召开，本次会议通知于 2024 年 5 月 17 日以电 子邮件方式发出。本次会议应出席董事 9 名，实际出席董事 9 名，会议由公司董 事长秦怿先生主持。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。经全体董事审议，通过如下决议： 审议《关于购买董事、监事及高级管理人员责任险的议案》 为完善公司风险管理体系，促进公司管理层充分行使权利、履行职责，营造 公司稳健发展的良好环境，根据《上市公司治理准则》等有关规定，同意公司为 公司及全体董事、监事、高级管理人员以及其他有关责任人员购买董事、监事及 高级管理人员责任险（以下简称"董监高责任险"）。具体情况如下： 1、投保人： ...

建元信托股份有限公司 关于重大资产出售实施进展情况的公告 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。 一、本次重大资产出售的基本情况及进展情况 2021 年 7 月 23 日，建元信托股份有限公司（以下简称"公司"、"本公司"、 "建元信托"）与中国银行股份有限公司上海市分行（以下简称"中国银行上海 分行"）签署了《中国银行股份有限公司上海市分行与安信信托股份有限公司之 债务和解协议》（以下简称"《债务和解协议》"）。建元信托向中国银行上海分行 转让持有的中信银行（国际）有限公司（以下简称"信银国际"）3.4%股权、建 元信托持有的"华安资产-信盛 1 号专项资产管理计划"全部收益权（不含该部 分收益权于偿债确认日对应的底层现金资产）、建元信托持有的"国海成长一号 定向资产管理计划"全部收益权（不含该部分收益权于偿债确认日对应的底层现 金资产）、建元信托持有的"国海成长二号定向资产管理计划"全部收益权（不 含该部分收益权于偿债确认日对应的底层现金资产）、建元信托持有的"中铁信 托-传化股份 2 号单一资金信托"全部受益权（ ...

中信证券股份有限公司 关于 上海砥安投资管理有限公司 本财务顾问根据《上市公司收购管理办法》《上市公司并购重组财务顾问业 务管理办法》《上海证券交易所上市公司自律监管指引第 11 号——持续督导》等 规定，按照证券行业公认的业务标准、道德规范，本着诚实信用、勤勉尽责的态 度并经过审慎核查，结合上市公司披露的 2023 年年度报告及 2024 年第一季度报 告出具《中信证券股份有限公司关于上海砥安投资管理有限公司收购报告书之 2023 年年度及 2024 年第一季度持续督导意见》（以下简称"本持续督导意见"）。 收购建元信托股份有限公司 向特定对象发行 A 股股票 之 2023 年年度及 2024 年第一季度持续督导意见 财务顾问 二〇二四年五月 声明 中信证券股份有限公司（以下简称"中信证券"或"财务顾问"）接受上海 砥安投资管理有限公司（以下简称"上海砥安"或"收购人"）委托，担任上海 砥安收购建元信托股份有限公司（以下简称"建元信托"或"上市公司"）之财 务顾问。《上海证券交易所上市公司自律监管指引第 11 号——持续督导》第三十 八条规定："涉及上市公司收购的，自收购人公告上市公司收购报告书之日起至 收 ...

苏立先生的简历信息详见公司于 2024 年 1 月 4 日在上海证券交易所网站 （www.sse.com.cn）披露的《关于董事辞职暨补选董事的公告》（公告编号：临 2024-003）。 特此公告。 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。 建元信托股份有限公司（以下简称"公司"）于 2024 年 5 月 8 日收到《国 家金融监督管理总局上海监管局关于苏立建元信托股份有限公司董事任职资格 的批复》（沪金复〔2024〕269 号），国家金融监督管理总局上海监管局已核准 苏立先生担任公司董事的任职资格。 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 2024-028 建元信托股份有限公司 关于董事任职资格获监管机构核准的公告 建元信托股份有限公司董事会 二○二四年五月十日 ...

| 上市公司：建元信托股份有限公司（以下简称"建元信托"、"公司"） | | | --- | --- | | 保荐人名称：中信证券股份有限公司（以下简称"中信证券"或"保荐人"） | | | 保荐代表人姓名：朱钰 | 联系电话：021-20262306 | | 保荐代表人姓名：姜颖 | 联系电话：021-20262300 | 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，并经上海证券交易所同意，公司 于 2023 年 4 月向特定对象上海砥安投资管理有限公司（以下简称"上海砥安"） 发行 4,375,310,335 股人民币普通股（A 股），每股发行价格为 2.06 元，募集资 金总额为 9,013,139,290.10 元，扣除各类发行费用之后实际募集资金净额 8,971,568,072.11 元。立信会计师事务所（特殊普通合伙）于 2023 年 4 月 18 日 对建元信托股份有限公司向特定对象发行 A 股股票的资金到位情况进行了审验， 并出具了《验资报告》（信会师报字[2023]第 ZA11627 号）。 根据《证券发行上市保荐业务 ...

中信证券股份有限公司 关于建元信托股份有限公司 （一）保荐人 中信证券股份有限公司 （二）保荐代表人 朱钰、姜颖 （三）现场检查人员 姜颖 2023 年度持续督导工作现场检查报告 根据《上海证券交易所上市公司自律监管指引第 11 号——持续督导》等有 关法律、法规的规定，中信证券股份有限公司（以下简称"中信证券"或"保荐 人"）作为正在对建元信托股份有限公司（以下简称"建元信托""公司""上 市公司"）进行持续督导工作的保荐人，对自上市公司发行证券日至 2023 年 12 月 31 日（以下简称"本持续督导期间"）的规范运作情况进行了现场检查，现就 现场检查的有关情况报告如下： 一、本次现场检查的基本情况 （四）现场检查时间 2024 年 4 月 24 日 （五）现场检查内容 现场检查人员对本持续督导期内发行人公司治理和内部控制情况、信息披露 情况、公司的独立性以及与控股股东及其他关联方资金往来情况、募集资金使用 情况、关联交易、对外担保、重大对外投资情况、经营状况等方面进行了现场检 查，具体检查内容详见本报告"二、本次现场检查主要事项及意见"。 （六）现场检查手段 1 本次现场检查的手段主要包括资料查阅、访 ...

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].