Investment Rating - The report maintains an "Accumulate" investment rating for the company, indicating a projected relative increase of 5% to 15% compared to the CSI 300 index over the next six months [2][24]. Core Views - The company achieved a revenue of 3.652 billion yuan in 2023, representing a year-on-year increase of 15.60%, and a net profit attributable to shareholders of 1.274 billion yuan, up 7.78% year-on-year [5][7]. - The report highlights a significant growth in institutional client engagement and a record high in asset management business revenue, despite a decline in brokerage and investment banking revenues [5][19]. - The company is transitioning its proprietary trading from directional to diversified and strategic approaches, maintaining a high yield in fixed-income investments [19]. Summary by Sections Financial Performance - In 2023, the company reported a basic earnings per share (EPS) of 0.27 yuan, an increase of 8.00% year-on-year, with a return on equity (ROE) of 6.20%, up 0.22 percentage points [5][22]. - The company plans to distribute a dividend of 1.00 yuan per share (before tax), which accounts for 36.86% of the net profit attributable to shareholders [7][19]. Revenue Composition - The revenue composition for 2023 showed an increase in investment income (including fair value changes) and other income, while brokerage, investment banking, asset management, and interest income proportions decreased [8][11]. - The net income from brokerage services decreased by 5.94% year-on-year, while the asset management business saw a slight increase of 0.83%, achieving a historical high in fee income [11][15]. Investment Banking and Asset Management - The investment banking segment experienced a significant decline, with net income from investment banking fees down 28.48% year-on-year, primarily due to a sharp drop in equity financing [12][19]. - Conversely, the asset management business continued to grow, with a management scale of 60.683 billion yuan, up 10.55% year-on-year, and a record high in fee income [15][19]. Future Projections - The company forecasts EPS of 0.24 yuan and 0.27 yuan for 2024 and 2025, respectively, with book value per share (BVPS) projected at 4.57 yuan and 4.76 yuan [19][22]. - Based on the closing price of 4.57 yuan on April 11, 2024, the projected price-to-book (P/B) ratios are 1.00 and 0.96 for 2024 and 2025, respectively [19][22].

证券代码：600909 证券简称：华安证券 华安证券股份有限公司投资者关系活动记录表 投资者关系活动类别 £特定对象调研 □分析师会议 □媒体采访 ☑业绩说明会 □新闻发布会 □路演活动 □现场参观 □ 其他（请文字说明其他活动内容） 参与单位名称及人员姓名 通过网络直播链接 https://roadshow.sseinfo.com 参 与 华 安 证 券 2023年度业绩说明会的投资者 时间 2024年4月12日星期五上午9:00-10:00 https://roadshow.sseinfo.com 地址 上市公司接待人员姓名 董事长：章宏韬 总经理：赵万利 董事会秘书：储军 ...

| 证券代码：600909 | 证券简称：华安证券 | 公告编号：2024-021 | | --- | --- | --- | | 转债代码：110067 | 证券简称：华安转债 | | 华安证券股份有限公司可转债转股结果暨股份变动 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： 自 2020 年 9 月 18 日至 2024 年 3 月 31 日期间，公司可转债累计有人民 币 520,000 元转换为公司 A 股股票，累计转股数量为 64,595 股，占可转债转股 前公司已发行股份总数的 0.0018%； 截至 2024 年 3 月 31 日，公司尚未转股的可转债金额为人民币 2,799,480,000 元，占可转债发行总量的 99.9814%。 自 2024 年 1 月 1 日至 2024 年 3 月 31 日期间，公司可转债有人民币 14,000 元转换为公司 A 股股票，转股数量为 2,325 股。 一、可转债发行上市概况 根据中国证券监督管理委员会（以下简称"中国证监会"）《关于核准华安证 券股 ...

Investment Rating - The investment rating for the company is "Outperform the Market" and is maintained [1][3]. Core Views - The report highlights the company's continuous efforts in wealth management transformation and deepening active management, leading to sustained growth in the sales of financial products and asset management income. The reasonable value range is estimated at 5.20-5.68 yuan per share [3][4]. Summary by Relevant Sections Financial Performance - In 2023, the company achieved operating revenue of 3.65 billion yuan, a year-on-year increase of 15.6%, and a net profit attributable to the parent company of 1.27 billion yuan, up 7.9% year-on-year. The corresponding EPS is 0.27 yuan, with an ROE of 6.2%, an increase of 0.3 percentage points year-on-year [3][4]. - In Q4 2023, the company reported operating revenue of 930 million yuan, a year-on-year increase of 22.8% and a quarter-on-quarter increase of 14.4%. The net profit attributable to the parent company was 320 million yuan, up 40.5% year-on-year and 4.3% quarter-on-quarter [3][4]. Business Segments - The company's brokerage business revenue was 970 million yuan, down 6.0% year-on-year, accounting for 26.4% of total revenue. The average daily trading volume of stock funds in the market was 962.5 billion yuan, a decrease of 4.0% year-on-year. Revenue from the sale of financial products surged by 112.5% year-on-year, reaching 5.8 million yuan, which accounted for 6.0% of brokerage revenue [3][4]. - The investment banking segment generated 110 million yuan in revenue, down 28.7% year-on-year, with equity underwriting down 86.6% year-on-year, while bond underwriting increased by 38.4% year-on-year. The company ranked 59th in equity underwriting with a total of 1.05 billion yuan and 42nd in bond underwriting with 28 billion yuan [3][4]. Asset Management - The asset management income was 490 million yuan, a slight increase of 0.7% year-on-year. The actively managed assets reached 607 million yuan, up 10.5% year-on-year. The company is actively preparing to establish an asset management subsidiary, which received approval from the CSRC in September 2023 [4][5]. Investment Income - The company reported investment income (including fair value) of 900 million yuan, a year-on-year increase of 45.5%. In Q4 2023, investment income was 170 million yuan, up 81.1% year-on-year [4][5]. Future Projections - The estimated net profits for 2024, 2025, and 2026 are projected to be 1.36 billion yuan, 1.45 billion yuan, and 1.55 billion yuan, respectively, with year-on-year growth rates of 7%, 6%, and 7%. The EPS for these years is expected to be 0.29, 0.31, and 0.33 yuan, respectively [4][5].

Profit Distribution - The proposed profit distribution plan for 2023 includes a cash dividend of 1.0 yuan per 10 shares, totaling approximately 469.77 million yuan, which accounts for 36.86% of the net profit attributable to shareholders[4] - For the fiscal year 2023, the company plans to distribute a cash dividend of ¥1.0 per 10 shares, totaling approximately ¥469,766,363.4, which represents 36.86% of the net profit attributable to shareholders[174] - The company has successfully completed the cash dividend distribution for the fiscal year 2022, amounting to ¥469,766,297.0[174] - The company emphasizes a stable and continuous profit distribution policy, ensuring that the distribution does not exceed the cumulative distributable profits[171] - The company’s profit distribution proposals require approval from more than half of the independent directors and must be submitted to the shareholders' meeting for final approval[172] - The company has maintained a clear and transparent dividend standard and ratio, ensuring the protection of shareholders' rights[175] - The net profit attributable to ordinary shareholders in the consolidated financial statements for the year was ¥1,274,434,873.21[177] Financial Performance - The company's operating revenue for 2023 reached ¥3,652,035,379.30, representing a 15.60% increase compared to ¥3,159,326,949.22 in 2022[43] - Net profit attributable to shareholders of the parent company was ¥1,274,434,873.21, a 7.78% increase from ¥1,182,443,297.32 in the previous year[43] - The total assets as of the end of 2023 amounted to ¥79,557,635,438.81, reflecting a 7.60% increase from ¥73,938,045,053.01 in 2022[44] - Total liabilities increased to ¥58,408,907,285.37, an 8.71% rise from ¥53,727,376,577.97 in the previous year[44] - The equity attributable to shareholders of the parent company was ¥21,081,137,500.56, up 4.75% from ¥20,125,480,888.42 in 2022[44] - The net profit for 2023 was 1.291 billion RMB, representing a 12.13% increase compared to 2022[55] - Operating revenue for 2023 was 3.652 billion RMB, up 15.60% from the previous year[55] - The company's equity attributable to shareholders increased by 4.64% to 21.149 billion RMB[55] Risk Management - The company has faced various risks including market risk, credit risk, liquidity risk, operational risk, compliance risk, and reputation risk, which could impact financial performance[6] - The company has established a dynamic risk control monitoring system to ensure operations remain within measurable and controllable risk limits[7] - The company has established a comprehensive risk management system with a three-level, three-line defense structure to ensure effective risk governance[112] - The company has implemented a risk control indicator system, including annual risk preferences, tolerances, and limits, to manage various types of risks[113] - The company faces market risks, including stock price volatility and interest rate risks, and has established measures such as risk limit management and hedging strategies[114] - The company maintains a low tolerance for credit risk, implementing measures such as setting risk limits and monitoring credit exposure to mitigate potential losses[116] - The company has established a dynamic liquidity risk management strategy, optimizing financing structure and maintaining high levels of comprehensive credit and interbank borrowing limits[118] Business Expansion and Strategy - The company is strategically positioned to leverage its qualifications and capital base for future growth opportunities in the financial sector[14] - The company is focusing on market expansion and new strategies to enhance its operational capabilities[41] - The company plans to continue its market expansion and innovation efforts in response to global economic challenges[58] - The company plans to enhance its wealth management business by strengthening customer development, product supply, advisory services, technology empowerment, and talent organization[110] - The company is actively exploring partnerships with international firms to expand its global footprint, with initial discussions already underway[145] Technological Development - Huaan Securities is committed to enhancing its technological capabilities in financial services, aligning with industry trends towards digitalization[14] - The company is actively pursuing digital transformation and has been recognized in provincial technology projects[58] - The company plans to enhance its customer service operations, aiming for a 15% improvement in customer satisfaction ratings by the end of the next fiscal year[145] Corporate Governance - The board of directors consists of 11 members, including 4 independent directors, ensuring compliance with legal requirements[129] - The company has a complete and independent organizational structure, with no institutional overlap with its controlling shareholder[131] - The company has a governance structure that includes a board of directors, supervisory board, and management team, ensuring effective oversight and decision-making[130] - The company emphasizes the importance of independent directors in its governance structure, with ongoing evaluations of their performance[135] Social Responsibility and ESG - The company has actively integrated ESG principles into its corporate governance and long-term development planning[187] - The company established a strategic and sustainable development committee to enhance ESG governance and introduced a quantitative performance management system for ESG[188] - The company donated 11.36 million CNY to the Anhui Huazhong Securities Public Welfare Foundation, benefiting 77,500 people through various charitable activities[194] - The company was recognized in the "Top 100 Social Responsibility Pioneers of State-Owned Enterprises (2023)" and ranked 10th in the "Top 100 ESG Pioneers of State-Owned Enterprises (2023)"[198] Employee Development - The company has established a comprehensive training program to enhance employee skills, combining online and offline training methods[169] - The company has implemented a talent development program, with over 90% of employees holding a bachelor's degree or higher, enhancing its organizational capabilities[66] - The company’s salary policy is designed to link employee compensation with company performance and individual contributions[167] Compliance and Internal Control - The company has established a comprehensive internal control system, maintaining effective internal controls without significant deficiencies during the reporting period[180] - The company’s compliance management system is effectively executed, ensuring no major compliance risks occurred in 2022[163] - The company has not reported any objections from board members regarding company matters, indicating a consensus on strategic decisions[153]

华安证券股份有限公司 关于 2024 年度日常关联交易预计的公告 证券代码：600909 证券简称：华安证券 公告编号：2024-018 本日常关联交易计划不会构成公司业务对关联人的依赖，不影响公司的 独立性，没有损害公司和公司全体股东的整体利益。 华安证券股份有限公司（简称"公司"或"本公司"）经中国证监会批准从 事证券业务，开展证券及其他金融产品的交易和中介服务，交易对手和服务对象 也包括公司的关联方。为做好关联交易管理和信息披露工作，根据《公司法》《上 市公司治理准则》《上海证券交易所股票上市规则》等有关法律法规的规定，以 及公司《章程》和《关联交易管理制度》的要求，结合公司日常经营和业务开展 的需要，公司对2023年度日常关联交易进行了确认，并对2024年度日常关联交易 进行预计。具体情况如下： 一、日常关联交易基本情况 （一）日常关联交易履行的审议程序 公司于2024年3月27日召开的第四届董事会第十三次会议和第四届监事会第 四次会议审议通过了《关于预计公司2024年度日常关联交易的预案》，形成《关 于预计公司2024年度日常关联交易的议案》，将提交公司2023年年度股东大会审 议，关联股东将在股东 ...

诚信 稳健 专业 和谐 | 08 | 守正合规 | 1 | | --- | --- | --- | | | 筑牢治理根基 | IL | | 88 | 汇聚党建软实力 | | | 89 | 夯实治理根基 | 1 | | 93 | 强化合规风控 | | | 99 | 恪守商业道德 | | | | | 报告编制说明 本报告是华安证券股份有限公司发布的第三份《环境、 社会及公司治理（ESG）报告》，向利益相关方披露了 公司在经营中对于ESG议题所秉持的理念、建立的管理 方法、推行的工作与达到的成效。 报告范围 本报告范围涵盖华安证券股份有限公司及其附属公司。 除非特别说明，与华安证券（股票代码：600909）同期 合并财务报表范围一致。 | 企业全称 | 企业简称 | | --- | --- | | 华安证券股份有限公司 | 华安证券、公司 | | 华安期货有限责任公司 | 华安期货 | | 华安嘉业投资管理有限公司 | 华安嘉业 | | 华富瑞兴投资管理有限公司 | 华富瑞兴 | | 安徽华安新兴证券投资 咨询有限责任公司 | 华安新兴 | | 华安证券（香港）金融控股有限公司 | 华安金控 | 报告期间 本报告期 ...

非经营性资金占用及其他关联资金 往来情况专项说明 华安证券股份有限公司 容诚专字[2024]230Z0863 号 容诚会计师事务所(特殊普通合伙) 中国·北京 关于华安证券股份有限公司 容诚会计师事务所(特殊普通合伙) 总所：北京市西城区阜成门外大街 22 号 外经贸大厦 15 层/922-926(100037) TEL: 010-6600 1391 FAX: 010-6600 1392 E-mail:bj@rsmchina.com.cn https//WWW.rsm.global/china/ 非经营性资金占用及其他关联资金往来情况专项说明 容诚专字[2024]230Z0863 号 华安证券股份有限公司全体股东： 我们接受委托，依据中国注册会计师审计准则审计了华安证券股份有限公司 （以下简称华安证券）2023 年 12 月 31 日的合并及母公司资产负债表，2023 年度 的合并及母公司利润表、合并及母公司现金流量表和合并及母公司所有者权益变 动表以及财务报表附注，并于 2024 年 3 月 27 日出具了容诚审字[2024]230Z0925 号的无保留意见审计报告。 根据中国证券监督管理委员会《上市公司监 ...

华安证券董事会关于独立董事独立性自查情况的专项 报告 根据证监会《上市公司独立董事管理办法》及上海证券交易 所《上市公司自律监管指引第1号 -- 规范运作》相关要求,现 对公司第四届董事会独立董事独立性情况核查如下: 一、独董基本情况。 截至2023年底,公司第四届董事会独立董事为郑振龙先生、 李晓玲女士、曹啸先生、刘培林先生,其中,李晓玲女士为会计 专业人士。前述四位独立董事均由公司第三届董事会提名,2022 年度股东大会选举产生;均具备五年以上会计、经济、法律等履 行独立董事职责所必需的工作经验,熟悉相关法律法规和规则, 具有良好的个人品德,不存在重大失信等不良记录。 四位独立董事在公司未担任除董事外的其他职务,并与公司 及其主要股东、实际控制人不存在直接或者间接利害关系。 二、独立性核查 (一)在公司或者其附属企业任职的人员及其配偶、父母、 子女、主要社会关系; (二)直接或者间接持有公司已发行股份百分之一以上或者 是公司前十名股东中的自然人股东及其配偶、父母、子女; (三)在直接或者间接持有公司已发行股份百分之五以上的 股东或者在上市公司前五名股东任职的人员及其配偶、父母、子 女: (四)在公司控股股 ...

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》《上海证券交易所上市公司自律监管指引第1号— —主板上市公司规范运作》和《公司章程》等规定和要求，董 事会审计委员会本着勤勉尽责的原则，恪尽职守，认真履职。 现将董事会审计委员会对容诚会计师事务所2023年年度审计履 职评估及履行监督职责的情况汇报如下： 一、2023年年审会计师事务所基本情况 （一）会计师事务所基本情况 容诚会计师事务所（特殊普通合伙）由原华普天健会计师 事务所（特殊普通合伙）更名而来，初始成立于1988年8月， 2013年12月10日改制为特殊普通合伙企业，是国内最早获准从事 证券服务业务的会计师事务所之一，长期从事证券服务业务。 注册地址为北京市西城区阜成门外大街22号1幢外经贸大厦901- 22至901-26，首席合伙人肖厚发。截至2023年12月31日，容诚 会计师事务所共有合伙人179人，共有注册会计师1395人，其中 745人签署过证券服务业务审计报告。 （二）聘任会计师事务所履行的程序 华安证券股份有限公司董事会审计委员会对会计师事 务所2023年度履职情况 ...