股 票 研 究 [Table_industryInfo] 综合金融/金融 [ T able_Main[ 永ITnaf 安bol]e 期_Ti 货tle] ( 600927) [评Tab级le_：Inv est] 增持 上次评级： 增持 风险管理业绩承压，夯实能力抢抓机遇 目 标 价 19.94 格： 上次预测： 19.94 ——永安期货2023年报及2024年一季报点评 公 当前价格： 13.16 司 刘欣琦(分析师) 王思玥(研究助理) 2024.04.28 更 021-38676647 021-38031024 liuxinqi@gtjas.com wangsiyue028676@gtjas.com [交Ta易bl数e_M据a rket] 新 证书编号 S0880515050001 S0880123070151 52周内股价区间（元） 12.32-19.39 报 总市值（百万元） 19,403 本报告导读： 总股本/流通 A股（百万 1,456/528 告 高波动市场环境中，风险管理业务拖累业绩；预计公司将持续巩固并提升对产业客 股流）通 B 股/H 股（百万 0/0 户需求的满足能力，抢抓实体企业风险管 ...

公 司 研 证券研究报告 究 ＃＃iinndduussttrryyIIdd＃＃ 多元金融 ＃investSuggestion＃ ＃ ＃d 永yCo 安mp 期any＃货 （ 600927 ） investSu ggestion 000009风 险 管理拖累利 润＃t，itle境＃ 外业 务贡献增量 增持 ( 维持 ） Change ——永安期货 2023 年报及 2024 年一季报点评 ＃ ＃ createTime1＃ 2024年 4月 26日 公 相关报告 投资要点 司 《永安期货 2023 年三季报点 ＃⚫ sum永ma安ry＃期 货发布 2023 年报及 2024 年一季报，2023 年分别实现营业收入及 点 评：风险管理拖累业绩，看好衍 归母净利润238.23、7.29亿元，同比分别-31.5%、+8.3%，加权平均ROE 生品投行增长潜力》2023-10-27 评 同比+0.26pct 至 5.97%；2024 年一季度分别实现营业收入及归母净利润 《永安期货2023年中报点评： 报 投资收益提振业绩，期货龙头综 43.38、0.78亿元，同比分别-19.1%、-62.6%。 合实力领先》2023- ...

年度社会责任报告 2023 永安期货股份有限公司 Social Responsibility Report CONTENTS | 开篇 | 01 | | --- | --- | | 董事会声明 | 01 | | 我们的行动 | 03 | | 走进永安 | 05 | | 公司概览 | 05 | | 年度十件大事 | 07 | | 永创佳绩 | 09 | | ESG管理 | 11 | | 党建引领 | 11 | | 责任主题 | | | --- | --- | | 永立潮头，引领期货行业高质量发展 | | | 向新衍生、守善前行 服务国家战略，持续注入新质生产力 | 17 | | 永动助企、护航实体 回归服务本源，用心"浇灌"实体经济 | 20 | | 造炬成阳、共筑生态 厚植创新基因，打造资源聚集的"永安雨林" | 23 | 治理主题 永毅前行，加速公司治理转型升级 | 筑强根基，规范公司治理水平 | 29 | | --- | --- | | 革故鼎新，深化风控合规建设 | 32 | | 至诚至信，积极践行商业道德 | 34 | 环境主题 永系青山，助力绿色金融可持续发展 | 聚焦品种研究，书写绿色金融大文章 ...

永安期货股份有限公司 审计报告 大华审字[2024]0011003835 号 大华会计师事务所(特殊普通合伙) Da Hua Certified Public Accountants (Special General Partnership ) 您可使用手机"扫一扫"或进入"注册会计师行业统一险修量有,如此许可的会计师事务所出 报告编码:京24MDRN8.JC . 永安期货股份有限公司 审计报告及财务报表 ： （2023 年 1 月 1 日至 2023 年 12 月 31 日止 ） | 日 | 录 | 页 次 | | --- | --- | --- | | 审计报告 | | 1-7 | | 已审财务报表 | | | | 合并资产负债表 | | 1 | | 合并利润表 | | 2 | | 合并现金流量表 | | 3 | | 合并所有者权益变动表 | | 4 | | 母公司资产负债表 | | 5 | | 母公司利润表 | | 6 | | 母公司现金流量表 | | 7 | | 母公司所有者权益变动表 | | 8 | | 财务报表附注 | | 1-98 | 十华会计师事务所 (特殊普通合伙 北京市海淀区两四环中路 1 ...

永安期货股份有限公司董事会 2024 年 4 月 24 日 永安期货股份有限公司董事会 关于独立董事独立性情况的专项意见 根据《上市公司独立董事管理办法》《上海证券交易所上市公 司自律监管指引第 1 号——规范运作》《公司章程》等要求，永安 期货股份有限公司（以下简称"公司"）董事会就公司独立董事汪 滔、朱燕建、冯晓和李小文的独立性情况进行了评估，并出具如下 专项意见： 经核查，独立董事汪滔、朱燕建、冯晓和李小文的任职经历以 及其签署的相关自查文件，上述独立董事不存在《上市公司独立董 事管理办法》或《公司章程》中规定的不得担任独立董事的情形， 在担任公司独立董事期间，独立董事已严格遵守中国证监会和上海 证券交易所的相关规定，确保有足够的时间和精力勤勉尽责地履行 职责，作出独立判断时不受公司主要股东、实际控制人或其他与公 司存在利害关系的单位或个人的影响。公司独立董事符合《上市公 司独立董事管理办法》《上海证券交易所上市公司自律监管指引第 1 号——规范运作》中对独立董事独立性的相关要求。 ...

Financial Performance - The company's operating revenue for Q1 2024 was CNY 4,338,090,650.68, representing a decrease of 19.12% compared to the same period last year[4]. - Net profit attributable to shareholders was CNY 77,963,439.71, down 62.58% year-on-year[4]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 73,020,484.30, a decline of 63.65% compared to the previous year[4]. - Basic earnings per share were CNY 0.05, reflecting a decrease of 64.29% year-on-year[4]. - Total operating revenue for Q1 2024 was approximately ¥4.34 billion, a decrease of 19.1% from ¥5.36 billion in Q1 2023[15]. - Net profit for Q1 2024 was ¥77.96 million, a decrease of 62.7% from ¥208.37 million in Q1 2023[15]. - Basic earnings per share for Q1 2024 were ¥0.05, down from ¥0.14 in Q1 2023[16]. Assets and Liabilities - Total assets at the end of the reporting period were CNY 57,342,648,034.16, down 18.57% from the end of the previous year[5]. - As of March 31, 2024, total assets decreased to RMB 57.34 billion from RMB 70.42 billion at the end of December 2023, representing a decline of approximately 18.5%[13]. - Cash and cash equivalents amounted to RMB 23.14 billion, down from RMB 36.20 billion, indicating a decrease of about 36.1%[13]. - The company's short-term borrowings decreased to RMB 659.57 million from RMB 881.87 million, a reduction of approximately 25.1%[14]. - Total liabilities decreased to RMB 44.87 billion from RMB 58.02 billion, reflecting a decline of around 22.7%[14]. - The accounts receivable decreased to RMB 158.66 million from RMB 168.68 million, a decline of approximately 5.9%[13]. - The company's total equity increased slightly to RMB 12.47 billion from RMB 12.39 billion, showing a growth of about 0.6%[14]. Cash Flow - The net cash flow from operating activities was negative at CNY -11,619,362,277.80, indicating increased cash payments related to operating activities[4]. - Cash flow from operating activities showed a net outflow of approximately ¥11.62 billion, compared to a net outflow of ¥4.99 billion in the same period last year[18]. - Cash flow from investing activities resulted in a net outflow of ¥2.12 million, an improvement from a net outflow of ¥13.48 million in Q1 2023[18]. - Cash flow from financing activities also showed a net outflow of ¥209.19 million, compared to a net outflow of ¥366.68 million in the previous year[18]. - Cash and cash equivalents at the beginning of the period were ¥24,073,171,532.54, down from ¥29,853,958,332.90[19]. - Cash and cash equivalents at the end of the period were ¥12,241,585,391.53, a decrease from ¥24,460,886,074.02[19]. Operational Highlights - The decline in net profit was primarily due to fluctuations in the securities market affecting financial product and equity investment returns, as well as adjustments in exchange policies[8]. - The company reported non-recurring gains of CNY 4,942,955.41, after accounting for tax impacts[7]. - Net commission and fee income decreased to ¥111.90 million, down 28.5% from ¥156.58 million in the same period last year[15]. - Net interest income fell to ¥128.13 million, a decline of 25.2% compared to ¥171.27 million in Q1 2023[15]. - Investment income decreased significantly to ¥139.29 million, down 47.4% from ¥264.31 million in the previous year[15]. - Total operating expenses for Q1 2024 were ¥4.25 billion, a reduction of 16.8% from ¥5.11 billion in Q1 2023[15]. Inventory and Receivables - The inventory increased significantly to RMB 2.39 billion from RMB 1.14 billion, representing an increase of about 108.5%[13]. - The company’s other receivables increased to RMB 1.24 billion from RMB 1.06 billion, reflecting an increase of about 17.2%[13]. - The company reported a decrease in trading financial liabilities to RMB 808.23 million from RMB 1.17 billion, a reduction of approximately 30.8%[14]. - The company's capital reserve increased to RMB 3.86 billion from RMB 3.86 billion, showing a marginal increase of approximately 0.01%[14]. Accounting Standards - The company has not adopted new accounting standards or interpretations for the first quarter of 2024[19].

Dividend Distribution - The company's total share capital is 1,455,555,556 shares, and the total cash dividend distributed for 2023 is RMB 117,900,000.04, with RMB 0.81 per 10 shares (including tax)[4] - The cash dividend distributed for the first three quarters of 2023 is RMB 101,888,888.92, with RMB 0.70 per 10 shares (including tax)[4] - The total cash dividend distributed for 2023 accounts for 30.17% of the net profit attributable to the parent company's shareholders in the consolidated financial statements[4] - The company's total share capital is 1,455,555,556 shares, and it distributed a cash dividend of RMB 0.81 per 10 shares, totaling RMB 117,900,000.04 for the year 2023[171] - The total cash dividends distributed in 2023, including the RMB 0.70 per 10 shares distributed in the first three quarters, amounted to RMB 219,788,888.96, representing 30.17% of the net profit attributable to the parent company's shareholders[171][175] - The company's net profit attributable to the parent company's shareholders in 2023 was RMB 728,579,065.99[175] - The company's cash dividend policy requires that the cash dividend ratio should be at least 80% for mature companies without major capital expenditure plans, 40% for mature companies with major capital expenditure plans, and 20% for growth-stage companies with major capital expenditure plans[170] - The company's cash dividend policy ensures that the cumulative cash dividends distributed in the past three years are no less than 30% of the average annual distributable profits for the same period[169] Financial Performance - Revenue for 2023 decreased by 31.50% to RMB 23,822,683,408.79 compared to RMB 34,775,401,676.38 in 2022[48] - Net profit attributable to the parent company's shareholders increased by 8.34% to RMB 728,579,065.99 in 2023 from RMB 672,485,200.22 in 2022[48] - Net cash flow from operating activities was negative RMB 5,303,754,078.67 in 2023, compared to negative RMB 558,614.43 in 2022[48] - Total assets increased by 3.24% to RMB 70,419,300,597.02 at the end of 2023 from RMB 68,207,237,787.91 at the end of 2022[48] - Basic earnings per share increased by 8.70% to RMB 0.50 in 2023 from RMB 0.46 in 2022[49] - Weighted average return on equity (ROE) increased by 0.26 percentage points to 5.97% in 2023 from 5.71% in 2022[49] - Net capital increased to RMB 4,098,037,646.09 at the end of 2023 from RMB 3,905,144,080.89 at the end of 2022[51] - The ratio of net capital to risk capital preparation increased to 313% in 2023 from 299% in 2022[51] - Revenue in Q4 2023 was RMB 5,030,748,407.81, a decrease compared to RMB 6,825,900,016.39 in Q3 2023[53] - Net profit attributable to the parent company's shareholders in Q4 2023 was RMB 169,497,830.09, an increase compared to RMB 146,987,069.15 in Q3 2023[53] - Non-recurring profit and loss items for 2023 totaled RMB 16,695,207.36, a significant increase from RMB 82,812.34 in 2022[56] - Government subsidies in 2023 amounted to RMB 29,187,530.20, a substantial increase from RMB 9,756,659.10 in 2022[54] - The company's revenue for 2023 was RMB 23.823 billion, a decrease of 31.50% year-over-year[59] - Net profit attributable to the parent company in 2023 was RMB 729 million, an increase of 8.34% year-over-year[59] - The weighted average return on equity (ROE) for 2023 was 5.97%[59] - The company's strategic investments in 2023 amounted to RMB 678 million, focusing on key industries such as pig farming and new energy[59] - The domestic futures market's client equity scale at the end of 2023 was RMB 1.42 trillion, a decrease of 3.92% year-over-year[60] - The company's trading financial assets increased by RMB 2.206 billion in 2023, reaching RMB 11.052 billion[57] - The company's trading financial liabilities decreased by RMB 540.8 million in 2023, totaling RMB 1.166 billion[57] - The company's other equity instrument investments decreased by RMB 5.018 million in 2023, amounting to RMB 18.658 million[57] - Domestic futures agency trading volume reached 234 million hands, with a transaction amount of 15.92 trillion yuan, and client equity at the end of the reporting period was 45.732 billion yuan[61] - Fund sales business revenue for 2023 was 61 million yuan, with the company optimizing asset selection and expanding asset categories, forming a distinctive asset pool[64] - Asset management business revenue for 2023 was 14.1378 million yuan, with the company launching 11 active management series products and 7 FOF series products[66] - Risk management business revenue for 2023 was 22.332 billion yuan, with a net profit industry share of 20%, ranking among the top in the industry[69] - Overseas financial services business revenue reached 285 million yuan, a year-on-year increase of 39%, with operating profit of 137 million yuan, up 163% year-on-year, and a net asset return rate exceeding 14%[70] - The company's overseas futures brokerage business saw a 20.45% increase in client equity, reaching 583 million USD by the end of the reporting period[70] - The company sold 23 fund products overseas, a 53.33% increase year-on-year, with fund sales amounting to 84.54 million USD and capital introduction scale of 80 million USD[70] - Total assets of the company reached 70.419 billion yuan, an increase of 3.24% compared to the end of the previous year[94] - Revenue for the year was 23.823 billion yuan, a decrease of 31.50% year-on-year[94] - Net profit attributable to shareholders of the listed company was 729 million yuan, an increase of 8.34% year-on-year[94] - Operating cash flow was -5.304 billion yuan, compared to -0.5586 million yuan in the same period last year[95] - Investment cash flow was 111.856 million yuan, an increase of 110.67% year-on-year[95] - Financing cash flow was -609.695 million yuan, compared to -1.884 billion yuan in the same period last year[95] - Revenue from futures brokerage business was 1.141 billion yuan, an increase of 23.09% year-on-year[98] - Revenue from overseas business (gross method) was 284.727 million yuan, an increase of 38.77% year-on-year[98] - R&D investment totaled 20.723 million yuan, accounting for 0.09% of total revenue[102] - The company has 32 R&D personnel, accounting for 2.72% of the total workforce[103] - Net increase in cash and cash equivalents for 2023 was -5.781 billion yuan, compared to -1.748 billion yuan in the same period last year, mainly due to increased payments related to operating activities[104] - Settlement reserves increased by 2,390.59% to 28,134,920.44 yuan, accounting for 0.04% of total assets[105] - Receivables from pledged deposits decreased by 59.76% to 1,399,980,752.00 yuan, accounting for 1.99% of total assets[105] - Accounts receivable decreased by 46.60% to 168,682,463.45 yuan, accounting for 0.24% of total assets[105] - Other receivables decreased by 51.07% to 1,060,013,018.13 yuan, accounting for 1.51% of total assets[105] - Inventory increased by 40.35% to 1,144,637,300.56 yuan, accounting for 1.63% of total assets[105] - Overseas assets amounted to 6,047,079,100.00 yuan, accounting for 8.59% of total assets[106] - Restricted assets totaled 2,497,312,661.43 yuan, including 1,397,602,592.43 yuan in monetary funds and 949,775,400.23 yuan in trading financial assets[107] - Long-term equity investments at the end of the reporting period amounted to 863,027,970.61 yuan, including 832,441,745.64 yuan in Yongan Guofu[109] - Yongan Capital achieved total assets of 143.58 billion yuan and net profit of 158.12 million yuan in 2023[112] - Zhongbang Industrial reported a net loss of 8.22 million yuan in 2023[112] - New Yongan Financial Holdings generated revenue of 284.73 million yuan and net profit of 136.96 million yuan in 2023[112] - Yongan Guofu recorded total assets of 34.21 billion yuan and net profit of 149.63 million yuan in 2023[112] - China's GDP exceeded 126 trillion yuan in 2023, with a year-on-year growth of 5.2%[114] Risk Management - The company faces risks including market risk, credit risk, operational risk, liquidity risk, reputational risk, compliance and legal risk, and IT risk[6] - The company has a comprehensive risk management system, including a clear organizational structure, a series of risk control compliance systems, and a risk control process covering pre-event, in-event, and post-event stages[83] - The company has established a comprehensive risk management system, including customer identity verification, credit assessment, and risk control measures to ensure the effectiveness of internal controls[125] - The company has developed a stock scoring and bond credit evaluation system, and maintains a continuously graded and tracked investment pool for stocks and bonds[125] - The company has strengthened cooperation with banks, expanded credit lines, and implemented daily liquidity tracking and large fund demand reservation management to optimize its asset-liability structure[127] - The company has established a reputation risk management framework, including a 7*24-hour public opinion monitoring system and regular training to enhance employee awareness of reputation risks[128] - The company has implemented a compliance management system linked to performance evaluation, ensuring legal and regulatory compliance through internal supervision and continuous optimization of internal controls[129] - The company has invested in IT infrastructure, including hardware and software, and established a complete set of IT-related systems to ensure the stable operation of its information technology systems[130] - The company has a well-established corporate governance structure, including a board of directors with specialized committees, to ensure the long-term stable development of the company[132] - The company maintains independence in assets, personnel, finance, organization, and business operations, with no interference from its actual controller, the Zhejiang Provincial Department of Finance[133][134][135][136] - The company reviewed over 300 internal control systems and formulated or revised more than 50 systems in 2023, covering areas such as corporate governance, anti-money laundering, IT, compliance auditing, and employee management[176] - The company's internal control systems are fully managed online, enhancing the effectiveness and granularity of internal control management[176] - The company's subsidiary, Yong'an Capital, focuses on risk management business, including spot trading, OTC derivatives, market making, and customer management, with a comprehensive internal control system in place[177] - The company's subsidiary, New Yong'an Financial Holdings, is located in Hong Kong and aims to expand overseas markets, with a focus on futures brokerage, securities brokerage, and asset management businesses[177] - The company has established a comprehensive internal control system across its subsidiaries, ensuring compliance with regulatory requirements and effective risk management[177] - The company has been recognized for its internal control practices, receiving a standard unqualified opinion from Da Hua Certified Public Accountants for its 2023 internal control audit[178] Business Operations and Expansion - The company holds a total of 31 branches and 13 business departments, all licensed for securities and futures business[16] - The company's subsidiary, Yong'an Capital, is engaged in risk management businesses including basis trade, OTC derivatives, and market-making[16] - The company's Hong Kong subsidiary, New Yong'an Financial Holdings, covers overseas futures brokerage, asset management, securities, and lending businesses[16] - The company has been approved for various business qualifications including futures brokerage, financial futures brokerage, and asset management since 1994[17] - Yong'an Capital has been approved for market-making business and holds a valid Food Business License and Hazardous Chemicals Business License[18] - New Yong'an Futures holds licenses for futures contract trading and advisory services in Hong Kong[19] - New Yong'an Securities and New Yong'an Asset Management hold licenses for securities trading and asset management in Hong Kong[19] - The company and its subsidiaries hold memberships in multiple exchanges and industry associations, including Shanghai Futures Exchange and China Futures Association[20] - As of the end of the reporting period, the company had established 31 branches and 13 business departments, with 16 branches in Zhejiang province[39] - The company's branch distribution includes 6 branches in Shandong, 3 in Liaoning, 2 in Fujian, Guangdong, Hebei, and Jiangsu, and 1 in Beijing, Henan, Hunan, Jilin, Jiangxi, Shaanxi, Shanghai, Sichuan, Tianjin, and Chongqing[42] - The company has a total of 31 branches and 2 business departments, with the earliest branch established in December 2000 (Wenzhou Branch) and the latest branch established in September 2021 (Hangzhou Yuhang Branch)[43][44][45] - The branches are distributed across 15 provinces and cities in China, with the highest concentration in Zhejiang Province (12 branches)[43][44] - The company has expanded its presence in key financial hubs such as Beijing, Shanghai, Shenzhen, and Guangzhou, with branches established between 2001 and 2011[43][44] - The company has established branches in major cities in Northeast China, including Shenyang (2007), Changchun (2011), and Dalian (2014)[43][44] - The company has expanded its presence in the Yangtze River Delta region, with branches in cities such as Ningbo (2002), Jiaxing (2003), and Shaoxing (2003)[43] - The company has established branches in key cities in Shandong Province, including Zibo (2010), Weifang (2012), and Jinan (2015)[43][44] - The company has expanded its presence in the Pearl River Delta region, with branches in Guangzhou (2011) and Shenzhen (2012)[43][44] - The company has established branches in major cities in Central China, including Zhengzhou (2014) and Xi'an (2019)[44] - The company has expanded its presence in the Fujian Province, with branches in Fuzhou (2001) and Xiamen (2014)[43][44] - The company has established branches in key cities in Jiangsu Province, including Nanjing (2017) and Wuxi (2007)[44][45] - The company plans to focus on stabilizing existing business and expanding new business in 2024, leveraging multi-business synergies and enhancing research capabilities[62] - In 2024, the company aims to promote high-quality transformation of wealth business, focusing on asset quality and quantity, and enhancing customer experience[65] - The company plans to deepen the integration of production, investment, and research in 2024, strengthening investment team building and expanding multi-asset research capabilities[67] - Risk management business added 1,400 new clients in 2023, a 65% year-on-year increase, with new nominal principal of over 160 billion yuan, a 22% year-on-year increase[69] - The company's market-making business saw a significant increase in 2023, with trading volume reaching 38 million hands, a 216% year-on-year increase, and trading value of approximately 1.7 trillion yuan, a 243% year-on-year increase[69] - The company plans to actively embrace transformation opportunities in 2024, focusing on deepening parent-subsidiary collaboration and enhancing digital and intelligent construction in risk management business[69] - The company plans to explore the creation of an online integrated trading platform in 2024 to enhance the efficiency of overseas financial services[71] - The company's overseas financial services business is conducted through Xin Yong'an Financial Holdings and its subsidiaries, covering futures brokerage, asset management, securities, fund sales, and lending businesses[80] - The company has a diversified business layout, including futures brokerage, fund sales, asset management, risk management, and overseas financial services, forming a synergistic business ecosystem[81] - The company's asset management business has won multiple industry awards, including "China's Excellent Futures Asset Management Brand" and "Best Futures Asset Management Award"[81] - The company's risk management subsidiary, Yong'an Capital, has established a comprehensive business model including basis trade, OTC derivatives, and market-making, and is a leading enterprise in the industry[81] - The company's overseas subsidiary, Xin Yong'an Financial Holdings, has a strong presence in the Asian market and serves cross-border development needs and high-net-worth clients' global asset allocation[82] - The company's headquarters is located in Hangzhou, with a nationwide network layout centered in Zhejiang Province, covering major cities and industrial clusters across China, including the central and western regions[91] - In 2023, Zhejiang Province's GDP reached 8,255.3 billion yuan, a year-on-year increase of 6%, and the province's futures brokerage business customer equity totaled 140.51 billion yuan, accounting for nearly one-tenth of the national total[91] - The company upgraded 3 branches to subsidiaries during the reporting period, enhancing service capabilities and competitiveness. By the end of the reporting period, the company had 31 subsidiaries and 13 branches in China[92] - The company conducted 421 investor education activities during the reporting period, a year-on-year increase of 36.

中信建投证券股份有限公司 关于永安期货股份有限公司 首次公开发行股票持续督导保荐总结报告书 中信建投证券股份有限公司（以下简称"中信建投证券"或"保荐机构"） 作为永安期货股份有限公司（以下简称"永安期货"、"发行人"或"公司"） 首次公开发行股票的保荐机构，履行持续督导期截至 2023 年 12 月 31 日。目前， 本次首次公开发行的持续督导期已届满。保荐机构根据《证券发行上市保荐业务 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》的 相关规定，出具本保荐总结报告书。 一、保荐机构及保荐代表人承诺 （一）保荐总结报告书和证明文件及其相关资料的内容不存在虚假记载、误 导性陈述或重大遗漏，保荐机构及保荐代表人对其真实性、准确性、完整性承担 法律责任。 （二）本机构及本人自愿接受中国证监会对保荐总结报告书相关事项进行的 任何质询和调查。 （三）本机构及本人自愿接受中国证监会按照《证券发行上市保荐业务管理 办法》的有关规定采取的监管措施。 | 保荐机构名称 | 中信建投证券股份有限公司 | | --- | --- | | 注册地址 | 北京市朝阳区安立路 66 号 4 号楼 | | 主要 ...

二、本次发行情况概述 财通证券股份有限公司 关于永安期货股份有限公司 首次公开发行股票并上市保荐总结报告书 2021 年 12 月 23 日，永安期货股份有限公司（以下简称"永安期货"或"公 司"）在上海证券交易所上市。根据《证券发行上市保荐业务管理办法》《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与永安期货签订的保荐承销 协议，财通证券股份有限公司（以下简称"财通证券"或"保荐机构"）作为保 荐机构，对永安期货进行持续督导，持续督导期为 2021 年 12 月 23 日至 2023 年 12 月 31 日。 截至目前，财通证券对永安期货的持续督导期已满，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》等相关规定，出具本保荐总结报 告书： | 发行人名称 | 永安期货股份有限公司 | | | --- | --- | --- | | 证券代码 | 600927 | | | 注册资本 | 元 1,455,555,556 | | | 注册地址 | 浙江省杭州市上城区新业路 200 | 号华峰国际商务大厦 10-11 | | | 层,16-17 层 | | | 法定代表人 | 葛国栋 ...

2023年度独立董事述职报告 作为永安期货股份有限公司独立董事，本人严格按照《公 司法》《证券法》《上市公司独立董事管理办法》《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、 法规及《公司章程》的有关规定，认真审议董事会各项议案， 并对相关事项发表意见，维护全体股东特别是广大中小股东的 合法利益等方面，独立、负责、诚信、谨慎地履行了职责。 现将 2023 年度履行职责的情况报告如下： 一、独立董事的基本情况 本人汪滔，1973 年出生，中国国籍，加拿大永久居留权，博 士学位。曾任摩根士丹利（香港）高级经理，中国国际金融有限 公司副总经理、执行总经理，上海交通大学上海高级金融学院副 教授。现任上海交通大学上海高级金融学院教授，永安期货股份 有限公司独立董事。 报告期内，本人任职符合《上市公司独立董事管理办法》和 《公司章程》规定的独立性要求，不存在影响独立性的情况。 二、独立董事年度履职概况 永安期货股份有限公司 报告期内，本人作为独立董事，认真履行职责，参加独立 董事专门会议 2 次，结合公司实际情况对公司重大事项进行深 入了解与讨论，对公司经营发展事项提供专业、客观建议，并 在独立、客 ...