证券代码：600958 证券简称：东方证券 公告编号：2017-074 东方证券股份有限公司 2017年前三季度业绩快报公告 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个别及连带责任。 一、2017 年前三季度主要财务数据和指标（合并） 特此公告。 注：以上财务数据及指标未经审计。 二、经营业绩和财务状况情况说明 2017 年 1-9 月，境内证券市场走势平稳，沪深股指总体呈上升 1 币种：人民币 单位：万元 项目 本报告期 上年同期 增减变动幅度（％） 营业总收入 705,899.34 476,796.30 48.05 营业利润 291,206.05 210,492.05 38.35 利润总额 320,980.48 231,588.33 38.60 归属于上市公司股东的净利润 262,891.54 187,582.00 40.15 基本每股收益（元） 0.42 0.34 23.53 加权平均净资产收益率（%） 6.37 5.21 增加 1.16 个百分点 本报告期末 本报告期初 增减变动幅度（％） 总 资 产 22,343,832 ...

Financial Performance - The company achieved a revenue of approximately CNY 4.63 billion in the first half of 2017, representing a 59.98% increase compared to the same period last year [28]. - Net profit attributable to shareholders reached approximately CNY 1.76 billion, a 36.76% increase year-on-year [28]. - Basic earnings per share increased to CNY 0.28, up 16.67% from CNY 0.24 in the previous year [28]. - The company's total assets as of the end of the reporting period were approximately CNY 212.46 billion, showing a slight increase of 0.02% from the previous year [28]. - The net capital of the parent company increased to CNY 35.25 billion, a growth of 4.01% from CNY 33.89 billion at the beginning of the year [30]. - The company reported a weighted average return on equity of 4.27%, an increase of 0.56 percentage points compared to the previous year [28]. - The company reported a significant increase in net profit after deducting non-recurring gains and losses, reaching approximately CNY 1.54 billion, a 36.40% increase year-on-year [28]. - The company's total revenue for the first half of 2017 reached CNY 4,627,930,434.68, representing a 59.98% increase compared to CNY 2,892,900,928.61 in the same period of 2016 [36]. - Net profit for the first half of 2017 was CNY 1,808,603,196.65, a 33.34% increase from CNY 1,356,377,159.12 in the first half of 2016 [37]. - The company’s financial assets measured at fair value and recognized in profit or loss increased by 84.44% to CNY 43,028,098,415.44 from CNY 23,329,193,641.39 [36]. - The company reported a significant increase in other business income, which rose by 638.99% to CNY 104,214,306.34 compared to CNY 14,102,347.56 in the previous year [36]. Risk Factors - The company's business is highly dependent on the economic and market conditions in China, which may significantly impact its performance and financial status [6]. - The company faces intense competition from various financial institutions, which may affect its market position and financial performance [7]. - The company relies on external financing channels for its operational funding, and any inability to secure such financing could adversely affect its financial condition [7]. - The report includes a risk statement regarding potential adverse impacts from market volatility and economic downturns on the company's operations [6]. - The company has outlined various market risks and credit risks in its operational analysis section [8]. - The company faces various risks including market risk, credit risk, liquidity risk, operational risk, and technology risk, with established management systems in place to mitigate these risks [139][140][142][145]. Corporate Governance and Compliance - The report is unaudited, and the management has confirmed the accuracy and completeness of the financial report [3]. - The company has not identified any non-operational fund occupation by controlling shareholders or related parties [5]. - The company maintained compliance with regulatory standards for major risk control indicators throughout the reporting period [30]. - The company has not experienced any significant compliance, operational, or legal risk events during the reporting period [144]. - The company appointed Deloitte as its domestic and overseas auditing firm for the 2017 fiscal year, following a tender process [152]. - There were no significant lawsuits or arbitration matters reported during the reporting period [152]. Business Development and Strategy - The company holds multiple business qualifications, including securities and futures business licenses, with a focus on expanding its asset management and investment services [18]. - Orient Securities has established a wholly-owned subsidiary for asset management, enhancing its capabilities in securities asset management [19]. - The company completed the issuance of corporate bonds and subordinated bonds totaling 11 billion RMB during the reporting period [49]. - The company has committed to avoiding any form of competition with its subsidiaries and has adhered to this commitment since its stock listing [150]. - The company is focused on enhancing its market presence through the establishment of new business units across multiple regions [186]. - The establishment of new departments is part of the company's broader strategy to increase its market share in the securities industry [188]. Social Responsibility and Community Engagement - The company has actively engaged in poverty alleviation through various initiatives, including industry, finance, public welfare, and consumption poverty alleviation [168]. - The company established a strategic agreement with a well-known fresh e-commerce platform to jointly create the "Oriental Gourd" brand, enhancing local agricultural products [169]. - The company conducted training sessions for local farmers on gourd cultivation, involving around 100 participants [169]. - The company donated a total of RMB 1.129 million for various poverty alleviation initiatives, including RMB 370,000 for 77 impoverished students in Moqi [172][175]. - The company has committed to a ten-year project in Xinjiang, donating RMB 650,000 in the first year and RMB 480,000 annually thereafter, benefiting approximately 500 students [173]. - The company received the "Best Product Recommendation Award" from Zhongzheng Huilian for its outstanding performance in poverty alleviation through consumption [176]. Financial Position and Capital Structure - The registered capital of Orient Securities remains at CNY 6,215,452,011, while net capital increased to CNY 35,250,682,566.68, up from CNY 33,890,090,462.99 at the end of the previous year, reflecting a growth of approximately 4% [17]. - The total liabilities decreased by 0.22% to approximately CNY 171.09 billion compared to the previous year [28]. - The company's cash and cash equivalents decreased by 27.30% from the previous period, totaling RMB 32.11 billion, which accounted for 15.11% of total assets [115]. - The company's total liabilities stood at 171.089 billion RMB, a decrease of 0.385 billion RMB or 0.22% from the beginning of the year, mainly due to a reduction in customer securities trading settlement funds [120]. - The company's short-term borrowings increased by 91.91% to 9.226 billion RMB compared to the previous period, reflecting an increase in credit borrowings by subsidiaries [117]. Market Position and Competitive Advantage - The company ranked first in the interbank market making business during the first half of 2017, becoming one of the four brokers qualified for the Bond Connect quoting institution [66]. - The New Third Board market-making business maintained a leading position, with a market-making balance of RMB 2.879 billion and a ranking of fourth in trading volume among 92 market makers [67]. - The company’s brokerage business executed a total trading volume of RMB 7.69 trillion, with a market share of 2.08%, ranking 17th in the industry [79]. - The company’s asset management total scale reached RMB 501.1 billion, with public fund products totaling RMB 289.9 billion, ranking 10th in the industry [74]. - The company’s online trading platform facilitated 86% of total stock and fund trading volume during the reporting period, with 94% of clients using internet and mobile platforms for transactions [78].

Financial Performance - Total operating revenue for the first half of 2017 was RMB 462.79 million, an increase of 59.98% compared to the same period last year[4] - Net profit attributable to shareholders was RMB 175.52 million, representing a growth of 36.76% year-on-year[5] - Basic earnings per share increased to RMB 0.28, up 16.67% from RMB 0.24 in the previous year[4] - The weighted average return on equity rose to 4.27%, an increase of 0.56 percentage points compared to the previous year[4] - Total assets at the end of the reporting period were RMB 21,245.71 million, a slight increase of 0.02% from the beginning of the period[4] - Shareholders' equity attributable to the company was RMB 4,087.28 million, up 0.96% from the previous period[4] Market Conditions - The domestic securities market remained stable, with trading volume continuing to be low[4] Strategic Operations - The company achieved significant breakthroughs in securities investment and asset management during the reporting period[5] - The company maintained a prudent operation strategy while seizing market opportunities[5] Financial Reporting - The financial data presented is preliminary and has not been audited by an accounting firm[3]

2017 年第一季度报告 公司代码：600958 公司简称：东方证券 东方证券股份有限公司 2017 年第一季度报告 1 / 17 | 一、重要提示 | | 3 | | --- | --- | --- | | 二、公司基本情况 | | 3 | | 三、重要事项 | | 5 | | 四、附录 | | 8 | 2017 年第一季度报告 一、重要提示 1.4 本公司第一季度报告未经审计。 二、 公司基本情况 2.1 主要财务数据 单位：元 币种：人民币 | 项目 | 本期金额 | 说明 | | --- | --- | --- | | 非流动资产处置损益 | -78,650.67 | 处置固定资产损失 | | 计入当期损益的政府补助，但与公司正常经营业 | 279,565,599.73 | 政府补助 | 3 / 17 1.1 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或者重大遗漏，并承担个别和连带的法律责任。 1.2 公司全体董事出席董事会审议季度报告。 1.3 公司负责人潘鑫军、主管会计工作负责人张建辉及会计机构负责人（会计主管人员）张建辉 保证季度 ...

2017年度第一季度业绩快报公告 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个别及连带责任。 本公告所载 2017 年度第一季度主要财务数据为初步核算数据， 未经会计师事务所审计，具体数据以公司 2017 年度第一季度报告中 披露的数据为准，提请投资者注意投资风险。 一、2017 年度第一季度主要财务数据和指标（合并） 注：以上财务数据及指标未经审计。 1 币种：人民币 单位：元 项目 本报告期 上年同期 增减变动幅度 （％） 营业总收入 2,128,887,867.14 1,380,998,457.49 54.16 营业利润 817,722,466.99 565,489,619.50 44.60 利润总额 1,097,113,967.67 569,165,597.77 92.76 归属于上市公司股 东的净利润 844,297,461.03 423,098,320.77 99.55 基本每股收益（元） 0.14 0.08 75.00 加权平均净资产收 益率（%） 2.07 1.23 增加 0.84 个百 分点 本报告期末 本报告期初 ...

Dividend Distribution - The company plans to distribute cash dividends of RMB 1.50 per 10 shares, totaling RMB 932,317,801.65, based on a total share capital of 6,215,452,011 shares as of the end of 2016[3]. - The company has a total undistributed profit of RMB 4,939,168,346.15 to be carried forward to the next fiscal year after dividend distribution[3]. Financial Performance - The company's operating revenue for 2016 was CNY 6,876,939,042.20, a decrease of 55.44% compared to CNY 15,434,705,061.27 in 2015[38]. - The net profit attributable to shareholders for 2016 was CNY 2,313,974,857.75, down 68.41% from CNY 7,325,224,517.53 in 2015[38]. - The total assets at the end of 2016 amounted to CNY 212,411,087,389.26, reflecting a 2.17% increase from CNY 207,897,562,477.13 at the end of 2015[38]. - The total liabilities decreased by 0.61% to CNY 171,473,262,039.92 at the end of 2016, compared to CNY 172,521,817,128.20 at the end of 2015[38]. - The basic earnings per share for 2016 was CNY 0.41, a decline of 71.92% from CNY 1.46 in 2015[39]. - The weighted average return on equity for 2016 was 6.25%, down 18.86 percentage points from 25.11% in 2015[39]. Market Conditions and Risks - The company reported a significant reliance on the economic and market conditions in China, which could adversely affect its business performance and financial status[5]. - The company is subject to risks related to market volatility, which could affect the value and returns of its financial assets and investment portfolios[5]. - The company emphasizes the importance of managing risks associated with credit and market fluctuations in its future development strategies[7]. - The company faces intense competition from various financial institutions, which may impact its market position and operational performance[6]. - The company's future plans and strategic developments are subject to market conditions and investor sentiment, highlighting the need for caution[4]. Business Expansion and Qualifications - The company holds various business qualifications, including securities brokerage and margin financing, approved by the China Securities Regulatory Commission[18]. - The company has expanded its business scope to include financial advisory services related to securities trading and investment activities[17]. - The company is authorized to conduct online securities commission business and open-ended fund distribution, enhancing its service offerings[18]. - The company has obtained qualifications for various innovative activities, indicating a commitment to market expansion and new strategies[19]. - The company is involved in the underwriting of short-term financing bonds and mid-term notes, diversifying its revenue streams[19]. - The company has established a wholly-owned subsidiary for asset management, indicating a strategic move towards asset management services[19]. - The company is qualified to provide comprehensive services to insurance institutional investors, expanding its client base[19]. - The company has received multiple licenses for securities and futures business, ensuring compliance and operational capability in various financial markets[19]. Capital and Financing - The registered capital increased to RMB 6,215,452,011 from RMB 5,281,742,921 year-over-year, reflecting a growth of approximately 17.7%[16]. - The net capital rose to RMB 33,890,090,462.99, up from RMB 31,019,279,251.56, indicating an increase of about 9.1%[16]. - The company’s operational funding heavily relies on external financing, which poses risks if unable to secure necessary funds[6]. - The company completed a capital increase of RMB 1 billion to its wholly-owned subsidiary Dongzheng Futures, with a total registered capital now at RMB 1 billion[138]. - A capital increase of RMB 1.5 billion was completed for Dongzheng Capital, raising its registered capital to RMB 4 billion[139]. Risk Management - The company has established a comprehensive risk management system that includes risk identification, assessment, and reporting for innovative business activities[149]. - The company has a capital adequacy mechanism in place, adjusting its business scale and structure based on regulatory risk control indicators and its risk tolerance[150]. - The company implemented a pressure testing mechanism to assess overall risk before expanding business scales or profit distributions, optimizing decision-making[151]. - The company established a dynamic monitoring mechanism for risk control indicators, ensuring accurate measurement and automatic alerts for risk control metrics[149]. - The company maintained compliance with regulatory standards for risk control indicators throughout the reporting period, ensuring a safety margin[152]. Client Base and Revenue Sources - The company serves a diverse range of clients, including large state-owned enterprises, multinational corporations, SMEs, high-net-worth individuals, and retail clients, primarily located in China[196]. - The revenue generated from the company's top five clients accounted for no more than 5% of the group's total operating income in 2016[197]. - The company has no major suppliers due to the nature of its business[198]. Taxation on Dividends - For individual shareholders holding shares for less than or equal to 1 month, the actual tax burden on dividend income is 20%[199]. - For individual shareholders holding shares for more than 1 month but less than or equal to 1 year, the actual tax burden on dividend income is 10%[199]. - For individual shareholders holding shares for more than 1 year, dividend income is exempt from personal income tax[199]. - The company withholds corporate income tax at a rate of 10% on dividends paid to qualified foreign institutional investors (QFII)[200]. - QFII shareholders can apply for tax refunds if they qualify for tax treaty benefits after receiving dividend income[200].

证券代码：600958 证券简称：东方证券 公告编号：2017-001 东方证券股份有限公司 2016年年度业绩预减公告 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个别及连带责任。 | 项目 | 本报告期 | 上年同期 | 增减变动幅度（%） | | --- | --- | --- | --- | | 营业总收入 | 685,925.85 | 1,543,470.51 | -55.56 | | 营业利润 | 260,449.39 | 939,444.82 | -72.28 | | 利润总额 | 281,438.70 | 949,908.53 | -70.37 | | 归属于上市公司股东的净利润 | 231,996.44 | 732,522.45 | -68.33 | | 基本每股收益（元） | 0.41 | 1.46 | -71.92 | | 加权平均净资产收益率（%） | 6.26 | 25.11 | 减少18.85个百分点 | | | 本报告期末 | 本报告期初 | 增减变动幅度（%） | | 总 资 产 | 21,250,19 ...

2016 年第三季度报告 公司代码：600958 公司简称：东方证券 东方证券股份有限公司 2016 年第三季度报告 1 / 24 | 一、 | 重要提示 | 3 | | --- | --- | --- | | 二、 | 公司主要财务数据和股东变化 | 3 | | 三、 | 重要事项 | 6 | | 四、 | 附录 | 11 | 2016 年第三季度报告 一、 重要提示 二、 公司主要财务数据和股东变化 2.1 主要财务数据 | 项目 | 本期金额 | | 年初至报告期末金额 | 说明 | | --- | --- | --- | --- | --- | | | （7－9 | 月） | （1-9 月） | | | 非流动资产处置损益 | | 539,482.97 | -71,569.16 | | | 计入当期损益的政府 补助，但与公司正常经 | | | | | | 营业务密切相关，符合 | | | | | | 国家政策规定、按照一 | | 65,114.38 | 215,880,304.38 | 扶持资金 | | 定标准定额或定量持 | | | | | | 续享受的政府补助除 | | | | | | 外 | | ...

Financial Performance - The company reported a significant increase in revenue, achieving a total of 1.5 billion RMB for the first half of 2016, representing a year-on-year growth of 15%[16]. - The company reported a net profit margin of 18%, which is an improvement from 16% in the previous year[19]. - Basic earnings per share decreased by 80.49% to CNY 0.24 from CNY 1.23 in the same period last year[29]. - Net profit attributable to shareholders decreased by 78.16% to CNY 1.28 billion from CNY 5.88 billion year-on-year[31]. - Total revenue dropped by 73.70% to CNY 2.89 billion compared to CNY 11.00 billion in the previous year[31]. - The net profit after deducting non-recurring gains and losses fell by 80.59% to CNY 1.13 billion from CNY 5.82 billion in the previous year[31]. - The company achieved a net interest income of CNY -361.63 million, which is not applicable for comparison due to significant losses[40]. - The company reported a significant decrease in investment income, which fell to CNY 1.72 billion, down 75.95% year-on-year[40]. - The company’s total revenue from domestic operations decreased by 73.70% year-on-year, while overseas business revenue increased by 37.81%[84]. Capital and Assets - The registered capital of Orient Securities remained at RMB 5,281,742,921.00, unchanged from the previous year-end[14]. - The net capital decreased to RMB 22,435,705,319.52 from RMB 25,758,895,609.15, reflecting a decline of approximately 12.5%[14]. - The total assets of the company reached 50 billion RMB, reflecting a growth of 8% year-on-year[16]. - Total assets as of the end of the reporting period amounted to 192.534 billion RMB, a decrease of 15.364 billion RMB or 7.39% compared to the beginning of the year[89]. - The company's cash, settlement reserves, and margin deposits totaled 51.351 billion RMB, down 13.878 billion RMB, accounting for 26.67% of total assets[89]. - The company's financial assets measured at fair value decreased by 31.14% to CNY 19.35 billion[40]. - The company's equity attributable to shareholders decreased by 5.48% to CNY 33.44 billion[40]. Investments and Acquisitions - A strategic acquisition of a smaller brokerage firm was completed, which is anticipated to enhance the company's market share by 5%[19]. - The company is investing 100 million RMB in technology development to improve trading algorithms and enhance user experience[16]. - The company’s total investment in innovative investments was RMB 2.43 billion, an increase of 39.3% year-on-year[64]. - The company’s investment banking business focused on major asset restructuring and asset securitization, with a revenue increase of 32.28%[60]. - The company’s investment management business generated revenue of RMB 747 million, accounting for 25.83% of total revenue[71]. Risk Management - The company established a comprehensive asset-liability allocation and risk limit system to manage market risks effectively[118]. - The company has implemented a credit risk management system that includes internal credit rating and real-time monitoring of credit risk status[119]. - The liquidity risk management framework includes indicators such as liquidity coverage ratio and net stable funding ratio[119]. - The company conducted stress tests to assess its net capital risk control indicators and liquidity status[120]. Corporate Governance - The board of directors consists of 15 members, including 2 executive directors, 8 non-executive directors, and 5 independent non-executive directors[138]. - The company has adopted the corporate governance code and is committed to continuous improvement in governance practices[136]. - The company has held 1 shareholders' meeting and 4 board meetings during the reporting period, ensuring compliance with legal and procedural requirements[137]. - The company has committed to avoid engaging in competitive businesses with its subsidiaries for 36 months following the listing of its shares[131]. Market Expansion - The company is expanding its market presence by entering three new provinces, aiming to increase its customer base by 30% in these regions[17]. - The company has established strategic relationships with several state-owned enterprises, enhancing its market position[160]. - The report indicates that the company is focusing on expanding its market presence and enhancing its product offerings in the upcoming quarters[160]. Employee and Shareholder Information - The total number of employees at the end of the reporting period was 3,846, with 2,796 in the parent company and 1,050 in subsidiaries[181]. - The company distributed a cash dividend of 3.50 RMB per 10 shares to A-share shareholders, totaling 1,848,610,022.35 RMB[122]. - The total number of shares after the issuance of H shares is 6,215,452,011, with A shares accounting for 83.48% and H shares for 16.52%[149]. - The top shareholder, Sheneng Group Co., Ltd., holds 1,588,618,183 shares, accounting for 30.08% of the total shares[159].

证券代码：600958 证券简称：东方证券 公告编号：2016-044 东方证券股份有限公司 2016年半年度业绩快报公告 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个别及连带责任。 本公告所载 2016 年半年度主要财务数据为初步核算数据，未经 会计师事务所审计，具体数据以公司 2016 年半年度报告中披露的数 据为准，提请投资者注意投资风险。 一、2016 年半年度主要财务数据和指标（合并） 注：以上财务数据及指标未经审计。 二、经营业绩和财务状况情况说明 三、备查文件 经公司法定代表人、主管会计工作的负责人、会计机构负责人签 字并盖章的比较式资产负债表和利润表。 特此公告。 东方证券股份有限公司董事会 2016 年 7 月 28 日 2 2016 年上半年，证券市场延续了去年下半年以来市场人气持续 1 币种：人民币 单位：万元 项目 本报告期 上年同期 增减变动幅度（％） 营业总收入 289,290.09 1,100,149.45 -73.70 营业利润 134，440.01 761,613.89 -82.35 利润总额 15 ...