Financial Performance - The company's operating revenue for Q3 2023 was ¥4,077,173,576.62, a decrease of 12.83% compared to ¥4,677,387,367.34 in the same period last year[3]. - Net profit attributable to shareholders for Q3 2023 was ¥1,674,545,826.34, down 15.88% from ¥1,992,322,784.42 year-on-year[3]. - The basic earnings per share for Q3 2023 was ¥0.18, a decline of 14.29% from ¥0.21 in the same period last year[3]. - Total operating revenue for the first three quarters of 2023 was CNY 14,871,134,663.02, a decrease of 2.8% compared to CNY 15,297,970,234.15 in the same period of 2022[13]. - Net profit for the first three quarters was CNY 6,405,341,672.98, an increase from CNY 6,290,851,833.66, representing a growth of approximately 1.8%[13]. - Net profit for the first three quarters of 2023 was CNY 5.43 billion, slightly down from CNY 5.52 billion in 2022, representing a decrease of 1.6%[19]. - The company reported a total comprehensive income of CNY 6,542,890,182.68 for the first three quarters, slightly down from CNY 6,627,859,014.46 in the previous year[14]. - The total comprehensive income for the first three quarters of 2023 was CNY 5.45 billion, slightly up from CNY 5.35 billion in the same period of 2022[20]. Cash Flow - The net cash flow from operating activities was -¥6,368,534,851.84, a significant decrease of 50.48% compared to ¥12,607,113,197.62 in the previous year[6]. - The net cash flow from operating activities for the first three quarters of 2023 is CNY 12,607,113,197.62, a decrease of 50.5% compared to CNY 25,459,566,604.70 in the same period of 2022[15]. - Total cash inflow from operating activities is CNY 59,669,357,903.18, down from CNY 67,377,594,505.20 in the previous year, reflecting a decline of approximately 11.3%[15]. - The company reported a net cash outflow from financing activities of CNY 19,745,569,269.83, compared to a net outflow of CNY 12,692,733,553.86 in the same period last year[16]. - The company reported a net cash outflow from financing activities of CNY 15.93 billion, compared to a net outflow of CNY 10.12 billion in the previous year[22]. - The company experienced a decrease in the net cash inflow from investment activities, resulting in a net cash outflow of CNY 262.75 million compared to a net outflow of CNY 10.22 billion in the previous year[21]. Assets and Liabilities - Total assets at the end of Q3 2023 were ¥611,677,013,360.77, reflecting a 2.02% increase from the previous year-end[3]. - Total assets as of September 30, 2023, amounted to RMB 624.02 billion, an increase from RMB 611.68 billion at the end of 2022, reflecting a growth of approximately 2.2%[11]. - The total liabilities increased to RMB 624.02 billion, compared to RMB 611.68 billion, indicating a growth of approximately 2.0%[11]. - Total liabilities as of September 30, 2023, amounted to CNY 504,382,686,951.69, compared to CNY 496,419,930,018.64 at the end of 2022, reflecting an increase of about 1.9%[12]. - The total liabilities increased to CNY 441,448,720,956.11 from CNY 434,357,311,998.84 at the end of 2022, indicating a rise of approximately 1.5%[18]. Equity - The company's total equity attributable to shareholders increased by 3.80% to ¥115,174,595,691.50 compared to the previous year-end[3]. - Total equity attributable to shareholders reached CNY 119,552,667,771.55, up from CNY 115,174,595,691.50, indicating a growth of approximately 3.3%[12]. - The company’s total equity as of September 30, 2023, is CNY 107,932,528,944.76, up from CNY 104,640,292,341.91 at the end of 2022[18]. Investment and Income - The company's interest income for the year-to-date was ¥1,306,752,510.62, an increase of 45.22% compared to ¥899,834,766.91 in the previous year[6]. - Net interest income increased to CNY 1,306,752,510.62, up from CNY 899,834,766.91, reflecting a significant growth in interest income[13]. - Investment income decreased to CNY 4,748,151,453.42 from CNY 6,141,815,699.58, indicating a decline of approximately 22.7% year-over-year[13]. - The company’s interest and commission income from operating activities decreased to CNY 14,726,361,723.45 from CNY 15,913,397,868.79 in the previous year[15]. - The company’s investment activities generated a net cash outflow of CNY 69,088,073.78, compared to a net outflow of CNY 8,631,960,978.78 in the same period last year[15]. - The total amount of financial investments in trading assets rose to RMB 271.54 billion, compared to RMB 241.78 billion, marking an increase of around 12.3%[11]. - The company reported a significant increase in derivative financial assets, which rose to RMB 5.12 billion from RMB 3.66 billion, reflecting a growth of about 39.6%[11]. - The company’s equity investments increased to RMB 11.36 billion from RMB 10.75 billion, showing a growth of about 5.7%[11]. - Investment income rose to CNY 4.67 billion, a substantial increase of 72% from CNY 2.72 billion in the previous year[19]. Cash and Cash Equivalents - Cash and cash equivalents decreased to RMB 97.48 billion from RMB 113.38 billion, representing a decline of about 14.0%[11]. - The company's cash and cash equivalents decreased to CNY 128,471,193,759.12 from CNY 116,847,596,671.57 year-over-year[16]. - Cash and cash equivalents at the end of the period totaled CNY 86.64 billion, compared to CNY 85.96 billion at the end of the same period last year[22]. - The company’s net increase in cash and cash equivalents for the first three quarters of 2023 is a decrease of CNY 6,813,588,963.11 compared to an increase of CNY 5,109,651,742.53 in the same period of 2022[16].

重要内容提示： （网址：https://roadshow.sseinfo.com/） 招商证券股份有限公司（以下简称公司）于 2023 年 10 月 27 日发布公司 2023 年第三季度报告，为便于广大投资者更全面深入地了解公司 2023 年第三季度经 营成果、财务状况，公司计划于 2023 年 11 月 06 日(星期一)上午 11:00-12:00 举行 2023 年第三季度业绩说明会，就投资者关心的问题进行交流。 证券代码：600999 证券简称： 招商证券 编号： 2023－055 招商证券股份有限公司 关于召开2023年第三季度业绩说明会的公告 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个别及连带责任。 （一） 会议召开时间：2023 年 11 月 06 日上午 11:00-12:00 一、 说明会类型 本次投资者说明会以网络互动形式召开，公司将针对 2023 年第三季度的经 营业绩的具体情况与投资者进行互动交流和沟通，在信息披露允许的范围内就投 资者普遍关注的问题进行回答。 1 会议召开时间：2023 年 11 月 0 ...

关于董事会、监事会延期换届的提示性公告 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。 招商证券股份有限公司（以下简称公司）第七届董事会及监事会的任期将于 2023 年 10 月 30 日届满。鉴于公司董事会和监事会的换届工作尚在筹备中，为 保证公司董事会及监事会工作的连续性，公司第七届董事会和监事会延期换届， 董事会各专门委员会、董事会秘书的任期相应顺延。 证券代码：600999 证券简称： 招商证券 编号： 2023－056 招商证券股份有限公司 公司董事会、监事会延期换届不会影响公司的正常运营。公司将根据相关工 作开展情况，积极推进董事会及监事会换届工作，并及时履行相应的信息披露义 务。 特此公告。 招商证券股份有限公司董事会 2023 年 10 月 26 日 在换届选举工作完成前，公司第七届董事会、监事会全体成员，董事会各专 门委员会委员、董事会秘书将依照法律、行政法规和《招商证券股份有限公司章 程》的有关规定，继续履行相应的职责和义务。 ...

Financial Performance - The company's operating revenue for Q3 2023 was approximately RMB 4.08 billion, a decrease of 12.83% compared to RMB 4.68 billion in the same period last year[4]. - Net profit attributable to shareholders for Q3 2023 was approximately RMB 1.67 billion, down 15.88% from RMB 1.99 billion year-on-year[4]. - Basic earnings per share for Q3 2023 were RMB 0.18, a decrease of 14.29% compared to RMB 0.21 in the same period last year[4]. - The company reported a decrease in net profit after deducting non-recurring gains and losses, which was approximately RMB 1.67 billion, down 17.99% from RMB 2.04 billion in the same period last year[4]. - Total operating revenue for the first three quarters of 2023 was RMB 14.87 billion, a decrease of 2.8% compared to RMB 15.30 billion in the same period of 2022[15]. - Net profit attributable to shareholders of the parent company increased to ¥6,401,520,883.21 in 2023, compared to ¥6,282,358,404.29 in 2022, reflecting a growth of about 1.90%[17]. - Total comprehensive income for the first three quarters of 2023 was ¥6,542,890,182.68, down from ¥6,627,859,014.46 in 2022, representing a decrease of approximately 1.28%[17]. Cash Flow - The net cash flow from operating activities for Q3 2023 was negative RMB 6.37 billion, a significant decline compared to negative RMB 32.86 billion in the same period last year[4]. - The net cash flow from operating activities for the current reporting period is -6,368,534,851.84 RMB, an improvement from -32,855,972,737.86 RMB in the same period last year, indicating a significant increase in cash inflow from repurchase business[8]. - Cash flow from operating activities for the first three quarters of 2023 was ¥12,607,113,197.62, significantly lower than ¥25,459,566,604.70 in 2022, indicating a decline of approximately 50.5%[18]. - The net cash flow for the first three quarters showed a decrease of 19.2%, with a net decrease of ¥4,015,332,753.44 compared to -¥4,972,713,105.42 in 2022[26]. Assets and Liabilities - Total assets as of the end of Q3 2023 amounted to approximately RMB 624.02 billion, reflecting a 2.02% increase from RMB 611.66 billion at the end of the previous year[5]. - Total liabilities amounted to RMB 504.38 billion, up 1.9% from RMB 496.42 billion at the end of 2022[13]. - The company reported a significant increase in derivative financial assets, which rose to RMB 5.12 billion, up 39.7% from RMB 3.66 billion year-over-year[12]. - The company's total equity increased to RMB 107,932,528,944.76 as of September 30, 2023, compared to RMB 104,640,292,341.91 at the end of 2022[22]. Income and Expenses - Net interest income for the year-to-date is 1,306,752,510.62 RMB, a 45.22% increase from 899,834,766.91 RMB in the same period last year, attributed to a decrease in interest expenses on bonds payable[9]. - Net commission and fee income decreased to RMB 6.13 billion, down 16.0% from RMB 7.30 billion in the previous year[15]. - Investment income for the first three quarters was RMB 4.75 billion, a decline of 22.7% compared to RMB 6.14 billion in 2022[15]. - The company reported a decrease in total operating expenses to RMB 5,705,655,003.63 from RMB 6,101,059,921.82, indicating improved cost management[24]. Shareholder Information - The total number of ordinary shareholders at the end of the reporting period is 156,635, with the top ten shareholders holding a combined 89.65% of the shares[10]. - The largest shareholder, China Merchants Financial Holdings Co., Ltd., holds 2,047,900,517 shares, accounting for 23.55% of the total shares[10]. Other Comprehensive Income - Other comprehensive income after tax increased significantly by 239.20% to 194,792,980.00 RMB from 57,427,391.15 RMB, attributed to changes in foreign currency translation differences[8]. - Other comprehensive income after tax attributable to the parent company was ¥137,548,509.70 in 2023, down from ¥337,007,180.80 in 2022, indicating a decrease of approximately 59.3%[16].

保荐人（主承销商）：招商证券股份有限公司 特别提示 发行人和保荐人（主承销商）协商确定本次发行股份数量为 3,333.36 万股， 发行价格为人民币 31.68 元/股，全部为新股发行，无老股转让。 广东德冠薄膜新材料股份有限公司 首次公开发行股票并在主板上市 发行结果公告 广东德冠薄膜新材料股份有限公司（以下简称"德冠新材"或"发行人"） 首次公开发行人民币普通股（A 股）（以下简称"本次发行"） 并在主板上市的申 请已经深圳证券交易所（以下简称"深交所"）上市审核委员会审议通过，并已 经中国证券监督管理委员会同意注册（证监许可〔2023〕1717 号）。发行人的股 票简称为"德冠新材"，股票代码为"001378"。本次发行的保荐人（主承销商） 为招商证券股份有限公司（以下简称"招商证券"或"保荐人（主承销商）"）。 本次发行采用向参与战略配售的投资者定向配售（以下简称"战略配售"）、 网下向符合条件的投资者询价配售（以下简称"网下发行"）与网上向持有深圳 市场非限售 A 股股份和非限售存托凭证市值的社会公众投资者定价发行（以下 简称"网上发行"）相结合的方式进行。 本次发行参与战略配售的投资者为发行人的高 ...

香港交易及結算所有限公司及香港聯合交易所有限公司對本公告之內容概不負責，對其 準確性或完整性亦不發表任何聲明，並明確表示，概不就因本公告全部或任何部分內容 而產生或因依賴該等內容而引致的任何損失承擔任何責任。 承董事會命 招商證券股份有限公司 霍達 董事長 中國深圳 （於中華人民共和國註冊成立的股份有限公司） （股份代號：6099） 董事會會議召開日期 招商證券股份有限公司（「本公司」）之董事會（「董事會」）謹此宣佈，董事會會議將於 2023年10月26日（星期四）舉行，藉以（其中包括）考慮及批准本公司及其附屬公司截至 2023年9月30日止九個月的未經審計第三季度業績及其發佈。 於本公告日期，本公司執行董事為霍達先生及吳宗敏先生；本公司非執行董事為張健先 生、鄧偉棟先生、劉威武先生、李曉霏先生、黃堅先生、劉沖先生及丁璐莎女士；以及 本公司獨立非執行董事為向華先生、肖厚發先生、熊偉先生、胡鴻高先生及豐金華先 生。 2023年10月12日 ...

股份發行人及根據《上市規則》第十九B章上市的香港預託證券發行人的證券變動月報表 截至月份: 2023年9月30日 狀態: 新提交 致：香港交易及結算所有限公司 公司名稱: 招商證券股份有限公司（「本公司」） 呈交日期: 2023年10月6日 第 1 頁 共 7 頁 v 1.0.2 FF301 | 2. 股份分類 | 普通股 | 股份類別 H | | | 於香港聯交所上市 (註1) | | 是 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 06099 | 說明 | | | | | | | | | | 法定/註冊股份數目 | | | 面值 | | 法定/註冊股本 | | | 上月底結存 | | | 1,274,521,534 | RMB | | 1 RMB | | 1,274,521,534 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 1,274,521,534 | RMB | | 1 RMB | | 1,274,521,534 | 本月底法定/註冊股本總 ...

证券代码：600999 证券简称： 招商证券 编号：2023－054 招商证券股份有限公司 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。 近日，招商证券股份有限公司（简称公司）收到中国证券监督管理委员会《关 于同意招商证券股份有限公司向专业投资者公开发行次级公司债券注册的批复》 （证监许可〔2023〕2143 号），批复内容如下： 一、同意公司向专业投资者公开发行面值总额不超过 200 亿元次级公司债券 的注册申请。 二、本次发行次级公司债券应严格按照报送上海证券交易所的募集说明书进 行。 三、本批复自同意注册之日起 24 个月内有效，公司在注册有效期内可以分 期发行次级公司债券。 四、自同意注册之日起至本次次级公司债券发行结束前，公司如发生重大事 项，应及时报告并按有关规定处理。 公司将按照有关法律法规、上述批复的要求及公司股东大会的授权，办理本 次次级公司债券发行的相关事宜，并及时履行信息披露义务。 特此公告。 关于向专业投资者公开发行次级公司债券 获得中国证券监督管理委员会注册批复的公告 招商证券股份有限公司董事 ...

Financial Performance - The company reported a mid-year financial performance for 2023, with a focus on the accuracy and completeness of the financial statements, which were reviewed by Deloitte[2]. - The financial report is prepared in accordance with international financial reporting standards and has not been audited[2]. - Total revenue for the first half of 2023 was RMB 15,653,551, a decrease of 1.41% compared to RMB 15,876,906 in the same period of 2022[33]. - In the first half of 2023, the company achieved total revenue of RMB 15.654 billion, a year-on-year decrease of 1.41%, while net profit attributable to shareholders increased by 10.14% to RMB 4.727 billion[45]. - The company reported a net profit of $200 million for the first half of 2023, representing a 10% increase compared to the same period last year[24]. - The net profit attributable to shareholders for the first half of 2023 was RMB 4,726,975, an increase of 10.14% from RMB 4,291,728 in the same period of 2022[33]. - The total comprehensive income for the period after tax was RMB 415,201, a significant increase of 395.81% compared to RMB 83,743 in the first half of 2022[33]. - The company's equity attributable to shareholders was RMB 118.16 billion, an increase of RMB 2.98 billion compared to the end of 2022[88]. Risk Management - The company faces various risks including regulatory changes in the securities industry, credit risk from counterparties, and market risks due to adverse market conditions[4]. - The company emphasizes the importance of risk management across its organizational structure, systems, and information technology[4]. - The company has established a comprehensive risk management framework consisting of five levels, including strategic arrangements by the board, supervision by the supervisory board, and risk management decision-making by senior management and the risk management committee[109]. - The risk management system includes various types of risks such as market risk, credit risk, operational risk, liquidity risk, reputation risk, and anti-money laundering risk, clearly defining the boundaries and general principles for each type of risk[113]. - The company has implemented a quantitative risk management indicator system that guides resource allocation towards high-risk-return businesses, enhancing overall risk management and corporate value[114]. - The company has established a three-line defense model for risk management, involving self-control by departments, professional risk management by relevant functions, and post-event supervision by audit and oversight departments[112]. - The company has set clear risk appetite and tolerance indicators, which are monitored and reported monthly, ensuring alignment with economic capital budgeting and business authorization[114]. Business Expansion and Strategy - The company has expanded its business qualifications to include oil futures market-making and nickel futures market-making, indicating diversification in trading activities[13]. - The company is actively involved in the development of new financial products, including options and futures, to meet market demands[15]. - Future outlook includes continued investment in technology and market expansion to drive growth and enhance competitive positioning[12]. - The company plans to expand its market presence by entering three new provinces in China by the end of 2023[24]. - The company has completed a strategic acquisition of a fintech startup, enhancing its digital service offerings and customer engagement capabilities[24]. - The company is investing in new technology development, with a budget allocation of approximately $50 million for R&D in 2023[24]. Client Engagement and Market Position - The company reported significant user growth, with a 20% increase in active clients year-over-year, reaching 1.2 million active clients as of June 2023[19]. - The number of active trading clients exceeded 17 million, representing a year-on-year growth of 9.97%, and the scale of entrusted client assets reached RMB 3.80 trillion, up 3.83% from the end of 2022[48]. - The company's market share in stock fund trading volume rose to 5.24%, marking a historical high, with total trading volume in the Shanghai and Shenzhen stock exchanges reaching RMB 13.06 trillion, a year-on-year increase of 2.03%[50]. - The "e-Zhao Investment" service signed approximately 50,000 clients with a cumulative signed scale of RMB 16.165 billion, reflecting a growth of 67.17% compared to the end of 2022[49]. Financial Health and Capital Structure - The registered capital remains at CNY 8,696,526,806.00, unchanged from the previous year[10]. - Net capital increased to CNY 75,473,432,495.36, up from CNY 70,444,812,948.68, representing a growth of approximately 7.3%[10]. - Total assets as of June 30, 2023, amounted to RMB 627,554,072, reflecting a 2.60% increase from RMB 611,677,015 at the end of 2022[34]. - Total liabilities increased by 2.60% to RMB 509,313,193 as of June 30, 2023, compared to RMB 496,419,932 at the end of 2022[34]. - The company's asset-liability ratio, excluding accounts payable to brokerage clients, was 76.98%, a decrease of 0.21 percentage points from the end of 2022[88]. Governance and Compliance - The company has established a robust corporate governance structure that complies with relevant laws and regulations, ensuring independent operation[171]. - The company emphasizes the importance of compliance with the Hong Kong Listing Rules to protect shareholder interests[168]. - The company has made significant changes in its board composition, with several directors taking on new roles in other companies[155]. - The company has received a total of 6,366 lawsuits from investors due to alleged false statements, with a total compensation liability of RMB 89.37 million for 6,337 investors as per the Shanghai Financial Court[190]. - The company is required to bear joint compensation responsibility of up to 25% for losses amounting to RMB 22.8 million related to two demonstration cases[190]. Social Responsibility and Environmental Impact - The company has implemented a green operation philosophy, promoting paperless office practices and energy-saving measures, resulting in significant reductions in energy consumption[177]. - The company has achieved a cumulative reduction of 2.664 million tons of carbon dioxide emissions from its renewable energy projects since their operation[176]. - The company donated RMB 357,405 to support education projects in remote areas, enhancing the quality of education for local children[184]. - The company purchased agricultural products worth RMB 1,705,800 to support rural revitalization efforts[186]. - The company has actively promoted green development concepts and conducted various activities to raise awareness about environmental protection and energy conservation[175].

证券代码：600999 证券简称：招商证券 公告编号：2023-053 招商证券股份有限公司 关于招商证券国际有限公司 为其全资子公司提供担保的公告 被担保人名称： CMS International Gemstone Limited，为公司的子公司 本次担保金额：不超过 10 亿元人民币 招商证券国际有限公司及其子公司相互提供担保余额：56.89 亿元人民币 本次担保是否有反担保：无 对外担保逾期：无 特别风险提示：被担保人是特殊目的公司（SPV）,自成立以来未开展除债券发行外 的其他业务活动，无其他投资活动，2022 年末被担保人资产负债率为 100%，请投 资者充分关注担保风险。 （二）本担保事项履行的内部决策程序 2023 年 3 月 24 日，公司第七届董事会第二十八次会议审议并通过了《关于招商证券国 际有限公司及其全资子公司 2023 年度担保授权方案的议案》。2023 年 6 月 30 日，公司 2022 年年度股东大会审议通过了以上议案。具体内容详见公司于 2023 年 3 月 25 日、7 月 1 日在 上海证券交易所网站（http://www.sse.com.cn）发布的相关公告。 二、被 ...