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8月31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9月6日 I. 法定/註冊股本變動 | 1. 股份分類 | 普通股 | 股份類別 | A | | 於香港聯交所上市 (註1) | | 否 | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 證券代號 | 600999 | 說明 | | A股 (上海證券交易所) | | | | | | | | 法定/註冊股份數目 | | | 面值 | | 法定/註冊股本 | | | 上月底結存 | | | 7,422,005,272 | RMB | | 1 RMB | | 7,422,005,272 | | 增加 / 減少 (-) | | | 0 | | | RMB | | 0 | | 本月底結存 | | | 7,422,005,272 | RMB | | 1 RMB | | 7,422,005,272 | | 2. 股份分類 | ...

特此公告。 招商证券股份有限公司董事会 2023 年 9 月 1 日 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。 招商证券股份有限公司（以下简称"本公司"）于 2022 年 9 月 2 日成功发 行了招商证券股份有限公司 2022 年度第八期短期融资券（以下简称"本期短期 融资券"），本期短期融资券发行规模为人民币 40 亿元，票面利率为 2.00%， 期限为 364 天，兑付日期为 2023 年 9 月 1 日（具体内容详见本公司于 2022 年 9 月 6 日登载于上海证券交易所网站（http://www.sse.com.cn）的相关公告）。 2023 年 9 月 1 日，本公司按期兑付了本期短期融资券本息共计人民币 4,079,780,821.92 元。 证券代码：600999 证券简称： 招商证券 编号： 2023－052 招商证券股份有限公司 2022 年度第八期短期融资券 兑付完成的公告 ...

Financial Performance - The registered capital of China Merchants Securities Co., Ltd. remains at RMB 8,696,526,806.00, unchanged from the previous year[13]. - The net capital increased to RMB 75,473,432,495.36 from RMB 70,444,812,948.68, reflecting a growth of approximately 4.4%[13]. - The company reported a significant increase in revenue, achieving a total of 10 billion CNY for the first half of 2023, representing a year-on-year growth of 15%[26]. - The company's operating revenue for the first half of 2023 was CNY 10,793,961,086.40, representing a year-on-year increase of 1.63% compared to CNY 10,620,582,866.81 in the same period last year[29]. - The net profit attributable to shareholders of the parent company reached CNY 4,726,975,056.87, marking a 10.14% increase from CNY 4,291,728,669.40 in the previous year[29]. - The net profit after deducting non-recurring gains and losses was CNY 4,701,273,483.44, up 10.81% from CNY 4,242,743,134.29 in the same period last year[30]. - The basic earnings per share for the first half of 2023 was CNY 0.51, a 10.87% increase compared to CNY 0.46 in the same period last year[32]. - The weighted average return on equity increased to 4.33%, up 0.34 percentage points from 3.99% in the previous year[32]. Risk Management - The company faces various risks, including regulatory changes and market volatility, which could impact its business strategies and performance[5]. - The report emphasizes the importance of risk management across organizational structures and operational processes to mitigate potential impacts[6]. - The company has developed a comprehensive risk management system that includes market, credit, operational, liquidity, and other risks[111]. - The company has implemented a clear risk preference and tolerance indicator system to guide resource allocation towards high-risk-return businesses[115]. - The company has established a performance assessment mechanism linked to risk management effectiveness, ensuring that all employees adhere to risk management principles[117]. - The company has established a multi-layered credit risk limit system to manage credit risk exposure, including limits on business scale and single client financing[127]. Market Position and Strategy - The company is expanding its market presence in Southeast Asia, targeting a 10% market share by 2025[26]. - A strategic acquisition of a fintech startup was completed, expected to enhance technological capabilities and customer service[26]. - The company aims to enhance its competitive edge through a comprehensive service platform and robust risk management systems, positioning itself for future growth opportunities[42]. - The company plans to enhance digital capabilities and expand wealth management services in the second half of 2023[75]. - The investment banking business will focus on IPOs, refinancing, bonds, and mergers and acquisitions following the implementation of the comprehensive registration system[75]. Corporate Governance and Management Changes - During the reporting period, a total of 7 directors and senior management personnel left the company, accounting for 25% of the total number at the beginning of the period[148]. - The company experienced significant changes in its board composition, with multiple elections and resignations throughout the year, including the resignation of non-executive directors and supervisors[148]. - The company continues to focus on maintaining compliance with regulatory requirements during this transition period[150]. - The company has appointed new personnel in key positions, including Liu Jie as Vice President (Financial Responsible Person) and Secretary of the Board[149]. Environmental and Social Responsibility - The company has cumulatively reduced carbon emissions by 2.664 million tons through its renewable energy projects since their operation[166]. - The company promotes green development and has engaged in various activities to raise awareness about environmental protection and energy conservation[166]. - The company donated 357,405 yuan to support education projects in remote areas, enhancing local children's quality education[173]. - A donation of 450,000 yuan was made to support financial talent training in Ganzhou City, improving financial knowledge among local government officials and business leaders[174]. Financial Instruments and Investments - The company has a diversified financing structure, utilizing various channels including domestic and international offerings, perpetual subordinated bonds, corporate bonds, and bank loans[106]. - The company actively manages foreign currency investment exposure through hedging tools, maintaining a low overall exchange rate risk[125]. - The company’s total credit risk exposure for domestic and foreign bonds as of June 30, 2023, was RMB 23,706,167,000, compared to RMB 20,984,812,000 at the end of 2022, indicating an increase of approximately 13.0%[133]. Employee Engagement and Training - The total number of employees in the parent company is 11,305, with a combined total of 12,258 employees including major subsidiaries[152]. - The company implemented a training plan in the first half of 2023, achieving a total of 250,000 training hours and 250,000 participants[154]. - The employee stock ownership plan aims to attract and retain talent while aligning the interests of employees and shareholders[158].

Financial Performance - The company reported unaudited interim results for the six months ending June 30, 2023[1]. - Total revenue for the first half of 2023 was RMB 15,653,551 thousand, a decrease of 1.41% compared to RMB 15,876,906 thousand in the same period of 2022[34]. - Net profit attributable to shareholders for the first half of 2023 was RMB 4,726,975 thousand, representing a 10.14% increase from RMB 4,291,728 thousand in the same period of 2022[34]. - The total comprehensive income for the period after tax was RMB 415,201 thousand, a significant increase of 395.81% compared to RMB 83,743 thousand in the same period of 2022[34]. - Basic earnings per share for the first half of 2023 increased to RMB 0.51, a 10.87% rise compared to the adjusted RMB 0.46 in the same period of 2022[37]. - The weighted average return on equity rose to 4.33%, an increase of 0.34 percentage points from 3.99% in the previous year[37]. - The liquidity coverage ratio decreased to 155.46% from 210.95% in the previous year, indicating a tighter liquidity position[41]. - The company reported a significant increase in user engagement metrics, although specific figures were not disclosed in the summary[10]. Risk Management - The company faces various risks including regulatory changes in the securities industry, credit risk, market risk, operational risk, liquidity risk, and reputational risk[5]. - The company emphasizes the importance of risk management across its organizational structure, systems, and culture[5]. - The company is committed to following legal and regulatory changes to mitigate compliance risks[5]. - The company has established a comprehensive risk management framework consisting of five levels, including strategic arrangements by the board, oversight by the supervisory board, risk management decisions by senior management, and direct management by various departments and subsidiaries[111]. - The risk management system includes comprehensive risk, 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[115]. - The company has implemented a quantitative risk management indicator system that guides resource allocation towards high-risk-return businesses, enhancing risk management levels and corporate value[116]. - The company has established three lines of defense for risk management, including self-control by departments, professional risk management by relevant departments, and post-event supervision by the audit department[114]. Business Qualifications and Expansion - The company holds various business qualifications, including the market-making qualification for listed securities obtained in October 2022[13]. - The company has expanded its business qualifications to include credit risk mitigation tools and cross-border business, enhancing its service offerings[14]. - The company aims to enhance its market expansion strategies through the acquisition of new business qualifications and partnerships[14]. - The company has been actively involved in the development of new financial products, including options and futures trading capabilities[14]. - The company is focused on expanding its wealth management and investment banking services, aiming to enhance its market position and service offerings[42]. Compliance and Governance - The financial report has been reviewed by Deloitte, ensuring its accuracy and completeness[3]. - The board of directors has confirmed the authenticity and completeness of the interim report[3]. - The company is committed to maintaining compliance with regulatory standards set by the China Securities Regulatory Commission[10]. - The company has established an independent financial accounting department, maintaining a separate accounting system and financial management practices, with no shared bank accounts with the controlling shareholder[172]. - The company has received a total of 6,366 investor lawsuits related to compensation claims, with ongoing proceedings in both Shanghai and Wuhan courts[191]. Employee and Management - The total number of employees in the parent company is 11,305, while the main subsidiaries have 953 employees, totaling 12,258 employees[162]. - The company has implemented a mobile learning platform to optimize resources and functionalities for employee training[164]. - The employee stock ownership plan holds a total of 27,931,893 shares, representing 0.32% of the company's total shares, with 995 participating employees[167]. - The company launched 230 new online courses to support flexible learning needs for employees[164]. - The remuneration policy is based on benchmarking against peer companies and the completion of key operational indicators[163]. Market Position and Shareholder Engagement - The company is a member of multiple exchanges, including the Shanghai Stock Exchange and Shenzhen Stock Exchange, which supports its market presence[12]. - The company has actively engaged in investor relations activities, with over 200 interactions with investors during the reporting period[196]. - The company ranks 6th among listed securities firms in terms of total market capitalization for A+H shares as of June 30, 2023[196]. - The company has not purchased, sold, or redeemed any of its own securities during the reporting period[197]. Environmental and Social Responsibility - The company has implemented a green operation philosophy, promoting paperless offices and energy-saving measures, resulting in significant energy savings[178]. - The company has actively promoted ecological protection and pollution prevention, engaging in various initiatives to raise awareness about environmental responsibility[176]. - The company donated RMB 357,405 to support education projects in remote areas, enhancing local children's quality education[185]. - The company purchased agricultural products worth RMB 1,705,800 to support rural revitalization efforts[187]. Financial Assets and Investments - As of June 30, 2023, the company's financial assets reached RMB 333.425 billion, an increase of 8.07% compared to the end of 2022[79]. - The company invested RMB 555 million in five enterprises during the first half of 2023, with exit proceeds amounting to RMB 422 million[74]. - The total amount of guarantees provided by the company, including those to subsidiaries, is 55.58 million RMB, which accounts for 4.70% of the company's net assets[195]. - The company has provided a net capital guarantee commitment of up to 500 million RMB to招商資管, with a remaining balance of approximately 2019 million RMB as of the reporting period[195].

证券代码：600999 证券简称： 招商证券 编号： 2023－048 招商证券股份有限公司 第七届董事会第三十七次会议决议公告 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个别及连带责任。 一、 董事会会议召开情况 1 招商证券股份有限公司（以下简称公司）第七届董事会第三十七次会议通知 于 2023 年 8 月 15 日以电子邮件方式发出。会议于 2023 年 8 月 29 日以现场结合 电话会议方式在广东省深圳市召开。 本次会议由霍达董事长召集并主持。应出席董事 14 人，实际出席 14 人（其 中：以通讯表决方式出席会议的董事 6 人）。公司部分监事及高级管理人员列席 本次会议。 本次会议的召集、召开及表决程序符合有关法律、行政法规、部门规章、规 范性文件和《招商证券股份有限公司章程》的规定。 二、 董事会会议审议情况 经审议，会议通过以下决议： （一）关于公司 2023 年半年度经营工作报告的议案 议案表决情况：同意 14 票，反对 0 票，弃权 0 票。 （二）关于公司 2023 年半年度报告的议案 议案表决情况：同意 14 ...

关于召开2023年半年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。 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 8 月 30 日发布公司 2023 年半年度报告，为便于广大投资者更全面深入地了解公司 2023 年半年度经营成 果、财务状况，公司计划于 2023 年 09 月 06 日上午 09:00-10:00 举行 2023 年半 年度业绩说明会，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： 2023－051 招商证券股份有限公司 会议召开时间：2023 年 09 月 06 日(星期三)上午 09:00-10:00 会议召开地点：上海证券交易所上证路演中心 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 08 月 30 日(星期三)至 09 月 05 日(星期二)16:00 前 登录上证路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 IR@cms ...

证券代码：600999 证券简称： 招商证券 编号： 2023－049 招商证券股份有限公司 第七届监事会第二十二次会议决议公告 本公司监事会及全体监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、 监事会会议召开情况 招商证券股份有限公司（以下简称公司）第七届监事会第二十二次会议通知 于 2023 年 8 月 15 日以电子邮件方式发出，会议于 2023 年 8 月 28 日以现场结合 电话方式在广东省深圳市召开。 本次会议由监事会主席周语菡女士召集并主持，应出席监事 9 人，实际出席 9 人（其中：委托出席监事 1 人，以通讯表决方式出席会议的监事 4 人）。王章 为监事因工作原因书面委托监事会主席周语菡出席会议并表决。 公司副总裁（财务负责人）刘杰先生、证券事务代表罗莉女士列席会议。 本次会议的召集、召开及表决程序符合有关法律、行政法规、部门规章、规 范性文件和《招商证券股份有限公司章程》的规定。 二、 监事会会议审议情况 表决结果：同意 9 票，反对 0 票，弃权 0 票。 （二）审议通过《公司 2023 年半年度报告》 1 公 ...

向華先生 肖厚發先生 熊偉先生 胡鴻高先生 豐金華先生 –1– （於中華人民共和國註冊成立的股份有限公司） （股份代號：6099） 董事名單與其角色和職能 招商證券股份有限公司（「本公司」）董事會（「董事會」）委員載列如下： 執行董事 霍達先生 （董事長） 吳宗敏先生 （總裁） 非執行董事 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 丁璐莎女士 獨立非執行董事 –2– 本公司董事會下設五個委員會。下表提供委員會委員的資料： | | 委員會 | 戰略與 | | | | | | --- | --- | --- | --- | --- | --- | --- | | | | 可持續發展 | 風險管理 | 審計 | 提名 | 薪酬與考核 | | 董事 | | 委員會 | 委員會 | 委員會 | 委員會 | 委員會 | | 霍達先生 | | C | | | M | | | 吳宗敏先生 | | M | M | | | | | 張健先生 | | | C | | | M | | 鄧偉棟先生 | | M | | | | | | 劉威武先生 | | | M | M | | | | 李曉霏先生 | | | M ...

证券代码：600999 证券简称： 招商证券 编号： 2023－047 招商证券股份有限公司 第七届董事会第三十六次会议决议公告 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个别及连带责任。 一、 董事会会议召开情况 招商证券股份有限公司（以下简称公司）第七届董事会第三十六次会议通知 于 2023 年 8 月 25 日以电子邮件方式发出。会议于 2023 年 8 月 25 日以通讯表决 方式召开。全体董事同意豁免本次会议通知时限。 本次会议的召集、召开及表决程序符合有关法律、行政法规、部门规章、规 范性文件和《招商证券股份有限公司章程》的规定。 二、 董事会会议审议情况 本次会议审议通过了《关于补选公司第七届董事会专门委员会委员的议案》。 选举张健董事为董事会风险管理委员会委员（召集人）及董事会薪酬与考核 委员会委员，吴宗敏董事不再担任董事会风险管理委员会临时召集人。 议案表决情况：同意 14 票，反对 0 票，弃权 0 票。 特此公告。 招商证券股份有限公司董事会 2023 年 8 月 25 日 1 本次会议由霍达董事长召集并主持， ...

证券代码：600999 证券简称：招商证券 公告编号：2023-046 招商证券股份有限公司 2023 年第二次临时股东大会决议公告 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。 重要内容提示： 本次会议是否有否决议案：无 一、 会议召开和出席情况 | 1、出席会议的股东和代理人人数 | | 31 | | --- | --- | --- | | 其中：A | 股股东人数 | 30 | | H | 股股东人数 | 1 | | 2、出席会议的股东所持有表决权的股份总数（股） | | 5,656,377,029 | | 其中：A | 股股东持有股份总数 | 4,841,715,907 | | H | 股股东持有股份总数 | 814,661,122 | | 3、出席会议的股东所持有表决权股份数占公司有表决权股 | | 65.041794 | 1 (一) 股东大会召开的时间：2023 年 8 月 25 日 (二) 股东大会召开的地点：广东省深圳市福田区福田街道福华一路 111 号招 商证券大厦 (三) 出席会议的普通股股东及其持有股份 ...