CaitongSecuritiesCo.,Ltd. 2024 SustainabilityReport CaitongSecuritiesCo.,Ltd. Stock Code：601108 2024 SustainabilityReport UpholdingIntegrityandHarmonyinPursuitofDreams CaitongSecuritiesCo.,Ltd. OfficialWebsite：https://www.ctsec.com Address:WestBuilding,CaitongShuangguanTower,198TianmushanRoad,XihuDistrict,Hangzhou, ZhejiangProvince CaitongSecuritiesWeChat SubscriptionAccount CaitongSecuritiesAPP Thisreportisprintedonenvironmentallyfriendlyrecycledpaper. CONTENTS | AbouttheReport | 01 | | --- | --- | | Board ...

公司代码：601108 公司简称：财通证券 财通证券股份有限公司 2024年度内部控制评价报告 财通证券股份有限公司全体股东： 根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制监管要求（以下简称企业内部 控制规范体系），结合本公司（以下简称公司）内部控制制度和评价办法，在内部控制日常监督和专项 监督的基础上，我们对公司2024年12月31日（内部控制评价报告基准日）的内部控制有效性进行了评价。 一. 重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其有效性，并如实披露内 部控制评价报告是公司董事会的责任。监事会对董事会建立和实施内部控制进行监督。经理层负责组织 领导企业内部控制的日常运行。公司董事会、监事会及董事、监事、高级管理人员保证本报告内容不存 在任何虚假记载、误导性陈述或重大遗漏，并对报告内容的真实性、准确性和完整性承担个别及连带法 律责任。 公司内部控制的目标是合理保证经营管理合法合规、资产安全、财务报告及相关信息真实完整，提 高经营效率和效果，促进实现发展战略。由于内部控制存在的固有局限性，故仅能为实现上述目标提供 合理保证。此外，由于情况的变化可能导致内部控 ...

Financial Performance - The company's operating revenue for Q1 2025 was ¥1,069,468,118.38, a decrease of 24.16% compared to ¥1,410,150,024.91 in the same period last year[5] - Net profit attributable to shareholders was ¥289,662,555.45, down 36.52% from ¥456,283,443.00 year-on-year[5] - Basic and diluted earnings per share decreased by 40.00%, from ¥0.10 to ¥0.06[5] - The total comprehensive income for the period was CNY 221,475,721.80, a decrease from CNY 527,006,843.99 in the previous year[22] - Basic and diluted earnings per share were both CNY 0.06, down from CNY 0.10 in the same quarter last year[22] Assets and Liabilities - Total assets at the end of the reporting period were ¥138,921,696,407.05, down 3.90% from ¥144,554,584,546.53 at the end of the previous year[6] - Total liabilities decreased to CNY 102,273,137,379.55 as of March 31, 2025, down 5.3% from CNY 108,127,504,252.99 at the end of 2024[18] - Shareholders' equity increased to CNY 36,648,559,027.50 as of March 31, 2025, up from CNY 36,427,080,293.54 at the end of 2024[18] Cash Flow - The company reported a net cash flow from operating activities of ¥5,914,972,037.89, an increase of 15.53% compared to ¥5,119,659,907.61 in the same period last year[5] - Cash inflow from operating activities totaled CNY 11,198,401,461.62, down from CNY 13,716,588,216.82 year-over-year[25] - Cash outflow from operating activities was CNY 5,283,429,423.73, compared to CNY 8,596,928,309.21 in the previous year[25] - Net cash flow from investing activities was CNY -63,528,007.48, an improvement from CNY -1,361,248,840.69 in the previous year[25] - The net cash flow from financing activities was CNY -7,468,028,165.03, compared to CNY -906,795,602.79 in the same quarter last year[26] Investment and Income - Investment income and fair value decreased by 79.36% to ¥100.12 million primarily due to reduced income from financial asset investments[11] - Non-recurring gains and losses totaled ¥21,809,543.73, with significant contributions from government subsidies and asset disposals[8] - Interest income for Q1 2025 was CNY 598,246,839.20, a decrease of 4.6% from CNY 626,768,790.85 in Q1 2024[21] - Net interest income increased to CNY 139,828,992.74 in Q1 2025, up 19.4% from CNY 117,166,513.03 in Q1 2024[21] - Commission and fee income for Q1 2025 was CNY 795,975,221.66, an increase of 4.3% compared to CNY 762,753,433.34 in Q1 2024[21] - Investment income for Q1 2025 was CNY 689,388,199.22, a significant recovery from a loss of CNY 680,814,140.59 in Q1 2024[21] Shareholder Information - The number of common shareholders at the end of the reporting period was 124,847[13] - Zhejiang Financial Holdings Co., Ltd. holds 29.16% of shares, making it the largest shareholder[13] Risk and Capital Management - The weighted average return on net assets fell to 0.79%, a decrease of 0.52 percentage points from 1.31%[6] - The company's net capital was ¥21,787,910,273.57, a decrease from ¥22,212,043,348.91 at the end of the previous year[7] - The risk coverage ratio improved to 298.30%, up from 245.55%[7] - Short-term financing payables decreased by 33.34% to ¥8.14 billion due to a reduction in short-term financing bonds and income certificates[11] - The company reported a significant increase of 118.71% in borrowed funds to ¥1.75 billion[11] - The deferred tax assets increased by 39.95% to ¥230.10 million, attributed to an increase in deductible temporary differences[11] Business Strategy - The company plans to enhance its customer business and optimize its self-operated investment strategy, focusing on a diversified asset allocation approach[15]

Financial Performance - The company achieved an annual revenue of 6.286 billion CNY and a net profit attributable to shareholders of 2.340 billion CNY for the year 2024[19]. - The company's total revenue for 2024 was approximately ¥6.29 billion, a decrease of 3.55% compared to ¥6.52 billion in 2023[70]. - Net profit attributable to shareholders of the parent company increased by 3.90% to approximately ¥2.34 billion in 2024 from ¥2.25 billion in 2023[70]. - The company reported a revenue increase of 15% year-over-year, reaching $1.2 billion in Q3 2023[62]. - The company reported a net profit margin of 12%, up from 10% in the previous quarter[65]. - The company's operating income was 6.286 billion yuan, a year-on-year decrease of 3.55%, while the total profit reached 2.771 billion yuan, reflecting a year-on-year growth of 6.09%[164]. Assets and Liabilities - Total assets reached 144.555 billion CNY, with net assets attributable to shareholders at 36.405 billion CNY, resulting in a return on equity of 6.59%[19]. - Total assets reached approximately ¥144.55 billion at the end of 2024, reflecting an 8.07% increase from ¥133.75 billion at the end of 2023[71]. - Total liabilities increased by 9.08% to approximately ¥108.13 billion in 2024, up from ¥99.13 billion in 2023[71]. - The company's total assets as of December 31, 2024, amounted to 1445.55 billion RMB, an increase of 8.07% year-over-year[183]. - Cash and cash equivalents reached 294.52 billion RMB, accounting for 20.37% of total assets[183]. Business Operations and Strategy - The company provided direct financing support to the real economy amounting to 146.2 billion CNY, marking seven consecutive years of recognition as an outstanding institution supporting Zhejiang's economic development[19]. - The company maintained its position as a leading underwriter in bond financing within Zhejiang province, with total underwriting scale exceeding 100 billion CNY for two consecutive years[20]. - The company actively expanded its business headquarters in five major cities, enhancing its service capabilities across the nation[19]. - The company plans to focus on internal development and external mergers and acquisitions to enhance its overall value and risk resistance[24]. - The company aims to create a first-class modern investment bank, balancing functionality and profitability while serving the real economy and promoting common prosperity[200]. Customer and Market Growth - Customer base increased by 12.7%, with managed asset scale growing by 11.3% and new asset inflow rising by 28%[20]. - The company’s wealth management business saw a 12.7% increase in customer numbers and an 11.3% increase in customer custody asset scale[109]. - Market expansion efforts have led to a 20% increase in market share in the Asia-Pacific region[63]. - The company plans to enter two new international markets by the end of 2024, aiming for a 15% increase in global sales[62]. Investment and Financing Activities - The company provided bond financing of 15.54 billion yuan to mountainous and island counties, marking an 8.3% year-on-year increase[155]. - The company achieved a bond underwriting amount of CNY 87.68 billion, with CNY 79.97 billion from provincial company and enterprise bonds, ranking first in Zhejiang province[114]. - The company successfully sponsored the IPO of Hongxin Technology on the ChiNext board and completed three refinancing projects, improving its industry ranking by 7 positions compared to 2023[113]. - The company achieved a 46.7% year-on-year growth in bond underwriting for provincial state-owned enterprises, reflecting its strong market position[114]. Research and Development - The company is investing $50 million in R&D for new technologies aimed at enhancing user experience[62]. - The company plans to enhance its AI capabilities by developing a comprehensive AI-driven operational system[176]. Compliance and Governance - The company has established a strong compliance framework, with multiple licenses and qualifications for different financial activities, ensuring regulatory adherence[35][36]. - The company has a robust information disclosure policy, utilizing major financial media and the Shanghai Stock Exchange website for annual report dissemination[40]. Social Responsibility and Community Engagement - The company established 21 "Common Prosperity Investment Education Stations" to enhance financial literacy and risk awareness among community residents[155]. - The company has signed strategic cooperation agreements with 29 banks, enhancing its financial service capabilities[152]. Future Outlook - The company plans to reshape its client operation system centered on customer needs in 2025, enhancing its brand influence as "the broker of Zhejiang enterprises"[115]. - The company aims to deepen its "one main, two wings" business layout, focusing on traditional investment research and capital market innovation in 2025[119].

证券代码：601108 证券简称：财通证券 公告编号：2025-023 财通证券股份有限公司 关于2024年度募集资金存放与实际使用情况的专项报告 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。 根据《上市公司证券发行注册管理办法》、《上市公司监管指引第 2 号—— 上市公司募集资金管理和使用的监管要求（2022 年修订）》、《上海证券交易 所上市公司自律监管指引第 1 号——规范运作（2023 年 12 月修订）》、《上海 证券交易所上市公司自律监管指南第 1 号——公告格式（2024 年 11 月修订）》 和《财通证券股份有限公司募集资金管理制度》之要求，编制了本公司公开发行 可转换公司债券募集资金截至 2024 年 12 月 31 日止的存放与实际使用情况的专 项报告。 一、募集资金基本情况 经中国证券监督管理委员会《关于核准财通证券股份有限公司公开发行可转 换公司债券的批复》（证监许可[2020]2927 号）核准，本公司于 2020 年 12 月 10 日由联席主承销商中信证券股份有限公司（以下简称"中信证券"）和中 ...

证券代码：601108 证券简称：财通证券 公告编号：2025-022 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。 财通证券股份有限公司（以下简称"公司"）于 2025 年 4 月 24 日召开第四 届董事会第二十一次会议，审议通过了《关于修订<公司章程>的议案》，拟对《公 司章程》相关条款进行修订。 根据《中国共产党基层组织工作条例（试行）》《关于进一步完善国有企业 法人治理结构的指导意见》等有关要求，为进一步完善《公司章程》涉及党组织 的职责权限、机构设置、运行机制等有关内容。同时，结合新《公司法》《上市 公司章程指引》等有关规定和要求，进一步完善和提升公司规范运作水平，公司 对《公司章程》进行了相应修订。现将《公司章程》具体修订情况公告如下： | 序号 | 修订前 | 修订后 | | --- | --- | --- | | 1 | 第一条 为维护财通证券股份有限公司（以下简 | 第一条 为维护财通证券股份有限公司（以下简 | | | 称"公司"）、股东和债权人的合法权益，规范公 | 称"公司"）、股东、职工和债权人的 ...

财通证券股份有限公司 关于续聘2025年度审计机构的公告 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法律责任。 证券代码：601108 证券简称: 财通证券 公告编号：2025-024 重要内容提示： 拟聘任的会计师事务所名称：毕马威华振会计师事务所（特殊普通合伙） 财通证券股份有限公司（以下简称："公司"）于2025年4月24日召开了第 四届董事会第二十一次会议，审议通过了《关于审议续聘2025年度审计机构的 议案》，会议同意续聘毕马威华振会计师事务所（特殊普通合伙）（以下简称 "毕马威华振"）担任公司2025年度审计机构，为公司提供2025年度财务报告 和内部控制审计等服务。毕马威华振为公司2024年度审计机构，继续聘请其担 任公司2025年度审计机构保持了公司审计工作的连续性。 一、拟聘任会计师事务所的基本情况 （一）基本信息 毕马威华振会计师事务所于1992年8月18日在北京成立，于2012年7月5日获 财政部批准转制为特殊普通合伙的合伙制企业，更名为毕马威华振会计师事务 所（特殊普通合伙）。2012年7月10日取得工商营业 ...

财通证券股份有限公司董事会 2025 年 4 月 25 日 财通证券股份有限公司（以下简称"公司"）董事会根据 《上市公司独立董事管理办法》《证券基金经营机构董事、 监事、高级管理人员及从业人员监督管理办法》《上海证券 交易所上市公司自律监管指引第 1 号——规范运作》等相关 规定和要求，就公司现任独立董事韩洪灵先生、贲圣林先生、 方军雄先生的独立性情况进行评估并出具如下专项意见： 经核查独立董事韩洪灵先生、贲圣林先生、方军雄先生 的主要社会关系、任职经历、兼职情况以及签署的相关自查 文件，上述人员不存在任何妨碍其进行独立客观判断的关系， 不存在影响独立董事独立性的情况，符合《上市公司独立董 事管理办法》《证券基金经营机构董事、监事、高级管理人 员及从业人员监督管理办法》《上海证券交易所上市公司自 律监管指引第 1 号——规范运作》等关于独立董事独立性的 要求。 财通证券股份有限公司 董事会关于独立董事独立性自查情况的专项意见 ...

经中国证券监督管理委员会《关于核准财通证券股份有限公司公开发行可转 换公司债券的批复》（证监许可[2020]2927 号）核准，公司于 2020 年 12 月 10 日 公开发行了 3,800 万张可转换公司债券，每张面值 100 元，募集资金总额 3,800,000,000 元，扣除各项发行费用后，实际募集资金净额 3,788,439,622.64 元。 上述募集资金到位情况已经天健会计师事务所（特殊普通合伙）审验，并出具天 健验[2020]603 号的验资报告。 2020 年 度 ，公 司 使 用公 开 发 行可 转 换 公司 债 券 的募 集 资 金 人民 币 1,687,192,325.25 元；2021 年度，公司使用公开发行可转换公司债券的募集资金 人民币 1,712,807,674.75 元；2022 年度，公司未使用公开发行可转换公司债券的 募集资金；2023 年度，公司使用公开发行可转换公司债券的募集资金人民币 200,000,000.00 元；2024 年度，公司使用公开发行可转换公司债券的募集资金人 民币 205,161,624.95 元。 申万宏源证券承销保荐有限责任公司 关于财通证券 ...