首创证券股份有限公司 股东通讯政策 （草案） （H 股发行上市后适用） 二零二五年七月 （于 2025 年 7 月 25 日经公司第二届董事会第十四次会议审议通过） 目 录 首创证券股份有限公司股东通讯政策 首创证券股份有限公司 股东通讯政策 笫一章 总则 第一条 首创证券股份有限公司（以下简称本公司）根据 《中华人民共和国公司法》《证券及期货条例》（香港法例第 简称《香港上市规则》）、《首创证券股份有限公司章程（草 案）（H 股发行并上市后适用）》（以下简称《公司章程》） 和其他法律、行政法规、规章及监管要求的规定，制定本政 策。 第二条 本公司奉行向股东公平披露资料和与股东坦诚沟 通的基本原则。本政策所载条文旨在确保本公司股东，包括 个人及机构股东（以下统称股东），及在适当情况下其他利 益相关者（包括一般投资人士），均可适时取得全面、相同及 容易理解的本公司资料（包括其财务表现、战略目标及计 划、重大发展、管治及风险概况），一方面使股东可在知情 情况下行使权力，另一方面也让股东及投资人士与本公司加强 沟通。就本政策而言，"投资人士"包括本公司的准投资者， 以及就本公司表现进行报告及分析的分析员。 首创证券 ...

Group 1 - The core point of the article is that Shouchao Securities has announced plans to issue H-shares and list on the Hong Kong Stock Exchange to enhance its capital strength and competitiveness [2][3] - Shouchao Securities will consider the interests of existing shareholders and market conditions when determining the timing and window for the issuance, which is valid for 24 months from the shareholders' meeting approval [2][3] - Currently, there are 42 listed securities firms in the A-share market, with 13 achieving "A+H" listings, including major firms like CITIC Securities and Huatai Securities [3] Group 2 - The proposal for H-share listing by Shouchao Securities is closely related to the recent boom in the Hong Kong stock market, which has seen a significant increase in equity financing, reaching 291.64 billion yuan, a year-on-year growth of 288.75% [4] - The performance of the Hong Kong brokerage sector has been strong, with companies like China Galaxy and Dongfang Securities seeing over 60% increases in their H-shares this year, indicating positive market sentiment towards Chinese brokerages [4] - Shouchao Securities has a relatively small net capital, with total equity of 13.229 billion yuan, ranking 54th in the industry, which has led to some volatility in its performance [6] Group 3 - In 2024, Shouchao Securities achieved record high revenues of 2.418 billion yuan, a year-on-year increase of 25.49%, and a net profit of 985 million yuan, up 40.49% [6] - However, in the first quarter of 2025, the company experienced a decline in performance, with revenues of 432 million yuan, down 23.34%, and net profit of 151 million yuan, down 31.42% [6] - The company has appointed Ernst & Young Hong Kong as the auditing firm for the H-share listing and will comply with relevant regulations and approvals from regulatory bodies [6]

证券代码：601136 证券简称：首创证券 公告编号：2025-024 1.基本信息 安永会计师事务所（以下简称安永香港）为一家根据香港法律设立的合伙制 事务所，由其合伙人全资拥有。安永香港为众多香港上市公司提供审计、税务和 咨询等专业服务，包括银行、保险、证券等金融机构。安永香港自成立之日起即 为安永全球网络的成员，与安永华明会计师事务所（特殊普通合伙）（以下简称 安永华明）一样是独立的法律实体。 2.投资者保护能力 安永香港根据香港《会计及财务汇报局条例》注册为公众利益实体核数师。 此外，安永香港经中华人民共和国财政部批准取得在中国内地临时执行审计业务 许可证。安永香港按照相关法律法规要求每年购买职业保险。 3.诚信记录 首创证券股份有限公司 关于聘请 H 股发行及上市审计机构的公告 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。 首创证券股份有限公司（以下简称公司）于 2025 年 7 月 25 日召开了第二届 董事会第十四次会议，审议通过了《关于审议公司聘请 H 股发行及上市审计机 构的议案》，同意聘请安永会计师事务所 ...

Group 1 - The core point of the article is that Shouchao Securities has announced its plan to list H-shares on the Hong Kong Stock Exchange, which would add a new member to the A+H listed brokerage sector [1] - The company held its 14th meeting of the second board of directors on July 25, 2023, where it approved the proposal for issuing H-shares and applying for listing on the Hong Kong Stock Exchange [1] - The purpose of the listing is to enhance the company's capital strength and overall competitiveness, better integrate international resources, and increase its international influence [1] Group 2 - Shouchao Securities was established in February 2000 with a registered capital of 2.73 billion RMB and is headquartered in Beijing [2] - The company has developed into a comprehensive securities firm with full licensing capabilities, offering services in asset management, investment banking, securities brokerage, and more [2] - The company has maintained a good development trend over the years, with sound management and good asset quality [2] Group 3 - For the year 2024, the company achieved revenue of 2.418 billion RMB, a year-on-year increase of 25.49%, and a net profit attributable to shareholders of 985 million RMB, up 40.49% [3] - The investment banking business performed particularly well, generating revenue of 196 million RMB in 2024, a year-on-year growth of 65.59%, accounting for 8.09% of total revenue [3] - The company plans to distribute a cash dividend of 0.95 RMB per 10 shares (tax included) to all shareholders [3]

Group 1 - The State Council, led by Li Qiang, is implementing measures to gradually promote free preschool education [1] - The China Securities Regulatory Commission (CSRC) is tightening restrictions on potential significant adverse impacts from peer competition on listed companies, enhancing the review responsibilities and decision-making requirements for related transactions [2] - According to Qunzhi Consulting, TV panel prices experienced a decline in July due to supply and demand dynamics, with expectations of a gradual stabilization starting in August [3] Group 2 - The Dalian Commodity Exchange has adjusted the trading limits for lithium carbonate futures (LC2509), capping the daily opening position at 3,000 contracts, while the Zhengzhou Commodity Exchange has set a limit of 500 contracts for coking coal futures (JM2509) [4] - Bond funds may face significant redemption pressure, with over 200 billion yuan in various bonds sold in the first four days of the week, including nearly 100 billion yuan sold in a single day on July 24 [5] - China Fortune Securities plans to issue H-shares and list on the Hong Kong Stock Exchange [6] - China Duty Free Group reported a net profit of 2.6 billion yuan for the first half of the year, a year-on-year decrease of 20.81% [6] - Dongshan Precision plans to invest up to 1 billion USD in a high-end printed circuit board project through its subsidiary [6] - Huaitong Group, which has seen a surge in stock prices, clarified that it did not participate in the construction of the hydropower station project downstream of the Yarlung Tsangpo River [6] - Guangsheng Pharmaceutical's innovative hepatitis B treatment drug, Nairu Kewei GST-HG141, has successfully enrolled its first subject in a Phase III clinical trial [6]

Group 1: Company Announcements - Guangshen Railway signed a cooperation agreement for the Guangzhou East Station renovation project with a total investment of approximately 16.66 billion yuan, including a reconstruction compensation investment of about 2.228 billion yuan [1] - Fushun Special Steel announced that Ningbo Meishan Bonded Port Area Jincheng Shazhou intends to make a partial tender offer to acquire 5% of the company's shares at a price of 5.6 yuan per share [2] - China Duty Free Group reported a net profit of 2.6 billion yuan for the first half of 2025, a year-on-year decrease of 20.81%, with total operating revenue of 28.151 billion yuan, down 9.96% [3] - Gaozheng Mining announced that its controlling shareholder, Cangjian Group, reduced its shareholding by 2.76 million shares, bringing its stake down to 57.6% [4] - Sanfeng Intelligent reported that its director Chen Wei is under investigation, but the company's operations remain normal [5] - Guangsheng Group's innovative hepatitis B treatment drug GST-HG141 has successfully enrolled its first participant in a Phase III clinical trial [6] - Western Gold announced plans to acquire 100% of Xinjiang Meisheng for 1.655 billion yuan, with a premium of 1421.66% over the book value [7] - Huqin Technology announced that shareholders holding more than 5% plan to reduce their holdings by up to 4% of the company's shares [8] - Dongshan Precision's subsidiary plans to invest up to 1 billion USD in a high-end printed circuit board project [10] - Yitian Intelligent plans to jointly invest in a private equity fund focusing on artificial intelligence and computing power, with a total subscription amount of 2 billion yuan [11] - *ST Wanfang is under investigation by the China Securities Regulatory Commission for suspected information disclosure violations [12] - Ruibeka and its controlling shareholder are also under investigation by the CSRC for similar reasons [13] - BioShares' subsidiary received clinical trial approval for a cat infectious peritonitis mRNA vaccine [14] - Ruipu Bio received the first clinical trial approval for an mRNA vaccine for economic animals in China [15] - Shengke Communication announced that a major fund plans to reduce its holdings by up to 3% of the company's shares [16] - ShenKai Co. announced a capital increase of 15 million yuan in Shandong Future Robotics, a deep-sea operation robot company [18] - Shouchuang Securities plans to issue H-shares and list on the Hong Kong Stock Exchange to enhance capital strength [19] Group 2: Financial Performance - Western Mining reported a net profit of 1.869 billion yuan for the first half of the year, a year-on-year increase of 15% [20] - Digital Certification expects a loss of 80 million to 96 million yuan for the first half of the year [21] Group 3: Major Contracts and Share Buybacks - China Communications Construction Company signed new contracts worth 991.054 billion yuan in the first half of the year, a year-on-year increase of 3.14% [22] - Zhejiang Communications Technology's subsidiary won two projects totaling over 3.4 billion yuan [23] - Feilong Co. received a notification from SAIC Motor for a designated sales agreement, expecting sales revenue of over 400 million yuan during its lifecycle [24] - Liuyuan Group plans to repurchase shares worth 100 million to 200 million yuan [25] - Meikailong's shareholders plan to reduce their holdings by no more than 3.0011% of the company's shares [26]

首创证券股份有限公司 境外发行证券及上市相关的保密和档案 管理制度 二零二五年七月 （于 2025 年 7 月 25 日经公司第二届董事会第十四次会议审议通过） 首创证券股份有限公司境外发行证券及上市相关的保密和档案管理制度 首创证券股份有限公司 境外发行证券及上市相关的保密和档案管理制度 第一条 为保障国家经济安全，保护社会公共利益及首创 证券股份有限公司（以下称公司）的利益，维护公司在境外 发行证券及上市过程中的信息安全，规范公司在境外发行证 券及上市相关的国家秘密和档案管理工作，根据《中华人民 共和国证券法》《中华人民共和国保守国家秘密法》（以下称 《保密法》）、《中华人民共和国档案法》《中华人民共和国会 计法》《中华人民共和国注册会计师法》《中华人民共和国国 家安全法》《境内企业境外发行证券和上市管理试行办法》 （以下称《试行办法》）和《关于加强境内企业境外发行证券 和上市相关保密和档案管理工作的规定》（中国证券监督管 理委员会、财政部、国家保密局、国家档案局公告〔2023〕 44 号，以下称《保密和档案管理规定》）等法律法规的有关 规定，公司特制定《境外发行证券及上市相关的保密和档案 管理制度》（以 ...

首创证券股份有限公司 信息披露管理制度 二零二五年七月 （于 2025 年 7 月 25 日经公司第二届董事会第十四次会议审议通过） | | | | 第一章 | 总则 | 3 | | --- | --- | --- | | 第二章 | 信息披露的基本原则和一般规定 | 4 | | 第三章 | 信息披露事务管理制度的制定、实施和监督 | 6 | | 第四章 | 持续信息披露 | 7 | | 第一节 | 定期报告 | 7 | | 第二节 | 临时报告 | 10 | | 第五章 | 信息披露的程序 | 13 | | 第六章 | 暂缓、豁免信息披露的情形 | 19 | | 第七章 | 信息披露档案管理、保密措施与法律责任 | 21 | | 第八章 | 附则 | 23 | 首创证券股份有限公司信息披露管理制度 第一条 为做好首创证券股份有限公司（以下简称公司） 的信息披露工作，根据《中华人民共和国公司法》《中华人民 共和国证券法》《上市公司信息披露管理办法》《上海证券交 易所股票上市规则》（以下简称《上市规则》）《上海证券交易 所上市公司自律监管指引第 2 号——信息披露事务管理》等 有关法律、法规、规范性文件以及《首 ...

首创证券股份有限公司 内幕信息知情人登记管理制度 （草案） （H 股发行上市后适用） 二零二五年七月 （于 2025 年 7 月 25 日经公司第二届董事会第十四次会议审议通过） | | | | 第一章 | 总则 | 3 | | --- | --- | --- | | 第二章 | 内幕信息的范围 | 4 | | 第三章 | 内幕信息知情人的范围 | 7 | | 第四章 | 内幕信息保密管理 | 8 | | 第五章 | 内幕信息知情人登记备案和报备管理 | 9 | | 第六章 | 责任追究 | 15 | | 第七章 | 附则 | 15 | 首创证券股份有限公司内幕信息知情人登记管理制度 首创证券股份有限公司 内幕信息知情人登记管理制度 第一章 总则 第一条 为加强首创证券股份有限公司（以下简称公司） 内幕信息管理，做好内幕信息保密工作，维护信息披露的公 平原则，保护广大投资者的合法权益，根据《中华人民共和 国公司法》《中华人民共和国证券法》《上海证券交易所股票 上市规则》《上市公司信息披露管理办法》《上市公司监管指 引第 5 号——上市公司内幕信息知情人登记管理制度》《香 港联合交易所有限公司证券上市规则》等有 ...

首创证券股份有限公司 投资者关系管理制度 二零二五年七月 （于 2025 年 7 月 25 日经公司第二届董事会第十四次会议审议通过） | | | | 第一章 | 总则 | 3 | | --- | --- | --- | | 第二章 | 投资者关系管理的基本原则和目的 | 3 | | 第三章 | 投资者关系管理的对象及沟通内容 | 4 | | 第四章 | 投资者关系管理的基本要求 | 5 | | 第五章 | 投资者关系管理的主要方式 | 6 | | 第六章 | 投资者关系管理部门 | 13 | | 第七章 | 附 则 | 15 | 首创证券股份有限公司投资者关系管理制度 首创证券股份有限公司 投资者关系管理制度 第一章 总则 第一条 为了加强首创证券股份有限公司（以下简称公 司）与投资者之间的信息沟通，加深投资者对公司的了解和 认同，切实保护投资者利益，根据《中华人民共和国公司法》 《中华人民共和国证券法》《上海证券交易所股票上市规则》 （以下简称《上市规则》）、《上市公司投资者关系管理工作指 引》《上海证券交易所上市公司自律监管指引第 1 号——规 范运作》等有关法律、法规、规范性文件及《首创证券股份 有限 ...