2019 年年度报告 公司代码：601198 公司简称：东兴证券 东兴证券股份有限公司 2019 年年度报告 1 / 283 2019 年年度报告 重要提示 一、本公司董事会、监事会及董事、监事、高级管理人员保证年度报告内容的真实、准确、完 整，不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 二、公司全体董事出席董事会会议。 三、德勤华永会计师事务所（特殊普通合伙）为本公司出具了标准无保留意见的审计报告。 四、公司负责人魏庆华、主管会计工作负责人张涛及会计机构负责人（会计主管人员）郝洁声 明：保证年度报告中财务报告的真实、准确、完整。 五、经董事会审议的报告期利润分配预案或公积金转增股本预案 公司2019年度利润分配预案：拟以实施权益分派股权登记日登记的总股本为基数分配利润， 向实施权益分派股权登记日登记在册的全体股东每10股派发现金红利1.40元（含税）。 截至2019年12月31日，公司总股本2,757,960,657股，以此合计计算拟分配现金红利人民币 386,114,491.98元，占2019年度合并报表归属于母公司所有者净利润的31.63%。如在实施权益分 派的股权登记日前公司总 ...

2018 年第三季度报告 公司代码：601198 公司简称：东兴证券 东兴证券股份有限公司 2018 年第三季度报告 1 / 18 | 一、 重要提示 3 | | --- | | 二、 公司基本情况 3 | | 三、 重要事项 5 | | 四、 附录 9 | 2018 年第三季度报告 一、 重要提示 二、 公司基本情况 2.1 主要财务数据 单位：元 币种：人民币 | | | | 单位：元 | 币种：人民币 | | | --- | --- | --- | --- | --- | --- | | 项目 | 本期金额 | | 年初至报告期末金额 | 说明 | | | | （7-9 | 月） | （1-9 月） | | | | 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 | | | | | | | | 4,359.60 | | 2,507,130.91 | | 无 | | 定、按照一定标准定额或定量持续享受 | | | | | | | 的政府补助除外 | | | | | | | 除上述各项之外的其他营业外收入和支 | -1,565,779.89 | | 1,772,811.32 | | ...

Financial Performance - The company's operating revenue for the first half of 2018 was CNY 1,470,051,891.72, representing a 4.16% increase compared to CNY 1,411,343,024.47 in the same period last year[25]. - The net profit attributable to shareholders of the parent company was CNY 575,843,620.48, a 1.99% increase from CNY 564,588,702.25 year-on-year[25]. - The total assets at the end of the reporting period reached CNY 85,761,997,704.54, marking a 10.26% increase from CNY 77,780,746,289.12 at the end of the previous year[25]. - The total liabilities increased by 12.97% to CNY 66,119,519,796.04 from CNY 58,527,462,905.17 at the end of the previous year[25]. - The basic earnings per share for the first half of 2018 was CNY 0.209, up 1.95% from CNY 0.205 in the same period last year[26]. - The weighted average return on equity decreased to 2.97%, down 0.05 percentage points from 3.02% year-on-year[26]. - The liquidity coverage ratio decreased to 154.06% from 239.83% year-on-year[26]. - The total non-recurring gains and losses amounted to CNY 4,380,486.87 during the reporting period[27]. Capital and Funding - The registered capital of Dongxing Securities remains at CNY 2,757,960,657, unchanged from the previous year-end[15]. - The net capital decreased to CNY 17,840,195,911.37 from CNY 19,608,892,499.77, reflecting a decline of approximately 9.0%[15]. - The company raised a total of 6.636 billion RMB in new borrowings in the first half of 2018, including 5.3 billion RMB from new corporate bonds[127]. - The company issued a total of CNY 20 billion in subordinated bonds, with "16 Dongxing 02" having a coupon rate of 3.68%[156]. - The company has a total outstanding bond balance of RMB 17,079.52 million and a subordinate bond balance of RMB 5 billion[159]. Risk Management - Major risks include market risk, credit risk, liquidity risk, operational risk, and compliance risk, which are closely tied to the domestic macroeconomic environment and capital market fluctuations[6]. - The company emphasizes the importance of regulatory compliance and risk management in its operations to mitigate potential impacts from market volatility[6]. - The risk coverage ratio was 206.31%, down from 230.43% at the end of the previous year[26]. - Credit risk is managed through strict client suitability assessments and internal credit evaluation mechanisms[85]. - Liquidity risk is mitigated by maintaining a robust liquidity management system and holding highly liquid financial instruments[87]. Business Operations - The company holds various business qualifications, including securities brokerage, investment consulting, and asset management, enhancing its operational capabilities[15]. - The report indicates that the company is focused on expanding its service offerings and enhancing its market presence through strategic initiatives[6]. - The company established 5 new branches and 2 new business departments, increasing the total number of branches from 79 to 82[59]. - The company completed 12 equity projects and 15 debt projects, with a total underwriting amount of RMB 290.53 billion, an increase of 25.53% year-on-year[64]. - The company’s investment banking business net income was RMB 3.29 billion, reflecting a growth of 16.01% compared to the previous year[63]. Shareholder and Stock Management - The company has not proposed any profit distribution plan or capital reserve transfer to increase share capital during the reporting period[4]. - The company plans to reduce its shareholding in Dongxing Securities by no more than 2% of the total shares each year after the lock-up period expires[101]. - The company will implement measures to stabilize its stock price, including stock buybacks and increasing shareholdings by major shareholders[101]. - The company will disclose specific measures for stabilizing stock prices within 15 trading days after triggering conditions[101]. - A cash dividend of no less than 5% of the distributable profit from the previous fiscal year will be distributed to all shareholders if stabilization measures are not executed[102]. Compliance and Governance - The company has appointed Deloitte Huayong as the financial audit and internal control audit institution for the year 2018[105]. - The company received a warning and a fine of RMB 1,000 from the State Administration of Foreign Exchange for failing to register direct investment stock rights from 2015 to 2016, and has completed the necessary rectification[106]. - The company has committed to maintaining the legal rights of all shareholders and will not engage in actions that harm the interests of Dongxing Securities or its shareholders[104]. - The company has established a compensation mechanism for investors in case of losses due to false statements in the prospectus[103]. - The company has not faced any penalties or investigations involving its directors, supervisors, or senior management during the reporting period[106]. Social Responsibility - The company invested approximately 1.06 million RMB in targeted poverty alleviation efforts during the first half of 2018, conducting 10 visits and assessments[120]. - A total of 1.0583 million RMB was allocated for social poverty alleviation, with 1 million RMB specifically for the poverty alleviation public welfare fund[119]. - The company received the "Outstanding Contribution Award for Poverty Alleviation Work in 2017" from the China Poverty Alleviation Foundation in March 2018[119]. - The company plans to continue its "Financial Poverty Alleviation + Educational Poverty Alleviation" strategy, focusing on four designated poverty-stricken counties in 2018[121].