证券代码：601198 证券简称：东兴证券 公告编号：2023-035 东兴证券股份有限公司 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法律责任。 重要内容提示： 会议召开时间：2023 年 08 月 28 日（星期一）下午 16:00-17:00 会 议 召 开 地 点 ： 上 海 证 券 交 易 所 上 证 路 演 中 心 （ 网 址 ： http://roadshow.sseinfo.com/） 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 21 日（星期一）至 08 月 25 日（星期五）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 dshms@dxzq.net.cn 进行提问。公司将在 2023 年半年度业绩说明会（以下简称"说 明会"）上就投资者普遍关注的问题进行回答。 1 二、说明会召开的时间、地点 （一）会议召开时间：2023 年 08 月 28 日下午 16:00-17:00 （ 二 ） 会 议 召 开 地 点 ： ...

Financial Performance - The company's operating revenue for the first half of 2023 was CNY 1,818,399,086.56, representing a 2.00% increase compared to CNY 1,782,753,700.41 in the same period last year[16]. - Net profit attributable to shareholders for the first half of 2023 was CNY 349,902,970.48, a significant increase of 28.03% from CNY 273,300,539.37 in the previous year[17]. - The company's total operating income for the first half of 2023 was 1.82 billion RMB, a year-on-year increase of 2.00%[63]. - The net profit for the first half of 2023 was 350 million RMB, reflecting a year-on-year increase of 28.28%[63]. - The wealth management business generated CNY 833 million in revenue, accounting for 45.80% of total operating income, but decreased by 7.20% year-on-year[38]. - The proprietary trading business saw a significant increase in revenue, reaching CNY 411 million, up 71.00% year-on-year, and accounting for 22.63% of total operating income[38]. - The investment banking business experienced a decline in revenue, down 78.24% year-on-year to CNY 101 million, contributing 5.58% to total operating income[38]. - The asset management business revenue surged by 149.15% year-on-year to CNY 113 million, representing 6.23% of total operating income[38]. Capital and Assets - The registered capital of Dongxing Securities remains at RMB 3,232,445,520.00, unchanged from the previous year[10]. - Total assets as of June 30, 2023, were CNY 99,495,612,746.31, a decrease of 2.22% from CNY 101,753,397,289.12 at the end of the previous year[17]. - The company's total liabilities decreased by 3.63% to CNY 72,915,795,593.95 from CNY 75,664,746,197.04 at the end of the previous year[17]. - The company's total equity attributable to shareholders increased to ¥26,540,713,679.89 from ¥26,051,193,809.18 at the end of the previous year[164]. - The company's cash and cash equivalents accounted for 18.36% of total assets as of June 30, 2023[73]. - The company's asset-liability ratio was 68.12% as of June 30, 2023, a decrease of 1.37 percentage points from the end of 2022[73]. Risk Management - The company faces significant risks related to macroeconomic conditions and capital market fluctuations, which could impact operational performance[4]. - The company emphasizes the importance of compliance with legal and regulatory frameworks to mitigate risks[5]. - The company has established a comprehensive risk management system to enhance its risk identification, monitoring, and reporting capabilities[32]. - The company has implemented a dynamic monitoring mechanism for risk control indicators, ensuring timely reporting and handling of abnormal situations[91]. - The company has developed a robust operational risk management framework, emphasizing dual control in key positions and enhancing internal compliance and risk control functions[87]. - The company has established a clear risk control indicator system that effectively covers various business types and risk categories, enabling dynamic monitoring and early warning of risks[93]. Compliance and Governance - The financial report has been declared accurate and complete by the company's management, with no significant omissions[2]. - There are no non-operational fund occupations by controlling shareholders or related parties reported[3]. - The company has a complete compliance management system, promoting a culture of compliance and conducting regular compliance assessments to mitigate legal and regulatory risks[88]. - The company held its 2022 annual general meeting on June 27, 2023, where several resolutions were passed, including the election of new independent directors[94]. - There were changes in senior management, with Liu Liang appointed as the Chief Compliance Officer and Chief Risk Officer, replacing Zhao Huiwen[95]. Investment and Financing - The company aims to enhance its asset management capabilities through a dual-drive strategy of public and private funds[31]. - The company plans to enhance risk management and optimize the structure of its credit business, focusing on high-net-worth and institutional clients[46]. - The company has issued corporate bonds with a total outstanding amount of 10.00 billion RMB at a rate of 3.57% due on August 13, 2023[151]. - The company has consistently paid interest and principal on all bonds, with no overdue debts reported during the reporting period[154]. - The company’s bond issuance strategy is focused on professional investors, utilizing competitive pricing and inquiry-based trading mechanisms[152]. Legal Matters - The company is involved in a significant lawsuit regarding false statements related to "Zeda Yisheng" securities, with ongoing developments[108]. - The company reported ongoing litigation cases, including disputes related to stock pledge repurchase agreements and financing contracts, with multiple cases disclosed in annual and semi-annual reports from 2019 to 2022[111][112][114]. - The company continues to monitor and disclose litigation progress, with a focus on maintaining transparency regarding legal matters affecting its operations[111][112]. Shareholder Information - The largest shareholder, China Orient Asset Management Co., Ltd., holds 1,454,600,484 shares, representing 45.00% of the total shares[144]. - The top ten shareholders do not have any associated or concerted action relationships among them[145]. - The company has a three-year dividend plan from 2021 to 2023, ensuring shareholder returns[105]. - The company reported a profit distribution of RMB 840,435,835.20, indicating a significant allocation to shareholders[182].

证券代码：601198 证券简称：东兴证券 公告编号：2023-034 东兴证券股份有限公司 2022 年年度权益分派实施公告 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： 每股分配比例 A 股每股现金红利 0.05 元（含税） 相关日期 | 股份类别 | 股权登记日 | 最后交易日 | 除权（息）日 | 现金红利发放日 | | --- | --- | --- | --- | --- | | Ａ股 | 2023/8/17 | － | 2023/8/18 | 2023/8/18 | 差异化分红送转：否 一、通过分配方案的股东大会届次和日期 三、相关日期 | 股份类别 | 股权登记日 | 最后交易日 | 除权（息）日 | 现金红利发放日 | | --- | --- | --- | --- | --- | | Ａ股 | 2023/8/17 | － | 2023/8/18 | 2023/8/18 | 四、分配实施办法 本次利润分配方案经东兴证券股份有限公司（以下简称"公司"）2023 年 6 月 27 日的 2022 ...

证券代码：601198 证券简称：东兴证券 公告编号：2023-032 东兴证券股份有限公司 第五届监事会第十七次会议决议公告 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法律责任。 东兴证券股份有限公司（以下简称"公司"）第五届监事会第十七次会议于 2023 年 8 月 7 日通过电子邮件方式发出会议通知，2023 年 8 月 10 日在北京市 西城区金融大街9号金融街中心18层第一会议室以现场结合通讯表决方式召开， 本次会议应出席监事 4 人，实际出席监事 4 人（其中：以通讯表决方式出席会议 人数 1 人）。会议由公司监事会主席秦斌先生主持，公司董事会秘书张锋先生列 席了会议。本次会议以记名投票方式进行表决；会议的召开及表决程序符合《公 司法》及《东兴证券股份有限公司公司章程》（以下简称"《公司章程》"）的规定。 一、审议通过《关于审议 2022 年度公司监事薪酬的议案》。 表决结果：3 名监事同意，0 名监事反对，0 名监事弃权，监事会主席秦斌先 生回避表决。 监事会 2023 年 8 月 11 日 2 《东兴证券股份有限公司 ...

独立董事: t 宫肃康 孙广亮_ 赖观荣___ 朱 青_ 关于公司第五届董事会第三十次会议相关事项的独立意见 根据中国证券监督管理委员会《上市公司独立董事规则》、《上海证券交易所 股票上市规则》、《东兴证券股份有限公司章程》（以下简称《公司章程》）以及《东 兴证券股份有限公司独立董事制度》等有关规定，我们作为东兴证券股份有限公 司（以下简称公司）独立董事，对公司第五届董事会第三十次会议提交的《关于 2022 年度公司内部董事及高级管理人员薪酬方案的议案》进行了审议，现发表 独立意见如下： 2022 年度公司内部董事和高级管理人员薪酬方案符合公司实际经营情况和 行业特点，符合《证券公司治理准则》、《公司章程》及《东兴证券股份有限公司 董事、监事薪酬管理办法》的规定，考核结果客观、公正合理。我们同意 2022 年度公司内部董事和高级管理人员薪酬方案。 东兴证券股份有限公司独立董事 (本页无正文,为《东兴证券股份有限公司独立董事关于公司第五届董事会 第三十次会议相关事项的独立意见》之签署页) 马光远_ 日期: 2023年 8 月 |0 日 (本页无正文,为《东兴证券股份有限公司独立董事关于公司第五届董事会 第三十次 ...

证券代码：601198 证券简称：东兴证券 公告编号：2023-031 东兴证券股份有限公司 第五届董事会第三十次会议决议公告 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法律责任。 东兴证券股份有限公司（以下简称"公司"）第五届董事会第三十次会议于 2023年7月31日通过电子邮件方式发出会议通知，2023年8月10日在北京市西城区 金融大街9号金融街中心18层第一会议室以现场及通讯方式召开。本次会议应参 与表决董事15名，实际参与表决董事共15人（其中：以通讯表决方式出席会议的 共12人）。会议由董事长李娟女士主持，部分监事和高级管理人员列席会议。本 次会议以记名投票方式进行表决，会议的召开及表决程序符合《公司法》及《东 兴证券股份有限公司章程》的规定。本次会议表决通过了以下议案： 一、审议通过《东兴证券股份有限公司 2023 年半年度报告》及其摘要 （一）李娟 表决结果：14 名董事同意，0 名董事反对，0 名董事弃权，关联董事李娟 女士回避表决。 （二）张涛 1 表决结果：14 名董事同意，0 名董事反对，0 名董事弃权，关联 ...

证券代码：601198 证券简称：东兴证券 公告编号：2023-030 东兴证券股份有限公司 2023 年度第三期短期融资券发行结果公告 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。 东兴证券股份有限公司2023年度第三期短期融资券已于2023年8月9日发行 完毕，相关发行情况如下： | 债券名称 | | | | 东兴证券股份有限公司 | 2023 | 年度第三期短期融资券 | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 债券简称 | 23 | 东兴证券 | | CP003 | 债券代码 | 072310165 | | | | 发行日 | 2023 年 | 8 | 月 8 | 日 | 起息日 | 2023 年 | 8 月 | 9 日 | | 兑付日 | 2024 年 | 6 | 月 | 19 日 | 期限 | 315 天 | | | | 计划发行总额 | 人民币 | 10 | 亿元 | | 实际发行总额 | 人民币 | 10 | 亿元 | | 发 ...

2023 年第一季度报告 证券代码：601198 证券简称：东兴证券 东兴证券股份有限公司 2023 年第一季度报告 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。 重要内容提示 （一）公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、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）公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务 信息的真实、准确、完整。 （三）第一季度财务报表是否经审计 □是√否 一、 主要财务数据 （一）主要会计数据和财务指标 单位：元 币种：人民币 | --- | --- | --- | --- | |-----------------------------------------------|-------------------|--------------------|----------------------------------------| | 项目 | 本报告期 | | 本报告期比上年同期增减变 ...

Financial Performance - The company reported a total revenue of 1.5 billion CNY for the fiscal year 2022, representing a year-over-year increase of 15%[32] - The company reported a total revenue of 1.2 billion in 2022, representing a year-over-year growth of 15%[33] - The company reported a significant increase in revenue, achieving a total of $1.2 billion, representing a 15% year-over-year growth[164] - The company reported a significant increase in revenue, achieving a total of 1.5 billion in 2022, representing a 20% growth compared to the previous year[165] - The company provided guidance for the next fiscal year, projecting a revenue growth of 10% to 12%[32] - The company provided a positive outlook for the next quarter, projecting revenue growth of 10% to 12%[164] - The company provided a forward guidance of 10% revenue growth for the next quarter, projecting revenues of approximately 1.32 billion[162] - The company has set a future outlook with a revenue guidance of 1.5 billion for the next fiscal year, indicating a growth target of 25%[171] Profit Distribution - The proposed profit distribution plan for 2022 includes a cash dividend of RMB 0.05 per share, totaling RMB 161,622,276.00, which accounts for 31.25% of the net profit attributable to shareholders[4] - The company’s profit distribution plan for 2022 was approved, considering internal and external factors, current status, development plans, future funding needs, and long-term interests of shareholders[192] - The company distributed cash dividends of CNY 468,853,311.69 for the 2020 fiscal year, representing 30.45% of the net profit attributable to shareholders[200] - For the 2021 fiscal year, the cash dividends distributed amounted to CNY 840,435,835.20, which accounted for 50.87% of the net profit attributable to shareholders[200] Risk Management - The company faces significant risks related to macroeconomic conditions and capital market fluctuations, which could impact its operational performance[6] - The company has implemented measures to mitigate various risks, including legal, market, credit, operational, liquidity, and reputational risks[7] - The company emphasizes the importance of compliance with laws and regulations to avoid legal and compliance risks[7] - The company has established a comprehensive risk management framework that covers all business activities and processes[144] - The company has developed a clear risk control indicator system to monitor various types of risks, including market, credit, liquidity, operational, compliance, money laundering, and reputational risks[144] - The company has established a reputation risk management strategy to enhance communication with external media and improve response capabilities[142] - The company has maintained a strong credit rating and has a comprehensive external credit line exceeding RMB 100 billion[124] - The company has established a comprehensive liquidity risk management system, including various management policies and emergency plans[123] Organizational Structure - The company has a diverse organizational structure with multiple subsidiaries and branch offices to enhance market presence[24] - The company operates 75 securities business departments across various regions, with the highest concentration in Fujian (34 departments) and Beijing (6 departments)[30] - As of December 31, 2022, the company has 5 wholly-owned subsidiaries, including Dongxing Futures with a registered capital of 51,800,000 RMB and Dongxing Investment with 200,000,000 RMB[24] - The company has established a complete governance structure with clear responsibilities among the shareholders' meeting, board of directors, supervisory board, and senior management[149] - The board of directors consists of 15 members, including 5 independent directors and 4 executive directors, ensuring compliance with legal requirements[149] - The supervisory board comprises 4 members, including 2 shareholder representatives and 2 employee representatives, effectively overseeing financial status and risk management[150] Market Expansion and Strategy - The company has expanded its business scope to include internet securities and financial product distribution, indicating a strategic move towards digital finance[15] - Market expansion plans include entering three new provinces, targeting a 5% market share within the first year[32] - The company is exploring potential acquisitions to enhance its service offerings, with a budget of 500 million CNY allocated for this purpose[32] - The company plans to enhance its bond financing business by leveraging its full licensing advantages and focusing on innovative products like AMC+ABS/Reits[82] - The company aims to expand its services in the North Exchange and continue to develop its financial advisory business, particularly in debt restructuring and asset reorganization[83] - The company is focused on expanding its market reach through strategic mergers and acquisitions, as evidenced by its historical activities[21] Compliance and Governance - The company has not faced any administrative penalties or regulatory measures related to its role as a sponsor for a specific IPO[8] - The company’s management structure includes 274 management personnel, 90 research staff, and 1,293 brokerage staff among others[193] - The company’s compliance and risk management personnel totaled 147, ensuring effective internal controls[193] - The company’s board of directors and management adhered to legal and regulatory requirements, with no violations reported[191] - The company has implemented various internal regulations to enhance governance and operational efficiency, aligning with regulatory standards[149] Financial Position - The net profit attributable to shareholders for 2022 was CNY 517,197,649.74, down 68.70% from CNY 1,652,243,606.93 in the previous year[38] - The company's operating revenue for 2022 was CNY 3,429,193,721.41, a decrease of 36.21% compared to CNY 5,375,748,343.46 in 2021[38] - The total assets as of December 31, 2022, were CNY 101,753,397,289.12, reflecting a 2.82% increase from CNY 98,965,019,340.87 at the end of 2021[39] - The total liabilities increased by 4.69% to CNY 75,664,746,197.04 in 2022, compared to CNY 72,271,904,877.92 in 2021[39] - The company's debt-to-asset ratio was 69.49%, an increase of 3.35 percentage points from the previous year[110] Technology and Innovation - The company is investing 200 million CNY in research and development for new technologies aimed at enhancing user experience[32] - The company is investing in new technology development, allocating $50 million towards R&D initiatives[164] - The company is exploring partnerships with tech firms to leverage AI capabilities, aiming to increase operational efficiency by 20%[165] - The company is committed to absolute returns in investments, expanding cross-border investment scale, and improving comprehensive service capabilities in OTC derivatives[132] Customer Engagement - The company has a dedicated customer service hotline (95309) to enhance client engagement and support[18] - The company reported a 20% increase in customer retention rates due to improved service quality and support[32] - Customer satisfaction ratings improved to 90%, up from 85% last year, reflecting better service and product quality[33] Management Changes - In 2022, the company appointed Li Juan as the new chairman and legal representative after the resignation of Wei Qinghua[167] - The company reported significant management changes, including the appointment of Liu Liang as the compliance officer and chief risk officer[168] - The company is actively seeking new independent directors to maintain compliance with board composition requirements[168] - The company has experienced turnover in key management positions, indicating potential shifts in strategic direction[167]

证券代码：601198 证券简称：东兴证券 公告编号：2023-008 东兴证券股份有限公司 关于召开 2022 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法律责任。 重要内容提示： 会议召开时间：2023 年 04 月 06 日（星期四）下午 16:00-17:00 会 议 召 开 地 点 ： 上 海 证 券 交 易 所 上 证 路 演 中 心 （ 网 址 ： http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 03 月 30 日（星期四）至 04 月 04 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 dshms@dxzq.net.cn 进行提问。公司将在 2022 年度业绩说明会上就投资者普遍关 注的问题进行回答。 东兴证券股份有限公司（以下简称"公司"）将于 2022 年 03 月 31 日发布 公司 2022 年度报告，为便于广大投资者更全面深入地了解公司 2022 年度经营成 果、财务状况 ...