东兴证券股份有限公司 证券代码：601198 证券简称：东兴证券 公告编号：2025-009 第六届监事会第二次会议决议公告 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法律责任。 东兴证券股份有限公司（以下简称公司）第六届监事会第二次会议于 2025 年 3 月 20 日通过电子邮件方式发出会议通知，2025 年 4 月 2 日在北京市西城区 金融大街 9 号金融街中心 B 座 18 层公司第一会议室以现场会议方式召开。本次 会议应出席监事 3 人，实际出席监事 3 人（其中：以通讯表决方式出席会议人数 0 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。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 2024 年度监事会工作报告》。 表决结果：3 名监事同意，0 名监事反对，0 名监事弃权。 本议案需提交股东大会审议。 二、审议通过《东兴证券股份有限公 ...

证券代码：601198 证券简称：东兴证券 公告编号：2025-008 东兴证券股份有限公司 第六届董事会第五次会议决议公告 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、本公司）第六届董事会第五次会议 于2025年3月20日通过电子邮件方式发出会议通知，2025年4月2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人，实际参与表决董事15人（其中：以通讯表决方式出席会议8 人）。会议由董事长李娟女士主持，公司监事和部分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》（以下简称《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 2024 年度董事会工作报告》； 表决结果：15 名董事同意，0 名董事反对，0 名董事弃权。 本议案需提交股东大会审议。 表决结果：15 名董事同意，0 名董事反对，0 名董事弃权。 三、审议通 ...

证券代码：601198 证券简称：东兴证券 公告编号：2025-012 东兴证券股份有限公司 2024 年年度 利润分配方案公告 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： 一、利润分配方案内容 （一）利润分配方案的具体内容 截至2024年12月31日，东兴证券股份有限公司（以下简称公司）母公司报表 中期末未分配利润为人民币5,666,642,321.39元。经公司第六届董事会第五次会议 决议，公司2024年年度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。本次利润分配方案如下： 鉴于公司已于2024年10月实施2024年中期分红，每股派发现金红利0.054元 （含税），共派发现金红利174,552,058.08元（含税）。公司拟向2024年实施权益 1 每股分配比例：每股派发现金红利0.09元（含税）。 本次利润分配以实施权益分派股权登记日登记的总股本为基数，具体日 期将在权益分派实施公告中明确。 在实施权益分派的股权登记日前公司总股本发生变动的，拟维持分配总 额不变，相应调整每股分配比例，并将 ...

Dividend Distribution - The company plans to distribute a cash dividend of RMB 0.09 per share, totaling RMB 290,920,096.80, which represents 30.14% of the net profit attributable to shareholders for 2024[6]. - The total cash dividend for the year, including the mid-year distribution, amounts to RMB 465,472,154.88[6]. Financial Performance - The company reported a revenue increase of 15% year-over-year, reaching $1.2 billion in Q3 2023[38]. - The company achieved operating revenue of CNY 9.37 billion in 2024, an increase of CNY 4.63 billion or 97.89% year-on-year[113]. - Net profit attributable to shareholders for 2024 was ¥1,544,324,857.74, an 88.39% increase from ¥819,739,772.59 in 2023[43]. - The basic earnings per share for 2024 was ¥0.478, up 88.19% from ¥0.254 in 2023[45]. - The total assets at the end of 2024 amounted to ¥105,228,501,471.12, a 5.99% increase from ¥99,279,543,631.88 at the end of 2023[43]. - The total liabilities increased by 6.46% to ¥76,829,924,910.26 in 2024 from ¥72,171,167,145.06 in 2023[43]. - The company's net capital at the end of 2024 was ¥23,889,518,279.17, up from ¥21,839,431,596.56 at the end of the previous year[48]. Risk Management - The company is subject to significant risks related to macroeconomic conditions and capital market fluctuations, which could impact its operational performance[9]. - The company emphasizes the importance of compliance with legal and regulatory requirements to mitigate legal and operational risks[9]. - The company faces various risks, including market risk, credit risk, liquidity risk, operational risk, compliance risk, money laundering risk, and reputational risk[162]. - To manage market risk, the company has implemented strict investment research, risk limit mechanisms, and stress testing procedures[163]. - The company maintains a robust liquidity risk management framework, ensuring sufficient funds to meet operational needs and debt obligations through effective asset-liability management[167]. Corporate Governance - The company has a governance structure that includes a board of directors with 15 members, of which 5 are independent directors[186]. - The company has established specialized committees within the board, including an audit committee and a risk control committee, to enhance governance and oversight[183]. - The company maintains independence from its controlling shareholders in terms of assets, personnel, and operations, ensuring market-oriented management capabilities[187]. - The company has a clear organizational structure with defined responsibilities across departments, ensuring operational efficiency[192]. - The company has conducted multiple shareholder meetings to approve various governance and operational proposals, reflecting active corporate governance[194]. Business Operations - The company has five wholly-owned subsidiaries, including Dongxing Futures with a registered capital of RMB 51,800,000 and Dongxing Investment with RMB 200,000,000[32]. - The company operates in multiple locations, with its main office in Beijing and additional offices in Shanghai and Hong Kong[22]. - The company has established a total of 15 branch offices as of December 31, 2024, with locations in provinces such as Hunan, Anhui, and Xinjiang[36]. - The company has made significant investments in expanding its operational footprint, as evidenced by the establishment of new branch offices in recent years[36]. Market Expansion - Market expansion efforts led to a 40% increase in international sales, particularly in Europe and Asia[38]. - The company is exploring potential acquisitions to enhance its market position, targeting firms with complementary technologies[38]. - The company plans to invest $100 million in sustainability initiatives over the next three years[38]. Compliance and Audit - The company has received a standard unqualified audit report from KPMG, ensuring the accuracy and completeness of the financial statements[5]. - The company has successfully completed a self-inspection and submitted a rectification report to the China Securities Regulatory Commission following the Zeda Yisheng case[10]. - The company has a comprehensive compliance management system to prevent compliance risks through training and monitoring mechanisms[171]. Investment and Financing - The company is focused on enhancing its financing capabilities and has established good relationships with major financial institutions, achieving a comprehensive credit scale exceeding RMB 100 billion[151]. - The company has received approval for an additional QDII overseas investment quota of 50 million USD, increasing the total to 140 million USD[102]. - The company plans to enhance its margin financing business by focusing on high-net-worth clients and improving risk control measures, maintaining a collateral ratio of 251.35%[82]. Research and Development - Research and development expenses increased by 20%, amounting to $150 million, focusing on innovative technologies[38]. - The company is investing 50 million in R&D for new technologies aimed at enhancing user experience[41]. Customer Engagement - Customer satisfaction ratings improved by 15%, reflecting the success of recent service enhancements[38]. - The company has a customer service hotline for brokerage services, indicating its commitment to client support[24].

一、主要会计数据和财务指标 前十大流通股东累计持有： 195785.49万股，累计占流通股比： 60.56%，较上期变化： -2412.65万股。 | 名称 | 持有数量(万股) | 占总股本比例(%) | 增减情况(万股) | | --- | --- | --- | --- | | 中国东方资产管理股份有限公司 | 145460.05 | 45.00 | 不变 | | 江苏省铁路集团有限公司 | 15912.06 | 4.92 | 不变 | | 山东高速（600350）股份有限公司 | 11998.94 | 3.71 | 不变 | | 香港中央结算有限公司 | 5221.85 | 1.62 | -89.56 | | 上海工业投资(集团)有限公司 | 4810.00 | 1.49 | 不变 | | 中国诚通控股集团有限公司 | 2859.42 | 0.88 | 不变 | | 国泰中证全指证券公司ETF | 2826.04 | 0.87 | -763.74 | | 南方中证500ETF | 2731.06 | 0.84 | -718.09 | | 华宝中证全指证券公司ETF | 2350.77 | 0.73 | ...

| | | | 2 | 华泰联合 | 3 | | --- | --- | --- | | 2 | 中信证券 广司 | TITU 3 | | 4 | 、东兴证券TONWOOD TREE | | | 4 | 申万宏源 | 2 | | 4 | 中信建投 | 2 | | 7 | 华安证券 | 1 | | 7 | 广发证券 | 1 | | 7 | 国元证券 | 1 | | 7 | 平安证券 | 1 | | 7 | 申港证券 | 1 | | | 天风证券 | 1 | | 7 | 招商证券 | 1 | | 76 | 中金公司 | FOT 1 . | | 1 | 中国银河TONW( | on TREE | | 7 | 中泰证券 | 1 | | 7 | 中银国际 | 1 | | | 信计 | 27 | 二、律师事务所业绩排名 2025年1-3月，共有16家律师事务所为这27家新上市公司IPO提供了法律服务。 文/梧桐数据中心 随着3月28日开发科技（920029）在北交所上市，2025年1-3月A股合计新上市公司27家，其中沪市主板4家、科创板5家、深市主板3家、创业板12家、北交所3家。 相较去年同期的30家，同比下降10% ...

又有保代被罚了！ 分析人士表示，在整体业务收缩及严监管态势下，券商投行承压明显，需要投入更多精力去开展业务。 近日，上交所对东兴证券两位保荐代表人予以监管警示决定，直指其在云峰新材IPO项目中存在违规行为。 又见保代被罚 值得注意的是，这是东兴证券继2024年10月因泽达易盛IPO项目被证监会调查后，投行业务再次暴露风控短板。 3月25日，上交所连续发布三份监管措施决定书，针对浙江升华云峰新材股份有限公司（下称"云峰新材"）IPO项 目中的违规行为，对发行人及相关责任人，保荐机构东兴证券的两名保荐代表人王华、林苏钦，审计机构天健会计师 事务所的两名签字会计师予以监管警示。 屡屡被罚与其业绩的大幅预喜形成鲜明对比。东兴证券预计2024年度归母净利润同比增长76.89%至107.38%，具 体的投行业绩暂未披露。 根据上交所披露，王华、林苏钦作为云峰新材IPO项目的保荐代表人，存在以下未勤勉尽责行为：保荐人未核查 并说明发行人商标授权模式下，存在个别经销商和OEM供应商由同一自然人控制的情况；未审慎核查发行人研发管理 内控制度的实际情况；存在请发行人代为寄送和收取函证的情况，未合理控制函证程序。 上交所认为，上述 ...

Summary of Key Points Core Viewpoint - The Shanghai Stock Exchange has issued a regulatory warning to representatives Wang Hua and Lin Suqin for failing to fulfill their sponsorship responsibilities in the IPO application of Zhejiang Shenghua Yunfeng New Material Co., Ltd. [1][10] Group 1: Regulatory Findings - The representatives did not adequately verify and explain the situation where certain distributors and OEM suppliers under the trademark authorization model were controlled by the same individual [2][8] - The company's trademark authorization business accounted for 10% of its total revenue from 2019 to the first half of 2022 [8] - A significant distributor and an OEM supplier were found to be controlled by the same natural person, which was not properly investigated by the sponsor [2][8] Group 2: Internal Control Issues - The representatives failed to prudently verify the actual situation of the company's R&D management internal control system [3][9] - The R&D department did not maintain proper records of material usage, leading to an inability to track the whereabouts of R&D materials [3][9] - The sponsor allowed the company to send and receive confirmation letters, which indicates a lack of control over the confirmation process [3][9] Group 3: Regulatory Measures - The actions of the representatives were found to violate several articles of the Shanghai Stock Exchange's listing review rules [10] - As a result, the Shanghai Stock Exchange decided to issue a regulatory warning to both representatives [10] - The representatives are advised to adhere strictly to legal regulations and ensure the quality of information disclosure in future sponsorship activities [10]

东兴证券股份有限公司 关于四川天味食品集团股份有限公司 东兴证券股份有限公司(以下简称"东兴证券"或"保荐机构")作为四川 天味食品集团股份有限公司(以下简称"天味食品"或"公司")2020年度非公 开发行的保荐机构和持续督导机构，根据《证券发行上市保荐业务管理办法》 《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》《上 海证券交易所股票上市规则》《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、法规和规范性文件的要求，对天味食品2024年度募 集资金存放与使用事项进行了审慎核查，具体核查情况如下： 一、募集资金基本情况 （一）募集资金金额及到位时间 经中国证券监督管理委员会《关于核准四川天味食品集团股份有限公司非公 开发行股票的批复》 （证监许可20202135）核准，天味食品获准非公开发行股票 不超过10,000万股。天味食品本次非公开发行股票实际发行28,596,491股，募集资 金总额为人民币1,629,999,987.00元，扣除各项发行费用人民币8,309,996.69元（不 含增值税），实际募集资金净额为人民币1,621,689,990.31元。上述募集资金 ...

Core Viewpoint - Aike Co., Ltd. (爱克股份) announced plans for major shareholders to reduce their holdings, coinciding with a projected net loss for the upcoming fiscal year [1][2]. Shareholder Reduction Plans - Shareholder Zhang Fengbin, holding 14,263,300 shares (9.19% of total shares), plans to reduce his holdings by up to 1,888,300 shares (1.22% of total shares) within three months after a 15-day notice period [1][2]. - Shareholder Feng Renrong, holding 7,885,011 shares (5.08% of total shares), plans to reduce his holdings by up to 516,200 shares (0.33% of total shares) within the same timeframe [1][2]. Trading Restrictions - Both shareholders are limited to reducing a maximum of 1% of total shares (1,551,622 shares) through centralized bidding and 2% (3,103,244 shares) through block trading within any consecutive 90-day period [2]. Financial Performance - Aike Co., Ltd. expects a net loss of between 76.69 million yuan and 117.60 million yuan for the 2024 fiscal year, with a projected net loss excluding non-recurring items between 140.52 million yuan and 171.74 million yuan [2]. - In 2023, the company reported revenue of 1.067 billion yuan, a year-on-year increase of 17.88%, but a net profit of 34.32 million yuan, a decline of 4.81% year-on-year [2]. Company Background - Aike Co., Ltd. was listed on the Shenzhen Stock Exchange's Growth Enterprise Market on September 16, 2020, with an initial public offering of 39 million shares at a price of 27.97 yuan per share [3][4]. - The company raised a total of 1.091 billion yuan, with a net amount of 982 million yuan after deducting issuance costs [4][5].