广东绿通新能源电动车科技股份有限公司 首次公开发行股票并在创业板上市发行公告 保荐机构（主承销商）：兴业证券股份有限公司 绿通科技根据中国证监会颁布的《证券发行与承销管理办法》（证监会令〔第 144号〕）（以下简称"《管理办法》"）、《创业板首次公开发行股票注册管 理办法（试行）》（证监会令〔第167号〕）、《创业板首次公开发行证券发行 与承销特别规定》（证监会公告〔2021〕21号）（以下简称"《特别规定》"）， 深圳证券交易所（以下简称"深交所"）颁布的《深圳证券交易所创业板首次公 开发行证券发行与承销业务实施细则（2021年修订）》（深证上〔2021〕919号） （以下简称"《业务实施细则》"）、《深圳市场首次公开发行股票网上发行实 1 施细则》（深证上〔2018〕279号）（以下简称"《网上发行实施细则》"）、 《深圳市场首次公开发行股票网下发行实施细则（2020年修订）》（深证上〔2020〕 483号）（以下简称"《网下发行实施细则》"）《深圳证券交易所创业板投资 者适当性管理实施办法（2020年修订）》《创业板股票发行规范委员会关于促进 新股博弈均衡保障发行平稳有序的倡议》，中国证券业协会颁布的《 ...

公司代码：601377 公司简称：兴业证券 2022 年半年度报告 兴业证券股份有限公司 2022 年半年度报告 1 / 180 2022 年半年度报告 重要提示 一、本公司董事会、监事会及董事、监事、高级管理人员保证半年度报告内容的真实性、准确性、完整 性，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、本半年度报告未经审计。 四、公司负责人杨华辉、主管会计工作负责人林红珍及会计机构负责人（会计主管人员）郑弘声明：保 证半年度报告中财务报告的真实、准确、完整。 五、董事会决议通过的本报告期利润分配预案或公积金转增股本预案 截至本半年报披露日，公司配股发行工作尚在进行中，公司暂不进行半年度利润分配或资本公积 金转增股本。公司配股获配股份将于2022年9月2日起上市流通，公司将于配股发行完成后，尽快按照 相关监管机构的要求和公司章程的规定进行利润分配相关事宜。 六、前瞻性陈述的风险声明 √适用 □不适用 本报告所涉及的公司发展战略、经营计划等前瞻性陈述，不构成对投资者的实质承诺，投资者及相 关人士均应当对此保持足够的风险认识，并且应当理解计划、预测与承诺 ...

2021 年年度报告 公司代码：601377 公司简称：兴业证券 兴业证券股份有限公司 2021 年年度报告 1 / 261 2021 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、毕马威华振会计师事务所（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、公司负责人杨华辉、主管会计工作负责人林红珍及会计机构负责人（会计主管人员）郑弘声明：保 证年度报告中财务报告的真实、准确、完整。 五、董事会决议通过的本报告期利润分配预案或公积金转增股本预案 根据中国证监会《证券发行与承销管理办法》规定,上市公司发行证券，存在利润分配方案、公积 金转增股本方案尚未提交股东大会表决或者虽经股东大会表决通过但未实施的，应当在方案实施后发 行。如果公司实施2021年度利润分配，则在完成利润分配前，公司不能进行配股。鉴于目前公司配股 正在推进过程之中，从股东利益和公司发展等综合因素考虑，公司2021年度暂不进行利润分配，也不 进行资本公积转增股本。公司将于 ...

[Important Notes](index=3&type=section&id=%E4%B8%80%E3%80%81%20%E9%87%8D%E8%A6%81%E6%8F%90%E7%A4%BA) [Statement on the Authenticity of the Report](index=3&type=section&id=1.1%20%E6%8A%A5%E5%91%8A%E7%9C%9F%E5%AE%9E%E6%80%A7%E5%A3%B0%E6%98%8E) The Board of Directors, Supervisory Committee, and senior management confirm the authenticity, accuracy, and completeness of this unaudited quarterly report - The management guarantees the authenticity, accuracy, and completeness of the report's content and assumes individual and joint legal liability[3](index=3&type=chunk) - The company's first quarter report for 2021 is **unaudited**[3](index=3&type=chunk) [Company Profile](index=3&type=section&id=%E4%BA%8C%E3%80%81%20%E5%85%AC%E5%8F%B8%E5%9F%BA%E6%9C%AC%E6%83%85%E5%86%B5) [Key Financial Data](index=3&type=section&id=2.1%20%E4%B8%BB%E8%A6%81%E8%B4%A2%E5%8A%A1%E6%95%B0%E6%8D%AE) The company achieved strong performance in Q1 2021, with significant growth in revenue and net profit attributable to shareholders Key Financial Indicators for Q1 2021 | Indicator | End of Reporting Period / YTD | End of Prior Year / Prior YTD | Change (%) | | :--- | :--- | :--- | :--- | | **Balance Sheet** | | | | | Total Assets (Yuan) | 194,032,588,032.59 | 181,019,696,607.43 | 7.19 | | Net Assets Attributable to Shareholders of the Parent Company (Yuan) | 38,829,939,464.79 | 37,738,571,253.32 | 2.89 | | **Income Statement** | | | | | Operating Revenue (Yuan) | 5,504,873,069.50 | 3,609,840,900.50 | 52.50 | | Net Profit Attributable to Shareholders of the Parent Company (Yuan) | 1,195,356,530.13 | 271,323,863.06 | 340.56 | | Net Profit Attributable to Shareholders of the Parent Company after Non-recurring Gains and Losses (Yuan) | 1,104,548,054.61 | 197,552,896.48 | 459.12 | | Basic Earnings Per Share (Yuan/Share) | 0.1785 | 0.0405 | 340.74 | | Weighted Average Return on Equity (%) | 3.12 | 0.78 | Increase of 2.34 percentage points | | **Cash Flow Statement** | | | | | Net Cash Flow from Operating Activities (Yuan) | 7,971,845,093.89 | 11,344,016,829.07 | -29.73 | Non-recurring Profit and Loss Items and Amounts | Item | Current Period Amount (Yuan) | Description | | :--- | :--- | :--- | | Profit or Loss from Disposal of Non-current Assets | 13,038.95 | Mainly profit or loss from disposal of fixed assets | | Government Grants Included in Current Profit or Loss | 156,031,716.34 | Mainly fiscal support funds | | Other Non-operating Income and Expenses | 16,530,777.57 | Mainly tax authority handling fee refunds | | Impact on Minority Interests (After Tax) | -38,602,965.06 | - | | Impact of Income Tax | -43,164,092.28 | - | | **Total** | **90,808,475.52** | - | [Shareholder Information](index=4&type=section&id=2.2%20%E6%88%AA%E6%AD%A2%E6%8A%A5%E5%91%8A%E6%9C%9F%E6%9C%AB%E7%9A%84%E8%82%A1%E4%B8%9C%E6%80%BB%E6%95%B0%E3%80%81%E5%89%8D%E5%8D%81%E5%90%8D%E8%82%A1%E4%B8%9C%E3%80%81%E5%89%8D%E5%8D%81%E5%90%8D%E6%B5%81%E9%80%9A%E8%82%A1%E4%B8%9C%EF%BC%88%E6%88%96%E6%97%A0%E9%99%90%E5%94%AE%E6%9D%A1%E4%BB%B6%E8%82%A1%E4%B8%9C%EF%BC%89%E6%8C%81%E8%82%A1%E6%83%85%E5%86%B5%E8%A1%A8) As of the reporting period end, the company had 244,719 shareholders, with Fujian Provincial Department of Finance as the largest shareholder - Total number of shareholders at the end of the reporting period was **244,719**[6](index=6&type=chunk) Top Five Shareholders | Shareholder Name | Number of Shares | Percentage (%) | Shareholder Type | | :--- | :--- | :--- | :--- | | Fujian Provincial Department of Finance | 1,357,089,734 | 20.27 | State | | Fujian Investment & Development Group Co., Ltd. | 488,084,753 | 7.29 | State-owned Legal Entity | | Shanghai Shenxin (Group) Co., Ltd. | 210,340,000 | 3.14 | Domestic Non-state-owned Legal Entity | | China Securities Finance Corporation Limited | 164,588,398 | 2.46 | State-owned Legal Entity | | HUAYU Automotive Systems Company Limited | 162,240,000 | 2.42 | State-owned Legal Entity | [Significant Events](index=5&type=section&id=%E4%B8%89%E3%80%81%20%E9%87%8D%E8%A6%81%E4%BA%8B%E9%A1%B9) [Analysis of Significant Changes in Key Financial Statement Items and Indicators](index=5&type=section&id=3.1%20%E5%85%AC%E5%8F%B8%E4%B8%BB%E8%A6%81%E4%BC%9A%E8%AE%A1%E6%8A%A5%E8%A1%A8%E9%A1%B9%E7%9B%AE%E3%80%81%E8%B4%A2%E5%8A%A1%E6%8C%87%E6%A0%87%E9%87%8D%E5%A4%A7%E5%8F%98%E5%8A%A8%E7%9A%84%E6%83%85%E5%86%B5%E5%8F%8A%E5%8E%9F%E5%9B%A0) The company experienced significant changes in multiple financial indicators due to new lease standards, business growth, and repurchase activities [Changes in Balance Sheet Items](index=5&type=section&id=%EF%BC%881%EF%BC%89%E5%85%AC%E5%8F%B8%E8%B5%84%E4%BA%A7%E8%B4%9F%E5%80%BA%E8%A1%A8%E9%A1%B9%E7%9B%AE%E5%A4%A7%E5%B9%85%E5%BA%A6%E5%8F%98%E5%8A%A8%E7%9A%84%E6%83%85%E5%86%B5%E5%8F%8A%E5%8E%9F%E5%9B%A0) Major balance sheet changes include increases in derivative financial assets, assets purchased under resale agreements, and right-of-use assets Key Balance Sheet Item Changes | Item | Mar 31, 2021 (Yuan) | Dec 31, 2020 (Yuan) | Change (%) | Primary Reason | | :--- | :--- | :--- | :--- | :--- | | Derivative Financial Assets | 183,761,778.01 | 49,479,531.67 | 271.39 | Increase in fair value of certain stock option contracts | | Financial Assets Purchased under Resale Agreements | 8,236,865,124.89 | 4,552,495,226.73 | 80.93 | Increase in the scale of collateralized bond repurchases | | Other Equity Instrument Investments | 0.00 | 2,552,845,981.04 | -100.00 | Redemption of other equity instrument investments | | Right-of-use Assets | 919,502,759.46 | 0.00 | N/A | Impact of implementing the new lease standard | | Short-term Borrowings | 2,222,022,490.33 | 3,863,492,274.65 | -42.49 | Repayment of matured short-term borrowings | | Funds Borrowed | 0.00 | 530,079,333.33 | -100.00 | Repayment of matured bank borrowings | | Accounts Payable | 4,673,270,913.01 | 2,668,336,901.81 | 75.14 | Increase in payables for clearing and settlement and funds raised for managed products | | Lease Liabilities | 902,846,321.34 | 0.00 | N/A | Impact of implementing the new lease standard | [Changes in Income Statement Items](index=5&type=section&id=%EF%BC%882%EF%BC%89%E5%88%A9%E6%B6%A6%E8%A1%A8%E5%90%8C%E6%AF%94%E5%8F%91%E7%94%9F%E9%87%8D%E5%A4%A7%E5%8F%98%E5%8C%96%E7%9A%84%E8%AF%B4%E6%98%8E) Key income statement changes were driven by growth in fee, commission, and interest income, alongside increased operating expenses Key Income Statement Item Changes | Item | Jan-Mar 2021 (Yuan) | Jan-Mar 2020 (Yuan) | Change (%) | Primary Reason | | :--- | :--- | :--- | :--- | :--- | | Net Fee and Commission Income | 2,680,242,586.20 | 1,575,456,144.45 | 70.12 | Increase in net fee income from fund management and brokerage businesses | | Net Interest Income | 375,490,731.79 | 212,321,020.50 | 76.85 | Increase in interest income from margin financing and securities lending | | Business and Management Expenses | 2,066,068,737.51 | 1,218,110,137.76 | 69.61 | Increased investment due to business team expansion and performance growth | | Credit Impairment Loss | 87,283,429.51 | 259,347,637.36 | -66.35 | Decrease in credit impairment loss provision for margin financing funds | | Other Asset Impairment Loss | -15,842,171.22 | 178,138,649.30 | -108.89 | Decrease in provision for decline in value of commodity inventories by futures risk subsidiary | | Income Tax Expense | 492,951,606.21 | 166,105,816.92 | 196.77 | Increase in profit before tax | | Minority Interest Income | 368,573,765.78 | -8,090,822.01 | N/A | Year-on-year increase in net profit of non-wholly-owned subsidiaries | [Changes in Cash Flow Statement Items](index=6&type=section&id=%EF%BC%883%EF%BC%89%E7%8E%B0%E9%87%91%E6%B5%81%E9%87%8F%E8%A1%A8%E5%90%8C%E6%AF%94%E5%8F%91%E7%94%9F%E9%87%8D%E5%A4%A7%E5%8F%98%E5%8C%96%E7%9A%84%E8%AF%B4%E6%98%8E) Net operating cash flow decreased due to net outflows from repurchase agreements, while investing and financing cash flows also saw significant shifts Key Cash Flow Statement Item Changes | Item | Jan-Mar 2021 (Yuan) | Jan-Mar 2020 (Yuan) | Change (%) | Primary Reason | | :--- | :--- | :--- | :--- | :--- | | Net Cash Flow from Operating Activities | 7,971,845,093.89 | 11,344,016,829.07 | -29.73 | Net outflow from repurchase business in the current period versus net inflow in the prior year period | | Net Cash Flow from Investing Activities | 2,045,925,520.28 | 1,132,477,514.03 | 80.66 | Year-on-year increase in cash received from return of investments | | Net Cash Flow from Financing Activities | -2,784,307,546.99 | -6,847,034,607.40 | N/A | Year-on-year increase in cash received from issuing bonds | [Progress of Employee Stock Ownership Plan](index=6&type=section&id=3.2%20%E9%87%8D%E8%A6%81%E4%BA%8B%E9%A1%B9%E8%BF%9B%E5%B1%95%E6%83%85%E5%86%B5%E5%8F%8A%E5%85%B6%E5%BD%B1%E5%93%8D%E5%92%8C%E8%A7%A3%E5%86%B3%E6%96%B9%E6%A1%88%E7%9A%84%E5%88%86%E6%9E%90%E8%AF%B4%E6%98%8E) The lock-up periods for the company's two employee stock ownership plans have expired, with a reduction in participating employees and shares - The lock-up period for the first phase of the employee stock ownership plan expired on August 17, 2018, and the second phase expired on August 17, 2020[13](index=13&type=chunk) - As of the end of this reporting period, due to withdrawals by some holders, the total number of participants in the employee stock ownership plan was **397**, holding a total of **9,198,143 shares**, accounting for **0.137%** of the company's total share capital[14](index=14&type=chunk) [Appendix](index=8&type=section&id=%E5%9B%9B%E3%80%81%20%E9%99%84%E5%BD%95) [Financial Statements](index=8&type=section&id=4.1%20%E8%B4%A2%E5%8A%A1%E6%8A%A5%E8%A1%A8) The appendix includes the unaudited Q1 2021 consolidated and parent company balance sheets, income statements, and cash flow statements [Consolidated Balance Sheet](index=8&type=section&id=%E5%90%88%E5%B9%B6%E8%B5%84%E4%BA%A7%E8%B4%9F%E5%80%BA%E8%A1%A8) As of March 31, 2021, consolidated total assets were ¥194.03 billion, and net assets attributable to shareholders were ¥38.83 billion Consolidated Balance Sheet Summary | Key Item | Mar 31, 2021 (Yuan) | Dec 31, 2020 (Yuan) | | :--- | :--- | :--- | | **Total Assets** | **194,032,588,032.59** | **181,019,696,607.43** | | **Total Liabilities** | **151,733,739,602.02** | **140,184,272,145.76** | | Total Equity Attributable to Owners of the Parent | 38,829,939,464.79 | 37,738,571,253.32 | | **Total Equity** | **42,298,848,430.57** | **40,835,424,461.67** | [Parent Company Balance Sheet](index=10&type=section&id=%E6%AF%8D%E5%85%AC%E5%8F%B8%E8%B5%84%E4%BA%A7%E8%B4%9F%E5%80%BA%E8%A1%A8) As of March 31, 2021, the parent company's total assets were ¥149.62 billion, with total equity of ¥35.51 billion Parent Company Balance Sheet Summary | Key Item | Mar 31, 2021 (Yuan) | Dec 31, 2020 (Yuan) | | :--- | :--- | :--- | | **Total Assets** | **149,621,732,385.58** | **143,247,055,507.64** | | **Total Liabilities** | **114,116,153,412.75** | **108,398,650,570.56** | | **Total Equity** | **35,505,578,972.83** | **34,848,404,937.08** | [Consolidated Income Statement](index=12&type=section&id=%E5%90%88%E5%B9%B6%E5%88%A9%E6%B6%A6%E8%A1%A8) In Q1 2021, the company achieved total operating revenue of ¥5.50 billion and net profit attributable to parent company shareholders of ¥1.20 billion Consolidated Income Statement Summary | Item | Q1 2021 (Yuan) | Q1 2020 (Yuan) | | :--- | :--- | :--- | | Total Operating Revenue | 5,504,873,069.50 | 3,609,840,900.50 | | Operating Profit | 2,056,969,103.60 | 432,944,064.01 | | Total Profit | 2,056,881,902.12 | 429,338,857.97 | | Net Profit | 1,563,930,295.91 | 263,233,041.05 | | Net Profit Attributable to Shareholders of the Parent Company | 1,195,356,530.13 | 271,323,863.06 | | Basic Earnings Per Share (Yuan/Share) | 0.1785 | 0.0405 | [Parent Company Income Statement](index=14&type=section&id=%E6%AF%8D%E5%85%AC%E5%8F%B8%E5%88%A9%E6%B6%A6%E8%A1%A8) In Q1 2021, the parent company's total operating revenue was ¥2.28 billion, with a net profit of ¥765.59 million Parent Company Income Statement Summary | Item | Q1 2021 (Yuan) | Q1 2020 (Yuan) | | :--- | :--- | :--- | | Total Operating Revenue | 2,281,635,373.14 | 1,160,880,540.78 | | Operating Profit | 1,017,461,808.71 | 275,025,575.77 | | Total Profit | 1,017,418,716.70 | 274,940,899.17 | | Net Profit | 765,588,057.08 | 207,605,698.54 | [Consolidated Cash Flow Statement](index=16&type=section&id=%E5%90%88%E5%B9%B6%E7%8E%B0%E9%87%91%E6%B5%81%E9%87%8F%E8%A1%A8) In Q1 2021, net cash flow from operating activities was ¥7.97 billion, with cash and equivalents at period-end totaling ¥61.67 billion Consolidated Cash Flow Statement Summary | Item | Q1 2021 (Yuan) | Q1 2020 (Yuan) | | :--- | :--- | :--- | | Net Cash Flow from Operating Activities | 7,971,845,093.89 | 11,344,016,829.07 | | Net Cash Flow from Investing Activities | 2,045,925,520.28 | 1,132,477,514.03 | | Net Cash Flow from Financing Activities | -2,784,307,546.99 | -6,847,034,607.40 | | Net Increase in Cash and Cash Equivalents | 7,274,284,593.89 | 5,160,060,721.38 | | Cash and Cash Equivalents at End of Period | 61,665,705,841.57 | 58,069,399,153.02 | [Parent Company Cash Flow Statement](index=18&type=section&id=%E6%AF%8D%E5%85%AC%E5%8F%B8%E7%8E%B0%E9%87%91%E6%B5%81%E9%87%8F%E8%A1%A8) In Q1 2021, the parent company's net cash flow from operating activities was ¥3.89 billion, with a period-end balance of ¥41.91 billion Parent Company Cash Flow Statement Summary | Item | Q1 2021 (Yuan) | Q1 2020 (Yuan) | | :--- | :--- | :--- | | Net Cash Flow from Operating Activities | 3,889,900,561.41 | 8,329,786,079.31 | | Net Cash Flow from Investing Activities | 1,829,389,570.64 | 1,035,013,714.59 | | Net Cash Flow from Financing Activities | -3,051,760,729.12 | -5,734,404,124.89 | | Net Increase in Cash and Cash Equivalents | 2,667,658,313.62 | 3,630,463,154.22 | | Cash and Cash Equivalents at End of Period | 41,911,844,876.07 | 38,949,878,946.30 | [Impact of Adopting New Lease Standard](index=19&type=section&id=4.2%202021%20%E5%B9%B4%E8%B5%B7%E9%A6%96%E6%AC%A1%E6%89%A7%E8%A1%8C%E6%96%B0%E7%A7%9F%E8%B5%81%E5%87%86%E5%88%99%E8%B0%83%E6%95%B4%E9%A6%96%E6%AC%A1%E6%89%A7%E8%A1%8C%E5%BD%93%E5%B9%B4%E5%B9%B4%E5%88%9D%E8%B4%A2%E5%8A%A1%E6%8A%A5%E8%A1%A8%E7%9B%B8%E5%85%B3%E6%83%85%E5%86%B5) The company adopted the new lease standard on January 1, 2021, adjusting opening balances without restating prior periods - The company implemented the new lease standard from January 1, 2021, adjusting the opening balances of the current year's financial statements without restating comparative period information[34](index=34&type=chunk) Impact of New Lease Standard on Opening Consolidated Balance Sheet | Item | Before Adjustment (Yuan) | After Adjustment (Yuan) | Adjustment Amount (Yuan) | | :--- | :--- | :--- | :--- | | Right-of-use Assets | 0.00 | 940,128,462.86 | +940,128,462.86 | | Other Assets | 2,096,303,933.42 | 2,074,191,559.21 | -22,112,374.21 | | **Total Assets** | **181,019,696,607.43** | **181,937,712,696.08** | **+918,016,088.65** | | Lease Liabilities | 0.00 | 917,589,133.44 | +917,589,133.44 | | **Total Liabilities** | **140,184,272,145.76** | **141,102,288,234.41** | **+918,016,088.65** |

2020 年年度报告 公司代码：601377 公司简称：兴业证券 兴业证券股份有限公司 2020 年年度报告 1 / 251 2020 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、 未出席董事情况 未出席董事职务 未出席董事姓名 未出席董事的原因说明 被委托人姓名 董事 王非 因公务 杨华辉 三、 毕马威华振会计师事务所（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、 公司负责人杨华辉、主管会计工作负责人林红珍及会计机构负责人（会计主管人员）郑弘声 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 以公司分红派息股权登记日的股份数为基数，拟向全体股东每 10 股派送现金红利 1.8 元（含 税）。以公司 2020 年末股本 6,696,671,674.00 股计算，共分配现金红利 1,205,400,901.32 元， 占 2020 年当年归属于上市公司股东净利润的 30.11%。本次分配后剩余可进行 ...