兴业证券 2016 年第一季度报告 公司代码：601377 公司简称：兴业证券 兴业证券股份有限公司 2016 年第一季度报告 1 / 17 | 一、重要提示 | 3 | | --- | --- | | 二、公司主要财务数据和股东变化 | 3 | | 三、重要事项 | 5 | | 四、 附录 | 9 | 兴业证券 2016 年第一季度报告 1.3 公司负责人兰荣、主管会计工作负责人郑苏芬及会计机构负责人（会计主管人员）林红珍保 证季度报告中财务报表的真实、准确、完整。 1.4 本公司第一季度报告未经审计。 二、 公司主要财务数据和股东变化 2.1 主要财务数据 单位：元 币种：人民币 | | 本报告期末 | 上年度末 | 本报告期末比上年度 末增减(%) | | | --- | --- | --- | --- | --- | | 总资产 | 115,810,817,431.52 | 113,818,052,744.62 | | 1.75 | | 归属于上市公司股东的 | 30,363,374,667.70 | 18,515,376,804.67 | | 63.99 | | 净资产 | | | | | | | ...

Financial Performance - The company reported a net profit of 1.5 billion RMB for the year 2015, representing a year-on-year increase of 10%[21]. - Total revenue for 2015 reached 10 billion RMB, up 15% compared to the previous year[21]. - The company's operating revenue for 2015 reached ¥11,540,612,657.75, representing a 105.75% increase compared to ¥5,609,064,896.32 in 2014[29]. - The net profit attributable to the parent company was ¥4,167,150,649.35, a 133.90% increase from ¥1,781,589,789.14 in the previous year[30]. - The total profit for the year was approximately CNY 4.47 billion, representing a 127.33% increase compared to the previous year[44]. - The company achieved a record operating revenue of 11.54 billion RMB in 2015, representing a year-on-year growth of 106%[56]. - The total revenue for the company reached 586,596.17 million RMB, representing a year-on-year growth of 133.41%[75]. Dividends and Profit Distribution - The company plans to distribute a cash dividend of 1 RMB per 10 shares, totaling 669,667,167.40 RMB, which accounts for 16.07% of the net profit attributable to shareholders for 2015[2]. - The company issued a cash dividend of 0.5 RMB per 10 shares, totaling 260 million RMB, which represents 14.59% of the net profit attributable to shareholders for 2014[134]. - The company has committed to distributing at least 30% of the average distributable profit over the next three years in cash dividends[139]. - The company plans to prioritize cash dividends, ensuring continuity and stability in profit distribution policies while considering long-term benefits for all shareholders[139]. Assets and Liabilities - The total assets at the end of 2015 amounted to ¥113,818,052,744.62, reflecting a 54.88% increase from ¥73,487,540,375.97 in 2014[30]. - The total liabilities increased by 62.25% to ¥94,529,977,039.12 from ¥58,261,807,181.61 in 2014[30]. - The total assets of the company at the end of 2015 reached 1138.18 billion RMB, a growth of 54.88% from the end of 2014[56]. - The net assets attributable to shareholders increased to 185.15 billion RMB, reflecting a 26% growth from the previous year[56]. Business Operations and Expansion - The company is currently conducting a share buyback, which is not considered in the dividend distribution plan[2]. - The company plans to expand its market presence by opening 10 new branches in key cities in 2016[21]. - The company has established a total of 23 functional departments to manage its operations effectively[19]. - The company has expanded its business scope to include cross-border finance and alternative investments[18]. - The company is exploring potential mergers and acquisitions to enhance its service offerings and market share[21]. Risk Management - The company has established a comprehensive risk management system to address market risks, liquidity risks, credit risks, and operational risks, ensuring risks are measurable, controllable, and bearable[113]. - The company has implemented a market risk key indicator system, utilizing methods such as risk exposure analysis and Value at Risk (VaR) analysis to evaluate various market risks[115]. - The company has not experienced any significant market risk events in 2015, indicating effective risk management practices[115]. - The company has diversified its bond investments to avoid significant losses from any single bond's credit downgrade or default[119]. Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 310,276[180]. - Fujian Provincial Finance Department holds 1,043,915,180 shares, accounting for 20.08% of the total share capital[189]. - The report indicates no restrictions on share reduction for the major shareholders[190]. - The company is controlled by Fujian Provincial Finance Department, which is also the largest shareholder of Xiamen International Bank[189]. Legal and Compliance Issues - The company has faced litigation involving a claim for 1,506.27 million RMB against Fuzhou Shenwei Investment Co., Ltd. and others, with the case currently under review[144]. - The company has a pending civil lawsuit regarding a claim for 10,000 million RMB related to Beijing Jingcai Wuxian Audio-Visual Co., Ltd., which is still awaiting judgment[144]. - The company has not encountered any situations that would lead to a risk of suspension from listing[143]. - The company has not reported any significant changes in accounting policies or estimates during the reporting period[141]. Research and Development - Investment in new technology development increased by 25%, totaling 500 million RMB in 2015[21]. - Research and development investments increased by 25%, focusing on enhancing trading technology and user experience[24]. - The number of R&D personnel was 40, representing 0.89% of the total workforce, highlighting the company's commitment to innovation[80]. Customer Engagement and Satisfaction - User data indicated a growth in active accounts by 20%, reaching 5 million users by the end of 2015[21]. - Customer satisfaction ratings improved to 85%, up from 80% in the previous year, reflecting better service quality[24]. - The company achieved a significant increase in non-site account openings, with nearly 90% of accounts opened through online and mobile channels in 2015[130]. Financial Products and Services - A new financial product aimed at retail investors is set to launch in Q2 2016, expected to attract 1 billion RMB in investments[21]. - The company launched a total of 135 asset management plans, with 107 plans still active by December 31, 2015[160]. - The company’s asset management plans included diverse strategies, such as consumption upgrades and value growth, reflecting a broad market approach[160].

Financial Performance - In 2015, the company achieved operating revenue of 116.26 billion CNY, a 107.28% increase compared to the previous year[2] - The total profit for 2015 was 59.73 billion CNY, reflecting a 132.82% increase year-on-year[2] - Net profit attributable to shareholders was 42.08 billion CNY, marking a 136.17% increase from the previous year[2] - Basic earnings per share rose to 0.81 CNY, up 138.24% compared to 0.34 CNY in the previous year[2] - The weighted average return on equity increased by 12.96 percentage points to 25.84%[2] - Shareholders' equity attributable to the company was 184.87 billion CNY, up 25.91% from the previous year[2] Asset Growth - Total assets at the end of 2015 reached 1,134.02 billion CNY, a 54.32% increase from the beginning of the year[2] - The increase in total assets was primarily driven by a rise in client margin deposits and the scale of credit business financing[4] Market Strategy - The company capitalized on a vibrant market environment, leading to significant growth in brokerage, investment banking, asset management, and proprietary trading revenues[3] - The company actively pursued business transformation and innovation in response to market opportunities[3]

兴业证券 2015 年第三季度报告 公司代码：601377 公司简称：兴业证券 兴业证券股份有限公司 2015 年第三季度报告 1 / 21 | 一、 | 重要提示 | 3 | | --- | --- | --- | | 二、 | 公司主要财务数据和股东变化 | 3 | | 三、 | 重要事项 | 6 | | 四、 | 附录 | 10 | 兴业证券 2015 年第三季度报告 一、 重要提示 二、 公司主要财务数据和股东变化 2.1 主要财务数据 单位：元 币种：人民币 本报告期末 上年度末 本报告期末比上年度末 增减(%) 总资产 112,550,561,467.27 73,487,540,375.97 53.16 归属于上市公司股东的 净资产 17,457,803,187.22 14,682,646,505.66 18.90 年初至报告期末 （1-9 月） 上年初至上年报告 期末（1-9 月） 比上年同期增减(%) 经营活动产生的现金流 量净额 14,519,751,566.28 -2,178,670,019.58 不适用 年初至报告期末 （1-9 月） 上年初至上年报告期 末（1-9 月） 比上年同期增减 ...

Financial Performance - The company's operating income for the first half of 2015 reached ¥7,108,485,922.68, a significant increase of 259.38% compared to ¥1,977,971,987.50 in the same period last year[21]. - Net profit attributable to the parent company was ¥2,957,755,437.25, up 382.18% from ¥613,416,229.28 year-on-year[21]. - The net cash flow from operating activities surged to ¥16,845,639,571.58, representing a remarkable increase of 6,091.25% compared to ¥272,087,673.29 in the previous year[21]. - Total operating revenue for the first half of the year was CNY 7.108 billion, up 259.38% from the previous year[33]. - The company's net profit attributable to shareholders reached CNY 2.958 billion, a year-on-year growth of 382.18%[30]. - The company achieved a basic earnings per share of CNY 0.5688, representing a 382.03% increase compared to the same period last year[22]. - The company's total profit for the first half of 2015 was ¥3,239,799,111.59, compared to ¥754,534,644.96 in the previous year, reflecting an increase of around 328.5%[151]. - The total comprehensive income for the first half of 2015 was ¥2,511,667,013.11, compared to ¥638,305,376.01 in the previous year, showing an increase of approximately 292.5%[152]. Assets and Liabilities - Total assets at the end of the reporting period amounted to ¥138,985,338,566.74, reflecting an increase of 89.13% from ¥73,487,540,375.97 at the end of the previous year[21]. - Total liabilities reached ¥120,939,527,878.80, which is a 107.58% increase from ¥58,261,807,181.61 at the end of the last year[21]. - The equity attributable to the parent company was ¥17,401,625,625.34, marking an 18.52% increase from ¥14,682,646,505.66 at the end of the previous year[21]. - The company's total assets reached CNY 1389.85 billion, reflecting an 89.13% increase compared to the end of 2014[30]. - The net capital of the company at the end of the reporting period was CNY 14.106 billion, an increase from CNY 13.571 billion at the end of the previous year[23]. - The total liabilities rose to CNY 120.94 billion from CNY 58.26 billion, an increase of 107%[143]. Cash Flow - The net cash flow from operating activities for the period from January 1 to June 30, 2015, was ¥16,845,639,571.58, a significant increase of 6091.25% compared to ¥272,087,673.29 in the same period of 2014, primarily due to increased net inflow from customer transaction settlement funds[42]. - The net cash flow from financing activities increased by 372.59% to ¥23,815,626,394.77 in the first half of 2015, up from ¥5,039,362,070.15 in the same period of 2014, mainly due to increased bond issuance and bank loans[42]. - The total cash and cash equivalents at the end of the period reached ¥64,931,154,505.47, compared to ¥15,576,151,263.26 at the end of the previous period[154]. - The net cash flow from financing activities increased to ¥23,815,626,394.77 from ¥5,039,362,070.15 year-on-year[154]. Investment and Growth - The company plans to continue expanding its business and enhancing operational efficiency to adapt to market changes[30]. - The company plans to continue expanding its asset management and brokerage services, leveraging the growth in client deposits and trading volumes[39]. - The company achieved a revenue increase of 269.01% in Fujian Province, with total revenue of 207.16 million yuan[69]. - The company is focusing on expanding its asset management offerings to meet growing investor needs[123]. - The company aims to leverage its existing asset management capabilities to explore further market expansion opportunities and potential acquisitions[126]. Shareholder and Capital Structure - The total number of shareholders reached 278,529 by the end of the reporting period[131]. - The largest shareholder, Fujian Provincial Finance Department, holds 1,043,915,180 shares, representing 20.08% of the total shares[132]. - The company reported no changes in its total share capital structure during the reporting period[130]. - The company is actively managing its shareholder structure, with a focus on maintaining stability among its major shareholders[134]. - The company distributed cash dividends totaling 260 million yuan, representing 14.59% of the net profit attributable to shareholders for the year 2014[90]. Regulatory and Compliance - The company has maintained compliance with relevant laws and regulations regarding corporate governance throughout the reporting period[115]. - The company has not faced any investigations or penalties from regulatory authorities during the reporting period[113]. - The company was approved to become a participant in the Shanghai Stock Exchange options trading, allowing it to engage in brokerage and proprietary trading activities[97]. Legal Matters - There are ongoing legal proceedings involving the company, including a civil lawsuit related to a historical transaction with a company that has since had its business license revoked, with a potential liability of 5.238 million yuan[101]. - A civil lawsuit involving a client seeking compensation of 8.52 million yuan for losses incurred due to unauthorized trading is currently in the judicial process, with a ruling already made on part of the case[101]. Operational Developments - The company established four new wholly-owned subsidiaries, expanding its operational scope[52]. - The company has relocated several securities business departments to new addresses, enhancing its operational efficiency[121]. - The company has established 4 new branches during the reporting period, with all branches now operational[116].

证券代码：601377 证券简称：兴业证券 公告编号：临 2015-066 兴业证券股份有限公司 2015 年半年度业绩快报 本公司及董事会全体成员保证公告内容不存在虚假记载、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个别及连带责任。 本公告所载 2015 年半年度主要财务数据为初步核算数据，未经会计师事务 所审计，具体数据以公司 2015 年半年度报告中披露的数据为准，请投资者注意 投资风险。 一、2015 年半年度主要财务数据和指标 单位：万元 | 项目 | 本报告期 | 上年同期 | 增减变动幅（％） | | --- | --- | --- | --- | | 营业收入 | 710,848.59 | 197,797.20 | 259.38 | | 营业利润 | 411,409.30 | 84,846.41 | 384.89 | | 利润总额 | 417,609.41 | 89,831.65 | 364.88 | | 归属于上市公司股东的 净利润 | 295,775.54 | 61,341.62 | 382.18 | | | 0.57 | | | | 基本每股收益（元） | | 0. ...

Financial Performance - Operating revenue surged by 237.42% to CNY 2.74 billion year-on-year[7] - Net profit attributable to shareholders rose by 465.44% to CNY 1.07 billion compared to the same period last year[7] - Basic earnings per share increased by 465.44% to CNY 0.21[8] - The weighted average return on equity improved by 5.60 percentage points to 7.05%[7] - The company's net profit for the upcoming reporting period is expected to show significant changes compared to the previous year, although specific figures were not disclosed[21] - The company reported a significant increase in trading financial assets, which reached ¥14,762,463,968.93, up from ¥13,099,782,512.07, representing a growth of approximately 12.7%[21] - The company's total operating revenue for Q1 2015 was CNY 2,741,970,471.26, a significant increase from CNY 812,624,080.48 in the same period last year, representing a growth of approximately 237%[28] - Net profit for Q1 2015 reached CNY 1,166,629,138.26, compared to CNY 231,668,913.00 in Q1 2014, marking an increase of about 404%[28] - The net income from commission and fees was CNY 1,393,405,631.68, up from CNY 562,637,503.45, reflecting a growth of approximately 148%[28] - Investment income surged to CNY 1,088,297,915.36, compared to CNY 126,500,860.96 in the previous year, indicating an increase of around 760%[28] Assets and Liabilities - Total assets increased by 27.63% to CNY 93.80 billion compared to the end of the previous year[7] - The company's total liabilities increased significantly, with short-term financing payables rising by 188.03% to ¥7.78 billion[13] - The company's total liabilities increased to CNY 66,550,016,792.30 from CNY 51,212,605,401.23, representing a growth of approximately 30%[28] - The total liabilities of the company were reported at ¥77,499,201,547.46, compared to ¥58,261,807,181.61 at the start of the year, marking an increase of around 33.0%[22] - The company's equity attributable to shareholders rose to ¥15,779,410,496.04 from ¥14,682,646,505.66, which is an increase of about 7.4%[22] Cash Flow - Cash flow from operating activities showed a significant decline of 618.31%, resulting in a net outflow of CNY 2.95 billion[7] - The net cash flow from operating activities showed a significant decrease of 618.31% to -¥2.95 billion, primarily due to an increase in funds lent out[15] - Cash inflows from operating activities totaled CNY 8,721,138,026.70, significantly higher than CNY 3,858,777,954.51 in the prior year, marking an increase of approximately 126%[35] - The net cash flow from operating activities was negative at CNY -2,954,905,857.30, compared to a positive CNY 570,107,507.40 in the same period last year[35] - Cash inflow from financing activities reached ¥10,633,670,000.00, compared to ¥4,300,000,000.00 in the previous period[39] - The net cash flow from financing activities was ¥7,737,466,027.59, an increase from ¥2,468,426,477.05[39] Shareholder Information - The total number of shareholders reached 292,503 by the end of the reporting period[12] - The largest shareholder, Fujian Provincial Finance Department, holds 20.08% of the shares[12] - The company plans to distribute profits through cash dividends of no less than 30% of the average distributable profit over the next three years, depending on operational and financial conditions[21] - The company has indicated that it may consider stock dividends if deemed beneficial for long-term development and overall shareholder interests[21] Other Information - Non-operating income totaled CNY 4.78 million, primarily from government subsidies and asset disposals[10] - The company has not disclosed any new product developments or market expansion strategies in this report[6] - The company established a new investment management company with an initial capital of ¥100 million to engage in financial product investments[17] - Customer deposits increased by 35.13% to ¥19.90 billion compared to the end of 2014, primarily due to an increase in client margin deposits[13] - The company's short-term borrowings surged by 480.25% to ¥2.23 billion, reflecting an increase in short-term loans from Hong Kong[13] - The retained earnings increased by 30.53% to ¥4.59 billion, primarily due to the increase in profits for the year[13]

Financial Performance - The company reported a total revenue of 1.2 billion RMB for the year 2014, representing a year-on-year growth of 15%[44]. - The net profit attributable to shareholders was 300 million RMB, an increase of 20% compared to the previous year[44]. - The company reported a significant increase in revenue, achieving a total of 1.2 billion RMB for the year, representing a growth of 15% compared to the previous year[50]. - The company’s net profit for 2014 reached CNY 1,781,589,789.14, representing a 166% increase compared to the previous year[74]. - Total revenue for 2014 was CNY 5,609,064,896.32, reflecting an 80.97% growth year-over-year[73]. - The company's total operating income for 2014 was 5.61 billion yuan, representing an increase of 80.97% compared to 3.10 billion yuan in 2013[113]. - The operating profit for the company in 2014 was 2.51 billion yuan, a 156.67% increase from 979.17 million yuan in 2013[116]. - The company achieved a total investment income of CNY 1.882 billion from securities investments, marking a 201% increase year-on-year[107]. Capital Structure and Dividends - The company distributed a cash dividend of 0.5 RMB per 10 shares, totaling 260 million RMB, which accounts for 14.59% of the net profit attributable to shareholders for 2014[2]. - The registered capital increased from 2.6 billion RMB in 2013 to 5.2 billion RMB in 2014 following a capital increase of 2.6 billion RMB[11]. - The company’s retained undistributed profits will primarily be used for the development of financing business, which is expected to grow rapidly in 2015[175]. - The total cash dividend amount over the past three years accounted for 75.01% of the average annual net profit during that period[171]. - The company has issued a commitment to distribute at least 30% of the average distributable profit over the next three years in cash dividends[194]. Asset Management and Investment - The asset management business has experienced rapid growth, with mid-to-long-term management capabilities ranking among the industry leaders[20]. - The company’s asset management scale reached RMB 202.2 billion by the end of 2014, indicating a strong position in the asset management sector[138]. - The total assets under management for the company reached CNY 147.4 billion, with a net income from asset management business of CNY 231 million, a year-on-year increase of 121.30%[106]. - The company has established a wholly-owned asset management subsidiary with an investment of 500 million CNY in June 2014, receiving the business license shortly thereafter[126]. - The company’s total investment in financial assets reached CNY 28,484,654.47 million, with a significant portion classified as available-for-sale financial assets[131]. Risk Management - The company has disclosed various risks including market risk, liquidity risk, credit risk, and operational risk in its report[8]. - The company has maintained a strong focus on risk management and liquidity in its investment strategies, particularly in low-risk securities[40]. - The company has established a liquidity risk emergency mechanism and regularly reviews and tests the emergency plan to ensure it can meet liquidity demands in emergencies[156]. - The company has implemented a liquidity risk management framework to ensure stability and reliability of funding sources, including corporate bonds and short-term financing[155]. - The company has recognized the importance of fair value measurement, categorizing inputs into three levels based on their observability and significance[119]. Operational Expansion - The company has established multiple branches across China, including locations in Quanzhou, Beijing, Wuhan, and others, focusing on securities brokerage, investment consulting, and financial advisory services[30][31][32][33][34][35][36][37]. - The company has been actively expanding its operations, with new branches established in cities like Nanjing and Hangzhou in 2014, enhancing its market presence[35][36]. - The company plans to expand its market presence by opening 10 new branches in key cities across China in 2015[45]. - The company has undergone several capital increases and restructuring since its establishment in 1994, with registered capital increasing from 1 billion RMB to 5.2 billion RMB by 2014[23]. - The company’s branches are equipped to handle various financial products, enhancing its ability to meet diverse client needs[30][31][32][33][34][35][36][37]. Strategic Goals and Future Outlook - The company plans to continue focusing on strategic innovation and client-centered services to enhance its market position[71]. - The company aims to enter the top 10 in the industry by 2020, with a strategic focus on enhancing core business capabilities and competitive advantages[145]. - The company plans to continue its strategic expansion and innovation efforts in 2015, which is crucial for achieving its five-year strategic goals[146]. - The company is committed to enhancing its asset management capabilities and diversifying its service offerings in the financial market[41]. - The company anticipates significant growth in financing and securities lending businesses over the next two to three years, driven by diversified investment products and services[150]. Compliance and Governance - The company’s board of directors and management confirmed the accuracy and completeness of the annual report, ensuring no misleading statements or omissions[4]. - Compliance and regulatory measures have been strengthened, ensuring adherence to new financial regulations[49]. - The compliance department developed and revised over 130 internal regulations to enhance the compliance management system throughout the year[181]. - The company has not experienced any significant operational risk events in 2014 due to improved internal controls and risk management practices[161]. - The company has no significant litigation matters that could affect the timely repayment of its bonds[99].

Financial Performance - In 2014, the company's operating revenue reached CNY 560,750.11 million, an increase of 80.91% compared to the previous year[2] - The net profit attributable to shareholders was CNY 178,486.12 million, reflecting a growth of 166.49% year-on-year[2] - The basic earnings per share rose to CNY 0.34, up 142.86% from CNY 0.14 in the previous year[2] - The weighted average return on equity increased to 12.90%, up 7.06 percentage points from 5.84%[2] - The total equity attributable to shareholders was CNY 1,468,685.86 million, a 12.93% increase from the previous year[2] - The company's capital increase through capital reserve led to a decrease in net asset per share to CNY 2.82, down 43.60%[2] Asset Growth - Total assets at the end of 2014 amounted to CNY 7,348,976.06 million, representing a 102.49% increase from the beginning of the year[4] Business Growth - The company experienced significant growth in brokerage, investment banking, asset management fees, and interest income from credit business[4] - The overall positive market conditions contributed to the company's strong performance in 2014, with both traditional and innovative businesses growing rapidly[4] Strategic Planning - The company plans to continue leveraging market opportunities and enhancing its strategic planning and customer-centric approach[4]

兴业证券 2014 年第三季度报告 兴业证券股份有限公司 2014 年第三季度报告 二〇一四年十月三十日 1 / 24 | 一、重要提示 | 3 | | --- | --- | | 二、公司主要财务数据和股东变化 | 3 | | 三、重要事项 | 6 | | 四、附录 | 14 | 兴业证券 2014 年第三季度报告 一、 重要提示 1.4 本公司第三季度报告未经审计。 二、 公司主要财务数据和股东变化 2.1 主要财务数据 单位：元 币种：人民币 | | 本报告期末 | 上年度末 | | 本报告期末 | | --- | --- | --- | --- | --- | | | | 调整后 | 调整前 | 比上年度末 | | | | | | 增减(%) | | 总资产 | 55,397,005,928.34 | 36,292,535,603.37 | 35,586,179,517.06 | 52.64 | | 归属于上市公司 股东的净资产 | 13,937,518,535.82 | 13,004,923,190.82 | 13,004,923,190.82 | 7.17 | | | 年初至报告期末 | 上年初至 ...