国联证券股份有限公司（以下简称"公司"）第五届董事会第十一次会议于 2023 年 8 月 15 日以书面方式发出通知，于 2023 年 8 月 29 日在公司总部国联金 融大厦 9 楼会议室以现场结合通讯的方式召开。 会议应出席董事 9 人，实际出席董事 9 人（其中：董事长葛小波先生、独立 董事吴星宇先生、独立董事朱贺华先生、独立董事高伟先生以通讯方式出席）。 会议由董事长葛小波先生主持，公司监事和相关高级管理人员列席会议。 会议的召集、召开和表决情况符合法律、法规、证券上市地交易所上市规则 和《国联证券股份有限公司章程》(以下简称《公司章程》)、《国联证券股份有 限公司董事会议事规则》的相关规定。 二、董事会会议审议情况 国联证券股份有限公司 （一）《国联证券股份有限公司 2023 年半年度报告》 第五届董事会第十一次会议决议公告 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。 一、董事会会议召开情况 证券代码：601456 证券简称：国联证券 公告编号：2023-041 号 2、同意公司根据中国证监会核准情况，增加公司经 ...

第五届监事会第七次会议决议公告 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。 一、监事会会议召开情况 证券代码：601456 证券简称：国联证券 公告编号：2023-042 号 国联证券股份有限公司（以下简称"公司"）第五届监事会第七次会议于 2023 年 8 月 15 日以书面方式发出通知，于 2023 年 8 月 29 日在公司总部国联金融大 厦 9 楼会议室以现场结合通讯的方式召开。 会议应出席监事 5 人，实际出席监事 5 人（其中：监事徐看先生、监事徐静 艳女士以通讯方式出席）。会议由监事会主席徐法良先生主持，公司相关高级管 理人员列席会议。 会议的召集、召开和表决情况符合法律、法规、证券上市地交易所上市规则 及《国联证券股份有限公司章程》（以下简称《公司章程》）、《国联证券股份有限 公司监事会议事规则》的相关规定。 国联证券股份有限公司 二、监事会会议审议情况 （一）《国联证券股份有限公司 2023 年半年度报告》 表决结果：同意 5 票，反对 0 票，弃权 0 票，本议案获通过。 公司监事会就 2023 年半年 ...

国联证券股份有限公司独立董事 公司全体独立董事一致同意该议案，并同意将该议案提请公司股 东大会审议。 （二）《关于延长向特定对象发行 A 股股票股东大会决议有效期 及授权有效期的议案》 公司延长向特定对象发行 A 股股票股东大会决议有效期及授权 有效期，符合相关法律、法规、规范性文件和《公司章程》的规定， 有利于公司向特定对象发行 A 股股票相关事项的顺利进行，不存在损 1 害公司中小投资者利益的情形。 关于第五届董事会第十一次会议审议相关事项的 公司全体独立董事一致同意该议案，并同意将该议案提请公司股 东大会及类别股东大会审议。 独立意见 根据中国证监会《上市公司独立董事规则》《上海证券交易所股 票上市规则》等法律、法规和规范性文件以及《公司章程》《国联证 券股份有限公司独立董事制度》的有关规定，我们作为国联证券股份 有限公司（以下简称"公司"）的独立董事，在认真审阅相关议案的 基础上，基于独立判断的立场，对公司第五届董事会第十一次会议审 议的相关议案发表如下独立意见： （一）《关于未来三年（2024 年-2026 年）股东回报规划的议案》 公司未来三年（2024 年-2026 年）股东回报规划符合《公司法 ...

国联证券股份有限公司 未来三年（2024 年-2026 年）股东回报规划 根据中国证监会《关于进一步落实上市公司现金分红有关事项的通知》《上 市公司监管指引第 3 号——上市公司现金分红（2022 年修订）》和《上海证券交 易所上市公司自律监管指引第 1 号——规范运作》等相关要求，为进一步提高股 东回报水平，完善和履行现金分红政策，明确公司对股东的合理投资回报规划， 增加利润分配决策透明度和可操作性，便于股东对公司经营和利润分配进行监督， 公司董事会制订了《国联证券股份有限公司未来三年（2024 年-2026 年）股东回 报规划》。其具体内容如下： 一、本规划制定的基本原则 根据《公司法》及《公司章程》的规定，公司将充分考虑对投资者的回报， 每年按当年实现的母公司可供分配利润 1 的规定比例向股东分配股利。公司将实 行持续、稳定的股利分配政策，公司的股利分配应兼顾公司的长远利益、全体股 东的整体利益及公司的可持续发展。 在兼顾持续盈利、符合监管要求及公司正常经营和长期发展的前提下，公司 将优先采取现金方式分配股利。 二、制定本规划考虑的重要因素 公司股利分配政策的制定着眼于公司现阶段经营和可持续发展，综合分 ...

国联证券股份有限公司 董事、监事和高级管理人员所持公司股份及 其变动管理制度 第一章 总则 第一条 为加强对国联证券股份有限公司（以下简称"公司" 或"本公司"）董事、监事和高级管理人员所持本公司股份及其 变动的管理，规范董事、监事和高级管理人员买卖本公司股票的 行为，明确办理程序，根据《中华人民共和国公司法》（以下简 称"《公司法》"）、《中华人民共和国证券法》（以下简称"《证 券法》"）、《上市公司董事、监事和高级管理人员所持本公司 股份及其变动管理规则》、《上海证券交易所上市公司股东及董 事、监事、高级管理人员减持股份实施细则》、《证券及期货条 例》（香港法例第571章）、《香港联合交易所有限公司证券上 市规则》等法律法规和《国联证券股份有限公司章程》（以下简 称"《公司章程》"）的相关规定，结合公司实际情况，制定本 制度。 第二条 本制度适用于公司董事、监事和高级管理人员所持 本公司股份及其变动的管理,亦适用于公司董事及最高行政人员 1 的配偶、其18岁以下子女和其控制不少于三分之一投票权的公司 所持本公司股份的管理。 公司董事、监事和高级管理人员应当遵守本制度，严格按本 制度的规定执行。 第三条 公 ...

香港交易及結算所有限公司及香港聯合交易所有限公司對本公告的內容概不負責， 對其準確性或完整性亦不發表任何聲明，並明確表示，概不對因本公告全部或任何 部分內容而產生或因倚賴該等內容而引致的任何損失承擔任何責任。 董事會會議通知 葛小波 國聯證券股份有限公司（「本公司」）董事會（「董事會」）謹此宣佈，董事會會議將於 2023年8月29日（周二）舉行，藉以（其中包括）審議及批准本公司及其附屬公司截至 2023年6月30日止六個月之中期業績及其發佈。 中國江蘇省無錫市 2023年8月15日 承董事會命 截至本公告日期，本公司執行董事為葛小波先生；本公司非執行董事為華偉榮先 生、周衛平先生、吳衛華先生、李梭女士及劉海林先生；及本公司獨立非執行董事為 吳星宇先生、朱賀華先生及高偉先生。 國聯證券股份有限公司 董事長 （股份代號：01456） （於中華人民共和國成立的股份有限公司） ...

国联证券股份有限公司（以下简称"公司"）于 2023 年 3 月 28 日召开第五 届董事会第六次会议，审议并通过了《关于续聘 2023 年度审计机构的议案》，同 意续聘德勤华永会计师事务所（特殊普通合伙）（以下简称"德勤华永"）为公司 2023 年度外部审计机构，并续聘德勤华永担任公司 2023 年度内部控制审计机构。 该议案经公司 2022 年度股东大会审议通过。具体内容详见公司于 2023 年 3 月 29 日及 2023 年 5 月 24 日在上海证券交易所网站（www.sse.com.cn）披露的相关 公告。 证券代码：601456 证券简称：国联证券 公告编号：2023-040 号 国联证券股份有限公司 关于变更签字注册会计师的公告 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。 1 纪律处分，不存在可能影响独立性的情形。 本次变更过程中相关工作已有序交接，变更事项不会对公司 2023 年度财务 报表审计和内部控制审计工作产生不利影响。 特此公告。 2023 年 8 月 11 日，公司收到德勤华永《关于变更国联证券 ...

Financial Performance - The company's operating revenue for Q1 2023 was CNY 678,374,714.39, representing a year-on-year increase of 6.66%[4] - The net profit attributable to shareholders of the listed company was CNY 207,346,319.54, up 9.79% compared to the same period last year[4] - The net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 202,602,638.26, reflecting a 9.25% increase year-on-year[4] - For Q1 2023, the total operating revenue was CNY 678,374,714.39, compared to CNY 636,002,769.33 in Q1 2022, reflecting a year-over-year growth of approximately 6.6%[15] - The net profit for Q1 2023 was CNY 207,346,319.54, an increase from CNY 188,856,677.80 in Q1 2022, which is a growth of about 9.3%[15] - Total comprehensive income for Q1 2023 reached CNY 529,991,384.47, a significant increase from CNY 127,848,851.93 in Q1 2022[16] - Net profit for Q1 2023 was ¥220,689,283.37, down 30.8% from ¥318,714,076.57 in Q1 2022[21] Assets and Liabilities - The total assets at the end of the reporting period reached CNY 81,893,361,986.50, an increase of 10.10% from the end of the previous year[5] - As of March 31, 2023, the total assets of the company reached CNY 81,893,361,986.50, an increase from CNY 74,381,996,357.05 as of December 31, 2022, representing a growth of approximately 10.2%[12] - The company's total liabilities amounted to CNY 64,614,725,353.91, up from CNY 57,621,443,646.32, indicating an increase of about 12.5%[13] - Total liabilities increased to CNY 64,129,851,210.49 as of March 31, 2023, compared to CNY 57,190,772,990.45 at the end of 2022[20] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 96,334, with the largest shareholder holding 19.21% of the shares[8] - The largest shareholder, Wuxi Guolian Development (Group) Co., Ltd., holds a total of 48.60% of the company's shares through direct and indirect ownership[9] - The total equity attributable to shareholders of the listed company was CNY 17,278,636,632.59, up 3.09% from the end of the previous year[5] - The total equity of the company as of March 31, 2023, was CNY 17,059,763,251.82, up from CNY 16,523,915,571.83 at the end of 2022[20] Cash Flow and Investments - The net cash flow from operating activities was negative at CNY -373,105,033.42, with no applicable year-on-year comparison[4] - Net cash flow from operating activities for Q1 2023 was negative CNY 373,105,033.42, an improvement from negative CNY 5,058,411,560.62 in Q1 2022[17] - Cash flow from operating activities generated ¥874,085,420.40, a significant recovery from a negative cash flow of -¥4,794,295,467.22 in the previous year[22] - The company's cash and cash equivalents stood at CNY 11,665,760,365.59 as of March 31, 2023, compared to CNY 10,032,794,934.35 at the end of 2022, marking an increase of approximately 16.3%[12] - Cash and cash equivalents increased by CNY 1,724,051,131.34 in Q1 2023, compared to a decrease of CNY 811,285,263.34 in Q1 2022[18] - The company reported a total cash balance of ¥15,147,539,816.10 at the end of Q1 2023, up from ¥11,886,551,106.96 a year earlier[23] Investment Activities - The company reported a significant investment income of CNY 595,941,570.87 in Q1 2023, contrasting with a loss of CNY 71,022,339.02 in the same period last year[15] - The company is in the process of acquiring a 75.5% stake in Zhongrong Fund Management Co., which has been approved by the China Securities Regulatory Commission[11] - The company is actively progressing with the issuance of A-shares to specific investors, with the application accepted by the Shanghai Stock Exchange[10] - The company issued bonds in Q1 2023, raising CNY 7,509,960,000.00, an increase from CNY 5,004,431,952.87 in Q1 2022[17] - The company issued bonds totaling ¥7,509,960,000.00, an increase from ¥5,004,431,952.87 in Q1 2022, indicating a strong financing activity[22] Financial Ratios - The weighted average return on net assets was 1.22%, an increase of 0.08 percentage points compared to the previous year[4] - The diluted earnings per share for Q1 2023 remained at CNY 0.07, consistent with Q1 2022[16] - The company reported a decrease in net interest income to CNY 54,738,909.86 in Q1 2023 from CNY 72,019,366.29 in Q1 2022, representing a decline of approximately 24.0%[15] - Net interest income decreased to ¥49,995,276.27 from ¥59,064,747.95, reflecting a decline of 15.5% year-over-year[21] - The company reported a net increase in financial assets held for trading of CNY 1,873,431,819.14 in Q1 2023, down from CNY 7,689,321,612.39 in Q1 2022[17]

Financial Performance - The company's operating revenue for Q1 2023 was RMB 678,374,714.39, representing a year-on-year increase of 6.66%[5] - Net profit attributable to shareholders for the same period was RMB 207,346,319.54, reflecting a growth of 9.79% compared to the previous year[5] - The net profit attributable to shareholders after deducting non-recurring gains and losses was RMB 202,602,638.26, with a year-on-year increase of 9.25%[5] - Total operating revenue for Q1 2023 was RMB 678.37 million, an increase of 6.67% compared to RMB 636.00 million in Q1 2022[19] - Net profit for Q1 2023 was RMB 207.35 million, up 9.78% from RMB 188.86 million in Q1 2022[20] - Total comprehensive income for Q1 2023 reached RMB 529.99 million, compared to RMB 127.85 million in Q1 2022, indicating a strong growth[20] - Net profit for Q1 2023 was RMB 220.69 million, a decrease of 30.7% compared to RMB 318.71 million in Q1 2022[25][26] - Total operating income for Q1 2023 was RMB 590.74 million, down 2.0% from RMB 607.79 million in Q1 2022[25] Assets and Liabilities - Total assets at the end of the reporting period reached RMB 81,893,361,986.50, marking a 10.10% increase from the end of the previous year[5] - The total number of ordinary shareholders at the end of the reporting period was 96,334[8] - As of March 31, 2023, the company's total assets reached ¥81.89 billion, an increase from ¥74.38 billion as of December 31, 2022, representing a growth of approximately 10.4%[15] - The total liabilities increased to ¥64.61 billion from ¥57.62 billion, reflecting a rise of approximately 12.9%[18] - Total liabilities rose to RMB 64.13 billion as of March 31, 2023, compared to RMB 57.19 billion at the end of 2022, marking an increase of approximately 12.5%[24] Equity and Shareholder Information - The equity attributable to shareholders was RMB 17,278,636,632.59, which is a 3.09% increase compared to the previous year[5] - The company's equity attributable to shareholders rose to ¥17.28 billion from ¥16.76 billion, marking an increase of about 3.1%[18] - The total equity increased to RMB 17.06 billion as of March 31, 2023, from RMB 16.52 billion at the end of 2022, representing a growth of approximately 3.3%[24] - The top shareholder, Wuxi Guolian Development (Group) Co., Ltd., holds 543,901,329 shares, accounting for 19.21% of the total shares[9] Cash Flow and Financing Activities - The net cash flow from operating activities was negative at RMB -373,105,033.42, indicating a significant decrease[5] - Cash flow from operating activities showed a net outflow of RMB 373.11 million, an improvement from a net outflow of RMB 5.06 billion in Q1 2022[21] - Cash flow from investing activities resulted in a net outflow of RMB 1.01 billion, contrasting with a net inflow of RMB 2.89 billion in Q1 2022[21] - Cash flow from financing activities generated a net inflow of RMB 3.11 billion, up from RMB 1.36 billion in Q1 2022[22] - The company issued bonds totaling RMB 7.51 billion in Q1 2023, compared to RMB 5.00 billion in Q1 2022, reflecting increased financing activities[22] - The company received cash from bond issuance amounting to RMB 7,509,960,000.00 in Q1 2023, compared to RMB 5,004,431,952.87 in Q1 2022, reflecting a 50% increase[28] Investment and Financial Management - The company has acquired a 75.5% stake in Zhongrong Fund Management Co., with the approval from the China Securities Regulatory Commission, enhancing its investment management capabilities[14] - The company's financial investments, including trading financial assets, reached ¥34.83 billion, an increase from ¥32.44 billion, representing a growth of approximately 7.4%[17] - Investment income significantly improved to RMB 595.94 million from a loss of RMB 71.02 million, marking a substantial turnaround[19] - Investment income surged to RMB 529.74 million in Q1 2023, compared to RMB 61.76 million in Q1 2022, indicating a significant increase[25] Cash and Cash Equivalents - The company's cash and cash equivalents amounted to ¥11.67 billion, up from ¥10.03 billion, indicating a growth of about 16.3%[16] - The company's cash and cash equivalents increased to RMB 11.22 billion from RMB 9.43 billion, reflecting a growth of 18.9%[23] - The ending cash and cash equivalents balance for Q1 2023 was RMB 15.31 billion, an increase from RMB 12.51 billion in Q1 2022[22] - Cash and cash equivalents at the end of Q1 2023 reached RMB 15,147,539,816.10, an increase from RMB 11,886,551,106.96 at the end of Q1 2022[28] Other Financial Metrics - The basic earnings per share for the quarter was RMB 0.07, with no change reported[5] - The weighted average return on net assets increased by 0.08 percentage points to 1.22%[5] - Customer deposits amounted to ¥7.76 billion, slightly down from ¥7.96 billion, indicating a decrease of about 2.6%[16] - The company reported a net interest expense of RMB 306.40 million in Q1 2023, up from RMB 256.20 million in Q1 2022, an increase of 19.6%[25] - Other comprehensive income after tax for Q1 2023 was RMB 327.07 million, compared to a loss of RMB 58.82 million in Q1 2022[26]

致:国联证券股份有限公司 北京市嘉源律师事务所 北京市嘉源律师事务所 关于国联证券股份有限公司 向特定对象发行 A 股股票之 补充法律意见书 (三) 西城区复兴门内大街 158 号远洋大厦 4 楼 中国 · 北京 YUAN LAW OFFICES 北京 BEIJING·上海 SHANGHAI·深圳 SHENZHEN·香港 HONG KONG·广州 GUANGZHOU·西安 XI'AN 关于国联证券股份有限公司 向特定对象发行 A 股股票之 补充法律复见书 (三) 嘉源(2023)-01-327 敬启者: 根据发行人与本所签订的《专项法律顾问协议》,本所担任本次发行的专项 法律顾问,并获授权为本次发行出具律师工作报告及法律意见书。本所已于 2023 年 2 月 27 日出具了嘉源 (2023) -01-102 号《律师工作报告》、嘉源(2023) -01-101 号《法律意见书》,于 2023年 1月 29 日出具了嘉源(2023)-01-026 号 《北京市嘉源律师事务所关于国联证券股份有限公司非公开发行 A 股股票之补充 法律意见书(一)》,并于 2023年 3月 30日出具了嘉源(2023)-01-250 ...