证券代码：601696 证券简称：中银证券 公告编号：2023-031 中银国际证券股份有限公司 2023 年度第二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。 中银国际证券股份有限公司 2023 年度第二期短期融资券已于 2023 年 11 月 27 日发行完毕，相关发行情况如下： | 债券名称 | 中银国际证券股份有限公司 | | 2023 | 年度第二期短期融资券 | | --- | --- | --- | --- | --- | | 债券简称 | 23 中银证券 | CP002 | 债券代码 | 072310257 | | 发行日 | 2023-11-24 | | 起息日 | 2023-11-27 | | 到期日 | 2024-11-27 | | 期限 | 1 年 | | 计划发行总额 | 10 | 亿元人民币 | 实际发行总额 | 10 亿元人民币 | | 发行利率 | 2.75% | | 发行价格 | 100 元/百元面值 | 本期发行短期融资券的相关文件已在以下网站刊登： 1、中国货币 ...

Financial Performance - The company's operating revenue for Q3 2023 was ¥612,260,664.20, a decrease of 24.20% compared to the same period last year[4] - The net profit attributable to shareholders for Q3 2023 was ¥164,857,066.95, down 33.33% year-on-year[4] - The basic earnings per share for Q3 2023 was ¥0.06, reflecting a decline of 33.33% compared to the previous year[5] - The net profit attributable to shareholders for the period from January to September 2023 increased by 5.76% year-on-year[8] - Total operating revenue for the first three quarters of 2023 was approximately ¥2.20 billion, a decrease of 2.3% compared to ¥2.26 billion in the same period of 2022[17] - Net interest income increased to approximately ¥633.51 million, up 6.9% from ¥592.87 million year-over-year[17] - Net profit attributable to shareholders of the parent company for the first three quarters of 2023 was approximately ¥810.35 million, compared to ¥766.22 million in the same period of 2022, reflecting a growth of 5.8%[18] - The total profit for the first three quarters of 2023 was approximately ¥944.85 million, an increase from ¥886.05 million in the same period of 2022[17] - The company’s basic and diluted earnings per share for the first three quarters were both ¥0.29, compared to ¥0.28 in the same period of 2022[18] - The company’s total operating expenses decreased to approximately ¥1.26 billion, down 7.9% from ¥1.37 billion in the previous year[17] Assets and Liabilities - The total assets at the end of the reporting period were ¥64,790,886,904.37, an increase of 0.71% from the end of the previous year[5] - The total assets increased to approximately 64.79 billion RMB, compared to 64.33 billion RMB in the previous period, reflecting a growth of about 0.72%[16] - The total liabilities decreased slightly to approximately 47.66 billion RMB from 47.92 billion RMB, indicating a reduction of about 0.55%[16] - The company's equity attributable to shareholders increased to approximately 17.12 billion RMB from 16.40 billion RMB, representing a growth of about 4.38%[16] Cash Flow - The company reported a cash flow from operating activities of -¥4,500,167,095.72 for the year-to-date[4] - The company reported a net cash outflow from operating activities of approximately ¥4.50 billion, a significant decline from a net inflow of ¥7.44 billion in the previous year[20] - Cash and cash equivalents at the end of the period stood at approximately ¥28.32 billion, down from ¥33.43 billion at the end of the same period last year[21] - The company achieved a net cash inflow from investment activities of approximately ¥289.16 million, compared to a net outflow of ¥195.08 million in the previous year[21] - The company's cash and cash equivalents decreased to approximately 20.24 billion RMB from 26.73 billion RMB, a decline of about 24%[15] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 115,411[9] - The largest shareholder, Zhongyin International Holdings Co., Ltd., held 33.42% of the shares[9] Financing Activities - The company issued a total of 1 billion RMB in bonds with a 2.70% interest rate for a 3-year term and another 1 billion RMB in short-term bonds at a 2.35% interest rate for a 1-year term[12] - The company successfully redeemed short-term financing bonds totaling 1 billion RMB on their respective maturity dates[12] - The company plans to issue a new short-term financing bond of 500 million RMB with a 2.58% interest rate for a 1-year term[12] Regulatory and Compliance - The company received a warning from the regulatory authority regarding compliance issues at its Tangshan branch, which has since implemented corrective measures[13] Strategic Initiatives - The company is progressing with its investment in a technology innovation equity investment fund, indicating a focus on strategic partnerships and growth in the tech sector[14] Other Observations - The company reported a significant decrease in client funds held, dropping to approximately 18.22 billion RMB from 24.36 billion RMB, a decline of about 25.3%[15] - The company has adopted new accounting standards starting in 2023, which may affect the financial statements[22] - The financial report is for the third quarter of 2023, indicating a specific reporting period[22] - The meeting was led by key executives including Ning Min and Liu Guoqiang, highlighting the importance of leadership in financial discussions[22] - The report does not specify any financial performance metrics or user data, indicating a lack of detailed performance insights in this document[22] - There is no mention of future outlook or guidance for upcoming quarters, suggesting uncertainty in projections[22] - No new products or technologies were discussed, indicating a potential focus on existing offerings[22] - The document does not reference any market expansion or mergers and acquisitions, suggesting stability in current operations[22] - There are no new strategies outlined, which may imply a conservative approach in the current market environment[22] - The report confirms that the new accounting standards do not apply retroactively, which may affect comparability with previous periods[22] - The document is an official announcement from the board of directors, emphasizing its significance[22]

本议案具体内容详见公司于同日披露的《2023 年第三季度报告》。 证券代码：601696 证券简称：中银证券 公告编号：2023-030 中银国际证券股份有限公司 第二届监事会第十六次会议决议公告 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。 中银国际证券股份有限公司（以下简称"公司"）第二届监事会第十六次会议于 2023 年 10 月 26 日以视频会议、通讯表决方式召开，会议通知于 2023 年 10 月 20 日以电子邮件 方式发出。本次会议应出席监事 3 名，实际出席监事 3 名。会议由监事会主席何涛先生主持， 公司董事会秘书刘国强先生列席会议。本次监事会会议的召集、召开符合有关法律、行政法 规、部门规章、规范性文件和《中银国际证券股份有限公司章程》的规定。本次会议审议并 通过以下议案： 一、审议通过《关于公司<2023 年第三季度报告>的议案》 表决结果：同意【3】票；反对【0】票；弃权【0】票。 2023 年 10 月 26 日 1 监事会认为：公司 2023 年第三季度报告的编制和审议程序符合有关法律、法规、《 ...

证券代码：601696 证券简称：中银证券 公告编号：2023-029 中银国际证券股份有限公司 第二届董事会第二十二次会议决议公告 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。 中银国际证券股份有限公司（以下简称"公司"）第二届董事会第二十二次会议于 2023 年 10 月 26 日以视频会议、通讯表决方式召开，会议通知于 2023 年 10 月 20 日以电 子邮件方式发出。本次会议应参与表决董事 13 名，实际参与表决董事 13 名。会议由董事 长宁敏女士主持，公司监事和相关高级管理人员等列席会议。本次董事会会议的召集、召 开符合有关法律、行政法规、部门规章、规范性文件和《中银国际证券股份有限公司章程》 的规定。本次会议审议并通过以下议案： 一、审议通过《关于公司<2023 年第三季度报告>的议案》 表决结果：同意【13】票；反对【0】票；弃权【0】票。 本议案具体内容详见公司于同日披露的《2023 年第三季度报告》。 本议案已经公司董事会审计委员会审议通过。 二、审议通过《关于公司财务预算的议案》 表决结果：同意【1 ...

中银国际证券股份有限公司（以下简称"公司"）第二届董事会第二十一次会议于 2023 年 9 月 25 日以通讯表决方式召开，会议通知于 2023 年 9 月 15 日以电子邮件方式发 出。本次会议应参与表决董事 13 名，实际参与表决董事 13 名。本次董事会会议的召集、 召开符合有关法律、行政法规、部门规章、规范性文件和《中银国际证券股份有限公司章 程》的规定。本次会议审议并通过以下议案： 一、审议通过《关于拟举办"中银证券·上海交大教育帮扶专题培训班"的议案》 表决结果：同意【13】票；反对【0】票；弃权【0】票。 同意公司向上海交通大学教育发展基金会捐款，用于公司结对帮扶县的师资培训。 二、审议通过《关于审议<中银证券声誉风险管理办法（2023 年版）>的议案》 表决结果：同意【13】票；反对【0】票；弃权【0】票。 同意《中银证券声誉风险管理办法（2023 年版）》。 特此公告。 中银国际证券股份有限公司董事会 2023 年 9 月 25 日 1 证券代码：601696 证券简称：中银证券 公告编号：2023-028 中银国际证券股份有限公司 第二届董事会第二十一次会议决议公告 本公司董事会及全体董事 ...

中银国际证券股份有限公司 2023 年度第一期短期融资券发行结果公告 特此公告。 中银国际证券股份有限公司董事会 证券代码：601696 证券简称：中银证券 公告编号：2023-027 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。 中银国际证券股份有限公司 2023 年度第一期短期融资券已于 2023 年 9 月 22 日发行完毕，相关发行情况如下： | 债券名称 | | | 中银国际证券股份有限公司 | | 2023 | 年度第一期短期融资券 | | | --- | --- | --- | --- | --- | --- | --- | --- | | 债券简称 | 中银证券 23 | | | CP001 | 债券代码 | 072310204 | | | 发行日 | 2023 年 9 | 月 | 21 | 日 | 起息日 | 2023 年 9 月 22 | 日 | | 到期日 | 2024 年 9 | 月 | 22 | 日 | 期限 | 1 年 | | | 计划发行总额 | 5 | 亿元人民币 | | | 实际发行总额 | ...

证券代码：601696 证券简称：中银证券 公告编号：2023-026 特此公告。 中银国际证券股份有限公司董事会 2023 年 9 月 20 日 1 中银国际证券股份有限公司 2022 年度第二期短期融资券兑付完成公告 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。 中银国际证券股份有限公司（以下简称"公司"）于 2022 年 9 月 16 日成功 发行了中银国际证券股份有限公司 2022 年度第二期短期融资券（以下简称"本 期短期融资券"）。本期短期融资券发行额为人民币 10 亿元，票面利率为 2.00%， 短期融资券期限为 1 年，兑付日期为 2023 年 9 月 19 日。详见公司于 2022 年 9 月 20 日刊登于上海证券交易所网站（www.sse.com.cn）的《2022 年度第二期短 期融资券发行结果公告》（公告编号：2022-044）。 2023 年 9 月 19 日，公司兑付了本期短期融资券本息共计人民币 1,020,000,000.00 元。 ...

Financial Performance - The company's operating revenue for the first half of 2023 was CNY 1,592,195,431.41, representing a 9.99% increase compared to CNY 1,447,518,648.49 in the same period last year[23]. - The net profit attributable to shareholders of the parent company reached CNY 645,489,881.00, a 24.39% increase from CNY 518,941,626.35 in the previous year[23]. - The total assets at the end of the reporting period were CNY 67,804,304,728.66, reflecting a 5.40% increase from CNY 64,331,348,266.30 at the end of the previous year[24]. - The total liabilities increased by 6.08% to CNY 50,830,672,815.21 from CNY 47,919,497,419.30[24]. - The basic earnings per share for the first half of 2023 was CNY 0.23, up 21.05% from CNY 0.19 in the same period last year[25]. - The weighted average return on equity increased to 3.86%, up 0.60 percentage points from 3.26% in the previous year[25]. - The company's net capital at the end of the reporting period was CNY 14,419,186,206.20, compared to CNY 13,976,698,523.00 at the end of the previous year[26]. - The risk coverage ratio improved to 348.83%, up from 309.76% in the previous year[26]. Risk Management - The company faces various risks including market risk, credit risk, operational risk, liquidity risk, reputation risk, compliance risk, and money laundering risk[5]. - The company’s management has highlighted the importance of risk awareness in future planning and projections[4]. - The financial report includes detailed descriptions of potential risks faced by the company, which can be found in the management discussion section[5]. - The company has established a comprehensive risk management system, including operational management policies and risk management guidelines approved by the board in 2023[84]. - The risk management organizational structure includes a multi-level matrix involving the board, risk control committee, management, and various departments to ensure comprehensive risk coverage[85]. - The company has implemented a quantitative risk indicator system to monitor and control risk levels within regulatory requirements, including market risk limits and credit risk limits[84]. - The company emphasizes professional training for risk management personnel to enhance their capabilities and ensure effective risk management practices[87]. - The company has established an effective risk response mechanism, including emergency management procedures for sudden risk events[87]. Regulatory Compliance - The financial report has not been audited, but management assures its accuracy and completeness[3]. - The company has maintained compliance with regulatory decision-making procedures regarding external guarantees[4]. - The board of directors confirmed that there are no non-operational fund occupations by controlling shareholders or related parties[4]. - The company has strengthened compliance management through a clear organizational structure and various compliance monitoring methods, ensuring smooth business operations[92]. - The company received a warning letter from the China Securities Regulatory Commission regarding its sponsorship of a public offering, highlighting deficiencies in due diligence[113]. Business Expansion and Strategy - The company received approval for its private fund comprehensive custody business, indicating a strategic expansion in asset management services[14]. - The company has been authorized to conduct bond repurchase transactions, enhancing its trading capabilities in the fixed income market[13]. - The company is now a qualified participant in the stock options trading at the Shanghai Stock Exchange, expanding its derivatives trading offerings[14]. - The company has been granted permission to provide comprehensive services to insurance institutional investors, indicating a focus on diversifying its client base[13]. - The company has successfully expanded its business scope to include the Hong Kong Stock Connect, allowing for increased cross-border trading opportunities[14]. - The company has been approved to engage in margin financing and securities lending, which will enhance its liquidity management[13]. - The company is actively involved in the underwriting of private bonds for small and medium-sized enterprises, supporting the growth of this sector[13]. - The company has received regulatory approval for its intermediary introduction services for futures companies, indicating a strategic move into futures markets[13]. Shareholder Information - The total number of shares outstanding is 2,778,000,000, with 1,326,315,791 shares being restricted and 1,451,684,209 shares being freely tradable[132]. - The total number of common stock shareholders as of the end of the reporting period is 117,326[135]. - The total number of shares held by major shareholders includes 928,421,054 shares (33.42%) held by Bank of China International Holdings[136]. - The company’s main shareholder, Bank of China, holds a 33.42% stake, providing a robust backing that enhances governance and risk management[40]. Financial Instruments and Debt Management - The company issued a total of RMB 1 billion in bonds, with a 3-year term at a coupon rate of 2.70% and a 1-year term at a coupon rate of 2.35%[125]. - The company has established dedicated accounts for bond proceeds, ensuring proper management and usage of funds[153]. - The company's interest-bearing debt balance as of the end of the reporting period is CNY 15.873 billion, an increase of 38.20% compared to the beginning of the period[157]. - The asset-liability ratio increased to 50.28%, up 16.60% from the previous year[159]. - The company maintains a stable credit rating outlook, with no changes in the repayment plans for existing bonds[147]. Corporate Social Responsibility - The energy-saving renovation project for the company's headquarters lighting is expected to reduce electricity consumption by approximately 49% annually, saving 9,327 kWh and reducing carbon emissions by 2,537 kg[102]. - The company allocated 936,000 yuan for purchasing agricultural products from four targeted poverty alleviation counties, in addition to 310,000 yuan from the "Public Welfare China" platform[103]. Legal Matters - The company has no significant litigation or arbitration matters during the reporting period[108]. - The company has filed a lawsuit against Shanghai Gangtai Investment Consulting Co., Ltd. for a principal amount of RMB 76,600,000 and related interests, with a court ruling for the defendants to pay a penalty of RMB 1,608,600[109]. - The company has initiated legal actions as an asset management plan manager against various issuers, with courts ruling in favor of the company for the recovery of principal and interest[111].

证券代码：601696 证券简称：中银证券 公告编号：2023-022 中银国际证券股份有限公司 第二届董事会第二十次会议决议公告 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。 中银国际证券股份有限公司（以下简称"公司"）第二届董事会第二十次会议于 2023 年 8 月 29 日以通讯表决方式召开，会议通知于 2023 年 8 月 18 日以电子邮件方式发出。本 次会议应参与表决董事 13 名，实际参与表决董事 13 名。本次董事会会议的召集、召开符 合有关法律、行政法规、部门规章、规范性文件和《中银国际证券股份有限公司章程》的 规定。本次会议审议并通过以下议案： 一、审议通过《关于<中银国际证券股份有限公司 2023 年半年度报告>的议案》 表决结果：同意【13】票；反对【0】票；弃权【0】票。 本议案具体内容详见公司于同日披露的《中银国际证券股份有限公司 2023 年半年度报 告》。 二、审议通过《关于提请审议中银国际证券股份有限公司公募基金 2023 年中期报告 的议案》 表决结果：同意【13】票；反对【0】票；弃权【 ...

中银国际证券股份有限公司独立董事 关于第二届董事会第二十次会议相关事项的独立意见 根据《中华人民共和国证券法》、《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、规范性文件以及 《中银国际证券股份有限公司章程》的有关规定，我们作为中银国际证 券股份有限公司（以下简称"公司"）独立董事认真审阅了相关资料，对 公司第二届董事会第二十次会议审议的《关于2023上半年公募基金关 联交易事项的议案》《关于中银资本投资控股有限公司与关联方共同 投资的长三角科创母基金进展情况的议案》，基于独立判断的立场发 表独立意见如下： 一、关于2023上半年公募基金关联交易事项的议案 1、公司2023年上半年实际发生的公募基金关联交易履行了关联交 易审批程序，交易事项合理，交易价格公允，不存在损害公司及中小股 东合法权益的情形，不会影响公司的独立性。 综上，我们同意确认2023年上半年公募基金关联交易事项。 二、关于中银资本投资控股有限公司与关联方共同投资的长三角 科创母基金进展情况的议案 1、本次会议审议的公司全资子公司与关联方共同投资参与设立 科技创新协同发展母基金，有利于公司发展相关基金业务，响应国家 ...