方正证券股份有限公司 现场会议时间：2023 年 10 月 11 日 14:50 现场会议地点：北京市朝阳区朝阳门南大街 10 号兆泰国际中心 A 座 19 层会议室 1 2023 年第四次临时股东大会 会议资料 2023 年 10 月 11 日·北京 会议议程 一、宣布会议开始 二、宣布出席现场会议的股东人数、代表股份数 三、推举计票人、监票人 四、审议议案 五、股东提问，董事、监事、高管人员回答股东提问 六、投票表决 七、休会（等待网络表决结果，工作人员统计表决结果） 八、宣布表决结果 九、律师宣布法律意见书 十、宣布会议结束 方正证券股份有限公司 2023年第四次临时股东大会会议须知 为维护全体股东的合法权益，确保股东大会的正常秩序和议事效率，保证大 会的顺利召开，根据中国证监会《上市公司股东大会规则》、公司《章程》和《股 东大会议事规则》等规定，特制定股东大会会议须知如下： 一、本公司根据《公司法》《证券法》《上市公司股东大会规则》和公司《章 程》的规定，认真做好召开股东大会的各项工作。 二、股东大会期间，全体参会人员应以维护股东的合法权益、确保大会的正 常秩序和议事效率为原则，依法行使权利，认真履行 ...

Financial Performance - The company's operating revenue for the first half of the year was CNY 4,053,970,391.52, a decrease of 0.54% compared to the same period last year[15]. - The net profit attributable to shareholders was CNY 1,439,653,431.21, reflecting a 1.29% increase year-over-year[16]. - The company's net profit for the first half of 2023 was CNY 1,442,243,123.33, down 3.53% from CNY 1,495,006,433.51 in the same period last year[21]. - The total comprehensive income for the first half of 2023 was CNY 1,244,935,688.89, reflecting a 20.66% increase compared to CNY 1,031,742,120.44 in the same period of 2022[23]. - The company's total operating revenue for the first half of 2023 was CNY 4,053,970,391.52, a slight decrease from CNY 4,075,854,273.75 in the same period of 2022[138]. - The company reported a total profit of CNY 1,606,213,863.05 for the first half of 2023, down from CNY 1,694,612,251.57 in the previous year[139]. Assets and Liabilities - Total assets increased by 13.99% to CNY 207,023,298,121.57 compared to the end of the previous year[16]. - The total liabilities rose by 17.36% to CNY 161,648,840,174.95, indicating a significant increase in financial obligations[16]. - The total assets of the company at the end of the reporting period amounted to 207.023 billion yuan, an increase of 13.99% compared to the end of the previous year[35]. - The total liabilities increased by 13.96% to CNY 129,261,819,839.77 from CNY 113,431,407,447.71[22]. - The company's total equity attributable to shareholders increased by 3.47% to CNY 44,533,031,236.32[16]. - The company's total equity increased by 2.69% to CNY 43,807,569,466.59 from CNY 42,660,560,279.65 year-over-year[23]. Cash Flow - The company's cash flow from operating activities was CNY 5,526,495,503.20, a notable improvement from a negative cash flow in the previous year[16]. - The net cash flow from operating activities for the first half of 2023 was ¥5,526,495,503.20, compared to a negative cash flow of ¥1,119,128,416.83 in the same period of 2022, indicating a significant improvement[143]. - The net cash inflow from operating activities was CNY 5.53 billion, with cash inflows totaling CNY 30.85 billion, accounting for 86.06% of total cash inflows[61]. - The company reported a net increase in cash and cash equivalents of CNY 9.93 billion, primarily due to increased cash flow from operating and financing activities[61]. Risk Management - The company has established a comprehensive risk management system covering various risk types, including credit risk, market risk, liquidity risk, operational risk, and compliance risk[75]. - The company has implemented a multi-level risk management organizational structure to ensure effective risk management across departments and subsidiaries[75]. - The company has developed a risk measurement system with 28 internal rating models to cover credit risk business for corporate clients[75]. - The company has enhanced its risk monitoring capabilities through the establishment of a comprehensive risk management platform[75]. - The company has adopted various measures for credit risk control, including risk education, credit assessment, collateral management, and daily market monitoring[75]. Shareholder Information - The total share capital of the company remains unchanged at 8,232,101,395 shares, all of which are unrestricted A shares[119]. - The largest shareholder, New Founder Holdings Development Co., Ltd., holds 2,363,237,014 shares, accounting for 28.71% of the total shares[121]. - The second largest shareholder, Hong Kong Central Clearing Limited, holds 1,240,173,290 shares, representing 15.07% of the total shares[121]. - The National Social Security Fund Council holds 1,089,704,789 shares, which is 13.24% of the total shares[121]. Corporate Governance - The company held three extraordinary general meetings in 2023, approving various resolutions including the election of new board members and amendments to the company's articles of association[93][94][95]. - The company appointed new executives, including Li Yan as Vice President and Chief Financial Officer, and Sun Bin as Chief Risk Officer[98][99]. - The company has emphasized the importance of risk management training for all employees, promoting a culture of risk responsibility[87]. Environmental and Social Responsibility - The company has implemented measures to reduce carbon emissions, including centralized water supply systems and energy-saving practices, resulting in significant energy conservation[105]. - The company organized two consumption assistance procurement activities, purchasing and assisting in the sale of agricultural products worth CNY 1.98 million[108]. - The company received recognition for its social responsibility efforts, winning the "Outstanding Case in Rural Revitalization" award at the second China Capital Market Public Welfare Forum[110]. Strategic Initiatives - The company plans to focus on expanding its market presence and enhancing its product offerings in the upcoming quarters[21]. - The company aims to strengthen the synergy between investment banking, research, and investment teams to provide comprehensive lifecycle services to clients[53]. - The company plans to continue expanding its market presence and investing in new technologies to drive future growth[141].

方正证券股份有限公司全面风险管理制度 （2017 年 3 月 16 日公司第三届董事会第五次会议制定，2018 年 4 月 27 日公司第三届董事 会第十五次会议第一次修订，2020 年 8 月 28 日公司第四届董事会第七次会议第二次修订， 2023 年 8 月 24 日公司第五届董事会第二次会议第三次修订） 第一章 总 则 第一条 为促进公司规范经营，有效防范与化解风险，保障公司持续、稳定、 健康发展，根据《证券公司监督管理条例》《证券公司内部控制指引》《证券公司 风险控制指标管理办法》《证券公司全面风险管理规范》等法律法规及自律规则， 制定本制度。 第二条 本制度适用于公司各部门、分支机构、子公司以及比照子公司管理 的各类孙公司（以下简称"子公司"）开展的各项业务经营和管理活动。 第三条 本制度所称全面风险管理，是指公司董事会、经营管理层以及全体 员工共同参与，对公司经营中的流动性风险、市场风险、信用风险、操作风险、 声誉风险、洗钱风险、信息技术风险、运营风险等各类风险，进行准确识别、审 慎评估、动态监控、及时应对及全程管理。 第四条 公司全面风险管理的目标是通过建立健全与公司自身发展战略相 适应的全面 ...

方正证券股份有限公司 三、资本补足情况 2023 年上半年公司通过发行次级债、净利润留存等补充净资本，2023 年 6 月末公司净资本为 279.32 亿元。 2023 年上半年风险控制指标相关情况的报告 方正证券股份有限公司全体股东： 根据中国证监会《证券公司风险控制指标管理办法》的相关规定，现将公司 2023 年上半年风险控制指标相关情况报告如下： 一、净资本等风险控制指标具体情况 单位：元 币种：人民币 | 项目 | 本报告期末 | | 上年度末 | | | | --- | --- | --- | --- | --- | --- | | | （2023 年 6 月 30 | 日） | （2022 年 12 月 31 | | 日） | | 净资本 | 27,932,404,813.98 | | | 24,699,486,530.36 | | | 净资产 | 43,807,569,466.59 | | | 42,660,560,279.65 | | | 风险覆盖率（%） | 273.72 | | | | 288.31 | | 资本杠杆率（%） | 17.66 | | | | 18.94 | | 流动性覆盖率 ...

证券代码：601901 证券简称：方正证券 公告编号：2023-034 一、审议通过了《2023 年半年度报告》 公司《2023 年半年度报告摘要》与本公告同日刊登在《中国证券报》《上海证券报》 《证券时报》《证券日报》和上海证券交易所网站（www.sse.com.cn）。 公司《 2023 年半年度报告 》 与 本 公 告同 日 刊 登 在 上 海 证券 交 易 所 网 站 （www.sse.com.cn）。 表决结果：同意 9 票，反对 0 票，弃权 0 票。 方正证券股份有限公司 第五届董事会第二次会议决议公告 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。 公司第五届董事会第二次会议于 2023 年 8 月 24 日以现场、视频加电话相结合的 方式召开，现场会议设在北京市朝阳区朝阳门南大街 10 号兆泰国际中心 A 座 19 层会 议室。本次会议的通知和会议资料于 2023 年 8 月 14 日以电子邮件方式发出。本次会 议由董事长施华先生召集和主持，应出席董事 9 名，实际出席董事 9 名（施华先生视 频参会，何亚刚 ...

证券代码：601901 证券简称：方正证券 公告编号：2023-033 方正证券股份有限公司 关于召开 2023 年半年度业绩说明会的公告 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。 重要内容提示： 投资者可于 2023 年 8 月 18 日(星期五) 至 8 月 24 日(星期四)16:00 前登 录上证路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 pub@foundersc.com 进行提问。公司将在说明会上对投资者普遍关注的问题进 行回答。 公司将于 2023 年 8 月 25 日在上海证券交易所网站（www.sse.com.cn）披露 公司 2023 年半年度报告，为便于广大投资者更全面深入地了解公司 2023 年半年 度业绩和经营情况，公司计划于 2023 年 8 月 25 日上午 10:00-11:00 举行 2023 年 半年度业绩说明会，就投资者关心的问题进行交流。 一、 说明会类型 四、 投资者参加方式 （一）投资者可在 2023 年 8 月 25 日上午 10:00-11:00 在线参与本次业绩 ...

Financial Performance - The company's operating revenue for Q1 2023 was CNY 1,772,663,423.59, representing a year-on-year increase of 6.30%[4] - Net profit attributable to shareholders was CNY 556,003,687.26, reflecting a growth of 16.55% compared to the same period last year[4] - The net profit after deducting non-recurring gains and losses was CNY 543,236,850.34, with a year-on-year increase of 16.47%[4] - The company reported a significant decrease in net income from investment banking fees by 60.88% due to reduced project revenues[6] - The company experienced a 41.84% increase in total comprehensive income, driven by higher self-operated business income and changes in the fair value of other debt investments[6] - Total operating revenue for Q1 2023 was RMB 1,772,663,423.59, an increase of 6.3% compared to RMB 1,667,661,360.94 in Q1 2022[13] - Net profit for Q1 2023 was RMB 583,703,649.91, representing a 26.1% increase from RMB 462,689,823.43 in Q1 2022[13] - The company reported a total comprehensive income of RMB 633,789,179.69 for Q1 2023, compared to RMB 446,823,048.82 in the same period last year[14] - Net profit for Q1 2023 was RMB 413,569,840.95, a decrease of 2.2% from RMB 425,509,206.33 in Q1 2022[23] Assets and Liabilities - The total assets at the end of the reporting period amounted to CNY 193,620,559,252.07, an increase of 6.61% from the end of the previous year[4] - As of March 31, 2023, total assets reached RMB 193.62 billion, an increase from RMB 181.61 billion as of December 31, 2022, representing a growth of approximately 6.1%[11] - The total liabilities increased to RMB 149.11 billion from RMB 137.74 billion, reflecting a rise of approximately 8.9%[12] - The total liabilities increased to CNY 124,200,378,820.46 from CNY 113,431,407,447.71, representing a rise of approximately 9.8%[21] - The company's total assets reached CNY 167,326,382,246.34, compared to CNY 156,091,967,727.36, marking an increase of around 7.8%[21] Cash Flow - The net cash flow from operating activities was CNY 963,359,580.20, with no applicable year-on-year comparison[4] - Cash inflows from operating activities totaled RMB 13,369,543,232.56, significantly higher than RMB 9,085,505,714.37 in Q1 2022[15] - The net cash flow from operating activities was RMB 1,079,439,866.00, significantly higher than RMB 151,974,816.64 in Q1 2022[25] - The net cash flow from financing activities was CNY 1,413,673,178.06, a significant improvement from a negative cash flow of CNY -2,947,776,987.75 in the prior year[17] - The net cash flow from operating activities was CNY 963,359,580.20, a significant recovery from a negative cash flow of CNY -1,152,848,117.59 in the prior year[17] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 187,355[8] - The largest shareholder, New Founder Holdings Development Co., Ltd., held 2,363,237,014 shares, accounting for 28.71% of the total shares[8] Equity and Investments - The company's equity attributable to shareholders rose to RMB 43.64 billion, compared to RMB 43.04 billion, marking an increase of around 1.4%[12] - The company's total equity increased to RMB 44.51 billion from RMB 43.88 billion, representing a growth of about 1.4%[12] - The company's equity increased to CNY 43,126,003,425.88 from CNY 42,660,560,279.65, showing a growth of about 1.1%[21] - The financial investments in trading assets increased significantly to RMB 44.06 billion from RMB 37.00 billion, showing a growth of approximately 19.1%[11] Earnings and Expenses - Basic earnings per share rose to RMB 0.07, compared to RMB 0.06 in the previous year[14] - Net interest income decreased to RMB 385,990,249.91 from RMB 418,441,743.39, reflecting a decline of 7.5% year-over-year[13] - Net commission and fee income fell to RMB 984,100,980.72, down 18.3% from RMB 1,204,599,515.23 in the previous year[13] - Total operating expenses increased to RMB 851,239,470.68, up 3.9% from RMB 818,814,831.17 in the same period last year[22]

Financial Performance - The company achieved an operating revenue of 7.777 billion yuan and a net profit attributable to shareholders of 2.148 billion yuan, representing a year-on-year growth of 18%[10]. - The net profit attributable to shareholders reached RMB 2.148 billion, a year-on-year increase of 17.88%, marking a six-year high[17]. - Total operating revenue for 2022 was ¥7,776,967,803.03, a decrease of 9.79% compared to ¥8,621,202,071.85 in 2021[55]. - Net profit attributable to shareholders for 2022 was ¥2,148,043,358.68, an increase of 17.88% from ¥1,822,282,069.48 in 2021[55]. - Total assets as of the end of 2022 reached ¥181,611,932,430.60, reflecting a growth of 5.21% from ¥172,612,882,164.42 at the end of 2021[56]. - The company's total liabilities increased by 5.57% to ¥137,735,537,049.12 in 2022 from ¥130,468,951,618.20 in 2021[56]. - Basic earnings per share for 2022 were ¥0.26, up 18.18% from ¥0.22 in 2021[57]. - The weighted average return on equity for 2022 was 5.09%, an increase of 0.59 percentage points from 4.50% in 2021[57]. - The net cash flow from operating activities for 2022 was negative at -¥5,408,561,344.62, a decline of 132.86% compared to ¥16,458,178,312.19 in 2021[55]. Wealth Management and Client Base - The wealth management business signed assets exceeding 101.4 billion yuan, with a total of 907,000 clients[10]. - The company added nearly 1.6 million new clients during the reporting period, with a total client base exceeding 14.83 million, ranking 8th in the industry[87]. - The company’s wealth management business generated revenue of 2.60 billion yuan from selling financial products[97]. - The company’s wealth management business maintained a leading position, with over 14.8 million clients, ranking 8th in the industry[125]. Investment and Asset Management - The company aims to enhance its wealth management, investment trading, and private equity investment businesses to achieve rapid development[14]. - The company is focused on optimizing asset allocation and improving asset yield to enhance profitability[15]. - The company has established a collaborative model of "investment + investment banking + research" to provide comprehensive lifecycle services to clients[11]. - The company plans to expand its public fund management business, focusing on increasing the scale of money market funds and developing insurance-themed index products[186]. - The company is committed to enhancing its asset management capabilities by optimizing asset allocation and improving yield rates[188]. Risk Management - The company has maintained a zero increase in risk projects throughout 2022, with no deterioration in existing business risks[12]. - The company successfully avoided credit and market risks, with no new risk events reported throughout the year[17]. - The company has established a comprehensive risk management system, ensuring that various risks are measurable, controllable, and bearable[191]. - The company has implemented a multi-level risk management framework, covering credit risk, market risk, liquidity risk, operational risk, and more[194]. - The company has developed a mature internal rating system with 28 rating models to cover credit risk across various financial products[197]. Green Finance and Social Responsibility - The company issued approximately 8.5 billion yuan in green bonds over the past two years to support the "dual carbon" goals[11]. - The company supported rural revitalization efforts with an investment of 10.56 million yuan in 2022, benefiting 29 counties[14]. - The company assisted 25 rural revitalization projects, benefiting 33,000 people[17]. - The company actively promoted green finance, underwriting five green bonds that raised CNY 4 billion to support green industry development[119]. Operational Efficiency and Future Plans - The company plans to focus on market expansion and new product development to drive future growth[68]. - The company is committed to becoming a large comprehensive securities firm with distinctive wealth management features and high-quality development[183]. - The company recognizes the increasing importance of digital transformation in the securities industry, leveraging technologies such as AI, blockchain, and big data to enhance operational efficiency[181]. - The company is focused on enhancing operational efficiency by optimizing the asset side, liability side, and cost side of its operations[188]. - The company is leveraging shareholder resources to strengthen its wealth management and private equity fund capabilities[189]. Business Qualifications and Structure - The company has obtained various business qualifications, including online securities entrustment and securities underwriting, approved by the China Securities Regulatory Commission (CSRC)[27]. - As of the end of the reporting period, the company has a total of 423 branches in the domestic market, including 363 securities business departments, 24 branch offices, and 36 futures branches[48]. - The company has a diverse range of subsidiaries, including Founder Securities Investment and Founder Hong Kong Financial Holdings, with registered capitals of 15 billion yuan and approximately 1.05 billion HKD, respectively[47]. - The company was established in 1988 with an initial registered capital of 10 million yuan, which has significantly increased over the years through various capital increases and restructuring[33].

证券代码：601901 证券简称：方正证券 公告编号：2023-004 方正证券股份有限公司 关于召开2022年度业绩说明会的公告 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。 重要内容提示： 投资者可于 2023 年 2 月 21 日(星期二)至 2 月 27 日(星期一)16:00 前登录 上 证 路 演 中 心 网 站 首 页 点 击 " 提 问 预 征 集 " 栏 目 或 通 过 公 司 邮 箱 pub@foundersc.com 进行提问，公司将在说明会上对投资者普遍关注的问题进行 回答。 公司将于 2023 年 2 月 28 日在上海证券交易所网站（www.sse.com.cn）披 露公司 2022 年年度报告。为便于广大投资者更加全面深入地了解公司 2022 年 年度业绩和经营情况，公司计划于 2023 年 2 月 28 日举行 2022 年度业绩说明 会，就投资者关心的问题进行交流。 一、 说明会类型 本次业绩说明会以网络直播结合文字互动方式召开，公司将针对 2022 年年 度业绩和经营情况与投资者进行互动交 ...