南京证券股份有限公司 2023 年年度股东大会会议文件 南京证券股份有限公司 2023 年年度股东大会 会议文件 二〇二四年六月 南京证券股份有限公司 2023 年年度股东大会会议文件 南京证券股份有限公司 2023 年年度股东大会会议议程 现场会议时间：2024 年 6 月 21 日上午 10:00 现场会议地点：江苏省南京市江东中路 389 号（金融城 5 号楼） 3 楼报告厅 投票方式：现场投票和网络投票相结合（网络投票时间及投票注 意事项详见本公司于 2024 年 6 月 1 日在上海证券交易所网站披露的 本次股东大会会议通知） 现场会议日程： 一、宣布会议开始 | 议案一：公司 | 2023 年度董事会工作报告 1 | | --- | --- | | 议案二：公司 | 年度监事会工作报告 8 2023 | | 议案三：关于 | 2023 年度独立董事述职报告的议案 12 | | 议案四：关于公司 | 年年度报告的议案 38 2023 | | 议案五：公司 | 2023 年度财务决算报告 39 | | 议案六：公司 | 年度利润分配方案 44 2023 | | 议案七：关于公司 | 2024 年度中期 ...

重要内容提示： 一、召开会议的基本情况 证券代码：601990 证券简称：南京证券 公告编号：临 2024-015 号 南京证券股份有限公司 关于召开 2023 年年度股东大会的通知 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)股东大会类型和届次 2023 年年度股东大会 (二)股东大会召集人：董事会 (三)投票方式：本次股东大会所采用的表决方式是现场投票和网络投票相结合的 方式 (四)现场会议召开的日期、时间和地点 召开的日期时间：2024 年 6 月 21 日 10 点 00 分 召开地点：南京市江东中路 389 号（金融城 5 号楼）3 楼报告厅 (五)网络投票的系统、起止日期和投票时间。 网络投票系统：上海证券交易所股东大会网络投票系统 网络投票起止时间：自 2024 年 6 月 21 日 至 2024 年 6 月 21 日 采用上海证券交易所网络投票系统，通过交易系统投票平台的投票时间为股 东大会召开当日的交易时间段，即 9:15-9:25，9:30-11:30，13:00-15:00；通过互 联网投票平台 ...

证券代码：601990 证券简称：南京证券 公告编号：临 2024-014 号 南京证券股份有限公司（以下简称"公司"）于 2023 年 11 月 22 日发行了 2023 年度第一期短期融资券，发行金额为人民币 15 亿元，票面利率为 2.64%， 期限为 182 天，兑付日为 2024 年 5 月 22 日（详见公司于 2023 年 11 月 23 日披 露的《南京证券股份有限公司 2023 年度第一期短期融资券发行结果公告》）。 2024 年 5 月 22 日，公司兑付了 2023 年度第一期短期融资券本息共计人民 币 1,519,691,803.28 元。 特此公告。 南京证券股份有限公司董事会 2024 年 5 月 23 日 南京证券股份有限公司 2023 年度第一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。 ...

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。 南京证券股份有限公司 2024 年度第一期短期融资券已于 2024 年 5 月 16 日 发行完毕，相关发行情况如下： | 短期融资券名称 | | 南京证券股份有限公司 | 2024 | 年度第一期短期融资券 | | | | --- | --- | --- | --- | --- | --- | --- | | 短期融资券简称 | 24 南京证券 | CP001 | 期限 | 182 | 天 | | | 短期融资券代码 | 072410061 | | 发行日 | 2024 年 5 | 月 | 15 日 | | 起息日 | 2024 年 5 月 | 16 日 | 兑付日 | 2024 年 11 | 月 | 14 日 | | 计划发行总额 | 亿元 10 | | 实际发行总额 | 亿元 10 | | | | 发行价格 | 100 元/张 | | 票面利率 | 2.00% | | | 本期发行短期融资券的相关文件已在以下网站刊登： 证券代码：601990 证券简称：南京证券 公告编号： ...

Financial Performance - The company's operating revenue for Q1 2024 reached RMB 881,820,091.85, representing a year-on-year increase of 37.21%[4] - The net profit attributable to shareholders of the listed company was RMB 262,572,246.67, up 21.21% compared to the same period last year[4] - The net profit attributable to shareholders after deducting non-recurring gains and losses was RMB 256,579,529.88, reflecting a growth of 22.56% year-on-year[4] - The basic earnings per share for the period was RMB 0.07, an increase of 16.67%[4] - Total operating revenue for Q1 2024 was CNY 881.82 million, an increase of 37.16% compared to CNY 642.69 million in Q1 2023[13] - Net profit attributable to shareholders was CNY 262.57 million, compared to CNY 216.62 million in the same period last year, representing a 21.23% increase[14] - The company reported a total profit of CNY 366.27 million, up from CNY 290.13 million, indicating a growth of 26.19%[13] Assets and Liabilities - The total assets at the end of the reporting period were RMB 50,414,644,548.18, a decrease of 13.83% from the end of the previous year[4] - As of March 31, 2024, total assets amounted to ¥50,414,644,548.18, a decrease from ¥58,507,626,370.07 as of December 31, 2023, reflecting a decline of approximately 13.5%[11] - Total liabilities were reported at ¥32,661,997,325.05, down from ¥40,988,213,770.85, showing a reduction of around 20.1%[12] - The company's equity attributable to shareholders rose to ¥17,406,751,708.98 from ¥17,173,943,778.85, marking an increase of about 1.4%[12] Cash Flow - The net cash flow from operating activities was RMB 833,463,910.25, with no applicable year-on-year comparison[4] - The net cash flow from operating activities was CNY 833.46 million, a significant recovery from a net outflow of CNY 1.08 billion in Q1 2023[15] - Cash and cash equivalents reached ¥12,084,391,109.82, up from ¥10,433,305,223.38, indicating an increase of about 15.8%[11] - Cash and cash equivalents at the end of the period reached CNY 14,832,913,757.63, an increase from CNY 13,684,206,222.83 in the previous year[16] - The net increase in cash and cash equivalents for the period was CNY 1,458,151,995.02, compared to a decrease of CNY -916,077,647.67 in the previous year[16] Shareholder Information - The top ten shareholders held a total of 1,634,000,000 shares, accounting for 43.56% of the total shares[7] - The largest shareholder, Nanjing Zijin Investment Group Co., Ltd., held 921,952,751 shares, representing 25.01% of the total shares[7] Financial Assets and Investments - The total amount of financial assets held for trading decreased to ¥5,177,384,366.32 from ¥7,410,948,170.20, a decline of about 30.1%[11] - The company reported a decrease in other debt investments to ¥17,365,075,384.18 from ¥24,123,906,588.03, representing a drop of approximately 28.1%[11] - Derivative financial liabilities increased significantly to ¥93,373,406.11 from ¥44,869,240.64, reflecting a rise of approximately 108.0%[12] Operating Expenses - Total operating expenses rose to CNY 513.74 million from CNY 351.15 million, an increase of 46.19%[13] Other Financial Metrics - Non-recurring gains and losses totaled RMB 5,992,717.34 for the period[5] - Other comprehensive income after tax showed a loss of CNY 29.76 million, compared to a gain of CNY 120.67 million in Q1 2023[14] - The company distributed dividends and interest payments totaling CNY 59,299,961.99, compared to CNY 17,936,822.86 in the same period last year[16] - The impact of exchange rate changes on cash and cash equivalents was CNY 51,726.41, contrasting with a negative impact of CNY -530,285.39 in the previous year[16] Financing Activities - The total cash inflow from financing activities amounted to CNY 3,272,252,863.00, compared to CNY 1,228,520,000.00 in the previous year, representing a significant increase[16] - The total cash outflow from financing activities was CNY 2,644,357,449.17, compared to CNY 1,060,200,051.48 in the previous year[16] - The cash inflow from bond issuance was CNY 3,253,710,000.00, while cash outflow for debt repayment was CNY 2,574,710,000.00[16]

南京证券股份有限公司 独立董事候选人声明与承诺 本人陈传明，已充分了解并同意由提名人南京证券股份有限公 司董事会提名为南京证券股份有限公司第四届董事会独立董事候选 人。本人公开声明，本人具备独立董事任职资格，保证不存在任何影 响本人担任南京证券股份有限公司独立董事独立性的关系，具体声 明并承诺如下： 一、本人具备上市公司运作的基本知识，熟悉相关法律、行政法 规、部门规章及其他规范性文件，具有 5 年以上法律、经济、会计、 财务、管理或者其他履行独立董事职责所必需的工作经验。 本人已经参加培训并取得证券交易所认可的相关培训证明材料。 二、本人任职资格符合下列法律、行政法规和部门规章以及公司 规章的要求： （一）《中华人民共和国公司法》关于董事任职资格的规定； （九）《银行业金融机构董事（理事）和高级管理人员任职资格 管理办法》《保险公司董事、监事和高级管理人员任职资格管理规定》 《保险机构独立董事管理办法》等的相关规定（如适用）； （十）其他法律法规、部门规章、规范性文件和上海证券交易所 规定的情形。 （二）《中华人民共和国公务员法》关于公务员兼任职务的规定 （如适用）； 三、本人具备独立性，不属于下列情形： ...

目录 | 开篇 | 01 | | --- | --- | | 关于南京证券 | 03 | | 公司简介 | 03 | | 组织架构 | 04 | | 报告期内公司 ESG 相关主要荣誉 | 05 | | 完善机制 | | | --- | --- | | ESG 管理架构 | 07 | | ESG 管理行动 利益相关方沟通与实质性议题分析 | 08 09 | | 完善机制 强化 ESG 管理 | 01 | 聚焦主业 服务实体经济 | 03 | | --- | --- | --- | --- | | ESG 管理架构 | 07 | 助力区域发展 | 31 | | ESG 管理行动 | 08 | 服务实体经济 | 33 | | 利益相关方沟通与实质性议题分析 | 09 | 专业金融服务 | 37 | | | | 开展投资者教育 | 40 | | | | 网络与数据安全 | 43 | | 未来展望 | 73 | | --- | --- | | 关于本报告 | 75 | | 附录 | 76 | | 关键绩效表 | 76 | | 指标索引 | 79 | | 深化治理 | | | --- | --- | | 夯实发展根基 ...

Financial Performance - The total registered capital of Nanjing Securities is 3,686,361,034 RMB, with a net capital of 15,068,453,525.06 RMB, an increase from 14,890,364,335.57 RMB in the previous year[11]. - The proposed cash dividend distribution is 0.80 RMB per 10 shares, totaling 294,908,882.72 RMB, which accounts for 43.56% of the net profit attributable to shareholders for the year[3]. - The company reported a significant increase in annual revenue, reaching a total of $1.5 billion, representing a 20% year-over-year growth[24]. - The company's operating revenue for 2023 was ¥2,476,059,703.15, representing a 23.30% increase compared to ¥2,008,126,720.28 in 2022[27]. - The net profit attributable to shareholders of the parent company was ¥677,014,894.30, a 4.85% increase from ¥645,671,649.82 in the previous year[27]. - The total assets at the end of 2023 reached ¥58,507,626,370.07, marking a 13.25% increase from ¥51,661,082,120.54 at the end of 2022[27]. - The total liabilities increased by 17.75% to ¥40,988,213,770.85 from ¥34,810,587,825.56 in 2022[27]. - The company's net profit for the reporting period was approximately 683.13 million, representing a year-on-year increase of 5.11%[37]. - The total operating income for the year was approximately ¥2.48 billion, reflecting a 23.30% increase compared to the previous year[36]. Business Operations - The company’s business scope includes securities brokerage, investment consulting, financial advisory related to securities transactions, underwriting, proprietary trading, asset management, margin financing, and fund distribution[11]. - The company operates a total of 108 securities business departments across various regions[23]. - The distribution of business departments includes major cities such as Beijing, Guangzhou, and Shenzhen[23]. - The company has established a presence in multiple provinces, including Fujian, Guangdong, and Jiangsu[23]. - The company has been involved in the securities industry since its inception, with various licenses obtained over the years to enhance its service offerings[12]. Risk Management - The company’s performance is highly correlated with macroeconomic conditions and capital market trends, facing risks such as market, credit, liquidity, operational, compliance, and reputational risks[5][6]. - The company maintained a strong focus on compliance and risk management, with no major risk events occurring during the year[39]. - The company has established a comprehensive risk management system covering various business types and risks, ensuring risks are controllable, measurable, and bearable[80]. - Market risk primarily arises from equity investments, new third board market making, non-equity investments, derivatives, and asset management, with strict investment authorization and risk limit management in place[81]. - Liquidity risk management includes strengthening cash flow management and diversifying financing channels, with a liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) that consistently meet regulatory requirements[83]. Corporate Governance - The board of directors consists of 15 members, including 5 independent directors, and held 5 meetings during the reporting period, adhering to legal and regulatory requirements[93]. - The company has established an independent financial accounting department, ensuring independent financial decision-making and management[95]. - The company has a governance structure that integrates the party organization's leadership into its decision-making processes[93]. - The company has implemented measures to ensure independence in operations, including separate banking accounts and independent tax obligations[95]. - The company has established specialized committees under the board to enhance governance and oversight[120]. Shareholder Relations - The company plans to submit the profit distribution proposal for shareholder approval[3]. - The company will actively communicate with shareholders, especially minority shareholders, regarding profit distribution plans before the shareholders' meeting[132]. - The company aims to maintain a stable and proactive profit distribution policy, emphasizing reasonable returns to shareholders[133]. - The company has a cash dividend policy that requires the board to propose a profit distribution plan every three years based on profitability and development stage[130]. - The total cash dividend amount for the current period is 294,908,882.72 RMB, representing 43.56% of the net profit attributable to ordinary shareholders[135]. Strategic Initiatives - The company is investing $50 million in research and development for new technologies aimed at enhancing user experience[24]. - Market expansion plans include entering three new international markets, projected to contribute an additional $300 million in revenue[24]. - The company completed a strategic acquisition of a smaller tech firm for $100 million, expected to enhance its product offerings[24]. - The company is focused on building a high-quality professional talent team, particularly in key areas such as investment banking and research[78]. - The company aims to become a leading modern investment bank, providing reliable services and stable returns for shareholders while contributing to society[75]. Social Responsibility - The company invested a total of 1,575.84 million CNY in social responsibility initiatives, benefiting 43,911 individuals[154]. - The company contributed 384.60 million CNY in poverty alleviation and rural revitalization projects, directly helping 6,067 people[158]. - The company has adopted a paperless office policy to reduce resource consumption and promote energy-saving practices[152]. - The company has been recognized with multiple awards for its charitable contributions and social responsibility efforts, including the "Jiangsu Charity Award"[154]. - The company has committed to a sustainable development strategy aligned with national "dual carbon" goals[150]. Financial Instruments and Capital Structure - The company plans to issue up to 1,105,908,310 A shares to no more than 35 specific investors, raising a total of no more than 5 billion yuan[174]. - The company has received approval to issue corporate bonds with a total face value of 15 billion yuan, with a maturity of 2 years and a coupon rate of 2.50%[176]. - The company issued a total of 10 billion RMB in corporate bonds during the reporting period, with interest rates ranging from 2.37% to 3.30%[199]. - The company has a significant shareholder whose pledged shares account for over 80% of their holdings[196]. - The company has not faced any risks of termination of bond listings during the reporting period[200].

南京证券股份有限公司 未来三年（2024 年-2026 年）股东分红回报规划 南京证券股份有限公司（以下简称"公司"）在致力于自身可持续发展的同 时，高度重视股东的合理投资回报。为进一步强化回报股东意识，建立持续、稳 定、合理的投资者回报机制，增强利润分配决策透明度和可操作性，公司根据《公 司法》《证券法》以及中国证监会《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（2023 年修订）》等法 律法规、规范性文件的相关规定，在充分考虑行业特点、公司实际情况及未来发 展需要的基础上，制定了公司未来三年（2024 年-2026 年）股东分红回报规划（以 下简称"本规划"），具体内容如下： 一、制定本规划的主要考虑因素 公司着眼于长远和可持续的发展，在综合分析行业发展趋势、股东需求、社 会资金成本、外部融资环境、监管政策等因素的基础上，充分考虑公司所处的发 展阶段、公司发展规划、盈利规模、资金需求、监管指标以及自身流动性等情况， 建立对投资者持续、稳定、合理的回报规划与机制，以保证利润分配政策的连续 性和稳定性。 1.公司利润分配形式。公司可以采取现金、股票或者现金与 ...

一、被提名人具备上市公司运作的基本知识，熟悉相关法律、行 政法规、规章及其他规范性文件，具有 5 年以上法律、经济、会计、 财务、管理或者其他履行独立董事职责所必需的工作经验。 被提名人已经参加培训并取得证券交易所认可的相关培训证明 材料。 二、被提名人任职资格符合下列法律、行政法规和部门规章的要 求： （一）《中华人民共和国公司法》关于董事任职资格的规定； （二）《中华人民共和国公务员法》关于公务员兼任职务的规定 （如适用）； （三）中国证监会《上市公司独立董事管理办法》、上海证券交 易所自律监管规则以及公司章程有关独立董事任职资格和条件的相 1 关规定； 南京证券股份有限公司 独立董事提名人声明与承诺 提名人南京证券股份有限公司董事会，现提名陈传明为南京证券 股份有限公司第四届董事会独立董事候选人，并已充分了解被提名人 职业、学历、职称、详细的工作经历、全部兼职、有无重大失信等不 良记录等情况。被提名人已同意出任南京证券股份有限公司第四届董 事会独立董事候选人（参见该独立董事候选人声明）。提名人认为， 被提名人具备独立董事任职资格，与南京证券股份有限公司之间不存 在任何影响其独立性的关系，具体声明并承诺如 ...