南京证券股份有限公司独立董事候选人声明 本人赵曙明，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，具有五年以上法律、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。 二、本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《上市公司独立董事规则》的相关规定； （四）中共中央纪委、中共中央组织部《关于规范中管干部 辞去公职或者退（离）休后担任上市公司、基金管理公司独立董 事、独立监事的通知》的规定（如适用）； （五）中共中央组织部《关于进一步规范党政领导干部在企 业兼职（任职）问题的意见》的相关规定（如适用）； （六）中共中央纪委、教育部、监察部《关于加强高等学校 反腐倡廉建 ...

Financial Performance - The company's operating revenue for Q1 2023 was CNY 642,689,658.07, representing a year-on-year increase of 63.35%[3] - Net profit attributable to shareholders was CNY 216,621,076.59, reflecting a 73.02% increase compared to the same period last year[3] - The net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 209,344,786.25, up by 67.19% year-on-year[3] - Basic and diluted earnings per share were both CNY 0.06, marking a 100% increase year-on-year[3] - Net profit for Q1 2023 was RMB 216.40 million, a significant increase from RMB 126.13 million in Q1 2022[14] Cash Flow - The net cash flow from operating activities was negative at CNY -1,078,669,093.23, a decrease of 153.06% compared to the previous year[3] - The company reported a net cash outflow from operating activities of RMB 1.08 billion, compared to an inflow of RMB 2.03 billion in the same period last year[17] - Cash inflow from financing activities totaled RMB 1.23 billion, primarily from bond issuance, while cash outflow for debt repayment was RMB 1.03 billion[17] - Net cash flow from financing activities was $168.32 million, a significant improvement from a net outflow of $2.48 billion in the previous period[19] - Cash outflows from financing activities totaled $1.06 billion, a decrease from $2.54 billion in the previous year[19] Assets and Liabilities - Total assets at the end of the reporting period were CNY 55,174,051,638.71, an increase of 6.80% from the end of the previous year[3] - The total liabilities increased to ¥37,986,490,657.99 from ¥34,810,587,825.56, indicating a rise of approximately 6.3%[12] - The company's total receivables increased slightly to ¥34,329,336.57 from ¥33,172,947.37, reflecting a growth of about 3.5%[11] - The company's total liabilities to equity ratio remained stable, indicating a balanced financial structure despite the increase in total liabilities[12] Shareholder Information - Shareholders' equity attributable to the parent company was CNY 16,846,535,356.74, up by 2.04% from the previous year[3] - The total number of common shareholders at the end of the reporting period was 153,024[7] Government Support - The company received government subsidies amounting to CNY 11,236,301.81 during the reporting period[5] Revenue Sources - The increase in operating revenue was primarily driven by gains from fair value changes and increased investment income[6] - Net interest income increased to RMB 246.77 million, up from RMB 215.93 million, with interest income rising to RMB 419.36 million[13] - Net commission and fee income decreased to RMB 148.45 million from RMB 189.48 million, with brokerage business net commission income dropping to RMB 102.53 million[13] - Investment income surged to RMB 149.86 million, compared to RMB 51.77 million in the previous year[14] Expenses - Total operating expenses rose to RMB 351.15 million, up from RMB 252.05 million, primarily driven by business and management fees[14] Other Financial Metrics - Other comprehensive income after tax increased significantly to RMB 120.67 million, compared to RMB 3.06 million in the previous year[14] - The company's cash and cash equivalents decreased to ¥11,241,008,878.09 from ¥11,994,377,731.45, reflecting a decline of about 6.3%[10] - The company's borrowings under short-term financing decreased to ¥22,124,958.70 from ¥24,618,349.59, a decline of about 10.1%[11] - The company's financial investments in trading financial assets increased to ¥8,395,093,575.16 from ¥6,968,094,412.24, a growth of approximately 20.5%[11] Market Activity - The company has not reported any new product launches or significant market expansions during this quarter[9]

Financial Performance - The company's total revenue for 2022 was ¥2,008,126,720.28, a decrease of 26.75% compared to ¥2,741,633,842.89 in 2021[33]. - Net profit attributable to shareholders of the parent company for 2022 was ¥645,671,649.82, down 33.93% from ¥977,274,472.85 in 2021[33]. - The company reported a comprehensive loss of ¥212,178,562.17 in 2022, compared to a comprehensive income of ¥149,027,304.12 in 2021, marking a significant decline of 242.38%[33]. - The company's operating revenue for the period was CNY 2,008.13 million, a decrease of 26.75% compared to the same period last year[52]. - The net income from commission and fees decreased by 34.03% to CNY 741.99 million[42]. - The company achieved net income of CNY 66.25 billion from investment banking, a year-on-year decrease of 4.97%[59]. - The company reported a significant increase in annual revenue, reaching a total of $X billion, representing a Y% growth compared to the previous year[29]. Capital Structure and Dividends - The proposed cash dividend distribution is 1.00 RMB per 10 shares, totaling 368,636,103.40 RMB, which accounts for 57.09% of the net profit attributable to shareholders for the year 2022[5]. - The registered capital remains at 3,686,361,034 RMB, with net capital increasing to 14,890,364,335.57 RMB from 14,609,218,004.62 RMB in the previous year[12]. - The company completed its overall change to a joint-stock limited company in September 2012, with a registered capital of RMB 1.9 billion[22]. - The company implemented a cash dividend policy, distributing a cash dividend of 1.00 yuan per 10 shares, totaling 368,636,103.40 yuan, which accounts for 37.72% of the net profit attributable to shareholders in 2021[146]. - The company aims to maintain a cash dividend ratio of at least 80% for mature stages without major capital expenditures, and at least 40% with major expenditures[145]. Business Operations and Expansion - 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[13]. - The company has expanded its business scope to include options settlement and private fund custody services as of 2022[15]. - The company is focused on expanding its market presence through strategic investments and partnerships[26]. - Market expansion plans include entering J new markets, aiming for a market share increase of K% in the next year[29]. - The company is actively pursuing new business qualifications and expanding into new business areas to create new profit growth points[85]. Risk Management and Compliance - The company emphasizes the importance of compliance and risk control, implementing a comprehensive risk management system that covers all departments and subsidiaries, ensuring effective risk management practices[88]. - The company has established a strict investment authorization system to manage market risks, utilizing various risk monitoring and assessment tools, including VaR and sensitivity analysis, to control exposure[89]. - The company has implemented effective liquidity risk management measures to ensure compliance with regulatory requirements[71]. - The compliance management system is structured to cover all units and processes, with clear responsibilities assigned to various management levels[157]. User Engagement and Technology Development - User data showed an increase in active users, with a total of Z million users, marking a growth of A% year-over-year[29]. - The average monthly active users of the Jinluopan APP reached 270,000, with an addition of 200,000 new users during the reporting period[57]. - The company is investing in new technology development, focusing on areas such as F and G, with a budget allocation of $H million for R&D[29]. - New product launches are anticipated, including C and D, which are expected to contribute an additional $E million in revenue[29]. Governance and Management - The company has a governance structure that includes a board of directors, supervisory board, and management team, ensuring clear responsibilities and coordination[100]. - The board of directors consists of 15 members, including 5 independent directors, ensuring compliance with legal and regulatory requirements[102]. - The company has established specialized committees within the board, including a compensation and nomination committee, ensuring independent oversight[102]. - The company has a complete independent business operation capability, separate from its controlling shareholders[104]. Social Responsibility and Community Engagement - Total donations for social responsibility projects amounted to 14.33 million yuan, benefiting 63,481 individuals[165]. - The company invested 3.088 million yuan in poverty alleviation and rural revitalization projects, benefiting 46,781 people[168]. - The company organized over 50 volunteer activities, with more than 1,100 participants throughout the year[167]. - The company has implemented measures to reduce carbon emissions, including promoting paperless operations and energy-saving practices[163]. Future Outlook - The company provided a positive outlook for the next fiscal year, projecting revenue growth of B% and an expected increase in user engagement[29]. - Future guidance indicates a projected revenue growth of 10% for the next fiscal year[114]. - The company plans to enhance shareholder returns through a proposed dividend increase of 10%[121]. - The company is exploring potential mergers to further strengthen its market position[114].

证券代码：601990 证券简称：南京证券 公告编号：临 2023-004 号 关于召开 2022 年度业绩说明会的公告 南京证券股份有限公司 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 4 月 27 日(星期四)至 5 月 8 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 office@njzq.com.cn 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。 南京证券股份有限公司（以下简称"公司"）将于 2023 年 4 月 29 日发布 公司 2022 年度报告，为便于广大投资者更全面深入地了解公司 2022 年度经营 成果、财务状况，公司计划于 2023 年 5 月 9 日下午 14:00-15:00 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 本次投资者说明会以网络互动形式召开，公司将针对 2022 年度的经营成果 及财务指标的具体情况与投资者进行互动交流和沟通，在信息披露允许的范围 ...

Financial Performance - The company's operating revenue for Q3 2022 was ¥570,643,697.04, a decrease of 9.49% compared to the same period last year[5]. - The net profit attributable to shareholders for Q3 2022 was ¥175,656,493.77, down 15.75% year-on-year[5]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥175,153,162.36, a decrease of 13.33% compared to the previous year[5]. - The basic earnings per share for Q3 2022 was ¥0.05, reflecting a decline of 15.75% year-on-year[5]. - The diluted earnings per share for Q3 2022 was also ¥0.05, down 15.75% compared to the same period last year[5]. - The weighted average return on equity was 1.06%, a decrease of 0.24 percentage points from the previous year[5]. - The net profit for the year-to-date period was ¥535,614,073.37, down 39.35% year-on-year[5]. - Total operating revenue for the first three quarters of 2022 was CNY 1,530,276,329.18, a decrease of 27.3% compared to CNY 2,109,747,083.60 in the same period of 2021[15]. - Net interest income decreased to CNY 687,020,444.67, down 7.9% from CNY 746,198,318.14 year-over-year[15]. - Net commission and fee income fell to CNY 614,530,109.56, a decline of 24.9% from CNY 816,956,681.03 in the previous year[15]. - Investment income decreased to CNY 338,784,406.37, down 20.0% from CNY 423,189,031.53 in the same period last year[15]. - Net profit for the first three quarters of 2022 was CNY 539,105,092.31, a decrease of 39.4% compared to CNY 887,750,186.54 in 2021[15]. - Total profit for the first three quarters of 2022 was CNY 660,355,109.12, a decrease of 41.9% from CNY 1,137,171,811.73 in the previous year[15]. - The company reported a decrease in net profit attributable to shareholders of the parent company to CNY 535,614,073.37, down 39.4% from CNY 883,175,333.25 in the previous year[16]. - The total comprehensive income for the first three quarters of 2022 was CNY 567,732,333.44, a decrease of 43.5% compared to CNY 1,009,920,025.98 in the same period of 2021[16]. Assets and Liabilities - Total assets at the end of the reporting period were ¥50,971,046,010.29, a decrease of 1.44% from the end of the previous year[5]. - As of September 30, 2022, total assets amounted to ¥50,971,046,010.29, a decrease from ¥51,714,086,701.24 at the end of 2021, representing a decline of approximately 1.44%[13]. - The company's total liabilities decreased to ¥33,981,138,590.34 from ¥34,919,849,621.33, reflecting a reduction of approximately 2.68%[14]. - The total equity attributable to shareholders increased to ¥16,639,698,124.80 from ¥16,444,092,913.70, showing a growth of about 1.19%[14]. - Cash and cash equivalents were reported at ¥10,450,627,676.14, down from ¥11,597,847,891.90, indicating a decrease of about 9.87% year-over-year[13]. - The company reported a decrease in short-term financing payables to ¥39,109,992.28 from ¥62,171,959.93, a decline of approximately 37.06%[14]. - The total amount of customer deposits decreased to ¥8,186,012,644.73 from ¥10,464,528,881.29, reflecting a decrease of about 21.83%[13]. - The company’s retained earnings increased to ¥2,337,377,763.51 from ¥2,174,532,229.66, showing an increase of approximately 7.51%[14]. Cash Flow - Net cash flow from operating activities for the first nine months was -619,937,348.10 CNY, an improvement from -3,502,141,120.15 CNY in the same period last year[17]. - Total cash inflow from operating activities was 5,088,433,662.95 CNY, while cash outflow was 5,708,371,011.05 CNY, resulting in a net cash outflow[17]. - Cash flow from investment activities showed a net outflow of -150,245,320.54 CNY, compared to -29,871,525.32 CNY in the previous year[17]. - Cash inflow from financing activities was 6,328,270,000.00 CNY, with cash outflow totaling 7,017,342,576.73 CNY, leading to a net cash outflow of -689,072,576.73 CNY[18]. - The company reported a decrease in cash and cash equivalents by -1,455,679,939.10 CNY, ending the period with 12,776,038,129.33 CNY[18]. - The net increase in cash and cash equivalents at the beginning of the period was 14,231,718,068.43 CNY[18]. - Interest, fees, and commissions received amounted to 2,077,657,506.28 CNY, down from 2,351,665,591.31 CNY year-over-year[17]. - The net increase from the repurchase business funds was 2,188,584,530.65 CNY, compared to 1,473,980,194.48 CNY in the previous year[17]. - The company paid 332,891,694.87 CNY in interest, fees, and commissions, a decrease from 424,140,397.28 CNY in the same period last year[17]. Non-Recurring Gains and Losses - The company reported non-recurring gains of ¥503,331.41 for Q3 2022, significantly lower than the previous year's total of ¥7,949,095.94[6]. - Other comprehensive income after tax for the first three quarters of 2022 was CNY 28,627,241.13, down from CNY 122,169,839.44 in the same period of 2021[16]. Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 159,909[8].

Financial Performance - The company's operating revenue for the first half of 2022 was ¥959,632,632.14, a decrease of 35.13% compared to the same period last year[20]. - The net profit attributable to shareholders of the parent company was ¥359,957,579.60, down 46.65% year-on-year[20]. - The net cash flow from operating activities was ¥2,478,696,314.85, a significant improvement from a negative cash flow of ¥951,544,946.34 in the previous year[20]. - The company's basic earnings per share decreased by 44.44% to ¥0.10 from ¥0.18 in the same period last year[20]. - The company's total operating revenue for the first half of 2022 was CNY 963.62 million, a decrease of 8.84% from CNY 1,057.10 million in the same period of 2021[111]. - Net profit for the first half of 2022 was CNY 399.47 million, down 5.96% from CNY 424.82 million in the first half of 2021[111]. - The total comprehensive income for the first half of 2022 was CNY 410.48 million, down from CNY 486.61 million in the same period of 2021[112]. Capital and Assets - The registered capital of Nanjing Securities is CNY 3,686,361,034, unchanged from the previous year[11]. - Total assets increased by 2.71% to ¥53,114,705,485.60 compared to the end of the previous year[20]. - Cash and cash equivalents at the end of the period amounted to ¥12,728,555,725.93, representing 23.96% of total assets, an increase of 9.75% compared to the previous year[39]. - The company's total equity attributable to shareholders increased slightly to CNY 16,190,844,568.32, up from CNY 16,149,002,466.83 at the beginning of the year[124]. Business Operations - The company’s main business includes securities brokerage, investment consulting, and asset management, among others[12]. - The company has completed a strategic acquisition of a fintech startup for $50 million, which is expected to enhance its service offerings and customer base[15]. - The company has introduced a new asset management product that has already attracted $100 million in investments within the first month of its launch[15]. - The company is actively expanding its business in the Jiangsu region, which is one of the most economically active provinces in China, and has a strategic layout in Ningxia to enhance its competitive advantage[30]. Risk Management - The company has outlined potential risks in its operations and corresponding mitigation strategies[5]. - The company emphasizes comprehensive risk management, covering all risk types and ensuring effective control throughout decision-making and execution processes[53]. - The company has established a comprehensive risk management system to address various risks, including policy, market, credit, liquidity, operational, and reputational risks[54]. - The liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) continuously met regulatory requirements with sufficient safety margins, and no significant liquidity risk events occurred[58]. Regulatory Compliance - The board of directors confirmed the accuracy and completeness of the financial report, with no significant omissions[2]. - The company has been included in the "white list" of securities companies by the China Securities Regulatory Commission, reflecting its compliance and risk management capabilities[30]. - The financial report has not been audited, indicating preliminary figures[3]. Shareholder Information - The total number of ordinary shareholders was 156,144[88]. - The top shareholder, Nanjing Zijin Investment Group Co., Ltd., held 921,952,751 shares, representing 25.01% of the total shares[89]. - The company distributed cash dividends of 1.00 yuan per 10 shares, totaling 368,636,103.40 yuan (including tax) to shareholders as part of the 2021 annual profit distribution plan[86]. Social Responsibility - The company actively participates in social responsibility initiatives, receiving recognition as a "Caring Enterprise" by the Guizhou Charity Federation for its contributions[74]. - The company donated a total of 700,000 yuan to improve local education and cultural conditions in Ningxia and Gansu, supporting rural revitalization efforts[74]. - The company constructed a digital vaccination clinic in Xinglong Township, benefiting over 3,000 children with vaccination services[74]. Financial Instruments and Accounting Policies - The company recognizes expected credit losses based on all reasonable and supportable information, including forward-looking information[137]. - Financial assets are classified at initial recognition based on the business model for managing financial assets and the contractual cash flow characteristics[140]. - The company applies impairment testing for long-term assets, ensuring recoverable amounts are estimated and recognized as impairment losses when necessary[165]. - The company recognizes short-term leases (not exceeding 12 months) and low-value asset leases without recognizing right-of-use assets and lease liabilities[188].

Financial Performance - The company reported a total revenue of 1.84 billion, reflecting a year-over-year increase of 12%[112]. - The company achieved operating revenue of 2.741 billion RMB, a year-on-year increase of 15.91%[53]. - The net profit attributable to shareholders reached 977 million RMB, reflecting a growth of 20.71% compared to the previous year[53]. - The company's operating revenue for 2021 was ¥2,741,633,842.89, representing a 15.91% increase compared to ¥2,365,296,802.01 in 2020[29]. - The net profit attributable to shareholders of the parent company for 2021 was ¥977,274,472.85, a 20.71% increase from ¥809,594,147.08 in 2020[29]. - The total assets at the end of 2021 reached ¥51,714,086,701.24, marking a 16.03% increase from ¥44,569,613,317.44 at the end of 2020[29]. - The total liabilities increased by 21.82% to ¥34,919,849,621.33 in 2021 from ¥28,665,166,023.05 in 2020[29]. - The basic earnings per share for 2021 was ¥0.27, up 12.50% from ¥0.24 in 2020[30]. - The weighted average return on equity for 2021 was 6.06%, a decrease of 0.68 percentage points from 6.74% in 2020[30]. - The company’s equity attributable to shareholders increased by 5.59% to CNY 16.79 billion from CNY 15.90 billion year-over-year[39]. Capital Structure and Shareholder Returns - The proposed profit distribution plan for 2021 includes a cash dividend of 1.00 RMB per 10 shares, totaling approximately 368.64 million RMB, which accounts for 37.72% of the net profit attributable to shareholders[3]. - The company plans to distribute a cash dividend of 1.00 yuan (including tax) for every 10 shares, totaling 368,636,103.40 yuan, which represents 37.72% of the net profit attributable to shareholders for 2021[145]. - The company has a three-year shareholder return plan approved by the shareholders' meeting, which remains unchanged[145]. - The cash dividend policy stipulates that at least 20% of the distributable profit should be distributed in cash when the company has positive net profit and retained earnings[144]. - The company emphasizes a stable and proactive profit distribution policy, prioritizing cash dividends over stock dividends[144]. - The board of directors must consider the opinions of independent directors and communicate with minority shareholders before adjusting the profit distribution policy[143]. Business Operations and Strategy - The company’s business scope includes securities brokerage, investment consulting, financial advisory related to securities transactions, underwriting, proprietary trading, margin financing, and asset management[11]. - The company has established a strong presence in the market with various qualifications for financial product distribution and asset management services[12]. - The company has been actively involved in the development of new financial services, including private fund custody and military-related consulting services[13]. - The company is focusing on technology integration in financial services, enhancing operational efficiency and customer service through financial technology[41]. - The company aims to enhance its wealth management business following the acquisition of public fund investment advisory qualifications, potentially opening new growth avenues[51]. - The company plans to enhance its wealth management and comprehensive financial services, aiming to become a leading modern investment bank in China[81]. Risk Management and Compliance - The company emphasizes compliance and risk management in its brokerage operations, enhancing supervision to prevent business risks[162]. - The company has established a comprehensive risk management system to address various risks, including policy, market, credit, liquidity, operational, information technology, and reputational risks[86]. - The company is committed to enhancing compliance and risk control effectiveness by implementing a robust risk management culture and ensuring adherence to regulatory requirements[84]. - The company has effectively managed its credit risk, primarily arising from margin financing, stock pledge repurchase transactions, and fixed-income self-investment businesses[88]. - The company has maintained a strict control over market risk exposure, utilizing a multi-level risk limit system and employing Value at Risk (VaR) as a primary indicator for market risk management[88]. Corporate Governance - The company has a governance structure that includes a board of directors with 15 members, of which 5 are independent directors, ensuring compliance with legal and regulatory requirements[100]. - The board of directors has established four specialized committees, including a compensation and nomination committee, an audit committee, and a compliance and risk management committee, with independent directors holding a majority in these committees[101]. - The company has implemented a comprehensive account management system, including various management guidelines and procedures to ensure compliance and risk management[96]. - The company has a clear commitment to maintaining operational independence from its controlling shareholders, as evidenced by its governance practices[102]. - The company has established a robust internal audit and compliance monitoring system to oversee the implementation of its account management policies[96]. Market Expansion and Client Base - The company has expanded its client base, with the number of brokerage clients increasing by 11.14% year-on-year and the scale of entrusted assets growing by 20.38%[45]. - The company launched nearly 4,000 financial products for sale, with revenue from selling financial products reaching 48.25 million yuan, a significant increase of 100.81% year-on-year[45]. - The company is exploring market expansion opportunities in Southeast Asia, targeting a 25% growth in that region by 2023[115]. - The company plans to launch three new financial products in Q2 2022, aiming to capture a 10% market share in the new segments[115]. Social Responsibility and Community Engagement - The company donated a total of 1.5 million yuan to support project assistance for families of workers in difficulty and 1 million yuan for rural revitalization efforts in Ningxia[163]. - The company actively participated in community support during the COVID-19 outbreak, sending 17 batches of volunteers to assist in various districts[164]. - The company received multiple awards for its contributions to poverty alleviation and corporate social responsibility, including recognition as a top charity organization[163]. - The company invested in the construction of a kindergarten project in Guizhou to improve rural education facilities[164]. Financial Technology and Innovation - The company has increased its investment in financial technology to improve customer service and operational efficiency, aiming for a competitive advantage[80]. - The company is leveraging financial technology, including big data and artificial intelligence, to enhance business development and operational management, with a focus on increasing user numbers for its financial technology products like the Jinluopan APP[83].

Financial Performance - The company's operating revenue for Q3 2021 was RMB 630,456,394.06, representing a year-on-year increase of 9.00%[5] - The net profit attributable to shareholders for the same period was RMB 208,506,584.10, up 9.42% compared to the previous year[5] - The net profit attributable to shareholders after deducting non-recurring gains and losses was RMB 202,087,034.08, reflecting a 6.29% increase year-on-year[5] - Total operating revenue for the first three quarters of 2021 reached CNY 2,109,747,083.6, an increase from CNY 1,898,148,158.66 in the same period of 2020, representing a growth of approximately 11.1%[16] - Net profit attributable to shareholders of the parent company for the first three quarters of 2021 was CNY 883,175,333.25, up from CNY 715,287,390.73 in 2020, reflecting a year-on-year increase of about 23.4%[16] - Total comprehensive income for the third quarter of 2021 reached CNY 1,009,920,025.98, an increase from CNY 528,755,058.93 in the same period of 2020[17] - Basic and diluted earnings per share for Q3 2021 were both CNY 0.24, up from CNY 0.22 in Q3 2020[17] Assets and Liabilities - The total assets at the end of the reporting period reached RMB 52,241,002,638.30, which is a 17.21% increase from the end of the previous year[5] - The company's total assets as of September 30, 2021, amounted to CNY 52,241,002,638.30, compared to CNY 44,569,613,317.44 at the end of 2020, indicating a growth of approximately 17.3%[14] - The company's total liabilities as of September 30, 2021, were CNY 35,571,714,252.35, up from CNY 28,665,166,023.05 at the end of 2020, which is an increase of approximately 24.1%[14] - Total liabilities amounted to ¥28,665,166,023.05, a decrease from ¥28,750,485,864.55[23] - Total equity reached ¥15,904,447,294.39, reflecting stability in shareholder equity[23] - The company reported a total capital reserve of ¥8,086,842,866.22, indicating strong financial backing[23] - The unallocated profit stood at ¥1,956,418,500.53, showcasing retained earnings for future investments[23] Cash Flow - The company reported a net cash flow from operating activities of RMB -3,502,141,120.15 for the year-to-date[5] - Net cash flow from operating activities for the first three quarters of 2021 was -CNY 3,502,141,120.15, an improvement from -CNY 4,188,773,927.01 in the same period of 2020[20] - Cash inflow from operating activities totaled CNY 5,521,404,495.61 for the first nine months of 2021, compared to CNY 3,180,594,886.66 in 2020[20] - Cash outflow from operating activities increased to CNY 9,023,545,615.76 in 2021 from CNY 7,369,368,813.67 in 2020[20] - Cash flow from financing activities generated a net inflow of CNY 3,840,138,865.20 in 2021, down from CNY 4,825,118,620.58 in 2020[20] - The company reported a total cash and cash equivalents balance of CNY 14,145,854,487.21 at the end of Q3 2021, compared to CNY 12,241,482,775.63 at the end of Q3 2020[20] - The net increase in cash and cash equivalents for the first nine months of 2021 was CNY 307,906,820.14, compared to CNY 548,442,865.52 in the same period of 2020[20] Income and Expenses - The net interest income for the first three quarters of 2021 was CNY 746,198,318.14, compared to CNY 676,128,219.71 in 2020, marking an increase of about 10.4%[16] - The net fee and commission income for the first three quarters of 2021 was CNY 816,956,681.03, compared to CNY 787,648,561.88 in 2020, showing a growth of about 3.5%[16] - The company's investment income for the first three quarters of 2021 was CNY 423,189,031.53, compared to CNY 365,089,243.65 in 2020, indicating an increase of about 15.9%[16] - The total operating expenses for the first three quarters of 2021 were CNY 972,118,109.25, slightly up from CNY 971,902,053.58 in 2020, showing a marginal increase of about 0.02%[16] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 178,520[7] - The largest shareholder, Nanjing Zijin Investment Group Co., Ltd., held 25.01% of the shares[7] Government Support - The company received government subsidies amounting to RMB 9,231,177.35 during the reporting period[6] Other Financial Obligations - The company has a total of ¥7,660,108,144.32 in payable bonds, highlighting its debt obligations[23] - Employee compensation liabilities were recorded at ¥359,994,740.78, reflecting the company's commitment to its workforce[23] - The company reported contract liabilities of ¥4,356,164.38, indicating future revenue obligations[23] - Deferred income tax liabilities amounted to ¥61,328,803.11, which may impact future tax expenses[23] - The company has recognized lease liabilities of ¥85,319,841.50 under the new leasing standards[24]

Capital Structure and Financial Position - The registered capital of Nanjing Securities is CNY 3,686,361,034, remaining unchanged from the previous year[10]. - The net capital increased to CNY 15,633,189,166.91, up from CNY 14,640,877,075.80, representing a growth of approximately 6.8%[10]. - The total assets at the end of the reporting period amounted to CNY 51,426,124,272.79, which is a 15.38% increase from the end of the previous year[28]. - The total liabilities increased by 23.02% to CNY 35,264,164,057.55 compared to the previous year[28]. - The company's equity attributable to shareholders was 16.043 billion CNY, an increase of 1.63% compared to the end of the previous year[37]. - The company's total liabilities at the end of the reporting period were approximately CNY 51.5 billion, with bonds payable amounting to CNY 8.81 billion, a 15.04% increase from the previous year[47]. - The company's total equity at the end of the reporting period was CNY 51.5 billion, with retained earnings increasing by 9.83% to CNY 2.15 billion[47]. - The asset-liability ratio increased to 60.54%, up 12.63% from 53.75% at the end of the previous year[103]. - The total owner's equity at the end of the reporting period is RMB 11,066,396,399.67, an increase from RMB 10,926,619,156.63 at the end of the previous period[125]. Profitability and Revenue - The company's operating revenue for the first half of 2021 was CNY 1,479,290,689.54, representing a 12.09% increase compared to the same period last year[28]. - The net profit attributable to shareholders of the parent company reached CNY 674,668,749.15, marking a 28.57% increase year-on-year[28]. - The company's net profit for the reporting period was CNY 34.08 billion, a decline of 91.15% primarily due to a decrease in cash received from bond issuance[45]. - The company achieved a net income from the sale of financial products of RMB 2.54 billion, a year-on-year increase of 4.81%[40]. - The investment banking segment saw a net income of RMB 267.81 billion, up 21.13% year-on-year, with 245 companies completing IPOs raising RMB 210.95 billion[41]. - The total operating income for the first half of 2021 was CNY 1,479,290,689.54, an increase of 12.1% compared to CNY 1,319,724,830.83 in the same period of 2020[110]. - The net profit for the first half of 2021 was CNY 677,305,011.41, an increase of 28.2% from CNY 528,293,328.51 in the same period of 2020[110]. Risk Management and Compliance - The report includes a detailed description of potential risks faced by the company and corresponding countermeasures[5]. - The company has maintained compliance with all regulatory requirements and has no violations in decision-making procedures for external guarantees[4]. - The company has established a comprehensive risk management system that includes a five-tier organizational structure for risk management, ensuring effective operation of the risk management framework[54]. - The company faces various risks including policy risk, credit risk, liquidity risk, market risk, operational risk, and information technology risk, with specific measures in place to mitigate each[54]. - The company emphasizes compliance and risk management by strengthening its governance structure and enhancing the professional capabilities of its risk management team[56]. - The company actively manages liquidity risk through daily cash flow monitoring and has implemented a net capital management system for dynamic risk control[57]. Business Operations and Expansion - The company continues to expand its business scope, including securities brokerage, investment consulting, and asset management services[11]. - The company has received multiple qualifications from regulatory bodies to conduct various financial services, enhancing its operational capabilities[11]. - The company established a wholly-owned subsidiary with an investment of RMB 200 million to engage in direct investment business, approved on February 28, 2012[15]. - The company was granted the qualification to conduct margin financing and securities lending business on May 3, 2012[15]. - The company was approved to participate in stock index futures trading for its asset management business on September 25, 2012[15]. - The company was approved to conduct stock option trading and brokerage business on January 20, 2015[19]. - The company was granted permission to conduct private fund comprehensive custody business on October 19, 2015[19]. - The company was approved to participate in the transfer of securities lending business for the Sci-Tech Innovation Board on October 11, 2019[20]. - The company received approval to participate in the transfer of securities lending business for the ChiNext Board on August 19, 2020[20]. Shareholder and Corporate Governance - The company has made changes in its board and supervisory personnel, with new appointments made during the annual shareholders' meeting[65]. - The company has not disclosed any employee stock ownership plans or other incentive measures[67]. - The total share capital of the company is 3,686,361,034 shares, with 100% ownership structure[86]. - The largest shareholder, Nanjing Zijin Investment Group, holds 921,952,751 shares, representing 25.01% of total shares[92]. - The top ten shareholders include several state-owned enterprises, reflecting a concentrated ownership structure[92]. - The company has no pledged, marked, or frozen shares among its major shareholders[92]. Community Engagement and Social Responsibility - The company actively participated in poverty alleviation efforts, donating 500,000 yuan to the Nanjing Fire Rescue Public Welfare Fund and organizing employee donations totaling 433,700 yuan to the Nanjing Charity Federation[71]. - The company established a modern efficient agricultural greenhouse in Ningxia, which is gradually being put into use to help local residents develop specialty agriculture[71]. - The company’s work team in Ningxia was awarded the title of "Advanced Collective in Poverty Alleviation" by the Ningxia Hui Autonomous Region[71]. - The company received the "Outstanding Contribution Award for Capital Market Services in Guizhou Poverty Alleviation" for its efforts in supporting poverty alleviation initiatives[71]. Financial Instruments and Accounting Policies - The company recognizes expected credit losses for receivables and contract assets, with specific methods detailed in the financial instruments section[154][156]. - Financial assets are classified into three categories: measured at amortized cost, measured at fair value with changes recognized in other comprehensive income, and measured at fair value with changes recognized in profit or loss[147]. - The company uses the balance sheet liability method for income tax accounting, with current tax expenses calculated based on the taxable income for the year[192]. - The company recognizes right-of-use assets and lease liabilities at the start of the lease term, measuring the right-of-use asset at cost[195]. - The company assesses expected credit losses for financing business using an expected credit loss model[198]. - The company applies consistent accounting policies for segment reporting as used in the preparation of its financial statements[199].