关于南京证券股份有限公司 国浩律师（上海）事务所 法律意见书 国浩律师（上海）事务所 国浩律师（上海）事务所 法律意见书 2023 年第二次临时股东大会的法律意见书 致：南京证券股份有限公司 南京证券股份有限公司（以下简称"公司"）2023 年第二次临时股东大会（以 下简称"本次股东大会"）于 2023 年 10 月 12 日 9：30 在南京市江东中路 389 号（金 融城 5 号楼）3 楼报告厅召开。国浩律师（上海）事务所（以下简称"本所"）接受 公司的委托，指派律师（以下简称"本所律师"）出席会议见证，并依据《中华人民 共和国证券法》（以下简称"《证券法》"）、《中华人民共和国公司法》（以下简 称"《公司法》"）、中国证券监督管理委员会《上市公司股东大会规则》（以下简 称"《股东大会规则》"）和《南京证券股份有限公司章程》（以下简称"《公司章 程》"）出具本法律意见书。 本所律师根据对事实的了解和对法律的理解，已按有关法律、法规的规定对 公司本次股东大会的召集、召开程序是否合法及是否符合《公司章程》、出席会 议人员资格和召集人资格的合法有效性，以及本次股东大会表决程序、表决结果 和决议的合法有效性发表法 ...

证券代码：601990 证券简称：南京证券 公告编号：临 2023-028 号 南京证券股份有限公司 关于召开 2023 年第二次临时股东大会的通知 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。 重要内容提示： 一、召开会议的基本情况 (一)股东大会类型和届次 2023 年第二次临时股东大会 (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：2023 年 10 月 12 日 9 点 30 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 至 2023 年 10 月 12 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 联网投票平台的投票时间为股东大会召开当日的 9:15 ...

南京证券股份有限公司 2023 年第二次临时股东大会会议文件 南京证券股份有限公司 2023 年第二次临时股东大会 会议文件 二〇二三年十月 南京证券股份有限公司 2023 年第二次临时股东大会会议文件 南京证券股份有限公司 2023 年第二次临时股东大会会议议程 现场会议时间：2023 年 10 月 12 日上午 9:30 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 2023 年 9 月 27 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 二、宣布股东大会现场出席情况，推举计票人和监票人 五、投票表决 六、休会，汇总现场及网络投票结果 七、宣布投票表决结果 八、律师宣读关于本次股东大会的法律意见书 九、宣布会议结束 三、介绍会议基本情况和注意事项 四、审议议案（含股东发言和提问环节） 南京证券股份有限公司 2023 年第二次临时股东大会会议文件 目录 | 议案一：关于选举公司第四届董事会非独立董事的议案 1 | | --- | | 议案二：关于选举公司 ...

证券代码：601990 证券简称：南京证券 公告编号：临 2023-027 号 （一）召开时间：2023 年 9 月 13 日下午 14:00-15:00 南京证券股份有限公司 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 9 月 6 日(星期三)至 9 月 12 日(星期二)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"）已于 2023 年 8 月 25 日发布公 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 经营成果、财务状况，公司计划于 2023 年 9 月 13 日下午 14:00-15:00 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 本次投资者说明会以网络互动形式召开，公司将针对 20 ...

Financial Performance - The company's operating revenue for the first half of 2023 reached ¥1,294,960,685.02, representing a 34.94% increase compared to ¥959,632,632.14 in the same period last year[20]. - Net profit attributable to shareholders of the parent company was ¥456,156,611.07, up 26.73% from ¥359,957,579.60 in the previous year[20]. - The net profit attributable to shareholders of the parent company after deducting non-recurring gains and losses was ¥449,826,998.07, reflecting a 27.61% increase from ¥352,511,815.07 year-on-year[20]. - The company's operating income for the first half of 2023 was CNY 224.51 billion, a year-on-year increase of 9.03%[25]. - The net profit for the same period was CNY 85.05 billion, reflecting a year-on-year growth of 4.75%[25]. - The company's net profit for the first half of 2023 was ¥458,174,942.16, up 26.7% from ¥361,755,046.09 in the first half of 2022[101]. - The total comprehensive income for the first half of 2023 reached CNY 607,399,216.54, compared to CNY 410,478,204.89 in the same period of 2022, reflecting a significant increase[105]. Assets and Liabilities - The total assets at the end of the reporting period amounted to ¥56,294,857,854.38, an increase of 8.97% from ¥51,661,082,120.54 at the end of the previous year[20]. - Total liabilities increased by 12.44% to ¥39,140,511,110.22 from ¥34,810,587,825.56 at the end of the previous year[20]. - The total equity attributable to shareholders of the parent company was ¥16,812,158,234.90, a slight increase of 1.83% from ¥16,509,244,726.81 at the end of the previous year[20]. - The company's total assets increased to ¥283,141.73 million, up from ¥195,560.42 million at the end of the previous year, indicating significant growth[45]. - The company's total liabilities increased by 14.60% to ¥15,197,026,023.36, representing 27.00% of total assets[40]. - The total assets of Nanjing Securities are approximately CNY 16.79 billion, indicating a stable asset base[114]. Cash Flow - The net cash flow from operating activities was negative at -¥1,819,475,482.04, compared to a positive cash flow of ¥2,478,696,314.85 in the same period last year, marking a decrease of 173.40%[20]. - The company's cash flow from operating activities showed a net outflow of CNY 1,819,475,482.04 in the first half of 2023, compared to a net inflow of CNY 2,478,696,314.85 in the same period of 2022[106]. - Cash inflow from financing activities was CNY 5,663,820,000.00, significantly higher than CNY 1,103,000,000.00 in the same period of 2022[107]. - The total cash inflow from financing activities was 5,663,820,000.00 RMB, while the cash outflow was 3,938,691,055.02 RMB, resulting in a net cash flow of 1,725,128,944.98 RMB[109]. Capital Structure - The registered capital of Nanjing Securities is CNY 3,686,361,034, remaining unchanged from the previous year[11]. - The company plans to issue up to 1,105,908,310 A shares, raising a total of no more than 5 billion yuan, with Zijin Group expected to subscribe for 500 million yuan[72]. - The company issued 10 new collective asset management products during the reporting period, with a steady growth in business scale and further optimization of business structure[35]. - The company has a total bond balance of 15 billion yuan as of the latest report, with various bonds maturing between 2024 and 2026[86]. Risk Management - The company has established a comprehensive risk management system to address market, credit, liquidity, and operational risks[51]. - The company continues to enhance its compliance and risk management culture, ensuring a robust internal control system and maintaining a strong financial leverage and asset quality[29]. - Credit risk management includes strict control measures and dynamic management of trading counterparties to mitigate potential losses[52]. - The company has maintained stable operations in credit-related businesses and bond investments without significant credit risk events during the reporting period[53]. Corporate Governance - The company has not distributed dividends or conducted capital reserve transfers during the reporting period[57]. - The company has strengthened its compliance team and established a regular compliance assessment mechanism[54]. - The company has committed to avoiding and minimizing related party transactions, ensuring fair market practices[66]. - The report indicates that there are no changes in the controlling shareholder or actual controller during the reporting period[82]. Social Responsibility - The company has been recognized as a "Charity Star" by charity associations in the Yangtze River Delta region for its contributions to poverty alleviation and rural revitalization efforts[62]. - The company has actively engaged in environmental protection activities, including tree planting initiatives to support rural revitalization[60]. - In the first half of 2023, the company implemented infrastructure projects in Ningxia and Guizhou, including road improvements for cattle breeding cooperatives, enhancing rural living conditions[63]. - The company organized over 500 volunteer activities in the first half of 2023, promoting community service and support for vulnerable groups[64]. Employee and Management - The company employs 2,192 people, including 10 senior management personnel[120]. - The company has not disclosed any significant changes in its employee incentive plans during the reporting period[57]. - The company has included 7 subsidiaries and structured entities in its consolidated financial statements for the first half of 2023[121]. Accounting Policies - The company has not made any changes to its significant accounting policies or estimates during the reporting period[193]. - The company applies the control-based approach for determining the scope of consolidated financial statements, including itself and its subsidiaries[127]. - The company recognizes revenue when control of goods or services is transferred to customers, based on the transaction price allocated to each performance obligation[177].

详见与本公告同日披露的《南京证券股份有限公司 2023 年半年度报告》。 二、审议并通过公司《2023 年度中期合规报告》。 表决结果：同意 15 票；反对 0 票；弃权 0 票。 证券代码：601990 证券简称：南京证券 公告编号：临 2023-025 号 南京证券股份有限公司 第三届董事会第十四次会议决议公告 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。 南京证券股份有限公司（以下简称"公司"或"本公司"）第三届董事会第 十四次会议于 2023 年 8 月 14 日以邮件方式发出通知及会议材料，于 2023 年 8 月 24 日在公司总部以现场结合通讯方式召开。会议应出席董事 15 名，实际出席 董事 15 名（其中，毕胜董事、赵曙明独立董事、吴梦云独立董事、王旻独立董 事以视频方式出席会议），符合有关法律法规、规章、规范性文件以及公司《章 程》等规定。会议由李剑锋董事长主持，公司监事及部分高级管理人员列席会议。 会议作出如下决议： 一、审议并通过《关于公司 2023 年半年度报告的议案》。 表决结果：同意 15 票； ...

独立董事：赵曙明、李心丹、董晓琳、吴梦云、王旻 2023 年 8 月 24 日 南京证券股份有限公司独立董事 关于第三届董事会第十四次会议相关事项的独立意见 公司第四届董事会董事候选人李剑锋、夏宏建、陈玲、孙隽、肖玲、查成明、 毕胜、成晋锡、薛勇、李雪、赵曙明、李心丹、董晓林、吴梦云、王旻（其中， 赵曙明、李心丹、董晓林、吴梦云、王旻为独立董事候选人）具备担任公司董事 或独立董事的条件和履职能力，不存在《公司法》等法律法规规定不得担任公司 董事或独立董事的情形。上述人员的提名方式和程序、提名人资格符合相关法律 法规、规范性文件及《公司章程》的要求。我们同意将上述人员作为公司董事候 选人提交公司股东大会选举。 根据《公司法》《公司章程》等有关规定，我们作为南京证券股份有限公司 （以下简称"公司"）的独立董事，在认真审阅相关议案并了解情况的基础上， 依据客观公正的原则，基于独立判断的立场，现就第三届董事会第十四次会议审 议的提名第四届董事会董事候选人事宜发表独立意见如下： ...

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].