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 ...

南京证券股份有限公司 2023 年度内部控制审计报告 天衡专字（2024）00455 号 您可使用手机"扫一扫"或进入"注册会计师行业统一监管亚台（hm-// 内部控制审计报告 天衡专字(2024) 00455 号 南京证券股份有限公司全体股东: 按照《企业内部控制基本规范》、《企业内部控制应用指引》、《企业内部控制评价指 引》的规定,建立健全和有效实施内部控制,并评价其有效性是南京证券董事会的责任。 天衡会计师事务所(特殊普通合伙) 按照《企业内部控制审计指引》及中国注册会计师执业准则的相关要求,我们审计了南 京证券股份有限公司(以下简称"南京证券")2023年12月31日财务报告内部控制的有效 性。 一、企业对内部控制的责任 二、注册会计师的责任 我们的责任是在实施审计工作的基础上,对财务报告内部控制的有效性发表审计意见, 并对注意到的非财务报告内部控制的重大缺陷进行披露。 三、内部控制的固有局限性 内部控制具有固有局限性,存在不能防止和发现错报的可能性。此外,由于情况的变化 可能导致内部控制变得不恰当,或对控制政策和程序的遵循程度降低,根据内部控制审计结 果推测未来内部控制的有效性具有一定风险。 四、财 ...

南京证券股份有限公司 董事会发展战略与ESG管理委员会实施细则 第一章 总则 第一条 为适应南京证券股份有限公司（以下简称"公司"）战略发展需要， 加强公司中长期发展规划研究，健全重大投资决策程序，完善 ESG（环境、社 会和公司治理）管理机制，提升董事会科学决策水平，根据《中华人民共和国公 司法》《上市公司治理准则》《证券公司治理准则》《南京证券股份有限公司章程》 （以下简称"《公司章程》"）及其他有关规定，公司董事会设立发展战略与 ESG 管理委员会，并制定本实施细则。 第二条 发展战略与 ESG 管理委员会是董事会按照股东大会决议设立的专 门工作机构，向董事会负责并报告工作。发展战略与 ESG 管理委员会主要负责 公司中长期发展规划、重大投融资、ESG 等重要事项的研究，并向董事会提供 咨询意见和建议。 第二章 人员组成 第三条 发展战略与 ESG 管理委员会由三到五名董事组成，具体组成人员 由董事会确定。 第四条 发展战略与ESG管理委员会设主任委员一名，由公司董事长担任， 主持委员会工作；设副主任委员一名，协助主任委员工作。 第五条 发展战略与 ESG 管理委员会委员任期与董事会任期一致，委员任 期 ...

证券代码：601990 证券简称：南京证券 公告编号：临 2024-006 号 南京证券股份有限公司 （一）机构信息 1.基本信息。天衡会计师事务所成立于 2013 年 11 月 4 日，前身为始建于 1985 年的江苏会计师事务所，1999 年脱钩改制，2013 年转制为特殊普通合伙会计师 事务所，首席合伙人为郭澳，注册地址为南京市建邺区江东中路 106 号 1907 室。 天衡会计师事务所已取得江苏省财政厅颁发的《会计师事务所执业证书》，是中 国首批获得证券期货相关业务资格和首批取得金融企业审计资格的会计师事务 所之一。截至 2023 年末，天衡会计师事务所合伙人 85 人，注册会计师 419 人， 其中：签署过证券服务业务审计报告的注册会计师人数 222 人。天衡会计师事务 所 2023 年度业务收入 61,472.84 万元，其中审计业务收入 55,444.33 万元、证券 业务收入 16,062.01 万元。2022 年度上市公司年报审计家数 90 家，收费总额 8,123.04 万元。客户主要集中于制造、电力、科学研究和技术服务、房地产、文 化、体育等行业。天衡会计师事务所审计本公司同行业上市公司 ...