内部控制审计报告 安永华明（2024）专字第70011746_B01号 上海复旦微电子集团股份有限公司 上海复旦微电子集团股份有限公司全体股东： 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 计了上海复旦微电子集团股份有限公司2023年12月31日的财务报告内部控制的有效 性。 一、企业对内部控制的责任 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，并评价其有效性是上海复旦微电 子集团股份有限公司董事会的责任。 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遵循的程度降低，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、财务报告内部控制审计意见 我们认为，上海复旦微电子集团股份有限公司于2023年12月31日按照《企业内部 控制基本规范》和相关 ...

上海复旦微电子集团股份有限公司全体股东： 根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制监管要求（以下简称企业内部 控制规范体系），结合本公司（以下简称公司）内部控制制度和评价办法，在内部控制日常监督和专项 监督的基础上，我们对公司2023年12月31日（内部控制评价报告基准日）的内部控制有效性进行了评价。 一. 重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其有效性，并如实披露内 部控制评价报告是公司董事会的责任。监事会对董事会建立和实施内部控制进行监督。经理层负责组织 领导企业内部控制的日常运行。公司董事会、监事会及董事、监事、高级管理人员保证本报告内容不存 在任何虚假记载、误导性陈述或重大遗漏，并对报告内容的真实性、准确性和完整性承担个别及连带法 律责任。 公司内部控制的目标是合理保证经营管理合法合规、资产安全、财务报告及相关信息真实完整，提 高经营效率和效果，促进实现发展战略。由于内部控制存在的固有局限性，故仅能为实现上述目标提供 合理保证。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遵循的程度降低， 根据内部控制评价结果推测未来内部控制 ...

Financial Performance - The company has not achieved profitability since its listing, indicating ongoing challenges in financial performance [3]. - The company's operating revenue for 2023 was CNY 353,625.94 million, a slight decrease of 0.07% compared to CNY 353,890.89 million in 2022 [22]. - The net profit attributable to shareholders for 2023 was CNY 71,949.44 million, representing a significant decline of 33.18% from CNY 107,684.33 million in the previous year [22]. - The net profit after deducting non-recurring gains and losses was CNY 57,249.22 million, down 43.84% from CNY 101,940.55 million in 2022 [22]. - The basic earnings per share for 2023 were CNY 0.88, a decrease of 33.33% from CNY 1.32 in 2022 [23]. - The comprehensive gross profit margin decreased by 3.46 percentage points compared to the previous year due to price impacts on certain product lines [24]. - The gross profit margin declined to 61.21% due to downward pressure on certain product lines [32]. - The company reported a significant decrease in sales and gross margin for smart meter chips, attributed to market demand decline [87]. Cash Flow and Investments - The net cash flow from operating activities was negative at CNY -70,816.66 million, compared to CNY 32,128.55 million in 2022 [22]. - The company reported a net cash flow from operating activities of RMB 39.44 million in Q4 2023, following negative cash flows in the first three quarters [26]. - Investment cash flow was negative at RMB -73,159.68 million, mainly due to expansion of production scale by a subsidiary [100]. - Financing cash flow increased by 159.67% to RMB 131,027.07 million, driven by increased bank loans to meet operational funding needs [100]. Research and Development - The R&D expenditure accounted for 33.64% of operating revenue, an increase of 8.60 percentage points from 25.04% in 2022 [23]. - R&D investment for the year was approximately CNY 1.190 billion, an increase of 34.25% year-on-year, with R&D personnel rising from 885 to 1,178 [33]. - The company is focusing on new product development, including next-generation FPGA platforms and intelligent reconfigurable SoC platforms [33]. - R&D expenses reached 1.19 billion RMB, representing 33.64% of total revenue, indicating a strong commitment to innovation [73]. Market and Product Development - The company plans to continue expanding its market presence and investing in new technologies to drive future growth [22]. - The company is focusing on developing high-capacity, high-reliability storage products to meet market demands in various sectors [113]. - The company is actively expanding its product lineup in key industries such as public utilities, smart home appliances, automotive electronics, and industrial control [54]. - The company is exploring market expansion opportunities in Southeast Asia, targeting a 25% growth in that region [126]. Governance and Shareholder Matters - The board of directors has fully attended the meetings, ensuring governance integrity [7]. - The company held its 2022 Annual General Meeting on June 2, 2023, where all resolutions were passed, including the approval of the 2022 financial statements [117]. - The company plans to issue A-share convertible bonds, with details on the issuance scale and terms to be determined [120]. - The company has established several specialized committees under the board, including the audit committee and the strategic and investment committee [149]. Risks and Challenges - The company has disclosed potential risks in its management discussion and analysis section, urging investors to review these factors [3]. - The company faces risks related to new product development and talent retention in a competitive market [75][76]. - The overall gross margin is under pressure due to changes in supply-demand dynamics in the consumer electronics sector [77]. Social Responsibility and Sustainability - The company is committed to improving its ESG management level and promoting sustainable development practices [113]. - The company contributed approximately 8.4 million CNY to support the "Hearing-impaired Children's Choir Project" in 2023, benefiting the health and growth of hearing-impaired children [182]. - The company has implemented carbon reduction measures, achieving a reduction of 147 tons of CO2 equivalent by upgrading the laboratory air conditioning system [176]. Employee and Management - The total number of employees in the company is 2,045, with 1,514 in the parent company and 531 in major subsidiaries [155]. - The company has established a competitive compensation and benefits policy, including salaries, bonuses, and various types of leave [156]. - The company has a systematic training management process, implementing both external and internal training programs [157]. - The company has established a performance evaluation mechanism for senior management, linking salary to performance assessment results [168].

Financial Performance - The company's total revenue for 2023 was RMB 3,536,259,423.60, a slight decrease of 0.04% compared to RMB 3,538,908,884.94 in 2022[4] - Net profit attributable to shareholders for 2023 was RMB 719,494,375.58, down 33.2% from RMB 1,076,843,340.68 in 2022[4] - Total comprehensive income for the year 2023 was RMB 751,297,956.63, a decrease from RMB 1,120,440,199.87 in 2022, reflecting a decline of approximately 33%[5] - Basic earnings per share (EPS) for 2023 was RMB 0.88, down from RMB 1.32 in 2022, representing a decrease of about 33.33%[5] - The company reported a profit total of RMB 751,850,854.72 for 2023, down from RMB 1,121,671,536.82 in 2022, a decrease of about 33%[10] - The company achieved operating revenue of approximately RMB 3.536 billion, remaining essentially flat year-on-year, while net profit attributable to shareholders decreased by 33.18% to approximately RMB 719 million[44] Assets and Liabilities - The company's total assets as of December 31, 2023, reached RMB 8,411,350,886.39, up 37.5% from RMB 6,110,888,054.09 in 2022[3] - Current assets totaled RMB 5,937,283,670.86, an increase of 37.2% compared to RMB 4,327,100,944.42 in 2022[2] - Total liabilities rose to RMB 2,449,649,077.25, a substantial increase of 156.1% from RMB 957,718,676.14 in 2022[3] - The total accounts receivable balance as of December 31, 2023, is RMB 953,432,976.35, with a bad debt provision of RMB 23,813,666.81, representing 2.50% of the total[15] - The accounts payable as of 2023 is RMB 235,756,887.78, an increase from RMB 201,182,480.44 in 2022[15] - The company had bank borrowings of RMB 1.436 billion as of December 31, 2023, a significant increase from RMB 50 million in 2022[47] Research and Development - Research and development expenses increased significantly to RMB 1,010,597,572.06, representing a rise of 37.4% from RMB 735,419,692.61 in the previous year[4] - The company invested approximately RMB 1.19 billion in R&D for the year, representing a year-on-year increase of 34.25%[31] - The number of R&D personnel increased from 885 at the end of last year to 1,178, enhancing the R&D capabilities[31] - The company has developed 10GHz high-speed wafer KGD testing and high-density wafer testing methods with over 10,000 pins, which have been put into mass production[29] - The company is actively developing testing solutions for AI chips, high-performance computing chips, and automotive-grade chips[29] - The comprehensive gross margin decreased to 61.21% due to the downward pressure on certain product lines[23] Revenue Breakdown - Revenue from external transactions in 2023 was RMB 3,536,259,423.60, slightly down from RMB 3,538,908,884.94 in 2022, indicating a marginal decline of 0.07%[8] - Revenue from non-volatile memory in 2023 increased to RMB 1,072,193,991.40 from RMB 940,310,039.15 in 2022, marking an increase of approximately 14%[8] - Revenue from smart meter chips decreased significantly from RMB 594,579,681.69 in 2022 to RMB 273,770,814.68 in 2023, a decline of about 54%[8] - The sales revenue from the non-volatile memory product line was approximately RMB 1.072 billion in 2023[26] - The sales revenue from the smart meter chip product line was approximately RMB 274 million in 2023[27] Future Plans and Strategies - The company plans to continue investing in new technologies and market expansion strategies to drive future growth[4] - The company is focusing on expanding its product lines and entering new markets, particularly in the fields of electric vehicles and renewable energy[28] - The company is applying to issue A-share convertible bonds to raise up to RMB 2 billion for various development projects, including next-generation FPGA platforms and IoT chip development[46] - The group aims to enhance its competitive advantages in technology, service, quality, and brand in 2024, with plans to expand capacity and product application areas[53] - The group will continue to invest in R&D and strengthen its technological advantages through partnerships and innovation, focusing on cross-domain integrated innovation[53] Dividend and Shareholder Information - The company plans to distribute a cash dividend of RMB 1.00 per share, totaling RMB 81,906,040.00, which is 11.38% of the net profit attributable to shareholders for 2023[18] - The board proposed a final dividend of RMB 1.00 per 10 shares for the year ending December 31, 2023, totaling an expected cash distribution of RMB 81,906,040.00, down from RMB 110,248,627.50 in 2022[54] - The average weighted number of ordinary shares outstanding for the company was 816,735,532 in 2023[22] Compliance and Governance - The audit committee has reviewed the financial statements for the year ending December 31, 2023, confirming compliance with applicable accounting standards and sufficient disclosure[62] - The consolidated financial statements for the year ending December 31, 2023, have been verified by Ernst & Young Hua Ming LLP, confirming consistency with the reported figures[63] - The announcement does not constitute an audit under the standards set by the Hong Kong Institute of Certified Public Accountants, indicating no certification has been issued[63] - The board of directors includes executive directors Jiang Guoxing, Shi Lei, and Yu Jun, along with non-executive and independent non-executive directors[63]

2023 年度 ESG 报告｜ 1 2023 年度 ESG 报告｜报告说明 报告说明 报告范围 本报告是上海复旦微电子集团股份有限公司发布的第三份 ESG 报告，报告信息和数据主要涵盖了上海复旦微电子集团股份有限公司 （HK01385/SH688385）及其子公司 2023 年 1 月 1 日至 2023 年 12 月 31 日期间各项环境、社会、公司治理的实践活动，基于报告的延续性 和对比性，部分数据和信息不局限于 2023 年。 编制原则 本报告依据香港联合交易所有限公司发布的《环境、社会及管治报告指引》、上海证券交易所科创板上市规则等要求编制，并适当参考 《全球报告倡议组织 GRI 标准》、国际标准化组织《ISO 26000:2010 企业社会责任指南》的相关要求。 内容选择 报告内容在选取过程中，公司遵循《环境、社会及管治报告指引》的重要性、量化、平衡、一致性的原则，从环境、社会和组织治理三个 方面进行阐述，重点报告了公司在组织治理、产品责任、环保责任、关爱员工、共同发展等方面的责任承担。本报告的数据和信息收集工作按 公司现有工作流程进行。为提高报告的公信力，公司委托必维国际检验集团进行第三方报告验证 ...

| A 股证券代码：688385 | 证券简称：复旦微电 | 公告编号：2024-020 | | --- | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | | 截至2023年12月31日止，募集资金专户的余额为人民币42,676,826.42元， 其中本金为人民币31,591,181.80元，利息收入扣除手续费金额为人民币 11,085,644.62元；其中募集资金专户活期存款余额为人民币42,676,826.42元， 现金管理类理财产品余额为人民币0.00元。 上海复旦微电子集团股份有限公司 前次募集资金使用情况报告 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、准确性和完整性依法承担法律责任。 根据中国证券监督管理委员会《监管规则适用指引——发行类第7号》的规 定，上海复旦微电子集团股份有限公司（以下简称"公司"）编制了截至2023 年12月31日止的前次募集资金使用情况，报告如下： 一、前次资金募集的募集及存放情况 本公司已于2021年7月通过上海证券交易所发行A股12,000.00万股，面值为 每股人民币0.1 ...

上海复旦微电子集团股份有限公司 2023 年度独立非执行董事述职报告 2023年度,本人曹钟勇作为上海复旦微电子集团股份有限公司(以下简称 "公司")第九届董事会独立非执行董事(亦称"独立董事"),根据《中华人 民共和国公司法》(以下简称"《公司法》")《中华人民共和国证券法》(以 下简称"《证券法》")《上市公司治理准则》《上市公司独立董事管理办法》 《上海证券交易所科创板股票上市规则》《香港联合交易所有限公司证券上市规 则》等法律、法规、规范性文件的要求,勤勉尽责地履行了独立董事的职责,充 分发挥独立董事的作用。现将 2023年度担任独立董事的履职情况报告如下; (一) 个人基本情况 曹钟勇先生,1958年出生,中国国籍,无境外永久居留权,北方交通大学 经济学博士学位。1992年至1996年,曾任上海铁道大学副教授、国际经济与管 理学院院长助理:1996年至1997年,曾任上海铁道大学教授、校科研处副处长: 1997年至 1998年,曾任美国哈佛大学肯尼迪政治学院访问学者;1998年至2018 年,历任上海市领导干部考试和测评中心副主任、主任,上海市经营者人才发展 中心主任,于 2018年退休。现任上海海 ...

为了提高工作效率，公司董事会同意授权公司管理层在额度内办理上述授 信额度申请事宜，并签署合同、协议、凭证等各项法律文件。 特此公告。 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个别及连带责任。 上海复旦微电子集团股份有限公司（以下简称"公司"）于 2024 年 3 月 22 日召开第九届董事会第十四次会议，审议通过了《关于申请 2024 年度综合授信 额度的议案》。具体情况如下： 为满足公司生产经营发展需要，公司及公司全资、控股子公司拟向银行等 金融机构申请不超过人民币 260,000 万元的综合授信额度。综合授信品种包括 但不限于：流动资金借款、银行承兑汇票、票据贴现、贸易融资、保函、信用 证、项目资金借款等品种。 授信额度不等于实际融资金额，实际融资金额应在授信额度内，具体融资 金额、期限、业务品种等视公司运营资金的实际需求来合理确定，最终以银行 等金融机构实际审批结果及实际签订的合同为准。 | A | 股证券代码：688385 | 证券简称：复旦微电 | 公告编号：2024-016 | | --- | --- | --- | ...

重要内容提示： | A 股证券代码：688385 | 证券简称：复旦微电 公告编号：2024-018 | | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | 拟续聘会计师事务所名称：安永华明会计师事务所（特殊普通合伙）。 本公告中"核数师"、"审计师"、"审计机构"与"会计师事务所"含义 相同。 上海复旦微电子集团股份有限公司 关于续聘会计师事务所公告 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个别及连带责任。 一、拟聘任会计师事务所的基本情况 （一）机构信息 1.基本信息。安永华明会计师事务所（特殊普通合伙）以下简称"安永华明"， 于 1992 年 9 月成立，2012 年 8 月完成本土化转制，从一家中外合作的有限责任 制事务所转制为特殊普通合伙制事务所。安永华明总部设在北京，注册地址为北 京市东城区东长安街 1 号东方广场安永大楼 17 层 01-12 室。截至 2023 年末拥有 合伙人 245 人，首席合伙人为毛鞍宁先生。安永华明一直以来注重人才培养，截 至 2023 年末拥有执业注册会计 ...

上海复旦微电子集团股份有限公司 2024 年度"提质增效重回报"行动方案 为贯彻中央经济工作会议、中央金融工作会议精神，落实以投资者为本的 理念，推动上海复旦微电子集团股份有限公司（以下简称"复旦微电"或"公 司"）持续优化经营、规范治理和积极回报投资者，大力提高公司质量，助力 信心提振、资本市场稳定和经济高质量发展，公司制定了"提质增效重回报" 行动方案，并于 2024 年 3 月 22 日经公司第九届董事会第十四次会议审议通过。 具体如下： 一、坚持"顶天立地"的经营方针，立足主业，持续提升公司核心竞争力 复旦微电是从事超大规模集成电路的设计、开发、测试，并为客户提供系 统解决方案的专业公司。成立 26 年以来，公司已建立健全安全与识别芯片、非 挥发存储器、智能电表芯片、FPGA 芯片和集成电路测试服务等产品线，产品广 泛应用于金融、社保、防伪溯源、网络通讯、家电设备、汽车电子、工业控制、 信号处理、数据中心、人工智能等众多领域。2000 年公司在港股上市，2021 年 在 A 股科创板上市，形成 A+H 资本格局。公司业绩增长较快，自 A 股上市以来， 销售额年均增长率超 17%。2023 年度虽然消费 ...