Financial Performance - Total revenue for Q1 2023 reached ¥1,843,712,776.29, a 130.73% increase compared to ¥799,071,341.44 in the same period last year[6] - Net profit attributable to shareholders was ¥373,335,980.28, a significant turnaround from a net loss of ¥259,094,224.64 in the previous year, representing a 244.09% increase[6] - Basic earnings per share for Q1 2023 was ¥0.16, compared to a loss of ¥0.11 in the same period last year, marking a 245.45% improvement[20] - The company reported a total comprehensive income of ¥387,979,953.15, compared to a loss of ¥219,927,951.08 in the same period last year[21] - The net profit for the period was 388,001,865.97 RMB, a significant increase of 276.42% compared to a net loss of -219,927,951.08 RMB in the previous year[29] Cash Flow and Liquidity - The net cash flow from operating activities was negative at ¥-2,526,744,547.68, a decline of 404.41% from ¥830,043,509.73 in the same period last year[6] - The net cash flow from operating activities decreased to -2,526,744,547.68 RMB, compared to 830,043,509.73 RMB in the same period last year[23] - The total cash and cash equivalents at the end of the period were 23,705,362,318.99 RMB, a decrease from 24,017,444,577.02 RMB at the end of the previous year[25] - The company reported a decrease in cash and cash equivalents to 21.98 billion RMB from 22.45 billion RMB year-over-year, a decline of about 2.1%[57] Assets and Liabilities - Total assets increased by 6.15% to ¥83,749,769,592.07 from ¥78,898,974,864.14 at the end of the previous year[11] - Total liabilities increased to RMB 64,701,746,557.47 from RMB 60,241,576,067.18, reflecting a growth of about 7.7% year-over-year[60] - Short-term financing payables surged to RMB 6,591,887,686.45 from RMB 4,474,942,752.39, representing an increase of approximately 47.2%[60] - Shareholders' equity attributable to the parent company rose by 2.06% to ¥18,415,127,721.81 from ¥18,043,705,421.00[11] - The total equity attributable to shareholders reached RMB 18,415,127,721.81, up from RMB 18,043,705,421.00, indicating a growth of about 2.1%[60] Income Sources - Other income for the period included government subsidies amounting to ¥11,940,274.29, reflecting ongoing support for normal business operations[12] - The company's interest income decreased by 53.00% to 25,556,838.19 RMB, down from 54,370,694.20 RMB year-on-year[28] - Net commission and fee income was RMB 556,731,994.64, down from RMB 628,773,350.85, indicating a decrease of approximately 11.4%[59] - Investment income rose to RMB 252,569,398.63 compared to RMB 159,499,530.63 in the previous year, marking an increase of around 58.3%[59] - The investment banking business fee income significantly increased to RMB 77,609,928.11 from RMB 15,125,760.42, representing a growth of approximately 413.5%[59] Shareholder Information - The total number of common shareholders at the end of the reporting period is 90,534[30] - Jilin Yatai Group holds 30.81% of shares, totaling 721,168,744 shares, with 355,190,000 shares pledged[30] - Jilin Trust holds 11.80% of shares, totaling 276,073,582 shares, with 110,000,000 shares frozen[30] - CITIC Securities holds 2.73% of shares, totaling 63,832,921 shares[32] - Central Huijin Asset Management holds 1.71% of shares, totaling 40,103,260 shares[32] - Changchun Jianyuan Real Estate holds 1.69% of shares, totaling 39,493,050 shares[32] Business Operations - The company established a new securities business office in Jiaxing, officially opened in January 2023[34] - The company upgraded 8 existing business offices during the reporting period[36] - The company completed the relocation of one business outlet and established one new business outlet during the reporting period[45] - The company has not conducted any repurchase transactions among the top 10 common shareholders during the reporting period[33] - The company has not identified any related party relationships among the top shareholders[32] Regulatory and Financial Activities - The company completed the issuance of five short-term financing bonds, with a total issuance scale of 10 billion RMB for CP004 and CP005, and 14 billion RMB for CP003, with interest rates ranging from 2.57% to 3.10%[37][42] - The company plans to issue corporate bonds with a total face value of up to 7 billion RMB, as approved by the China Securities Regulatory Commission, valid for 24 months from the date of approval[43] - The company’s subsidiary, Dongfang Fund, is undergoing a shareholding adjustment to increase its stake in Dongfang Huizhi from 52.08% to 100%[41] - The company received a notice from the China Securities Regulatory Commission regarding an investigation related to its sponsorship and continuous supervision of a non-public offering project, with an estimated liability of 22 million RMB recognized[47] - The company issued a subordinated bond with a scale of 2 billion RMB on April 14, 2023, with a maturity of 3 years and an interest rate of 4.25%[42] Financial Investments - The company's financial investments increased to 36.13 billion RMB, up from 31.29 billion RMB year-over-year, indicating a growth of approximately 15.5%[57] - The company's derivative financial assets increased by 220.73% to 19,140,364.35 RMB, compared to 5,967,771.97 RMB at the end of the previous year[28] - The cash flow from investment activities showed a net outflow of -110,671,896.15 RMB, an improvement from -199,176,818.47 RMB in the previous year[23]

证券代码：000686 证券简称：东北证券 公告编号：2023-033 东北证券股份有限公司 关于召开2022年度网上业绩说明会的公告 一、基本情况 为便于广大投资者全面深入地了解东北证券股份有限公司（以下简称"公 司"）的情况，公司定于2023年4月28日（星期五）15:00-17:00在"全景网" （https://www.p5w.net/）以网络互动方式召开2022年度业绩说明会。 二、出席人员 出席本次业绩说明会的人员有：公司董事长李福春先生，副董事长、总裁何 俊岩先生，独立董事任冲先生，副总裁、财务总监王天文先生和董事会秘书董曼 女士。 三、投资者参与及问题征集方式 1.为了进一步提升业绩说明会的交流效果，公司现向投资者提前公开征集提 问，欢迎广大投资者在2023年4月27日（星期四）17:00前将所关注问题发送至公 司电子信箱：000686@nesc.cn，或者通过扫描下方二维码直接提交相关问题，公 司将在业绩说明会上对投资者普遍关注的问题进行回答。 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假 记载、误导性陈述或重大遗漏。 2 1 欢迎广大投资者积极参与。 特此公告。 东北 ...

-1- 1、 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的真实、准确、完整，不存在 虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司董事长李福春先生、财务总监王天文先生、财务部总经理刘雪山先生声明：保证本年度报告 中财务报告的真实、准确、完整。 本报告经公司第十届董事会第九次会议审议通过，没有董事、监事、高级管理人员声明对本年度 报告内容的真实性、准确性和完整性无法保证或存在异议。公司13名董事中，实际出席会议的董事 13名。除下列董事外，其他董事亲自出席了审议本次年报的董事会会议： 未亲自出席董事姓名 未亲自出席董事职务 未亲自出席会议原因 被委托人姓名 张洪东 董事 因公 项前 公司本年度财务报告已经中准会计师事务所（特殊普通合伙）审计，并出具了标准无保留意见审 计报告。 报告期内，公司内部控制不存在重大缺陷。 本报告中所涉及的发展战略、未来计划等前瞻性描述不构成公司对投资者的实质承诺，提请投资 者及相关人士对此保持足够的风险认识，并且理解计划、预测与承诺之间的差异。 公司经第十届董事会第九次会议审议通过的2022年度利润分配预案为：以公司截至2022年12 月31日股份 ...

证券代码： 000686 证券简称：东北证券 编号：2015-001 东北证券股份有限公司投资者关系活动记录表 | --- | --- | --- | |----------------|------------------------------|-------------------------------------------------------| | | | | | 投资者关系活动 | √ | 特定对象调研 □分析师会议 | | 类别 | □ | 媒体采访 □业绩说明会 | | | □新闻发布会 □路演活动 | | | | □ 现场参观 | | | | □ | 其他 （请文字说明其他活动内容） | | 参与单位名称及 | 中银国际证券有限责任公司 | | | 人员姓名 | 刘嘉玮 黄靖凯 陈辉弥 | | | 时间 | 2015 年 9 月 16 | 日 | | 地点 | 东北证券总部大楼 | 7 楼会议室 | | 上市公司接待人 | 徐冰 | | | 员姓名 | | | | 投资者关系活动 | 1 | 、公司主要营收和利润来源主要来自于吉林省内，公 | | 主要内容介绍 | 司对全国市场的拓展如 ...

证券代码： 000686 证券简称：东北证券 东北证券股份有限公司 2020 年 4 月 27 日投资者关系活动记录表 编号：2020-001 | --- | --- | --- | |-----------------------------|-------------------------|-------------------------------------------------------------------------------------------------------| | | | | | | □ | 特定对象调研 □分析师会议 | | | □ | 媒体采访 √业绩说明会 | | 投资者关系活动类别 | □ | 新闻发布会 □路演活动 | | | □ 现场参观 | | | | □其他 | | | 参与单位名称及人员姓名 | 参与东北证券 | 2019 年度网上业绩说明会的人员 | | 时间 | 2020 年 4 月 27 | 日下午 15:00-17:00 | | 地点 | " 全景•路演天下"（ | http://rs.p5w.net ） | | 上市公司接待人员姓名 | | ...

证券代码：000686 证券简称：东北证券 东北证券股份有限公司 2022 年 2 月 22 日投资者关系活动记录表 编号：2022-002 | --- | --- | --- | |------------------------------------|----------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ ...

证券代码：000686 证券简称：东北证券 1 东北证券股份有限公司 2021 年 12 月 31 日投资者关系活动记录表 编号：2022-001 | --- | --- | --- | --- | --- | |------------------------|--------------------------------|----------------------------------|------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | √特定对象调研 | □分析师会议 | | | | | | □媒体采访 □业绩说明会 | | | | 投资者关系活动类别 | | □新闻发布会 □路演活动 ...

Financial Performance - Total operating revenue for the third quarter was ¥1,564,730,676.48, a decrease of 27.35% compared to the same period last year[3] - Net profit attributable to shareholders was ¥68,637,793.50, down 86.59% year-on-year[3] - The company reported a net profit of ¥330,827,886.12 for the period, a decrease of 74.39% compared to the same period last year, primarily due to reduced income from securities investment and underwriting services[8] - Operating revenue for the current period was RMB 3.97 billion, a decrease of approximately 21.7% compared to RMB 5.08 billion in the same period last year[27] - Net profit for the first nine months of 2022 was 330,827.89 million, down from 1,291,664.30 million year-over-year, representing a decline of approximately 74.4%[28] - Operating profit for the first nine months of 2022 was 311,549.52 million, compared to 1,641,860.59 million in the previous year, indicating a decrease of about 81.0%[28] - The company reported a total comprehensive income of 331,007.66 million for the first nine months of 2022, compared to 1,291,271.69 million in the previous year[29] Cash Flow and Assets - Net cash flow from operating activities increased by 125.45% to ¥3,783,946,937.64[3] - The company had cash and cash equivalents of RMB 24.41 billion, an increase from RMB 22.21 billion at the end of the previous year, reflecting a growth of about 9.9%[25] - The company’s cash and cash equivalents at the end of the period totaled 26,259,194.12 million, an increase from 25,091,817.73 million at the end of the previous year[31] - The company reported a total cash inflow from operating activities of 10,851,482.06 million, down from 14,659,749.92 million in the previous year[30] Equity and Shareholder Information - The total equity attributable to shareholders was ¥18,086,630,615.78, reflecting a slight increase of 0.23% from the previous year[4] - The total number of common shareholders at the end of the reporting period was 93,681, with the largest shareholder, Jilin Yatai Group, holding 30.81% of shares, amounting to 721,168,744 shares[10] - Jilin Trust holds 11.80% of shares, totaling 276,073,582 shares, which are frozen[10] - The total number of shares held by the top ten unrestricted shareholders amounts to 1,134,000,000 shares[11] - The top ten shareholders did not engage in any repurchase transactions during the reporting period[13] - The company has a total of 0 preferred shareholders at the end of the reporting period[14] Liabilities - The company's total liabilities reached RMB 65.08 billion, up from RMB 61.44 billion year-over-year, indicating an increase of about 5.93%[26] Changes in Business Operations - The company completed the closure of two business outlets in Yanjian and Shenzhen during the reporting period[19] - Two business outlets changed addresses during the reporting period, with one outlet in Chongqing relocating on July 21, 2022[16][17] - The company has undergone a change in the address of one of its business outlets, which took place on October 24, 2022[24] Regulatory and Corporate Actions - The company received a regulatory letter regarding its Shanghai Securities Research Consulting Division for operating without a renewed business license, and has since completed the required rectifications[21] - The first major shareholder, Yatai Group, signed a letter of intent to transfer up to 30% of its shares to Changchun Urban Development Investment Holding Group[20] Investment and Income - The company reported a net investment income of RMB 993.39 million, down from RMB 1.29 billion year-over-year, representing a decline of approximately 23.0%[27] - The company experienced a foreign exchange gain of 2,604.58 million, compared to a loss of 136.32 million in the previous year[28] - The net interest income rose by 47.30% to ¥203,845,544.95 due to increased interest income and reduced interest expenses[8]

Financial Performance - Total operating income for the reporting period was ¥2,402,558,782.35, a decrease of 17.90% compared to ¥2,926,421,489.77 in the same period last year[14]. - Net profit attributable to shareholders of the listed company was ¥206,660,324.23, down 70.61% from ¥703,117,692.90 year-on-year[14]. - Net profit attributable to shareholders after deducting non-recurring gains and losses was ¥192,415,668.38, a decline of 71.73% compared to ¥680,656,598.90 in the previous year[14]. - Basic earnings per share were ¥0.09, down 70.00% from ¥0.30 in the same period last year[14]. - Diluted earnings per share also stood at ¥0.09, reflecting a 70.00% decrease compared to ¥0.30 year-on-year[14]. - Total revenue for the reporting period was ¥1,140,639,320.65, a decrease of 24.71% compared to the same period last year[15]. - Net profit for the reporting period was ¥259,757,527.07, down 44.17% year-over-year[15]. - The total operating profit for the reporting period was CNY 258,666,202.25, a decrease of 73.06% year-on-year[77]. - The total comprehensive income for the period was approximately CNY 259.76 million, a decrease of 68% compared to the previous period's CNY 465.25 million[194]. Cash Flow and Liquidity - The net cash flow from operating activities increased significantly to ¥1,557,205,254.22, up 1163.98% from ¥123,198,803.41 in the same period last year[14]. - Operating cash flow for the reporting period increased by 313.61% to ¥1,563,373,028.20, compared to a negative cash flow in the same period last year[15]. - Cash inflow from operating activities totaled CNY 7.91 billion, down from CNY 8.28 billion year-on-year, reflecting a decrease of about 4.5%[195]. - The net cash flow from operating activities was CNY 1.56 billion, a significant increase from a net outflow of CNY 731.87 million in the same period last year[197]. - The total cash and cash equivalents at the end of the period amounted to 20,216,175,263.53 RMB, compared to 19,303,700,549.04 RMB at the end of the previous period, showing a slight decrease in liquidity[198]. Assets and Liabilities - Total assets at the end of the reporting period were ¥82,056,105,526.98, representing a 2.40% increase from ¥80,131,868,330.60 at the end of the previous year[14]. - Total liabilities increased by 3.16% to ¥63,385,092,210.47 from ¥61,443,858,762.29 at the end of the previous year[14]. - Net assets attributable to shareholders of the listed company slightly decreased by 0.15% to ¥18,017,750,126.03 from ¥18,045,198,014.55 at the end of the previous year[14]. - The company's total assets measured at fair value amounted to ¥32,993,186,037.67, with a decrease in fair value changes of ¥219,835,266.24 during the reporting period[83]. - The company's total liabilities decreased overall, with a notable reduction in short-term financing and other liabilities, indicating a strategic focus on improving financial stability[81]. Investment and Financing Activities - The company raised CNY 9.89 billion through bond issuance, compared to CNY 14.28 billion in the previous year, indicating a decrease of about 30%[196]. - The company issued 88 phases of income certificates totaling CNY 2.056 billion, enhancing its client base and maintaining existing clients[41]. - The company issued corporate bonds, including a public offering of 366 million yuan with a 4.38% interest rate, maturing on April 9, 2024[173]. - The company completed the issuance of short-term corporate bonds (first phase) for professional investors, with a scale of CNY 900 million and an interest rate of 2.75%[148]. - The company issued subordinated bonds (first phase) for professional investors, with a scale of CNY 1.55 billion and an interest rate of 3.88%[152]. Risk Management - The company faces various risks, including market risk, credit risk, liquidity risk, reputation risk, compliance risk, operational risk, and money laundering risk[94][95][96][97][98][99][100]. - The company is enhancing its risk management framework to ensure sustainable business development and mitigate identified risks[101][102][103][104][105]. - The company has established a comprehensive reputation risk management system to proactively identify, assess, control, monitor, and report reputation risks, minimizing potential losses and negative impacts[106]. - The company has developed an operational risk management manual and established a loss database to collect internal and external risk loss events, enhancing early warning capabilities for significant risk events[109]. Corporate Governance and Compliance - The company maintains a strong governance structure with clear separation of powers among its decision-making bodies, ensuring effective management and operational compliance[29]. - The company has not experienced any major legal violations throughout the year and has been included in the "white list" of securities companies[107]. - The company received a warning letter from the Tianjin Regulatory Bureau for regulatory violations, including not applying for a new business license before opening a new office[129]. - The company was ordered to rectify issues related to misclassification of rental income as investment consulting revenue by the Jilin Regulatory Bureau[130]. Strategic Initiatives and Market Position - The company aims to position itself as a comprehensive securities firm focusing on small and medium-sized innovative enterprises and wealth management[24]. - The company is committed to enhancing its core competitiveness and expanding its market presence in the financial services sector[24]. - The wealth management business is focusing on high-net-worth and institutional clients, with a continuous increase in the volume of financial products sold[34]. - The company is actively enhancing its digital transformation and financial technology capabilities to improve service efficiency and client experience[44]. Shareholder Information - The total number of common shareholders at the end of the reporting period was 94,515[166]. - Jilin Yatai Group Co., Ltd. held 30.81% of shares, totaling 721,168,744 shares, with 355,190,000 shares pledged[166]. - The company had no changes in controlling shareholders or actual controllers during the reporting period[171]. - The company plans not to distribute cash dividends or issue bonus shares for the half-year period[114].