Financial Performance - The net cash flow from operating activities for the third quarter was -7,310,276,705.56 RMB, a decrease of 157.71% compared to the previous year[5] - The diluted earnings per share (EPS) was 0.01 RMB, down 58.06% from the previous year[5] - The net profit for the third quarter was 598,766,883.42 RMB, representing an increase of 80.99% year-on-year[16] - Net profit attributable to shareholders of the listed company was ¥29,447,337.44, down 57.10% year-on-year[31] - Net profit attributable to shareholders after deducting non-recurring gains and losses was ¥27,504,653.71, a decrease of 55.97% compared to the previous year[31] - The company’s net profit for the first three quarters of 2023 was impacted by a loss of RMB 731,139.80 from the derecognition of financial assets[50] - Net profit attributable to shareholders of the parent company was RMB 576,022,007.86, up 109.5% from RMB 275,298,117.73 in the prior period[64] - The company reported a total profit of RMB 737,730,808.37, which is a 138.3% increase from RMB 309,423,459.96 in the last period[63] Assets and Liabilities - Total assets at the end of the reporting period reached 84,118,950,698.83 RMB, an increase of 6.62% compared to the end of the previous year[5] - Total assets at the end of the period amounted to ¥84,118,950,698.83, an increase from ¥78,898,974,864.14 at the end of the previous year[27] - The company reported a total liabilities of RMB 65.30 billion as of September 30, 2023, an increase from RMB 60.24 billion at the end of the previous year[62] - The company’s total equity as of September 30, 2023, was RMB 18.82 billion, compared to RMB 18.66 billion at the end of the previous year[62] - The company’s retained earnings increased to RMB 6.29 billion from RMB 5.98 billion year-over-year[62] - The company’s short-term financing payables were reported at RMB 5.15 billion, up from RMB 4.47 billion in the previous year[62] - The company’s deferred tax liabilities increased to RMB 378.52 million from RMB 240.33 million year-over-year[62] Revenue and Income - Total operating revenue for the reporting period was ¥1,292,796,495.32, a decrease of 17.38% compared to the same period last year[31] - Total operating revenue for the current period reached RMB 4,854,615,643.40, an increase of 22.3% compared to RMB 3,967,289,458.83 in the previous period[63] - The company experienced a 30.20% increase in other business income, totaling 2,073,210,304.89 RMB compared to the same period last year[15] - Investment income increased to RMB 1,156,807,580.98, compared to RMB 993,386,225.45 in the last period, reflecting a growth of 16.5%[63] - The net income from commission and fee income was RMB 1,663,640,177.18, down 6.6% from RMB 1,780,913,231.11 in the previous period[63] Cash Flow - The company’s cash flow from investment activities was 99,840,811.63 RMB, a 135.21% increase compared to the previous year[16] - The net cash flow from operating activities was negative at RMB -3,082,448,536.72, a significant decrease from RMB 5,341,152,191.86 in the previous period[65] - The company experienced a significant increase in investment activities, with cash inflow from investment activities totaling RMB 4,818,944,884.12, compared to RMB 3,721,084,026.46 in the previous period[65] - Total cash inflow from financing activities was $11.94 billion, compared to $13.38 billion in the previous period[66] - Cash outflow from financing activities totaled $13.39 billion, an increase from $15.78 billion in the prior period[66] - Net cash flow from financing activities was -$1.45 billion, improving from -$2.40 billion year-over-year[66] - The net increase in cash and cash equivalents was -$4.44 billion, contrasting with a positive increase of $2.65 billion previously[66] - The ending balance of cash and cash equivalents was $19.92 billion, down from $26.26 billion in the prior period[66] Compliance and Governance - The company received a verbal warning from the Beijing Stock Exchange regarding compliance issues related to its sponsorship of Yinen Electric Power[25] - The company has initiated internal accountability procedures following a written warning from the Shenzhen Stock Exchange due to regulatory violations[59] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 88,606[36] - Major shareholder Jilin Yatai (Group) Co., Ltd. holds 30.81% of the shares, amounting to 721,168,744 shares[36] Operational Changes - The company completed the upgrade of 1 business outlet during the reporting period[42] - The company has undergone nine branch address changes during the reporting period, indicating ongoing market expansion efforts[58] - The company has adjusted its financial statements in accordance with new accounting standards, with no significant impact on the overall financial position[53]

股票代码：000686 股票简称：东北证券 公告编号：2023-063 一、董事会会议召开情况 东北证券股份有限公司 第十一届董事会 2023 年第三次临时会议决议公告 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。 1.公司于 2023 年 10 月 23 日通过邮件方式向全体董事发出《关于召开东北 证券股份有限公司第十一届董事会 2023 年第三次临时会议的通知》。 2.公司第十一届董事会 2023 年第三次临时会议于 2023 年 10 月 26 日以现场 和视频会议结合的方式召开。 3.会议应出席董事 13 人，实际出席并参加表决的董事 13 人。其中，现场参 会董事 8 人，视频参会董事 3 人，授权委托参会董事 2 人，副董事长孙晓峰先生 因公务原因书面委托董事于来富先生代为出席并代为行使表决权，董事刘树森先 生因公务原因书面委托董事宋尚龙先生代为出席并代为行使表决权。 4.会议主持人：公司董事长李福春先生。 5.会议列席人员：公司 9 名监事、6 名高管人员列席本次会议。 6.本次会议符合法律法规和《公司章程》的规定。 二、董事会会议审议情况 会 ...

特别提示: 东北证券股份有限公司 2022年面向专业投资者公开发行次级债券(第二期) (债券简称:22东北 C2,债券代码:148094,以下简称"本期债券")将于2023 年 10 月 23 日支付 2022年 10 月 21 日至 2023年 10 月 20 日期间的利息,本期债 券的债权登记日为 2023 年 10 月 20 日,凡在 2023 年 10 月 20 日(含) 前买入并 持有本期债券的投资者享有获得本次利息款的权利,2023年10月20日卖出本 期债券的投资者不享有本次派发的利息。为确保付息工作的顺利进行,现将有关 事宜公告如下: 一、本期债券基本情况 东北证券股份有限公司2022年面向专业投资者 公开发行次级债券(第二期)2023年付息公告 本公司及全体董事、监事、高级管理人员保证公告内容的真实、准确和完 整,没有虚假记载、误导性陈述或者重大遗漏。 1、债券名称:东北证券股份有限公司 2022年面向专业投资者公开发行次级 债券(第二期) 2、债券发行批准机关及文号:中国证券监督管理委员会证监许可[2022]1074 号文 3、债券简称:22 东北 C2 4、债券代码:148094 5、发 ...

证券代码：000686 证券简称：东北证券 | --- | --- | |----------------|---------------------------| | | □特定对象调研 □分析师会议 | | | □媒体采访 | | 投资者关系活动 | | | | □新闻发布会 □路演活动 | | 类别 | | | | □现场参观 | | | □其他 | 参与单位名称及 人员姓名 投资者网上提问 时间 2023 年 8 月 28 日（星期一）15:00-16:00 地点 公司通过全景网"投资者关系互动平台"（https://ir.p5w.net）采 用网络远程的方式召开业绩说明会 上市公司接待 人员姓名 副董事长、总裁何俊岩先生，独立董事卢相君先生，副总裁、财务总 监王天文先生和董事会秘书董曼女士 公司就投资者在本次说明会中提出的问题进行了回复： 1、上半年，公司业绩不错，主要是哪些业务赚钱？ 答：公司主营业务有四大板块，包括财富管理业务、投资银行 业务、投资与销售交易业务和资产管理业务，公司四大业务板块都 保持盈利，而且近些年都保持良好的可持续发展态势，占比越来越 健康。同时，公司通过积极发展创新业务等业 ...

Financial Performance - The net profit for the reporting period reached RMB 569,655,040.68, an increase of 121.93% compared to the previous year, driven by higher investment income [9]. - Total revenue for the reporting period reached ¥3,561,819,148.08, an increase of 48.25% compared to ¥2,402,558,782.35 in the same period last year [49]. - Net profit attributable to shareholders was ¥546,574,670.42, representing a significant increase of 164.48% from ¥206,660,324.23 year-on-year [49]. - The net profit after deducting non-recurring gains and losses was ¥524,298,055.90, up 172.48% from ¥192,415,668.38 in the previous year [49]. - The net cash flow from operating activities was ¥4,227,828,168.84, a 171.50% increase compared to ¥1,557,205,254.22 in the same period last year [49]. - Basic earnings per share rose to ¥0.23, reflecting a 155.56% increase from ¥0.09 in the previous year [49]. - The company's total expenses for the reporting period were 2,861,803,774.25 RMB, reflecting a 33.49% increase year-on-year [138]. - Total operating profit for the company reached CNY 700.02 million, a 170.62% increase year-over-year [144]. Assets and Liabilities - The company's total financial assets amounted to RMB 38,420,344,356.69, with a fair value change gain of RMB 155,701,227.94 during the period [4]. - Total assets at the end of the reporting period were ¥89,165,977,131.44, up 13.01% from ¥78,898,974,864.14 at the end of the previous year [49]. - Total liabilities increased to ¥70,375,774,225.82, a rise of 16.82% from ¥60,241,576,067.18 year-on-year [49]. - The company's cash and cash equivalents amounted to CNY 25.92 billion, representing 29.07% of total assets [147]. - The total amount of trading financial assets increased by 3.38% to CNY 38.37 billion, accounting for 43.03% of total assets [147]. - The company's derivative financial assets increased by 539.65% to RMB 38,173,001.64, attributed to gains from income swap business [8]. - The total liabilities from repurchase agreements grew by 60.65% to RMB 17,673,137,504.10, indicating an expansion in the scale of repurchase business [8]. Investment and Business Growth - The investment income rose by 93.06% to RMB 827,186,165.00, reflecting improved returns from financial instrument investments [8]. - The company's other business income increased by 78.32% to RMB 1,483,851,820.83, primarily due to growth in the spot trading business of its futures subsidiary [8]. - The company's futures business achieved an agency trading volume of 4.07 trillion yuan, a year-on-year increase of 39.56%, with client equity reaching 5.981 billion yuan, up 67.39% [91]. - The investment advisory business revenue increased by 11.28% year-on-year, focusing on enhancing service quality and product offerings for high-net-worth clients [80]. - The company launched new investment advisory products to meet diverse client needs, including the "Tian Tian Xiang Shang Plus" product aimed at high-net-worth clients [80]. - The company completed 12 corporate bond underwriting projects in the first half of 2023, with an actual underwriting amount of 4.568 billion yuan [107]. Client and Market Engagement - The average monthly active users of the "Rong e Tong" app reached 400,700, a year-on-year increase of 1.01% [88]. - The number of clients in the Hong Kong Stock Connect business increased by 7.17% year-on-year, reflecting a growing client base [93]. - The company focused on wealth management transformation, enhancing support for private equity clients and expanding its service capabilities [81]. - The company has established a digital operation service system to enhance investor protection and improve market competitiveness through financial technology [94]. Compliance and Risk Management - The company is committed to compliance and effective risk control, ensuring stable operations across all business lines [75]. - The liquidity coverage ratio significantly increased to 524.50%, up from 258.45% in the previous year, indicating improved liquidity management [62]. - The risk coverage ratio improved to 204.01%, up by 17.03% from 186.98% in the previous year [61]. - The company has established measures to ensure timely debt repayment, including the creation of a dedicated repayment task force and strict adherence to information disclosure obligations [176].

股票代码：000686 股票简称：东北证券 公告编号：2023-061 东北证券股份有限公司 第十一届监事会第二次会议决议公告 本公司及监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。 一、监事会会议召开情况 1.公司于 2023 年 8 月 13 日通过邮件方式向全体监事发出《关于召开东北证 券股份有限公司第十一届监事会第二次会议的通知》。 2.公司第十一届监事会第二次会议于 2023 年 8 月 23 日以现场和视频会议 相结合的方式召开。 3.会议应出席监事 9 名，实际出席并参加表决的监事 9 名。其中，现场参会 监事 8 人，视频方式参会监事 1 人。 4.会议主持人：公司监事长杨树财先生。 5.会议列席人员：公司首席风险官列席会议，董事会秘书、证券事务代表参 加会议。 6.本次会议符合法律法规和《公司章程》的有关规定。 二、监事会会议审议情况 本次会议以记名投票表决的方式审议通过了《公司 2023 年半年度报告及摘 要》。 经审核，公司监事会认为：董事会编制和审议《公司 2023 年半年度报告及 摘要》的程序符合法律、行政法规、部门规章、自律规则等规定，报告 ...

2023 年半年度风险控制指标情况报告 东北证券股份有限公司 2023 年半年度风险控制指标情况报告 2023 年上半年，东北证券股份有限公司（以下简称 "本公司"或"公司"）切实贯彻监管要求，动态监控净 资本、流动性等风险控制指标，全面开展净资本与流动性 的敏感性分析和压力测试，确保风险控制指标持续达到监 管部门规定的标准。 一、报告期内风险控制指标的具体情况和达标情况 （一）公司风险控制指标具体情况 1 单位：元 项 目 2023 年 6 月 30 日 2022 年 12 月 31 日 预警标准 监管标准 核心净资本 10,228,626,799.13 10,159,493,648.54 - - 附属净资本 3,575,000,000.00 2,485,000,000.00 - - 净资本 13,803,626,799.13 12,644,493,648.54 - - 净资产 16,816,167,802.41 16,664,290,267.53 - - 各项风险资本准备之和 6,766,229,832.34 6,762,583,991.73 - - 表内外资产总额 65,950,710,398.27 5 ...

股票代码：000686 股票简称：东北证券 公告编号：2023-060 东北证券股份有限公司 第十一届董事会第二次会议决议公告 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。 一、董事会会议召开情况 1.公司于 2023 年 8 月 13 日通过邮件方式向全体董事发出《关于召开东北证 券股份有限公司第十一届董事会第二次会议的通知》。 2.公司第十一届董事会第二次会议于 2023 年 8 月 23 日以现场和视频会议结 合的方式召开。 3.会议应出席董事 13 人，实际出席并参加表决的董事 13 人。其中，现场参 会董事 7 人，视频方式参会董事 2 人，授权委托方式参会董事 4 人，董事孙晓峰 先生、于来富先生因公务原因书面委托董事宋尚龙先生代为出席并代为行使表决 权，董事刘树森先生、张洪东先生因公务原因分别委托董事何俊岩先生、刘继新 先生代为出席并代为行使表决权。 二、董事会会议审议情况 会议以记名投票表决的方式审议并通过了以下议案： 1.审议通过了《公司 2023 年半年度报告及摘要》 表决结果：13 票同意，0 票反对，0 票弃权，审议通过本议案。 2. ...

东北证券股份有限公司2023年半年度 | | 渤海期货股 | 控股子公司 | 其他资产-其他 | 10,007.87 | 0.65 | | 1.16 | 10,007.36 | 集团内部资 金往来及占 | 非经营性往来 | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | 份有限公司 | | 应收款 | | | | | | 用利息 | | | | 东证融汇证 券资产管理 有限公司 | 全资子公司 | 其他资产-其他 应收款 | 156.64 | 386.15 | | 319.40 | | 223.39 集团内部资 金往来 | 非经营性往来 | | 其他关联方及其附 属企业 | | | | | | | | | | | | 总计 | - | - | - | 68,620.26 | 642.32 | 1,338.90 | 3,430.62 | 67,170.86 | | - | 企业法定代表人：李福春 主管会计工作负责人：王天文 会计机构负责人：刘雪山 非经营性资金占用及其他关联资金往来情况汇总表 编制单位：东北证券股份有 ...

东北证券股份有限公司独立董事 关于公司股东及其他关联方占用公司资金、公司对外 担保情况的专项说明和独立意见 根据《深圳证券交易所上市公司自律监管指南第 1 号— —业务办理第四部分：4.1 定期报告披露相关事宜》，东北证 券股份有限公司（以下简称"公司"）独立董事对 2023 年上 半年公司股东及其他关联方占用资金情况发表了独立意见， 对公司累计和 2023 年上半年对外担保情况、执行有关规定 情况出具了专项说明并发表独立意见，具体如下： 一、关于公司股东及其他关联方占用公司资金情况的独 立意见 作为公司的独立董事，根据《上市公司监管指引第 8 号 ——上市公司资金往来、对外担保的监管要求》《深圳证券 交易所上市公司自律监管指南第 1 号——业务办理》等相关 规定，我们对 2023 年上半年公司股东及其他关联方占用公 司资金情况进行了认真了解与核查，现基于独立判断的立场， 一致发表独立意见如下： 1.报告期内，公司不存在为股东、股东控股子公司、股 东附属企业及本公司持股 50%以下的其他关联方、任何非法 人单位或个人提供担保的情况。 2.公司向全资子公司东证融汇证券资产管理有限公司 提供 3 亿元净资本的担保 ...