国海证券股份有限公司 验资报告 截至 2023 年 10 月 27 日止 Deloifie. 验瓷报告 德师报(验)字(23)第 00257 号 (第1页,共2页) 国海证券股份有限公司: 我们接受委托,审验了国海证券股份有限公司(以下简称"贵公司")截至 2023年10月 27日 止新增注册资本及股本情况。按照法律法规以及认购协议、章程的要求出资,提供真实、合 法、完整的验资资料,保护资产的安全、完整是全体股东及贵公司的责任。我们的责任是对 贵公司新增注册资本及股本情况发表审验意见。我们的审验是依据《中国注册会计师审计准 则第 1602 号一验资》进行的。在审验过程中,我们结合贵公司的实际情况,实施了检查等必 要的审验程序。 贵公司本次增资前的原注册资本及股本均为人民币 5.444.525.514.00元,其中有限售条件 股份人民币 0.00元,无限售条件股份人民币 5.444.525.514.00元。经贵公司 2021年 1 月 29 日 召开的第九届董事会第三次会议、2022年 2 月 25 日召开的第九届董事会第十三次会议、2023 年 3 月 3 日 召开的第九届董事会第二十一次会议、2021年 3 ...

证券代码：000750 证券简称：国海证券 公告编号：2023-46 国海证券股份有限公司 关于向特定对象发行股票发行情况报告书 披露的提示性公告 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。 国海证券股份有限公司（以下简称公司）向特定对象发行 股票发行承销总结及相关文件已在深圳证券交易所备案通过， 公司将依据相关规定尽快办理本次发行新增股份的登记托管 事宜。 《国海证券股份有限公司向特定对象发行股票发行情况 报 告 书 》 及 相 关 发 行 文 件 已 于 同 日 在 巨 潮 资 讯 网 (www.cninfo.com.cn)上披露，敬请广大投资者查阅。 特此公告。 国海证券股份有限公司董事会 二○二三年十一月四日 1 ...

Financial Performance - Net profit attributable to shareholders for Q3 2023 was RMB 2.01 million, down 96.64% year-over-year[5] - Operating revenue for Q3 2023 was RMB 950.48 million, a decrease of 15.00% compared to the same period last year[5] - Basic earnings per share for Q3 2023 were RMB 0.0004, down 96.00% year-over-year[5] - The total revenue for the first nine months of 2023 was RMB 3,027,502,960.60, an increase from RMB 2,802,199,203.64 in the same period of 2022, representing an increase of approximately 8.06%[19] - Net profit attributable to shareholders of the parent company for the first nine months of 2023 was RMB 392,228,123.53, up from RMB 301,302,625.00 in 2022, reflecting a growth of about 30.23%[19] - The company reported a decrease in interest income to RMB 1,099,060,020.68 in 2023 from RMB 1,131,061,171.13 in 2022, a decline of about 2.83%[19] - The company’s basic earnings per share for the first nine months of 2023 was RMB 0.07, compared to RMB 0.06 in the same period of 2022, reflecting an increase of approximately 16.67%[19] - The total comprehensive income for the first nine months of 2023 was RMB 466,140,423.90, compared to RMB 380,755,180.65 in 2022, indicating an increase of about 22.43%[19] Assets and Liabilities - Total assets as of September 30, 2023, amounted to RMB 64.69 billion, a decrease of 12.39% compared to the end of 2022[5] - Total liabilities decreased by 17.18% to RMB 45.14 billion as of September 30, 2023[5] - The company's total assets as of September 30, 2023, amount to RMB 64,694,687,553.59, a decrease from RMB 73,840,835,618.47 as of December 31, 2022[15] - The total liabilities decreased to RMB 45,142,872,163.65 as of September 30, 2023, down from RMB 54,504,682,690.01 at the end of 2022, a reduction of approximately 17.19%[17] - The cash and cash equivalents decreased to RMB 19,967,924,350.94 from RMB 24,167,580,546.92 year-over-year[15] - Client deposits have declined to RMB 9,937,701,664.93 from RMB 12,710,973,274.20, indicating a significant drop in client funds[15] - The company's trading financial assets decreased to RMB 18,172,830,284.98 from RMB 23,477,165,995.85, reflecting a reduction in trading activities[15] - The company reported a decrease in derivative financial assets to RMB 30,080,553.47 from RMB 17,764,267.65, indicating a shift in risk management strategies[15] Cash Flow - Cash flow from operating activities showed a net outflow of RMB 2.79 billion for the first nine months of 2023[9] - The net cash flow from operating activities for the first nine months of 2023 was negative RMB 2,788,597,850.99, compared to a positive RMB 10,888,344,310.89 in the same period of 2022[20] - The company’s net investment cash flow for the first nine months of 2023 was negative RMB 767,709,137.37, compared to negative RMB 5,320,845,692.31 in the same period of 2022[20] Shareholder Information - As of September 30, 2023, the total number of ordinary shareholders is 172,548, with the largest shareholder, Guangxi Investment Group Co., Ltd., holding 22.49% of shares, equating to 1,224,547,488 shares[10] - The top ten shareholders do not hold any shares through margin accounts, suggesting a stable ownership structure[12] Investment and Income - Investment income from joint ventures and associates increased significantly to RMB 24.52 million, compared to a loss of RMB 10.21 million in the same period last year[8] - Fair value gains on financial assets increased to RMB 28.39 million, a significant recovery from a loss of RMB 290.34 million in the previous year[8] - The company maintains a goodwill value of RMB 22,084,264.01, unchanged from the previous year, reflecting stability in its acquisitions[15] Financing and Risk Management - The company has not engaged in any repurchase agreements during the reporting period, indicating a conservative approach to financing[12] - The significant decrease in assets suggests a potential impact on the company's leverage ratios[15] - The weighted average return on equity decreased by 0.31 percentage points to 0.01% as of September 30, 2023[5]

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。 国海证券股份有限公司（以下简称公司）第九届监事会第 十六次会议通知于 2023 年 10 月 19 日以电子邮件方式发出， 会议于 2023 年 10 月 30 日在广西南宁市滨湖路 46 号国海大厦 1 楼会议室以现场会议方式召开，会议应到监事 3 名，实到监 事 3 名。王洪平监事通过视频方式参加会议，其他 2 名董事现 场参加会议。会议由公司监事长兰海航先生主持。会议的召集、 召开、表决符合《公司法》及《公司章程》的规定，决议合法 有效。会议以投票表决的方式通过了如下议案： 一、《关于审议公司 2023 年第三季度报告的议案》 表决结果：同意 3 票，反对 0 票，弃权 0 票。 经审核，监事会认为董事会编制和审议公司 2023 年第三 季度报告的程序符合法律、行政法规及中国证监会的规定，报 告内容真实、准确、完整地反映了公司 2023 年第三季度的经 营成果和财务状况等实际情况，不存在任何虚假记载、误导性 陈述或者重大遗漏。 1 证券代码：000750 证券简称：国海证券 公告编号：2023-43 国海证 ...

证券代码：000750 证券简称：国海证券 公告编号：2023-42 国海证券股份有限公司 第九届董事会第二十六次会议决议公告 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。 国海证券股份有限公司（以下简称公司）第九届董事会 第二十六次会议通知于 2023 年 10 月 19 日以电子邮件方式 发出，会议于 2023 年 10 月 30 日在广西南宁市滨湖路 46 号 国海大厦 4 楼会议室以现场会议与视频会议相结合的方式召 开，会议应到董事 9 人，实到董事 9 人。王海河董事、赵妮 妮董事、倪受彬独立董事、刘劲容独立董事通过视频方式参 加会议，其他 5 名董事现场参加会议。会议由公司董事长何 春梅女士主持。会议的召集、召开、表决符合《公司法》及 《公司章程》的规定，决议合法有效。会议以投票表决的方 式审议通过了如下议案： 一、《关于审议公司 2023 年第三季度报告的议案》 表决结果：同意 9 票，反对 0 票，弃权 0 票。 本议案已经董事会审计委员会审议通过。 公司 2023 年第三季度报告与本公告同日在《中国证券 报》《证券时报》《上海证券报》《证券 ...

证券代码：000750 证券简称：国海证券 公告编号：2023-44 国海证券股份有限公司 关于计提及冲回资产减值准备的公告 二、计提资产减值准备对公司的影响 本期计提资产减值准备金额共计 2,599.23 万元，将减 少公司本期利润总额 2,599.23 万元，减少公司本期净利润 1,949.42 万元。 三、计提资产减值准备的具体说明 为真实、公允地反映国海证券股份有限公司（以下简称 公司）的财务状况以及经营成果，基于谨慎性原则，公司根 据《企业会计准则》相关规定和公司会计政策，对有关资产 进行了评估，在 2023 年上半年已计提资产减值准备的基础 上（详见公司于 2023 年 8 月 5 日披露的《关于计提资产减 值准备的公告》），公司 2023 年 7-9 月（以下简称本期）计 提及冲回各项资产减值准备共计 2,599.23 万元。明细如下： 单位：万元 | 资产名称 | 本期计提及冲回资产减值准备金额 | | --- | --- | | 买入返售金融资产 | 2,741.06 | | 其他 | -141.83 | | 合计 | 2,599.23 | 注：计提以正数列示，冲回以负数列示。 以上为公司初 ...

证券代码：000750 证券简称：国海证券 国海证券股份有限公司投资者关系活动记录表 | --- | --- | --- | |----------------------------|------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------| | | | 编号：2023-05 | | | √特定对象调研 □分析师会议 | | | 投资者关系活动类别 | □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 | 山西证券股份有限公司 | | | 及人员姓名 | | 研究所所长助理、非银金融分析师：刘丽女士 | | | | | | 地点 公司 | | | | | | 副总裁程明先生、合规总监兼董事会秘书覃力先 | ...

股票代码：000750 股票简称：国海证券 公告编号：2023-41 债券代码：114803 债券简称：20 国海 03 国海证券股份有限公司 2020年非公开发行公司债券（第二期） 2023年本息兑付及摘牌公告 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。 特别提示： 国海证券股份有限公司(以下简称"公司")于 2020 年 8 月 19 日发行国海证券股份有限公司 2020 年非公开发行公司 债券（第二期）(以下简称"20 国海 03"或"本期债券"， 债券代码 114803)。本期债券将于 2023 年 8 月 21 日（因 2023 年 8 月 19 日为非交易日，故顺延至下一个交易日）支付 2022 年 8 月 19 日至 2023 年 8 月 18 日期间的利息及本期债券的 本金。本次本息兑付的债权登记日为 2023 年 8 月 18 日，凡 在 2023 年 8 月 18 日下午深圳证券交易所收市后，在中国证 券登记结算有限责任公司深圳分公司（以下简称"中国结算 深圳分公司"）登记在册的全体本期债券持有人享有本次兑 付的本金及利息。为确保本息兑 ...

Financial Performance - The company's operating revenue for the first half of 2023 reached ¥2,077,020,947.31, representing a 23.34% increase compared to ¥1,684,018,938.70 in the same period of 2022[14]. - Net profit attributable to shareholders was ¥390,213,833.15, a significant increase of 61.68% from ¥241,344,565.23 in the previous year[14]. - The net profit after deducting non-recurring gains and losses was ¥388,591,897.41, up 38.51% from ¥280,548,542.76 in the same period last year[14]. - The total assets as of June 30, 2023, amounted to ¥78,040,446,840.63, reflecting a 5.69% increase from ¥73,840,835,618.47 at the end of 2022[14]. - The total liabilities increased by 7.34% to ¥58,504,288,131.48 from ¥54,504,682,690.01 at the end of 2022[14]. - Basic earnings per share rose to ¥0.07, a 75.00% increase compared to ¥0.04 in the same period last year[14]. - The weighted average return on equity improved to 2.08%, an increase of 0.79 percentage points from 1.29% in the previous year[14]. - The total comprehensive income attributable to shareholders of the parent company rose by 71.99% to CNY 397,428,153.19 from CNY 231,074,494.54 year-on-year[21]. - The company's total profit increased by 52.45% year-on-year, reaching 57,711.72 million yuan[40]. Risk Management - The company faces various risks including market risk, credit risk, liquidity risk, operational risk, and reputation risk, and has established an internal control and risk management system[8]. - The company emphasizes the importance of risk awareness in its forward-looking statements and plans[2]. - The liquidity coverage ratio increased slightly to 154.74% from 154.43%, remaining above the regulatory standard of 120%[26]. - The risk coverage ratio decreased by 37.36 percentage points to 199.41% from 236.77% at the end of 2022, remaining above the regulatory standard of 120%[26]. - The company has established mechanisms for decision-making, execution, and monitoring to enhance credit risk management[101]. - The company has developed a liquidity risk management system centered on liquidity coverage and net stable funding ratios, ensuring liquidity needs are met promptly and cost-effectively[109]. - The company has established a comprehensive risk management framework, including a four-tier risk management organization and various risk management policies to cover market, credit, operational, liquidity, and reputational risks[119]. Business Operations - The company operates in multiple financial services including securities brokerage, investment consulting, and asset management[12]. - The company operates 121 retail wealth management outlets across 21 provincial regions, with a leading market share in Guangxi[27]. - The company has provided financial services to nearly 600 enterprises, focusing on IPOs and refinancing[28]. - The company has developed a diverse product chain in asset management, including equity, fixed income, and asset securitization[30]. - The company has expanded its alternative investment business, focusing on technology, new consumption, and health sectors[30]. - The company has maintained the top market share in securities brokerage in Guangxi for several years, with 48 branches covering the entire region[35]. - The company has established strategic partnerships with local governments and key enterprises to enhance direct financing capabilities and provide comprehensive financial services[36]. Shareholder Information - The total number of shares remained unchanged at 5,444,525,514, with 100% being unrestricted shares[156]. - The total number of common shareholders at the end of the reporting period was 156,668, with a net increase of 1,042,700 shares held by Guangxi Investment Group[159]. - Guangxi Investment Group holds 1,224,547,488 shares, representing 22.49% of total shares[159]. - The company has not conducted any share buybacks or new share issuances during the reporting period[156]. - The company has no restricted shares in circulation during the reporting period[157]. Legal and Compliance - The company has no non-operating fund occupation by controlling shareholders or related parties during the reporting period[128]. - There were no significant lawsuits or arbitration cases exceeding CNY 10 million during the reporting period[130]. - The company has actively cooperated with regulatory authorities following a minor violation involving short-term trading by a director's spouse, resulting in a warning letter[141]. - The company has organized a training session on compliance for directors and senior management to enhance awareness of regulatory obligations[141]. Future Plans - The company plans not to distribute cash dividends or issue bonus shares for the first half of 2023[2]. - The company plans to enhance its customer development and management strategies in the second half of 2023, focusing on optimizing its investment research system[55]. - The company aims to introduce high-quality, low-risk financial products in the second half of 2023 to boost sales and retention rates[58]. - The company plans to deepen customer coverage and expand asset categories and scale in the second half of 2023[69]. - The company aims to enhance its research capabilities and actively seek investment opportunities in growth sectors in the second half of 2023[68]. Financial Reporting - The financial report for the first half of 2023 has not been audited by an accounting firm[2]. - The company has not made any retrospective adjustments or restatements to previous accounting data[13]. - The company follows the enterprise accounting standards, ensuring that the financial statements reflect a true and complete view of its financial position as of June 30, 2023[183]. - The company’s financial reporting is conducted in Renminbi, which is the functional currency for its operations[184].

证券代码：000750 证券简称：国海证券 国海证券股份有限公司投资者关系活动记录表 编号：2023-04 | | □特定对象调研 □分析师会议 | | | | | | | --- | --- | --- | --- | --- | --- | --- | | 投资者关系活 | □媒体采访 √业绩说明会 | | | | | | | | □新闻发布会 □路演活动 | | | | | | | 动类别 | □现场参观 | | | | | | | | □其他 （请文字说明其他活动内容） | | | | | | | 参与单位名称 及人员姓名 | 参与国海证券 2022 年度业绩说明会的投资者 | | | | | | | 时间 | 2023 年 5 日下午 15:00-17:00 | | | 月 | 12 | | | 地点 | 全 者 关 系 互 动 平 台 " | 景 | 网 | " | 投 | 资 | | | （https://ir.p5w.net/c/000750.shtml） | | | | | | | 上市公司接待 | 公司总裁卢凯先生、独立董事阮数奇先生、副总裁兼财务总 | | | | | | | 人员姓名 ...