证券代码：002500 证券简称：山西证券 公告编号：临2023-038 山西证券股份有限公司 关于撤销2家证券营业部的公告 山西证券股份有限公司董事会 2023 年 11 月 4 日 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。 为进一步优化营业网点布局，山西证券股份有限公司（以下简称 "公司"）决定撤销霍州开元街证券营业部、常德建设东路证券营业 部。公司将按照《中华人民共和国证券法》《证券公司分支机构监管 规定》和《关于取消或调整证券公司部分行政审批项目等事项的公告》 （证监会公告[2020]18 号）等相关规定要求，妥善处理分支机构客 户资产，结清分支机构业务并终止经营活动，办理工商注销等相关手 续，并向上述证券营业部所在地中国证券监督管理委员会派出机构备 案。 特此公告 ...

Financial Performance - Total operating revenue for Q3 2023 was ¥582,775,886, a decrease of 46.20% compared to the same period last year[3] - Net profit attributable to shareholders was -¥50,788,645, representing a decline of 172.34% year-on-year[3] - Net profit attributable to shareholders after deducting non-recurring gains and losses was -¥52,751,472, down 176.93% from the previous year[3] - Basic earnings per share for Q3 2023 was -¥0.01, a decrease of 150.00% compared to the same period last year[4] - The company reported a net cash flow from operating activities of -¥2,312,525,587 for the year-to-date[4] - The company reported a significant increase in asset management business net income, rising to CNY 97.82 million from CNY 55.62 million, a growth of approximately 75.8%[19] - Net profit for Q3 2023 was 314,284,521, down from 358,856,958 in Q3 2022, representing a decline of about 12.4%[20] - Total comprehensive income for Q3 2023 was 360,158,773, compared to 419,724,719 in Q3 2022, indicating a decrease of approximately 14.1%[21] Assets and Liabilities - Total assets as of the end of Q3 2023 were ¥77,880,972,763, a decrease of 6.06% from the end of the previous year[4] - The total assets as of September 30, 2023, amounted to CNY 77.88 billion, a decrease from CNY 82.91 billion as of December 31, 2022, reflecting a decline of approximately 6.3%[18] - The total liabilities as of September 30, 2023, were CNY 59.98 billion, down from CNY 65.07 billion as of December 31, 2022, showing a reduction of approximately 7.5%[19] - The company’s total equity attributable to shareholders was ¥17,490,112,872, an increase of 0.55% compared to the end of the previous year[4] - The company's equity attributable to shareholders increased slightly to CNY 17.49 billion from CNY 17.39 billion, reflecting a growth of about 0.6%[19] Cash Flow - The net cash flow from operating activities for the first nine months of 2023 was -2,312,525,587 RMB, a significant increase in cash outflow compared to -435,987,416 RMB in the same period of 2022[11] - The net cash flow from investing activities was 631,681,389 RMB, a turnaround from -297,805,099 RMB in the previous year, primarily due to the recovery of time deposits[11] - The net cash flow from financing activities decreased by 252.39% to -2,336,459,825 RMB, compared to 1,533,246,797 RMB in the same period last year, attributed to a larger scale of debt financing in the previous year[11] - Cash flow from operating activities for Q3 2023 was -2,312,525,587, compared to -435,987,416 in Q3 2022, indicating a significant increase in cash outflow[22] - Cash flow from investing activities for Q3 2023 was 631,681,389, compared to -297,805,099 in Q3 2022, showing a positive turnaround[23] - Cash flow from financing activities for Q3 2023 was -2,336,459,825, compared to 1,533,246,797 in Q3 2022, indicating a substantial increase in cash outflow[23] Income and Expenses - The income tax expense increased by 40.99% to 129,318,574 RMB, driven by a reduction in tax-exempt income[11] - The company reported a total tax expense of 129,318,574 for Q3 2023, up from 91,723,395 in Q3 2022, reflecting an increase of approximately 40.9%[20] - Operating expenses for Q3 2023 totaled 2,029,461,383, a decrease from 2,584,097,925 in Q3 2022, showing a reduction of about 21.4%[20] Investments and Market Performance - The financial instrument investment income was ¥1,117,832,272, attributed to the company's main business in securities investment[9] - The net income from asset management business fees increased by 75.87% year-on-year, reflecting growth in asset management scale[10] - The fair value changes of other equity investments showed a significant decline of 217.96%, resulting in a loss of -7,154,708 RMB due to market volatility[11] - The company received a no-objection letter from the Shenzhen Stock Exchange for a non-public issuance of subordinated bonds not exceeding 2 billion RMB[14] - The asset management subsidiary obtained a license for securities and futures business, expanding its operational capabilities[16] Compliance and Regulatory Matters - The company has completed rectifications following regulatory warnings issued to its subsidiary, Zhongde Securities, enhancing compliance and internal control mechanisms[16] - The company is closely monitoring ongoing litigation matters and will fulfill its disclosure obligations regarding any developments[17] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 131,318, with the largest shareholder holding 31.77% of the shares[12] Foreign Exchange and Other Impacts - The foreign exchange translation difference impacted cash by 12,081,431 RMB, a decrease of 89.96% compared to the previous year[11] - The company reported an increase in credit loss provisions for other debt investments by 50.67% to 3,870,022 RMB during the reporting period[11] - The cash flow hedge reserve showed a positive impact of 31,100,022 RMB, reflecting the effects of dollar-denominated debt hedging activities[11] Earnings and Interest - Interest income for Q3 2023 was 899,712,256, compared to 1,003,810,717 in Q3 2022, reflecting a decrease of approximately 10.3%[20] - The net interest income turned negative at CNY -97.24 million, compared to a positive CNY 67.50 million in the previous period, marking a significant shift[19]

证券代码：002500 证券简称：山西证券 公告编号：临2023-036 山西证券股份有限公司 关于第四届监事会第十二次会议决议的公告 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 山西证券股份有限公司（以下简称"本公司"、"公司"）于 2023 年10月17日以电子邮件结合电话提示的方式发出了关于召开第四届 监事会第十二次会议的通知及议案等资料。2023 年 10 月 27 日，本 次会议在山西省太原市山西国际贸易中心东塔 27 层会议室以现场结 合视频电话会议方式召开。 会议由监事会主席焦杨先生主持，12 名监事全部出席（其中， 现场出席的有焦杨监事会主席、胡朝晖职工监事、刘文康职工监事、 司海红职工监事；视频参会的有武爱东监事、白景波监事、刘奇旺监 事、崔秋生监事、张红兵职工监事；电话参会的有郭志宏监事、李国 林监事、王国峰监事），公司高级管理人员列席本次会议。 会议召开及表决程序符合《中华人民共和国公司法》和《公司章 程》的有关规定，会议合法有效。 二、监事会会议审议情况 （一）审议通过《公司 2023 年第三季度报告》。 监 ...

证券代码：002500 证券简称：山西证券 公告编号：临2023-035 山西证券股份有限公司 关于第四届董事会第十八次会议决议的公告 一、董事会会议召开情况 根据《公司章程》规定，山西证券股份有限公司（以下简称"公 司"）于 2023 年 10 月 17 日以电子邮件结合电话提示的方式发出了召 开第四届董事会第十八次会议的通知及议案等资料。2023 年 10 月 27 日，本次会议在山西省太原市山西国际贸易中心东塔 27 层会议室以 现场结合视频电话会议方式召开。 会议由董事长侯巍先生主持，本次会议应出席董事 11 人，实际出 席董事 11 人（其中，现场出席的有侯巍董事长、王怡里副董事长； 视频出席的有刘鹏飞董事、李小萍董事、周金晓董事、夏贵所董事、 李海涛独立董事、邢会强独立董事、朱祁独立董事、郭洁独立董事、 乔俊峰职工董事）。公司部分监事、高级管理人员列席本次会议。 会议召开及表决程序符合《中华人民共和国公司法》和《公司章 程》的有关规定，会议合法有效。 二、董事会会议审议情况 （一）审议通过《公司 2023 年第三季度报告》。 表决结果：11 票同意、0 票反对、0 票弃权。 《山西证券股份有限公司 ...

二、本次发行次级公司债券应严格按照报送深圳证券交易所的募 集说明书进行。 三、本批复自同意注册之日起24个月内有效，公司在注册有效期 内可以分期发行次级公司债券。 四、自同意注册之日起至本次次级公司债券发行结束前，公司如 发生重大事项，应及时报告并按有关规定处理。 证券代码：002500 证券简称：山西证券 公告编号：临2023-033 山西证券股份有限公司 关于向专业投资者公开发行次级公司债券 获得中国证券监督管理委员会同意注册批复的公告 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。 山西证券股份有限公司（以下简称"公司"）于 2023 年 10 月 12 日收到中国证券监督管理委员会出具的《关于同意山西证券股份有限 公司向专业投资者公开发行次级公司债券注册的批复》（证监许可 【2023】2288 号），批复内容如下： 一、同意公司向专业投资者公开发行面值总额不超过40亿元次级 公司债券的注册申请。 公司将严格按照有关法律法规和上述批复文件的要求及公司股 东大会的授权办理本次发行次级公司债券的相关事宜，并及时履行信 息披露义务。 特此公告 山西证券股份有限 ...

证券代码：002500 证券简称：山西证券 公告编号：临2023-032 山西证券股份有限公司 关于控股子公司诉讼事项进展的公告 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： 1. 案件所处的诉讼阶段：二审，收到《民事上诉状》。 2. 上市公司所处的当事人地位：山西证券股份有限公司控股子 公司中德证券有限责任公司为被上诉人之一。 2023 年 9 月 22 日，中德证券收到北京金融法院《民事判决书》 【（2021）京 74 民初 111 号】，其中涉及中德证券的判决结果为:驳回 原告投资者对中德证券的诉讼请求。 3. 涉案的金额：人民币 2,039,838,009.17 元。 4. 对上市公司损益产生的影响：本案一审判决驳回原告投资者 对中德证券有限责任公司的诉讼请求。二审尚未开庭审理，暂时无法 预计其对公司本期利润或期后利润的影响。 近日，山西证券股份有限公司（以下简称"公司"）控股子公司 中德证券有限责任公司（以下简称"中德证券"）收到北京金融法院 送达的《民事上诉状》。现将有关情况公告如下： 一、有关本案的基本情况 2022 年 1 月 1 ...

证券代码：002500 证券简称：山西证券 公告编号：临2023-031 山西证券股份有限公司 关于控股子公司诉讼事项进展的公告 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： 1.案件所处的诉讼阶段：一审判决 2.上市公司所处的当事人地位：山西证券股份有限公司控股子公 司中德证券有限责任公司为被告之一，被要求承担连带赔偿责任。 3.对上市公司损益产生的影响：一审判决驳回原告投资者对中德 证券有限责任公司的诉讼请求。本次诉讼判决为待生效的一审判决， 暂时无法预计其对公司本期利润或期后利润的影响。 一、有关本案的基本情况 2022 年 1 月 13 日，山西证券股份有限公司（以下简称"公司"） 控股子公司中德证券有限责任公司（以下简称"中德证券"）收到北 京金融法院送达的民事起诉状，案由为涉及乐视网信息技术（北京） 股份有限公司证券虚假陈述责任纠纷。公司于 2022 年 1 月 18 日在《证 券时报》《中国证券报》《上海证券报》《证券日报》及巨潮资讯网 （http://www.cninfo.com.cn）披露《关于控股子公司涉及诉讼的公 告》（公告 ...

证券代码：002500 证券简称：山西证券 公告编号：临2023-030 山西证券股份有限公司 关于资产管理子公司取得《经营证券期货业务许可证》的 公告 近日，山证资管领取了《经营证券期货业务许可证》，其证券期 货业务范围为证券资产管理、公开募集证券投资基金管理。同时，公 司换领了《经营证券期货业务许可证》。 特此公告 山西证券股份有限公司董事会 2023 年 9 月 7 日 1 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。 根据中国证券监督管理委员会《关于核准山西证券股份有限公司 设立资产管理子公司的批复》（证监许可〔2021〕1700 号），山西 证券股份有限公司（以下简称"公司"）获准设立全资资产管理子公 司——山证（上海）资产管理有限公司（以下简称"山证资管"）。山 证资管及公司已于前期办理完成工商登记和经营范围工商变更登记 手续，并领取和换领了《营业执照》。 ...

山西证券股份有限公司 证券代码：002500 证券简称：山西证券 公告编号：临2023-029 债券代码：149221.SZ 债券简称：20山证01 2020 年面向专业投资者公开发行公司债券（第一期） 2023 年兑付兑息暨摘牌公告 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 山西证券股份有限公司（以下简称"公司""本公司"）2020 年 面向专业投资者公开发行公司债券（第一期）（债券简称：20 山证 01， 债券代码：149221.SZ，以下简称"本期债券"）本次兑付的债权登记 日及最后交易日为 2023 年 8 月 31 日，债券摘牌日为 2023 年 9 月 1 日。凡在 2023 年 8 月 31 日前（含当日）买入本期债券的投资者，根 据其在 2023 年 8 月 31 日收市后中国证券登记结算有限责任公司深圳 分公司登记在册的本期债券数量，享有获得本次派发的利息及本金的 权利。 山西证券股份有限公司 2020 年面向专业投资者公开发行公司债 券（第一期）经中国证券监督管理委员会"证监许可〔2020〕1606 号"文注册公开发行。本期 ...

Financial Performance - Total operating revenue for the first half of 2023 was CNY 1,891,591,730, a decrease of 3.32% compared to CNY 1,956,578,520 in the same period last year[12]. - Net profit attributable to shareholders was CNY 388,415,495, representing an increase of 26.57% from CNY 306,884,098 year-on-year[12]. - Basic earnings per share increased by 22.22% to CNY 0.11 from CNY 0.09 in the previous year[12]. - The net profit for the parent company was CNY 267,710,032, a decrease of 4.17% from CNY 279,372,090 in the previous year[12]. - The company reported a net cash flow from operating activities of CNY 864,723,157, down 73.28% from CNY 3,235,724,967 in the same period last year[12]. - The total profit for the period was RMB 528,501,264, compared to RMB 362,331,551 in the same period of 2022, marking an increase of about 46%[158]. - Net profit for the six months ended June 30, 2023, was RMB 373,555,247, up from RMB 267,710,032 in the same period last year, representing an increase of approximately 39.4%[158]. - The company reported a total comprehensive income of RMB 394,429,132 for the period, compared to RMB 331,299,251 in the same period last year, reflecting an increase of approximately 19%[160]. Assets and Liabilities - Total assets at the end of the reporting period were CNY 81,948,016,429, a decrease of 1.16% from CNY 82,909,230,170 at the end of the previous year[12]. - Total liabilities decreased by 1.62% to CNY 64,012,543,236 from CNY 65,066,190,026 year-on-year[12]. - The company's cash and cash equivalents decreased by 5.93% from CNY 24,693,407,549 to CNY 23,228,214,042[18]. - The company's total assets at the end of the reporting period amounted to ¥81,948,016,429, a slight decrease from the previous year[62]. - The total liabilities of the group were RMB 64.01 billion, a decrease from RMB 65.07 billion, reflecting a decline of about 1.63%[151]. - The company's short-term borrowings decreased significantly from RMB 1.02 billion to RMB 373.05 million, a reduction of approximately 63.6%[151]. Cash Flow - The company achieved a net increase in cash and cash equivalents of -CNY 1,133,174,020, a decline of 134.83% year-on-year[53]. - The net cash flow from operating activities for the group was RMB 864,723,157 for the six months ended June 30, 2023, compared to RMB 3,235,724,967 for the same period in 2022, representing a decrease of approximately 73%[164]. - The cash inflow from investment activities was RMB 649,169,311, significantly up from RMB 307,310,750 in the previous year, marking an increase of around 111%[166]. - The cash outflow for debt repayment was RMB 2,293,406,966, down from RMB 9,100,610,000 in the same period last year[168]. Risk Management - The company is facing significant risks including policy, liquidity, market, credit, operational, and reputational risks, and has established a robust internal control and risk management system[2]. - The company has implemented a comprehensive liquidity risk management policy, including regular stress testing and emergency response plans[88]. - The company has developed a risk management framework that includes risk limits, loss limits, and sensitivity indicators based on market conditions[91]. - The company has established a multi-level credit risk management system to control credit risk across various financing activities[89]. Business Operations - The company operates across various financial sectors, including wealth management, investment banking, and asset management, providing a comprehensive range of financial services[24]. - The company's equity business segment includes proprietary trading, derivatives/quantitative investment, research and sales trading, private equity investment, and alternative investments[25]. - The company has established a financial technology subsidiary to enhance digital transformation and improve operational efficiency[30]. - The company is focusing on expanding its market presence and enhancing its service offerings[110]. Shareholder Information - The company plans not to distribute cash dividends or issue bonus shares for the first half of 2023[2]. - The total number of ordinary shareholders at the end of the reporting period was 123,048[132]. - The largest shareholder, Shanxi Financial Investment Holding Group Co., Ltd., holds 31.77% of the shares, totaling 1,140,374,242 shares[133]. Compliance and Governance - The company has established a compliance management system and appointed a compliance director to enhance compliance standards and ensure overall compliance risk is controllable[94]. - The financial statements were approved by the board on August 25, 2023, indicating compliance with regulatory requirements[174]. - The company has not faced any major environmental protection issues or penalties during the reporting period, adhering to green development principles[103]. Future Outlook - Future outlook remains positive with expectations of continued revenue growth and market expansion[110]. - The company aims to leverage the resources of its controlling shareholder, Shanxi Financial Holdings, to create a synergistic business ecosystem[27].