北京市金杜律师事务所 关于国盛金融控股集团股份有限公司 北京市金杜律师事务所（以下简称本所）接受国盛金融控股集团股份有限公 司（以下简称公司或国盛金控）委托，根据《中华人民共和国证券法》（以下简称 《证券法》）、《中华人民共和国公司法》（以下简称《公司法》）、中国证券监督管 理委员会《上市公司股东会规则》（以下简称《股东会规则》）等中华人民共和国 境内（以下简称中国境内，为本法律意见书之目的，不包括中国香港特别行政区、 中国澳门特别行政区和中国台湾省）现行有效的法律、行政法规、规章和规范性 文件和现行有效的公司章程的有关规定，指派律师出席了公司于 2025 年 10 月 24 日召开的 2025 年第一次临时股东大会（以下简称本次股东大会），并就本次股东 大会相关事项出具本法律意见书。 为出具本法律意见书，本所律师审查了国盛金控提供的以下文件，包括但不 限于： 1. 公司 2023 年 5 月 30 日 2022 年度股东大会审议通过的《国盛金融控股集 团股份有限公司章程》（以下简称《公司章程》）； 2. 公司 2025 年 9 月 27 日刊登于巨潮资讯网和深圳证券交易所网站的《第 四届董事会第五十一次会议 ...

Market Overview - The market indices experienced significant gains, with the Shanghai Composite Index, Shenzhen Component Index, and ChiNext Index rising by 0.71%, 2.02%, and 3.57% respectively, and over 3,000 stocks rising while more than 2,200 stocks fell [4] - The trading volume approached 2 trillion yuan, indicating increased market activity [4] - The Shanghai Composite Index reached a new high for the year, while the ChiNext Index also returned to near its yearly high [5] Storage Sector - The storage sector opened strongly, with several stocks hitting the daily limit, including Xianggang Technology, Dwei Co., and Purun Co., among others [8] - The flash memory and DRAM sectors saw increases of 8.25% and 7.92% respectively, driven by price hikes from major companies like Samsung and SK Hynix, which raised prices by up to 30% [8] - The surge in the storage sector was also influenced by a significant rise in U.S. storage stocks, particularly SanDisk, which increased by over 13.6% [8] Financial Sector - The financial sector initially lagged behind the market, with no mentions in the recent five-year plan, leading to a perception of underperformance [12] - However, after a statement from a senior financial official emphasizing the importance of high-quality financial development, the sector saw a rebound, with brokerage stocks gaining 0.85% by the end of the day [12] Technology and Robotics - Jinfutech experienced a sharp rise after announcing a collaboration with Shanghai Hanzhi Information Technology and receiving a manufacturing order for humanoid robots [16] - This marked a significant advancement in the company's involvement in the robotics sector, moving beyond mere partnerships to actual manufacturing contracts [16]

Market Overview - On October 24, the securities sector rose by 0.87%, with Guosheng Jinkong leading the gains. The Shanghai Composite Index closed at 3950.31, up 0.71%, while the Shenzhen Component Index closed at 13289.18, up 2.02% [1]. Individual Stock Performance - The top-performing stocks included: - Tusheng Jinkong (002670) with a closing price of 22.75, up 4.79% and a trading volume of 1.2857 million shares, totaling 2.901 billion yuan in transaction value [1]. - Changcheng Securities (002939) closed at 11.68, up 3.09%, with a trading volume of 932,800 shares, amounting to 1.077 billion yuan [1]. - Huayin Securities (002945) closed at 16.68, up 1.96%, with a trading volume of 158,000 shares, totaling 261 million yuan [1]. Fund Flow Analysis - The securities sector saw a net inflow of 999.5 million yuan from institutional investors, while retail investors experienced a net outflow of 647 million yuan [2]. - Notable net inflows from major stocks included: - Dongfang Caifu (300059) with a net inflow of 595 million yuan, representing 6.48% of its trading volume [3]. - Huatai Securities (601688) with a net inflow of 15.9 million yuan, accounting for 8.80% of its trading volume [3]. Summary of Trading Data - The trading data for various securities showed mixed results, with some stocks experiencing declines, such as Guoxin Securities (002736) which closed at 14.07, down 0.85% [2]. - The overall trading volume and transaction values indicated active trading within the sector, with significant participation from both institutional and retail investors [2][3].

Market Overview - On October 23, the securities sector rose by 1.06%, with Haotou Co., Ltd. leading the gains [1] - The Shanghai Composite Index closed at 3922.41, up 0.22%, while the Shenzhen Component Index closed at 13025.45, also up 0.22% [1] Individual Stock Performance - Haotou Co., Ltd. (600864) closed at 8.03, up 6.22% with a trading volume of 1.66 million shares and a transaction value of 1.299 billion [1] - Other notable performers included: - Tuxin Securities (002736) at 14.19, up 4.11% [1] - Guosheng Financial Holdings (002670) at 21.71, up 2.99% [1] - Huaxin Co., Ltd. (600621) at 16.61, up 2.40% [1] Capital Flow Analysis - The securities sector saw a net inflow of 358 million in institutional funds, while retail investors experienced a net outflow of 618 million [2] - Major stocks with significant capital inflows included: - Dongfang Fortune (300059) with a net inflow of 325 million [3] - Haotou Co., Ltd. (600864) with a net inflow of 16.6 million [3] - CITIC Securities (600030) with a net inflow of 13.8 million [3] Summary of Trading Data - The trading data for various securities showed mixed results, with some stocks experiencing gains while others faced declines [2][3] - The overall trading environment indicates a cautious sentiment among retail investors, contrasting with institutional buying activity [2][3]

Group 1 - The A-share market saw a rally in brokerage stocks, with Guosheng Financial Holdings rising nearly 5% [1] - Other brokerage firms such as Guoxin Securities, Northeast Securities, GF Securities, and Guotai Junan also experienced gains [1]

Group 1 - The company, Guosheng Jinkong, announced on October 22 that it regularly publishes the number of shareholders at the end of each month in the "Company Voice" section on the interactive platform [2]

证券之星消息，10月22日证券板块较上一交易日下跌1.03%，国盛金控领跌。当日上证指数报收于 3913.76，下跌0.07%。深证成指报收于12996.61，下跌0.62%。证券板块个股涨跌见下表： | 代码 | 名称 | 收盘价 | 涨跌幅 | 成交量(手) | 成交额(元) | | --- | --- | --- | --- | --- | --- | | 002670 | 国盛金控 | 21.08 | -3.92% | 66.09万 | 14.02亿 | | 601162 | 天风证券 | 5.17 | -3.90% | 543.95万 | 28.28亿 | | 000783 | 长江证券 | 8.26 | -2.25% | 82.78万 | 6.86 Z | | 601136 | 首创证券 | 21.07 | -2.09% | 18.73万 | 3.98亿 | | 601688 | 华泰证券 | 21.42 | -2.06% | 87.12万 | 18.74亿 | | 000776 | 广发证券 | 22.33 | -1.98% | 75.61万 | 16.94亿 | | 600095 | 湘财股份 ...

Group 1 - The three major indices opened lower, with the CSI All Share Securities Companies Index down 0.76% as of the report time, while individual stocks like Zhongyuan Securities rose over 1% and Guosen Securities, Tianfeng Securities fell over 3% [1] - The Broker ETF (159842) also saw a decline of 0.68%, with a trading volume exceeding 15 million yuan and a premium rate of 0.05%, indicating frequent premium trading at the beginning of the session [1] - In terms of capital flow, the Broker ETF (159842) recorded net inflows for 9 out of the last 10 trading days, accumulating over 1.1 billion yuan [1] Group 2 - Several securities firms are distributing a new round of mid-term dividends, with Huaxin Securities announcing a total dividend of 41.3751 million yuan on October 21 [1] - From October 22 to 28, eight securities firms including GF Securities and Dongfang Securities are set to distribute a total of 5.2 billion yuan in mid-term dividends, contributing to a total of over 18 billion yuan in mid-term dividends planned by 29 securities firms this year [1] - According to Founder Securities, the recovery trend of the brokerage sector's fundamentals is clear in a high trading environment, with a divergence between performance growth and valuation, indicating ample room for valuation adjustments [2]

New Stock Offerings - The offer period for the acquisition of Shangwei New Materials (688585) is from September 29, 2025, to October 28, 2025[1] - The latest announcements for various stocks include BoRui Pharmaceutical (688166) and Nanxin Pharmaceutical (688189) on October 10, 2025[1] - Significant abnormal fluctuations were reported for Nanxin Pharmaceutical (688189) on October 10, 2025[1] Trading Alerts - A total of 30 stocks have trading alerts issued on October 20, 2025, including Anlikang (002940) and ST Baoying (002047)[1] - The trading alerts cover various sectors, indicating potential volatility in the market[1] - The latest announcements for stocks such as YD Holdings (000626) and ST Nanzhi (002305) were made on October 20, 2025[1]

Group 1 - The core viewpoint of the article is that Guosheng Jinkong (002670) is leveraging the absorption and merger of its wholly-owned subsidiary Guosheng Securities to further focus on its main securities business and actively explore new business opportunities to achieve better operational performance [1] Group 2 - The company responded to investor inquiries on October 17, indicating its strategic move to enhance its business focus [1] - The initiative aims to improve operational results by concentrating resources on the securities sector [1] - The company is committed to expanding its business scope in pursuit of improved performance [1]