Financial Performance - The company's operating revenue for Q1 2024 was ¥1,595,146,414.04, a decrease of 12.01% compared to ¥1,812,965,376.11 in the same period last year[3] - Net profit attributable to shareholders was ¥196,224,554.94, down 45.24% from ¥358,320,234.46 year-on-year[3] - The basic and diluted earnings per share were both ¥0.0439, representing a decline of 45.26% compared to ¥0.0802 in the previous year[4] - The company reported a total operating profit of CNY 271,551,206.30, a decline of 44.4% compared to CNY 488,397,611.43 in the same quarter last year[24] - The total comprehensive income for Q1 2024 was CNY 202,691,266.09, down 45.3% from CNY 370,095,523.76 in the previous year[24] Assets and Liabilities - The total assets at the end of the reporting period were ¥98,532,922,006.76, an increase of 2.40% from ¥96,220,878,199.07 at the end of the previous year[4] - The total liabilities increased to ¥70,206,831,360.34 as of March 31, 2024, up from ¥68,097,478,818.74 at the beginning of the year, representing a growth of 3.1%[22] - The company's total equity reached CNY 28,326,090,646.42, an increase of 0.7% from CNY 28,123,399,380.33 at the start of the year[22] Cash Flow - The net cash flow from operating activities was ¥2,168,356,452.55, with a significant decrease of ¥558,089,489.28 compared to the previous period[3] - Total cash inflow from operating activities reached ¥9,818,340,968.88, compared to ¥5,972,430,302.59 in Q1 2023, reflecting a year-over-year increase of approximately 64.5%[26] - The net increase in cash and cash equivalents for the quarter was ¥1,913,177,038.16, contrasting with a decrease of ¥2,156,314.08 in Q1 2023[27] - The total cash and cash equivalents at the end of the period stood at ¥18,118,088,530.05, compared to ¥17,930,258,958.77 at the end of the previous year[27] Investment and Income - The net income from investment banking fees increased by 29.18% to ¥36,298,991.40 compared to ¥28,098,784.46 in the previous year[9] - The net income from asset management fees rose by 59.97% to ¥23,710,759.20 from ¥14,822,068.77 year-on-year[9] - Investment income for the quarter was CNY 361,926,064.04, down 16.6% from CNY 433,772,567.04 in Q1 2023[23] Shareholder Information - The total number of common shareholders at the end of the reporting period was 192,840, with the largest shareholder, Shaanxi Investment Group, holding 35.65%[14] - The top ten shareholders collectively held a significant portion of the company's shares, with Shaanxi Investment Group and Shanghai Urban Investment Holding being the largest contributors[15] - The company reported a total of ¥1,232,983,816 in unrestricted circulating shares held by the largest shareholders[16] Strategic Developments - The company plans to increase its stake in Western Advantage Capital by ¥200 million to support its strategic development goals[19] - The controlling shareholder, Shaanxi Investment Group, intends to increase its shareholding by no less than ¥100 million and no more than ¥200 million within six months, with a maximum purchase price of ¥8.26 per share[19] - The company has approved a share repurchase plan with a total amount not less than ¥50 million and not exceeding ¥100 million, aimed at employee stock ownership plans[19] Other Financial Metrics - The company's weighted average return on equity decreased to 0.70%, down 0.62 percentage points from 1.32% in the previous year[4] - The after-tax net other comprehensive income was reported at -¥1,406,757.76, a decrease of 137.23% compared to the previous period[13] - The company reported a cash inflow of ¥727,683,436.54 from interest, fees, and commissions, which is an increase from ¥591,877,171.66 in the same quarter last year[26]

西部证券股份有限公司 二〇二三年度 内部控制审计报告 致同会计师事务所(特殊普通合伙) ant Thornton 中日 Grant Thornton 致同 内部控制审计报告 致同审字(2024)第 110A013323号 西部证券股份有限公司全体股东: 按照《企业内部控制审计指引》及中国注册会计师执业准则的相关要求, 我们审计了西部证券股份有限公司(以下简称"西部证券")2023年 12月 31日的财务报告内部控制的有效性。 一、企业对内部控制的责任 按照《企业内部控制基本规范》、《企业内部控制应用指引》、《企业 内部控制评价指引》的规定,建立健全和有效实施内部控制,并评价其有效 性是西部证券董事会的责任。 二、注册会计师的责任 我们的责任是在实施审计工作的基础上,对财务报告内部控制的有效性 发表审计意见,并对注意到的非财务报告内部控制的重大缺陷进行披露。 三、内部控制的固有局限性 内部控制具有固有局限性,存在不能防止和发现错报的可能性。此外, 由于情况的变化可能导致内部控制变得不恰当,或对控制政策和程序遵循的 程度降低,根据内部控制审计结果推测未来内部控制的有效性具有一定风险。 四、财务报告内部控制审计意见 ...

Financial Performance - The company reported a significant increase in revenue, achieving a total of 1.5 billion CNY for the fiscal year, representing a 20% year-over-year growth[30]. - The company reported a significant increase in revenue, reaching RMB 1.2 billion, representing a 15% year-over-year growth[34]. - The company's operating revenue for 2023 reached ¥6,894,312,207, representing a 29.87% increase compared to ¥5,308,429,919 in 2022[37]. - Net profit attributable to shareholders was ¥430,530,182.78, a significant increase of 170.76% from ¥158,060,445.71 in 2022[37]. - The company achieved a total operating revenue of RMB 6.89 billion in 2023, representing a year-on-year increase of 29.87%[64]. - The net profit attributable to shareholders reached RMB 1.17 billion, a significant increase of 170.76% compared to the previous year[63]. - The total operating profit for 2023 was RMB 1,544,669,427.94, reflecting a significant increase of 161.91% from RMB 589,771,207.76 in 2022[82]. Dividends and Profit Distribution - The company plans to distribute a cash dividend of RMB 0.90 per 10 shares, totaling RMB 402,262,353.45, based on a total share capital of 4,469,581,705 shares as of December 31, 2023[3]. - The company does not plan to issue bonus shares or convert capital reserves into share capital for the 2023 fiscal year[3]. - The remaining undistributed profits for 2023 will be carried forward to the next year, amounting to 3,057,063,821.65 CNY[198]. - The cash dividend distribution for 2022 was 0.49 CNY per 10 shares, amounting to 219,009,503.55 CNY[199]. - The company has established a policy to distribute at least 30% of the distributable profits as cash dividends annually, subject to certain conditions[196]. Business Operations and Expansion - The company has undergone changes in its business scope, including the addition of financial product agency services in 2013 and stock option market-making qualifications in 2015[10]. - The company has been actively expanding its market presence through acquisitions and capital increases since its establishment[20]. - The company is focused on market expansion and enhancing its service network through the establishment of new branches[24]. - The company is expanding its market presence by opening 10 new branches across key cities, aiming to enhance customer accessibility and service delivery[30]. - The company aims to leverage its subsidiaries to strengthen its investment capabilities and market position[25]. Risk Management - The company has strengthened its comprehensive risk management system, covering various risk types and business lines, ensuring effective operation of risk identification, analysis, assessment, monitoring, and reporting mechanisms[131]. - The company actively monitors policy changes and adjusts its operations accordingly to minimize the impact of policy risks on its business activities[132]. - The company has developed a comprehensive operational risk management framework that integrates risk management into business processes and decision-making[136]. - The company has implemented a credit risk management system based on internal credit rating, focusing on timely identification and management of credit risk factors across different business areas[134]. Corporate Governance - The company has implemented a comprehensive governance structure, ensuring clear responsibilities and coordination among its decision-making bodies[144]. - The company has established a robust investor relations management system to respect and protect stakeholders' rights[144]. - The company emphasizes high-quality information disclosure to enhance operational standards and ensure investor rights[144]. - The company has revised its independent director system to enhance the effectiveness of independent directors in governance practices[144]. Technology and Innovation - The company is committed to innovation, with ongoing research and development efforts aimed at introducing new products and technologies[153]. - The company is focusing on digital transformation and risk compliance to adapt to the evolving financial landscape and improve its competitive edge[56]. - The company is dedicated to maintaining stable and healthy development through continuous improvement in governance practices[181]. - The company has established a digital innovation lab to foster new technology solutions, with an initial investment of 50 million RMB[159]. Employee and Training Initiatives - As of December 31, 2023, the company has a total of 3,324 employees, including 2,809 in the parent company and 515 in subsidiaries[183]. - The company conducted over 160 external training sessions for core personnel and added 175 online courses to its training platform[194]. - The company has established a market-oriented compensation mechanism and supplementary medical insurance to attract and retain talent[193]. Market Outlook - The company provided a positive outlook for the next fiscal year, projecting a revenue growth of 10% to 12%[34]. - The company aims to enhance its operational strategies to achieve reasonable growth in quantity and steady improvement in quality, aligning with the modernization of the industrial system[56]. - The company is considering strategic acquisitions to enhance its service offerings, with a budget of 300 million RMB earmarked for potential deals[157].

证券代码：002673 证券简称：西部证券 公告编号：2024-037 4、会议召开的日期、时间 西部证券股份有限公司 （1）现场会议召开时间：2024年5月16日14:30 关于召开2023年度股东大会的通知 （2）网络投票时间：2024年5月16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。 一、召开会议的基本情况 1、股东大会届次：西部证券股份有限公司2023年度股东大会。 2、召集人：西部证券股份有限公司（以下简称"公司"）董事 会。 2024年4月23日，公司第六届董事会第十三次会议审议通过了《关 于提请审议召开西部证券股份有限公司2023年度股东大会的提案》。 3、会议召开的合法、合规性：本次会议召开符合相关法律、行 政法规、部门规章、规范性文件、深圳证券交易所业务规则及《公司 章程》的规定。 其中，通过深圳证券交易所交易系统进行投票的具体时间为： 2024年5月16日9:15-9:25,9:30-11:30和13:00-15:00；通过深圳证券 交易所互联网投票系统进行投票的具体时间为2024年5月16日 9:15-15:00。 5、会议召开 ...

西部证券股份有限公司董事会关于 2023 年度高管人员绩效考核和薪酬情况的专项说明 根据《公司法》《证券公司治理准则》《上市公司治理准则》《深 圳证券交易所上市公司自律监管指引第 1 号——主板上市公司规范运 作》等法律法规和《公司章程》《西部证券股份有限公司高级管理人 员薪酬管理办法》（以下简称"《高管薪酬办法》"）、《西部证券股份有 限公司高级管理人员绩效考核管理办法》（以下简称"《高管考核办 法》"）的有关规定，公司组织实施了高管人员 2023 年度绩效考核， 并据此确定了高管人员的薪酬。具体如下： 一、2023 年度高管人员绩效考核与薪酬原则 根据《高管考核办法》中明确的考核指标进行考核,各高管人员 薪酬发放按照《高管薪酬办法》中明确的其所在岗位对应的薪酬标准 执行。 二、2023 年度高管人员绩效考核程序 三、2023 年度高管人员绩效考核及薪酬情况 依照上述原则和程序，各位高管 2023 年度绩效考核及薪酬情况 具体如下： （一）公司 2023 年度无重大违法违规行为和重大风险发生，高 管人员在考核年度认真履职，完成了各项年度工作任务，公司结合考 核情况兑现绩效奖励，具体薪酬情况详见公司 2023 ...

经核查独立董事郑智、张博江、羿克、黄宾的任职经历以及签署 的相关自查文件，上述人员未在公司担任除独立董事以外的任何职务， 也未在公司主要股东公司担任任何职务，与公司以及主要股东之间不 存在利害关系或其他可能妨碍其进行独立客观判断的关系。因此，公 司独立董事符合《上市公司独立董事管理办法》《深圳证券交易所上 市公司自律监管指引第 1 号--规范运作》中对独立董事独立性的相关 要求。 西部证券股份有限公司董事会 关于独立董事独立性情况的专项意见 根据证监会《上市公司独立董事管理办法》、深圳证券交易所《股 票上市规则》《上市公司自律监管指引第 1 号--规范运作》等要求， 西部证券股份有限公司（以下简称"公司"）董事会，就公司在任独 立董事郑智、张博江、羿克、黄宾的独立性情况进行评估并出具如下 专项意见： 西部证券股份有限公司董事会 2024 年 4 月 23 日 ...

西部证券股份有限公司 董事会风险控制委员会工作规则 董事会风险控制委员会工作规则 XBZQ WD5.2.2/01-02 第一章 总 则 第一条 为了完善西部证券股份有限公司（以下简称"公司"）治理 结构，提高合规管理和风险管理的能力及水平，防范和化解经营风险，根据 《证券公司监督管理条例》、《证券公司治理准则》、《深圳证券交易所股 票上市规则》、《深圳证券交易所上市公司自律监管指引第 1 号——主板上 市公司规范运作》及《西部证券股份有限公司章程》等有关规定，公司设立 董事会风险控制委员会（以下简称"风险控制委员会"），并制订本规则。 第二条 风险控制委员会是董事会设立的专门委员会，主要负责指导 公司合规管理和风险管理工作。风险控制委员会对董事会负责，并定期向董 事会提交工作报告。 第三条 风险控制委员会下设风险控制办公室，具体机构设在风险管 理部，负责处理风险控制委员会会议召开相关的日常事务。 第二章 人员组成 第四条 风险控制委员会成员由 7 名董事组成，董事长、二分之一以 上独立董事或者三分之一以上董事可以提名风险控制委员会委员。 第五条 风险控制委员会由董事长和其余 6 名委员组成，由董事会选 举产生 ...

一、2023 年度董事履职考核内容、考核程序与薪酬原则 西部证券股份有限公司董事会关于 2023 年度董事绩效考核和薪酬情况的专项说明 根据《公司法》《证券公司治理准则》《上市公司治理准则》《深 圳证券交易所上市公司自律监管指引第 1 号——主板上市公司规范运 作》等法律法规和《西部证券股份有限公司章程》《西部证券股份有 限公司董事、监事薪酬及考核管理方案（试行）》（以下简称"《董事、 监事薪酬及考核管理方案》"）、《国有企业领导人员廉洁从业若干规 定》的有关规定，结合公司实际情况，现将公司 2023 年度董事薪酬 及考核情况说明如下： 西部证券股份有限公司董事会 根据《董事、监事薪酬及考核管理方案》的规定，公司 2023 年 度对董事履职考核内容包括：勤勉尽责、业务培训、风控合规指标（含 反洗钱）等方面。 二〇二四年四月 在公司领取薪酬的董事的考核按其所在岗位的考核指标进行，由 公司各归口部门提供相应的考核记录，由董事会按照考核责任进行考 核，根据考核结果兑现全部或部分绩效奖励，其薪酬发放按照其所在 岗位对应的薪酬标准执行。 不在公司领取薪酬的董事，由董事会薪酬与考核委员会根据其履 职情况对其进行年度考核， ...

特别提示： 证券代码：002673 证券简称：西部证券 公告编号：2024-034 西部证券股份有限公司 拟续聘会计师事务所的公告 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。 本次续聘会计师事务所符合财政部、国务院国资委、证监会印发 的《国有企业、上市公司选聘会计师事务所管理办法》（财会〔2023〕 4 号）的规定。 一、拟续聘会计师事务所的基本情况 （一）机构信息 1．基本信息 会计师事务所名称：致同会计师事务所（特殊普通合伙） 成立日期：1981 年 组织形式：特殊普通合伙制 注册地址：北京市朝阳区建国门外大街 22 号赛特广场五层 首席合伙人：李惠琦 执业证书颁发单位及序号：北京市财政局 NO 0014469 截至 2023 年末，致同会计师事务所（特殊普通合伙）(以下简称 "致同")从业人员超过六千人，其中合伙人 225 名，注册会计师 1,364 名，签署过证券服务业务审计报告的注册会计师超过 400 人。 致同 2022 年度业务收入人民币 26.49 亿元，其中审计业务收入 人民币 19.65 亿元，证券业务收入人民币 5.74 亿元。202 ...