国信证券股份有限公司董事会 关于本次交易符合《上市公司重大资产重组管理办法》 第十一条、第四十三条规定的说明 国信证券股份有限公司（以下简称"公司"或"上市公司"）拟发行A股股 份购买深圳市资本运营集团有限公司、深圳市鲲鹏股权投资有限公司、深业集团 有限公司、深圳市创新投资集团有限公司、深圳远致富海十号投资企业（有限合 伙）、成都交子金融控股集团有限公司、海口市金融控股集团有限公司合计持有 的万和证券股份有限公司（以下简称"万和证券"）96.08%股份（以下简称"本 次交易"）。 董事会对本次交易是否符合《上市公司重大资产重组管理办法》第十一条和 第四十三条规定进行了审慎分析，认为： （2）本次交易完成后，公司将继续存续，上市主体不会因本次交易发生变 更，仍然符合股票上市条件，因此本次交易不会导致公司不符合股票上市条件； （3）本次交易标的资产的交易价格将以符合《证券法》规定的资产评估机 构出具并经有权国有资产监督管理机构或其授权单位备案的评估报告的评估结 果为参考依据并经各方协商后确定，资产定价公允，不存在损害公司和股东合法 权益的情形； 1、本次交易符合《上市公司重大资产重组管理办法》第十一条的规定 （1 ...

本次交易前三十六个月内，公司实际控制人一直为深圳市人民政府国有资产 监督管理委员会（以下简称"深圳市国资委"），未发生过变更。本次交易完成 后，公司的实际控制人仍为深圳市国资委。本次交易不会导致公司实际控制人发 生变更。因此，本次交易不构成《上市公司重大资产重组管理办法》第十三条规 定的重组上市。 特此说明。 上市的说明 国信证券股份有限公司（以下简称"公司"）拟通过发行A股股份的方式购 买深圳市资本运营集团有限公司、深圳市鲲鹏股权投资有限公司、深业集团有限 公司、深圳市创新投资集团有限公司、深圳远致富海十号投资企业（有限合伙）、 成都交子金融控股集团有限公司、海口市金融控股集团有限公司合计持有的万和 证券股份有限公司96.08%股份（以下简称"本次交易"）。 本次交易的标的资产的审计、评估工作尚未完成，交易价格尚未最终确定。 本次交易预计未达到《上市公司重大资产重组管理办法》规定的重大资产重组标 准，不构成上市公司重大资产重组。 国信证券股份有限公司董事会 关于本次交易不构成重大资产重组且不构成重组 国信证券股份有限公司董事会 2024 年 9 月 4 日 ...

国信证券股份有限公司董事会 关于本次交易信息公布前 20 个交易日公司股票价格波动 情况的说明 国信证券股份有限公司（以下简称"公司"）拟通过发行A股股份的方式购 买深圳市资本运营集团有限公司、深圳市鲲鹏股权投资有限公司、深业集团有限 公司、深圳市创新投资集团有限公司、深圳远致富海十号投资企业（有限合伙）、 成都交子金融控股集团有限公司、海口市金融控股集团有限公司合计持有的万和 证券股份有限公司96.08%股份（以下简称"本次交易"）。 根据监管规则的要求，公司董事会对公司股票价格在本次交易首次公告日前 20个交易日内波动情况进行了自查，结果如下： 特此说明。 国信证券股份有限公司董事会 2024 年 9 月 4 日 公司股票（证券简称：国信证券，证券代码：002736）自2024年8月22日开 市起开始停牌，本次交易停牌前20个交易日内股票价格波动情况，以及该期间大 盘及行业指数波动情况的自查情况如下： | 项目 | 停牌前第21个交易日 收盘价格/指数 | 停牌前第1个交易日 收盘价格/指数 | 变化幅度 | | --- | --- | --- | --- | | | （2024年7月24日） | （20 ...

国信证券股份有限公司董事会 关于本次交易相关主体不存在《上市公司监管指引第 7 号— —上市公司重大资产重组相关股票异常交易监管》第十二条 规定情形的说明 国信证券股份有限公司（以下简称"公司"）拟通过发行A股股份的方式购 买深圳市资本运营集团有限公司、深圳市鲲鹏股权投资有限公司、深业集团有限 公司、深圳市创新投资集团有限公司、深圳远致富海十号投资企业（有限合伙）、 成都交子金融控股集团有限公司、海口市金融控股集团有限公司合计持有的万和 证券股份有限公司96.08%股份（以下简称"本次交易"）。 根据中国证券监督管理委员会（以下简称"中国证监会"）《上市公司监管 指引第7号——上市公司重大资产重组相关股票异常交易监管》第十二条的规定， 公司董事会现就本次交易相关主体不存在不得参与任何上市公司重大资产重组 情形的说明如下： 截至本说明出具之日，本次交易相关主体不存在因涉嫌与本次交易相关的内 幕交易被立案调查或者立案侦查的情形，最近36个月内不存在因与重大资产重 组相关的内幕交易被中国证监会行政处罚或者被司法机关依法追究刑事责任的 情形。 综上，公司董事会认为，本次交易相关主体不存在依据《上市公司监管指引 第7号 ...

《上市公司重大资产重组管理办法》（以下简称"《重组管理办法》"）第 十四条规定："上市公司在十二个月内连续对同一或者相关资产进行购买、出售 的，以其累计数分别计算相应数额。已按照本办法的规定编制并披露重大资产重 组报告书的资产交易行为，无须纳入累计计算的范围。中国证监会对本办法第十 三条第一款规定的重大资产重组的累计期限和范围另有规定的，从其规定。交易 标的资产属于同一交易方所有或者控制，或者属于相同或者相近的业务范围，或 者中国证监会认定的其他情形下，可以认定为同一或者相关资产。"《<上市公 司重大资产重组管理办法>第十四条、第四十四条的适用意见——证券期货法律 适用意见第12号》规定："在上市公司股东大会作出购买或者出售资产的决议后 十二个月内，股东大会再次或者多次作出购买、出售同一或者相关资产的决议的， 应当适用《重组管理办法》第十四条第一款第（四）项的规定。" 截至目前，公司在本次交易前12个月内不存在需纳入本次交易相关指标累 计计算范围的购买、出售资产的情况。 国信证券股份有限公司董事会 关于本次交易前 12 个月内购买、出售资产的说明 国信证券股份有限公司（以下简称"公司"）拟通过发行A股股份的方 ...

3、本次交易完成后，万和证券将成为国信证券的子公司，本次交易有利于 继续保持上市公司资产的完整性，也有利于上市公司在业务、资产、财务、人员、 机构等方面继续保持独立。 国信证券股份有限公司董事会 关于本次交易符合《上市公司监管指引第 9 号——上市公 司筹划和实施重大资产重组的监管要求》第四条规定的 说明 国信证券股份有限公司（以下简称"公司"）拟发行A股股份购买深圳市资 本运营集团有限公司、深圳市鲲鹏股权投资有限公司、深业集团有限公司、深圳 市创新投资集团有限公司、深圳远致富海十号投资企业（有限合伙）、成都交子 金融控股集团有限公司、海口市金融控股集团有限公司合计持有的万和证券股份 有限公司（以下简称 "万和证券"）96.08%股份（以下简称"本次交易"）。 董事会对本次交易是否符合《上市公司监管指引第9号——上市公司筹划和 实施重大资产重组的监管要求》第四条规定进行了审慎分析，认为： 1、本次交易的标的资产为万和证券96.08%股份，不涉及立项、环保、行业 准入、用地、规划、建设施工等有关报批事项。本次交易涉及的有关审批事项已 在《国信证券股份有限公司发行股份购买资产暨关联交易预案》中详细披露，并 对本次 ...

证券代码：002736 证券简称：国信证券 公告编号：2024-070 国信证券股份有限公司 关于筹划发行股份购买资产事项的停牌进展公告 截至本公告披露日，公司与相关各方正在就本次交易方案进行协商、论证和 确认。鉴于本次交易的有关事项尚存在不确定性，为维护投资者利益，避免对公 司证券交易造成重大影响，根据深圳证券交易所相关规定，公司股票将继续停牌。 停牌期间，公司将严格按照有关法律法规的规定和要求履行信息披露义务。 待有关事项确定后，公司将及时发布相关公告并申请公司股票复牌。 公司所有信息均以在指定信息披露媒体披露的内容为准。因本次交易的有关 事项尚存在不确定性，敬请广大投资者关注公司后续公告并注意投资风险。 特此公告。 国信证券股份有限公司董事会 2024年8月29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。 国信证券股份有限公司（以下简称"公司"）正在筹划以发行 A 股股份的方 式购买万和证券股份有限公司控制权事项（以下简称"本次交易"）。因有关事项 尚存在不确定性，为维护投资者利益，避免对公司证券交易造成重大影响，根据 深圳证券交易所的相关规定，经 ...

[Important Notice, Table of Contents, and Definitions](index=5&type=section&id=第一节%20重要提示%E3%80%81目录和释义) This section provides essential disclaimers, defines key terms, and outlines the report structure, ensuring clarity and legal compliance [Important Notice](index=5&type=section&id=重要提示) The company's board of directors, supervisory board, and senior management guarantee the truthfulness, accuracy, and completeness of this semi-annual report and assume legal responsibility - The company's management guarantees the truthfulness, accuracy, and completeness of the report content and assumes corresponding legal responsibilities[6](index=6&type=chunk) - The company's 2024 semi-annual financial report is unaudited[6](index=6&type=chunk) - The company explicitly states no cash dividends, bonus shares, or capital increase from provident funds will be distributed for the first half of 2024[6](index=6&type=chunk) [Definitions](index=7&type=section&id=释义) This chapter defines key terms used in the report, such as 'Company' and 'Reporting Period' (January 1 to June 30, 2024), providing a foundation for understanding the content - The reporting period is defined as January 1 to June 30, 2024[8](index=8&type=chunk) [Company Profile and Key Financial Indicators](index=8&type=section&id=第二节%20公司简介和主要财务指标) This section presents the company's fundamental information and a comprehensive overview of its key financial performance and position for the reporting period [Company Profile](index=9&type=section&id=一%E3%80%81公司简介) This section provides the company's basic information, including its stock ticker 'Guosen Securities', stock code '002736', listing exchange (Shenzhen Stock Exchange), and legal representative Company Basic Information | Item | Information | | :--- | :--- | | Stock Abbreviation | Guosen Securities | | Stock Code | 002736 | | Listing Stock Exchange | Shenzhen Stock Exchange | | Legal Representative | Zhang Nasha | [Key Accounting Data and Financial Indicators](index=10&type=section&id=四%E3%80%81主要会计数据和财务指标) In the first half of 2024, total operating revenue decreased by 5.49% year-on-year, and net profit attributable to shareholders decreased by 12.56%, while net cash flow from operating activities significantly increased by 1491.21% Key Financial Performance (Consolidated Statement) | Indicator (Consolidated Statement) | Jan-Jun 2024 | Jan-Jun 2023 | YoY Change | | :--- | :--- | :--- | :--- | | Total Operating Revenue (Million Yuan) | **7,757.50** | **8,207.71** | -5.49% | | Net Profit Attributable to Shareholders (Million Yuan) | **3,138.73** | **3,589.56** | -12.56% | | Basic Earnings Per Share (Yuan/Share) | **0.26** | **0.31** | -16.13% | | Weighted Average Return on Net Assets | **3.04%** | **3.76%** | Down 0.72 percentage points | | Net Cash Flow from Operating Activities (Million Yuan) | **22,554.57** | **1,417.44** | 1491.21% | Key Financial Position (Consolidated Statement) | Indicator (Consolidated Statement) | June 30, 2024 | Dec 31, 2023 | Period-end vs. Year-start Change | | :--- | :--- | :--- | :--- | | Total Assets (Million Yuan) | **465,681.14** | **462,960.17** | 0.59% | | Net Assets Attributable to Shareholders (Million Yuan) | **112,619.59** | **110,459.52** | 1.96% | [Parent Company Net Capital and Risk Control Indicators](index=12&type=section&id=七%E3%80%81母公司净资本及有关风险控制指标) As of the end of the reporting period, the parent company's risk control indicators exceeded regulatory standards, demonstrating strong capital adequacy and enhanced risk mitigation capabilities Parent Company Risk Control Indicators | Indicator | June 30, 2024 | Regulatory Standard | | :--- | :--- | :--- | | Risk Coverage Ratio | **313.31%** | ≥ 100% | | Capital Leverage Ratio | **14.28%** | ≥ 8% | | Liquidity Coverage Ratio | **229.37%** | ≥ 100% | | Net Stable Funding Ratio | **141.97%** | ≥ 100% | [Management Discussion and Analysis](index=13&type=section&id=第三节%20管理层讨论与分析) This section provides an in-depth analysis of the company's principal operations, core competencies, financial performance, and risk management strategies during the reporting period [Overview of Principal Businesses](index=14&type=section&id=一%E3%80%81报告期内公司从事的主要业务) The company's main businesses include wealth management, investment banking, investment and trading, and asset management, all maintaining leading positions despite a volatile A-share market in H1 2024 - The company's principal businesses are categorized into four segments: wealth management and institutional business, investment banking, investment and trading, and asset management[22](index=22&type=chunk) - In the first half of 2024, the A-share market experienced overall volatility, with the Shanghai Composite Index declining by **0.25%**, the Shenzhen Component Index by **7.10%**, and total A-share transaction volume decreasing by **10.20%** year-on-year[22](index=22&type=chunk) [Analysis of Core Competencies](index=14&type=section&id=二%E3%80%81核心竞争力分析) The company's core competencies stem from its strategic location in Shenzhen, strong state-owned shareholder background, market-oriented innovation, leading financial technology, and prudent operational philosophy - As a leading state-owned securities firm in the Guangdong-Hong Kong-Macao Greater Bay Area, the company actively supports Shenzhen's 'Dual Zone' development, ranking first in the number of sponsored listed companies in Shenzhen[22](index=22&type=chunk) - The company's top five shareholders are state-owned enterprises and institutions, collectively holding over **80%** of shares, providing a solid foundation for stable development[22](index=22&type=chunk) - Adhering to the 'technology-led business' philosophy, the company has developed flagship fintech products like 'Guosen Jintaiyang', achieving **100%** AI empowerment across all business segments[26](index=26&type=chunk) [Analysis of Principal Operations](index=16&type=section&id=三%E3%80%81主营业务分析) In H1 2024, total operating revenue was **7.757 billion yuan**, a **5.49%** year-on-year decrease, with growth in investment and trading and asset management offsetting declines in wealth management and investment banking Principal Business Revenue Breakdown | Business Segment | Total Operating Revenue (Million Yuan) | Proportion of Total Operating Revenue | YoY Change in Total Operating Revenue | | :--- | :--- | :--- | :--- | | Wealth Management and Institutional Business | **3,602.60** | 46.44% | -4.70% | | Investment Banking Business | **409.54** | 5.28% | -45.97% | | Investment and Trading Business | **3,386.14** | 43.65% | 11.33% | | Asset Management Business | **416.01** | 5.36% | 87.10% | - Looking ahead to the second half of the year, the company plans to thoroughly implement the new 'Guo Jiu Tiao' and the '1+N' policy system for the capital market, focusing on five key areas: technology finance, green finance, inclusive finance, pension finance, and digital finance, to serve the high-quality development of the real economy and capital market[27](index=27&type=chunk) [Wealth Management and Institutional Business](index=18&type=section&id=%281%29财富管理与机构业务) This segment generated **3.603 billion yuan** in revenue, a **4.70%** year-on-year decrease, while client assets under custody reached nearly **2.1 trillion yuan** and margin financing and securities lending balance was **53.3 billion yuan** - Brokerage client assets under custody are nearly **2.1 trillion yuan**, with **27.225 million** users for the Jintaiyang mobile securities app[37](index=37&type=chunk) - As of June 2024, the company's margin financing and securities lending balance was **53.3 billion yuan**, with a steady increase in market share[43](index=43&type=chunk) - Subsidiary Guosen Futures' brokered trading volume and value increased by **1.14%** and **28.01%** year-on-year respectively, significantly outperforming the market[45](index=45&type=chunk) [Investment Banking Business](index=20&type=section&id=%282%29投资银行) Investment banking revenue significantly declined by **45.97%** to **410 million yuan** due to market conditions, with the company completing **4.83** equity underwriting projects raising **4.922 billion yuan** Equity Underwriting Performance | Equity Underwriting Category | Jan-Jun 2024 Lead Underwriting Amount (Billion Yuan) | Number of Underwriting Projects | | :--- | :--- | :--- | | Initial Public Offerings | **1.208** | 1 | | Refinancing Issues | **3.714** | 3.83 | | **Total** | **4.922** | **4.83** | Bond Underwriting Performance | Bond Underwriting Category | Jan-Jun 2024 Lead Underwriting Amount (Billion Yuan) | Number of Underwriting Projects | | :--- | :--- | :--- | | Corporate Bonds | **47.396** | 48.38 | | Debt Financing Instruments | **32.848** | 50.22 | | Financial Bonds | **19.873** | 2.21 | | **Total** | **104.481** | **110.78** | [Investment and Trading Business](index=22&type=section&id=%283%29投资与交易) Investment and trading revenue increased by **11.33%** year-on-year to **3.386 billion yuan**, driven by successful navigation of equity market volatility and favorable bond market conditions - Equity investment business achieved moderate-to-low risk absolute returns in a volatile market, based on fundamental research[59](index=59&type=chunk) - Fixed income investment business achieved favorable returns on held assets in a positive bond market environment through in-depth analysis and proactive responses[60](index=60&type=chunk) - Subsidiary Guosen Capital added **4** new project investments, continuously strengthening its investment layout in strategic emerging industries such as new energy, high-end manufacturing, and biomedicine[62](index=62&type=chunk) [Asset Management Business](index=23&type=section&id=%284%29资产管理) Asset management revenue surged by **87.10%** year-on-year to **416 million yuan**, with total net asset under management reaching **152.746 billion yuan** by period-end Asset Management Business Net AUM | Asset Management Business Type | June 30, 2024 Net AUM (Billion Yuan) | Change from Year-end | | :--- | :--- | :--- | | Collective Asset Management | **79.052** | 2.03% | | Single Asset Management | **43.993** | -11.32% | | Special Asset Management | **29.701** | 6.18% | | **Total** | **152.746** | **-1.49%** | - Subsidiary Guosen Hongsheng added nearly **1.3 billion yuan** in fund management scale, with a deep focus on strategic emerging industries such as advanced manufacturing, new energy, and healthcare[67](index=67&type=chunk) [Other Businesses](index=24&type=section&id=%285%29其他业务) Other businesses, primarily through associate company Penghua Fund, contributed **1.789 billion yuan** in revenue and **382 million yuan** in net profit, with Penghua Fund's AUM reaching **1.202 trillion yuan** - Associate company Penghua Fund (50% stake) achieved **1.789 billion yuan** in operating revenue and **382 million yuan** in net profit in the first half of the year[68](index=68&type=chunk) - As of June 2024, Penghua Fund's asset management scale reached **1.202 trillion yuan** (excluding subsidiaries), with public fund management scale at **939 billion yuan**, a **16.44%** increase from the beginning of the year[68](index=68&type=chunk) [Analysis of Assets and Liabilities](index=27&type=section&id=五%E3%80%81资产及负债状况分析) As of June 2024, total assets were **465.681 billion yuan** and total liabilities were **353.062 billion yuan**, both showing slight increases from the year-start, with a stable and liquid asset-liability structure - As of June 2024, the company's total assets were **465.681 billion yuan**, a **0.59%** increase from the beginning of the year; total liabilities were **353.062 billion yuan**, a **0.16%** increase from the beginning of the year[76](index=76&type=chunk)[81](index=81&type=chunk) - Excluding client brokerage funds, the company's asset-liability ratio was **72.16%**[81](index=81&type=chunk) [Analysis of Major Holding and Associate Companies](index=31&type=section&id=八%E3%80%81主要控股参股公司分析) During the reporting period, the company established Guosen Securities Asset Management Co., Ltd., and major subsidiaries like Guosen Hongsheng and Guosen Hong Kong operated stably, with Penghua Fund contributing significant investment income Major Holding and Associate Companies' Financial Performance | Company Name | Relationship | Jan-Jun 2024 Total Operating Revenue (Million Yuan) | Jan-Jun 2024 Net Profit (Million Yuan) | | :--- | :--- | :--- | :--- | | Guosen Hongsheng | Subsidiary | **61.06** | **21.08** | | Guosen Hong Kong | Subsidiary | **82.03** | **2.85** | | Guosen Capital | Subsidiary | **25.05** | **7.11** | | Penghua Fund | Associate Company | **1,789.05** | **382.34** | - On April 23, 2024, Guosen Securities Asset Management Co., Ltd. completed its business registration and was newly established[93](index=93&type=chunk) [Risks and Countermeasures](index=32&type=section&id=十%E3%80%81公司面临的风险和应对措施) The company addresses market, credit, operational, and liquidity risks through a robust risk management system, including limit management, stress testing, due diligence, and dynamic monitoring - Market Risk: Measured and controlled using tools such as Value at Risk (VaR) and stress testing[95](index=95&type=chunk) - Credit Risk: Managed throughout the process via due diligence, internal ratings, and limit management; the average maintenance margin ratio for margin financing and securities lending was **236.38%** at period-end[96](index=96&type=chunk) - Operational Risk: Mitigated using three key management tools: risk and control self-assessment, key risk indicator monitoring, and risk event collection[98](index=98&type=chunk)[99](index=99&type=chunk) - Liquidity Risk: Effectively prevented through diversified financing channels, sufficient liquidity reserves, dynamic indicator monitoring, and stress testing[100](index=100&type=chunk) [Corporate Governance](index=37&type=section&id=第四节%20公司治理) This section details the company's corporate governance structure, including information on shareholders' meetings and changes in the board, supervisory board, and senior management [Shareholders' Meeting Information](index=38&type=section&id=一%E3%80%81报告期内召开的年度股东大会和临时股东大会的有关情况) During the reporting period, the company held one annual general meeting and three extraordinary general meetings, approving significant proposals including charter revisions, director and supervisor elections, and profit distribution plans - A total of **4** shareholders' meetings were held during the reporting period, including the 2023 Annual General Meeting and three extraordinary general meetings[115](index=115&type=chunk) [Changes in Directors, Supervisors, and Senior Management](index=39&type=section&id=二%E3%80%81公司董事%E3%80%81监事%E3%80%81高级管理人员变动情况) The reporting period saw multiple changes in the company's directors, supervisors, and senior management, including the election of new members and appointments of vice president and board secretary, alongside several departures - Li Shishan was elected as a director, Li Jinyi and Zhu Yingzi as independent directors, and Xie Xiaojuan as a supervisor[117](index=117&type=chunk) - Wu Guofang was appointed as the company's Vice President, and Liao Ruifeng as the Board Secretary[117](index=117&type=chunk) [Environmental and Social Responsibility](index=40&type=section&id=第五节%20环境和社会责任) This section outlines the company's commitment and actions in environmental protection, social responsibility initiatives, and contributions to rural revitalization efforts [Environmental Protection](index=41&type=section&id=一%E3%80%81重大环保问题情况) As a financial enterprise, the company is not a major polluter but actively promotes green finance and operations by issuing green bonds and establishing 'dual carbon' themed funds, while implementing energy-saving measures - In the first half of 2024, **3** green bonds were successfully issued, with an underwriting scale of **417 million yuan**[121](index=121&type=chunk) - Subsidiary Guosen Hongsheng co-initiated the first 'dual carbon' themed industrial fund, 'Anhui Guosen Xinneng Fund', with a total scale of **1.5 billion yuan**[121](index=121&type=chunk) [Social Responsibility and Rural Revitalization](index=42&type=section&id=三%E3%80%81巩固拓展脱贫攻坚成果%E3%80%81助力推进乡村振兴的情况) In H1 2024, the company invested **4.6822 million yuan** in **16** rural revitalization projects, leveraging financial expertise and volunteer efforts to consolidate poverty alleviation achievements Rural Revitalization Assistance Investment | Assistance Type | Amount Invested (Million Yuan) | | :--- | :--- | | Industrial Development Assistance | **1.15** | | Consumption Assistance | **3.3783** | | Ecological Protection Assistance | **0.1539** | | **Total** | **4.6822** | - In the first half of the year, subsidiary Guosen Futures launched **43** 'Insurance + Futures' projects in Guangxi, Xinjiang, and other regions, supporting rural revitalization with innovative financial tools[127](index=127&type=chunk) [Significant Matters](index=45&type=section&id=第六节%20重要事项) This section reports on major events impacting the company, including significant litigation, regulatory penalties, rectification efforts, and key developments concerning subsidiaries [Litigation Matters](index=47&type=section&id=八%E3%80%81诉讼事项) During the reporting period, the company disclosed progress on several business-related lawsuits and arbitrations, including the Huaze Cobalt & Nickel case where payments were made, and the Bailong case where the company was not held liable - Huaze Cobalt & Nickel Case: The company has paid a total of **134 million yuan** in accordance with the effective judgment[140](index=140&type=chunk) - Bailong Case: Involving a total amount of **280 million yuan**, the Guangdong High People's Court upheld the original judgment in **158** second-instance cases, ruling that the company bears no liability[146](index=146&type=chunk) - Haikou Rural Commercial Bank Case: In June 2024, the plaintiff refiled a lawsuit with the Shanghai Financial Court, seeking joint and several compensation of **118 million yuan** plus interest from the company and other intermediaries; the case has not yet been heard[148](index=148&type=chunk) [Penalties and Rectification](index=48&type=section&id=九%E3%80%81处罚及整改情况) During the reporting period, the company received warning letters from several CSRC bureaus regarding issues such as inadequate stock pledge management, insufficient ongoing supervision, and non-compliant cooperation with third-party platforms, all of which have been rectified - Received a warning letter from the Shenzhen CSRC Bureau concerning issues related to stock pledge business, distressed asset product management, and private equity subsidiary management[150](index=150&type=chunk) - Received a warning letter from the Guangdong CSRC Bureau for failing to timely urge Opt's IPO sponsor to fulfill procedures for changes in fundraising investment plans during ongoing supervision[150](index=150&type=chunk) - Received a warning letter from the Zhejiang CSRC Bureau because Lierda, which it sponsored, incurred a loss in its listing year[150](index=150&type=chunk) [Significant Matters of Subsidiaries](index=54&type=section&id=十五%E3%80%81公司子公司重大事项) During the reporting period, Guosen Securities Asset Management Co., Ltd. was established, Guosen Futures branches relocated or changed names, and Guosen Hong Kong, Guosen Hongsheng, and Guosen Capital all appointed new chairpersons and legal representatives - In April 2024, Guosen Securities Asset Management Co., Ltd. completed its business registration and was officially established[163](index=163&type=chunk) - Guosen Hong Kong, Guosen Hongsheng, and Guosen Capital respectively elected Mr. Wu Guofang, Mr. Zhou Zhongguo, and Mr. Jie Guanzhou as their new chairpersons[166](index=166&type=chunk)[167](index=167&type=chunk)[168](index=168&type=chunk) [Share Changes and Shareholder Information](index=55&type=section&id=第七节%20股份变动及股东情况) This section provides details on the company's share capital structure, including any changes in shares and a comprehensive overview of its shareholder base and major holdings [Share Changes](index=56&type=section&id=一%E3%80%81股份变动情况) During the reporting period, the company's total share capital remained unchanged at **9,612,429,377** shares, with restricted shares accounting for **4.93%** and unrestricted shares for **95.07%** Share Capital Structure | Share Type | Number of Shares | Proportion | | :--- | :--- | :--- | | Restricted Shares | 473,587,570 | 4.93% | | Unrestricted Shares | 9,138,841,807 | 95.07% | | **Total Shares** | **9,612,429,377** | **100.00%** | [Number of Shareholders and Shareholding Information](index=57&type=section&id=三%E3%80%81公司股东数量及持股情况) As of the end of the reporting period, the company had **101,656** common shareholders, with the top three shareholders being Shenzhen Investment Holdings Co., Ltd. (**33.53%**), China Resources SZITIC Trust Co., Ltd. (**22.23%**), and Yunnan Hehe (Group) Co., Ltd. (**16.77%**) - As of the end of the reporting period, the company had a total of **101,656** common shareholders[175](index=175&type=chunk) Top Shareholders | Shareholder Name | Shareholding Proportion | Number of Shares Held at Period-end | | :--- | :--- | :--- | | Shenzhen Investment Holdings Co., Ltd. | **33.53%** | 3,223,114,384 | | China Resources SZITIC Trust Co., Ltd. | **22.23%** | 2,136,933,667 | | Yunnan Hehe (Group) Co., Ltd. | **16.77%** | 1,611,627,813 | | National Council for Social Security Fund | **4.75%** | 456,690,209 | [Preferred Share Information](index=60&type=section&id=第八节%20优先股相关情况) This section clarifies the company's status regarding preferred shares, confirming that no such shares were issued during the reporting period [Company Has Not Issued Preferred Shares](index=61&type=section&id=公司未发行优先股) During the reporting period, the company did not issue any preferred shares - The company has not issued preferred shares[186](index=186&type=chunk) [Bond Information](index=62&type=section&id=第九节%20债券相关情况) This section details the company's outstanding corporate bonds and other debt financing instruments, including issuance, repayment, and current balances [Corporate Bonds](index=63&type=section&id=二%E3%80%81公司债券) During the reporting period, the company's outstanding corporate bonds and perpetual subordinated bonds were serviced on time, with a total bond balance of **72.986 billion yuan** at period-end and no overdue bonds - As of the end of the reporting period, the company's outstanding perpetual subordinated bonds amounted to **30 billion yuan**[188](index=188&type=chunk)[193](index=193&type=chunk) - During the reporting period, the company newly issued **5** corporate bonds, raising a total of **7.8 billion yuan**[197](index=197&type=chunk) [Other Debt Financing Instruments](index=69&type=section&id=七%E3%80%81公司其他债务融资工具) During the reporting period, the company issued **10** short-term financing bills and **462** new income certificates, raising **4.473 billion yuan**, with an outstanding balance of **11.8 billion yuan** for income certificates at period-end - During the reporting period, the company newly issued **462** income certificates, raising **4.473 billion yuan**, with an outstanding balance of **11.8 billion yuan** at period-end[203](index=203&type=chunk) [Financial Report](index=70&type=section&id=第十节%20财务报告) This section presents the company's unaudited financial statements for the reporting period, including balance sheets, income statements, cash flow statements, and notes [Audit Report](index=71&type=section&id=一%E3%80%81审计报告) The company's 2024 semi-annual financial report is unaudited - The company's 2024 semi-annual financial report is unaudited[205](index=205&type=chunk) [Financial Statements](index=75&type=section&id=二%E3%80%81财务报表) This section includes the company's consolidated and parent company balance sheets, income statements, cash flow statements, statements of changes in owners' equity, and detailed notes to the financial statements for H1 2024 Consolidated Balance Sheet Summary | Statement Item (Consolidated) | June 30, 2024 (Yuan) | Dec 31, 2023 (Yuan) | | :--- | :--- | :--- | | Total Assets | 465,681,139,775.63 | 462,960,169,833.37 | | Total Liabilities | 353,061,546,135.87 | 352,500,645,731.96 | | Total Equity Attributable to Parent Company Owners | 112,619,593,639.76 | 110,459,524,101.41 | Consolidated Income Statement Summary | Statement Item (Consolidated) | Jan-Jun 2024 (Yuan) | Jan-Jun 2023 (Yuan) | | :--- | :--- | :--- | | Total Operating Revenue | 7,757,496,967.11 | 8,207,714,090.75 | | Operating Profit | 3,214,210,160.26 | 3,868,679,982.77 | | Net Profit | 3,138,731,142.10 | 3,589,563,661.48 | | Total Comprehensive Income | 6,022,331,298.35 | 4,969,077,322.17 |

非经营性资金占用及其他关联资金往来情况汇总表 2024年1-6月 编制单位:国信证券股 单位:人民币万元 2024年1-6月 2024年1-6月占 上市公司核算的 2024年期初 2024年1-6月偿 2024年6月30日 占用资金的利 非经营性资金百用 i用方名称 占用方与上市公司的关联关系 用累计发生金额 占用形成原因 占用性质 会计科目 占用资金余额 还紧计发生金额 息 占用资金余额 (不含利息) (加右) /一 非经营性占用 控股股东、实际控制) 属企业 l 非经营性占用 小 计 I l - - l ----- 非经营性占用 前控股股东、实际控制人及其 附属企业 lele 非经营性占用 小 计 l -- -- - - - 非经营性占用 其他关联方及其附属企业 - 非经营性占用 小 计 ll - e el l 总 计 I l it l ll 2024年1-6月 2024年1-6月往 往来性质(经营性往 上市公司核算的 2024年期初 2024年1-6月偿 2024年6月30日 往来资金的利 其它关联资金往来 资金往来方名称 往来方与上市公司的关联关系 往来形成原因 来累计发生金额 来、 非经营性往 会计 ...

证券代码：002736 证券简称：国信证券 编号：2024-068 国信证券股份有限公司 第五届董事会第三十次会议（定期）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。 国信证券股份有限公司（以下简称"公司"）于2024年8月12日以电子邮件 的方式发出第五届董事会第三十次会议（定期）书面通知。本次会议于2024年8 月23日在深圳以现场和电话相结合方式召开。本次会议应出席董事9名，实际出 席董事9名，姚飞、刘小腊、李石山、张雁南、张蕊、李进一、朱英姿7位董事 以电话方式出席，其余2位董事以现场方式出席，全体监事及部分高级管理人员 列席了会议。张纳沙董事长主持会议。本次会议的召开符合《公司法》等相关法 律法规和《公司章程》的规定。 董事会审议了会议通知所列明的议案，并通过决议如下： 一、审议通过《2024年半年度经营工作报告》 议案表决情况：九票赞成、零票反对、零票弃权。 二、审议通过《2024年半年度报告》及摘要 议案表决情况：九票赞成、零票反对、零票弃权。 议案表决情况：九票赞成、零票反对、零票弃权。 本议案已经公司第五届董事会风险管理委员会 2 ...