中国经济网北京12月15日讯近日，国投证券资产管理公告，任命张振宇为副总经理。 张振宇现任国投证券资产管理有限公司副总经理。曾在艾默生网络能源有限公司、招商证券股份有限公 司、中国银河（601881）证券股份有限公司。2013年加入国投证券股份有限公司资产管理部任营销经 理、营销总监，2020年任国投证券资产管理有限公司市场部总经理，2021年至2025年任第一创业 （002797）证券股份有限公司资产管理部负责人、联席负责人。 | 基金管理人名称 | 国投证券资产管理有限公司 | | --- | --- | | | 《公开募集证券投资基金信息披露管理办法》、 | | 公告依据 | 《证券基金经营机构董事、监事、高级管理人 | | | 员及从业人员监督管理办法》 | | 新任高级管理人员职务 | 副总经理 | | --- | --- | | 新任高级管理人员姓名 | 张振学 | | 是否经中国证监会核准取得高管任职资格 | | | 中国证监会核准高管任职资格的日期 | | | 任职日期 | 2025-12-11 | | 过往从业经历 | 现任国投证券资产管理有限公司副总经理。曾 | | | 在艾默生网络能源有 ...

登录新浪财经APP 搜索【信披】查看更多考评等级 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 一、本次会议召开的基本情况 1、会议届次：第一创业证券股份有限公司2025年第一次临时股东大会。 2、会议召集人：本次会议由公司董事会召集，经公司第五届董事会第六次会议决议召开。 3、会议召开的合法、合规性：本次会议的召开符合相关法律、行政法规、部门规章、规范性文件、深 圳证券交易所业务规则和《公司章程》的有关规定。 4、会议召开的日期、时间： （1）现场会议召开时间：2025年12月29日（星期一）14:30开始。 （2）网络投票时间：2025年12月29日（星期一）。 证券代码：002797 证券简称：第一创业 公告编号：2025-069 第一创业证券股份有限公司关于召开2025年第一次临时股东大会的通知 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《中华人民共和国公司法》《深圳证券交易所股票上市规则》等有关法律法规及《第一创业证券股 份有限公司章程》（以下简称"《公司章程》"）的规定，经第一创业证券股份有限公司（以下简称"公 ...

第一创业证券股份有限公司 2025 年第一次临时股东大会会议议程 2025 年第一次临时股东大会 会议材料 $$\Xi{\mathsf{O}}\,{\underline{{{=}}}}\,\Xi\,\rlap{\,/}\,\Xi\,+\,\rlap{\,/}\,\Xi\,\rlap{\,/}\,\Xi$$ 2025 年第一次临时股东大会会议材料 会议地点: 深圳市福田区福华一路115号投行大厦20层1号会议室 召集人：第一创业证券股份有限公司董事会 现场会议议程： 1、主持人宣布会议开始，介绍会议出席情况 1 2、推选计票人和监票人 3、审议提案 4、填写表决票并投票 5、股东交流 6、会场休息 7、宣布表决结果 8、见证律师宣读法律意见书 9、主持人宣布会议结束 2025 年第一次临时股东大会会议材料 目录 | 1、关于修订《第一创业证券股份有限公司章程》及其附件的议案 | 3 | | --- | --- | | 2、关于撤销监事会并废止相关制度的议案 | 5 | | 3、关于修订《第一创业证券股份有限公司股东会网络投票管理办法》 | | | 的议案 | 6 | 现场会议召开时间：2025年12月29日14 ...

证券代码：002797 证券简称：第一创业 公告编号：2025-069 第一创业证券股份有限公司 关于召开 2025 年第一次临时股东大会的通知 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《中华人民共和国公司法》《深圳证券交易所股票上市规则》等有关法 律法规及《第一创业证券股份有限公司章程》（以下简称"《公司章程》"）的 规定，经第一创业证券股份有限公司（以下简称"公司"） 第五届董事会第六次 会议审议通过，公司决定召开 2025 年第一次临时股东大会（以下简称"本次会议"）， 现将本次会议的相关事项通知如下： 一、本次会议召开的基本情况 1、会议届次：第一创业证券股份有限公司 2025 年第一次临时股东大会。 2、会议召集人：本次会议由公司董事会召集，经公司第五届董事会第六次会 议决议召开。 3、会议召开的合法、合规性：本次会议的召开符合相关法律、行政法规、部 门规章、规范性文件、深圳证券交易所业务规则和《公司章程》的有关规定。 4、会议召开的日期、时间： （1）现场会议召开时间：2025 年 12 月 29 日（星期一）14:30 开始。 （2） ...

Core Viewpoint - The announcement from First Capital indicates that its wholly-owned subsidiary, Yi Chuang Investment Bank, has received a notice of administrative penalty from the Jiangsu Securities Regulatory Bureau for failing to fulfill its duties during the continuous supervision of Hongda Xingye's 2019 convertible bond project [2][4]. Group 1: Regulatory Actions - Jiangsu Securities Regulatory Bureau claims that Yi Chuang Investment Bank did not diligently verify the use and repayment of raised funds during the supervision period, leading to false records in related documents [4]. - The bureau plans to impose a total penalty of 16.9811 million yuan on Yi Chuang Investment Bank, along with warnings and fines of 1.5 million yuan each for two responsible individuals [4]. - The company has stated that it will learn from this case, accept the penalties, and enhance its operational quality and compliance [4]. Group 2: Company and Market Impact - First Capital asserts that the operational status of both the company and Yi Chuang Investment Bank remains normal, and the proposed penalties will not significantly impact their business activities, financial condition, or debt repayment capabilities [4]. - Hongda Xingye was delisted in March 2024 due to triggering "face value delisting" conditions, with its stock and convertible bonds now traded in the National Equities Exchange and Quotations system [4]. - The convertible bond, known as "Hongda Tui Zhai," defaulted in June 2024, drawing market attention [4]. Group 3: Previous Violations - In June 2025, Jiangsu Securities Regulatory Bureau previously penalized Hongda Xingye for three violations, including unauthorized changes to the use of raised funds and false records in financial reports [5].

Market Overview - On December 10, the securities sector rose by 0.25% compared to the previous trading day, with Jinlong Co., Ltd. leading the gains [1] - The Shanghai Composite Index closed at 3900.5, down 0.23%, while the Shenzhen Component Index closed at 13316.42, up 0.29% [1] Individual Stock Performance - Jinlong Co., Ltd. (000712) closed at 13.16, up 3.79% with a trading volume of 377,400 shares and a transaction value of 495 million yuan [1] - Bank of China Securities (601696) closed at 14.49, up 2.55% with a trading volume of 1,594,800 shares and a transaction value of 2.304 billion yuan [1] - First Venture (002797) closed at 7.01, up 2.04% with a trading volume of 657,300 shares and a transaction value of 458 million yuan [1] - Other notable stocks include Pacific Securities (6601099) up 1.46%, Guolian Minsheng (601456) up 1.33%, and Hualin Securities (002945) up 1.23% [1] Fund Flow Analysis - The securities sector experienced a net outflow of 503 million yuan from institutional investors, while retail investors saw a net inflow of 424 million yuan [2] - The overall market saw a net inflow of 79.24 million yuan from speculative funds [2] Detailed Fund Flow for Selected Stocks - Bank of China Securities (601696) had a net inflow of 22.7 million yuan from institutional investors, while it faced a net outflow of 34.66 million yuan from speculative funds [3] - Jinlong Co., Ltd. (000712) saw a net inflow of 61.78 million yuan from institutional investors, with a net outflow of 9.21 million yuan from speculative funds [3] - First Venture (002797) had a net inflow of 49.47 million yuan from institutional investors, with a net outflow of 11.32 million yuan from speculative funds [3]

Core Viewpoint - The regulatory penalties imposed on First Capital Investment Bank highlight the importance of compliance and diligence in the investment banking sector, particularly in the context of their role as underwriters and advisors in capital market transactions [1][3]. Group 1: Regulatory Actions - First Capital Investment Bank's subsidiary, First Capital Securities, was fined a total of 1,698 million yuan, which includes the confiscation of 424.53 million yuan in underwriting income and a fine of 1,273.58 million yuan due to regulatory violations [1][2]. - The violations were related to the continuous supervision of Hongda Xingye's convertible bond project, where the bank failed to adequately verify the use and repayment of raised funds, did not issue proper verification opinions, and neglected its reporting obligations [2][3]. Group 2: Financial Performance - First Capital Investment Bank reported a revenue of 2.985 billion yuan for the first three quarters of the year, reflecting a year-on-year growth of 24.32%, with a net profit attributable to shareholders of 771 million yuan, up 20.21% [3]. - The net income from investment banking services was 197 million yuan, showing a year-on-year increase of 15.20% [3]. Group 3: Industry Implications - The swift regulatory response, taking only 37 days from the initiation of the investigation to the announcement of penalties, underscores the increasing scrutiny and efficiency of regulatory bodies in the investment banking sector [3][4]. - The penalties may lead to potential impacts on ongoing projects, as clients may seek to avoid associations with firms under investigation, potentially affecting First Capital Investment Bank's future business opportunities [3].

Core Viewpoint - The China Securities Regulatory Commission (CSRC) concluded its investigation into First Capital Securities' subsidiary, Yichuang Investment Bank, for failing to fulfill its duties during the ongoing supervision of Hongda Xingye's convertible bond project, resulting in significant penalties [1][2]. Group 1: Investigation and Penalties - Yichuang Investment Bank was found to have not adequately verified the use and repayment of raised funds, leading to false records in its supervisory documents [1]. - The penalties included a warning, the confiscation of 4.2453 million yuan in underwriting income, and a fine of 12.7358 million yuan [1]. - The project representatives received warnings and fines of 1.5 million yuan each [1]. Group 2: Hongda Xingye's Financial Issues - Hongda Xingye issued 242.678 million convertible bonds totaling 2.427 billion yuan, but misused nearly 70% of the raised funds [2]. - The company was penalized approximately 57.8 million yuan for various violations, including false disclosures in financial reports [2][3]. - As of April 2025, Hongda Xingye was declared bankrupt, with total assets of 9.964 billion yuan against liabilities of 33.845 billion yuan [3]. Group 3: Impact on First Capital Securities - First Capital Securities stated that the penalties would not significantly affect its operations or financial status [1]. - The company reported a revenue of 2.985 billion yuan and a net profit of 771 million yuan for the first three quarters of 2025, with a 15.13% increase in investment banking revenue [7]. - The firm aims to expand its bond underwriting business in the Beijing-Tianjin-Hebei region and enhance its IPO project reserves [8]. Group 4: Regulatory Environment and Future Implications - The CSRC's recent regulations indicate a shift towards stricter accountability for underwriting institutions, emphasizing the importance of diligent supervision [7]. - Future projects by Yichuang Investment Bank may be affected by the administrative penalties, although the CSRC has removed the clause linking individual project investigations to the suspension of other projects [9]. - The firm must restore industry trust through compliance and quality control in its future underwriting activities [9].

Core Points - The China Securities Regulatory Commission (CSRC) has issued a notice of administrative penalty against First Capital Securities for failing to fulfill its supervisory duties during the 2019 convertible bond project of Hongda Xingye [1][5] - Hongda Xingye has previously been penalized for violations related to the misuse of raised funds and false disclosures in its financial reports [2][5] - Investors who purchased Hongda Xingye's stock or convertible bonds between January 6, 2020, and September 22, 2023, may be eligible for compensation if they suffered losses [3][6] Summary of Relevant Sections Administrative Penalty - First Capital Securities is accused of not adequately verifying the use and repayment of raised funds, failing to issue proper supervisory opinions, and not fulfilling reporting obligations, which led to false records in supervisory documents [1][5] - The proposed penalties include a warning, confiscation of underwriting income amounting to approximately 4.25 million yuan, and a fine of about 12.74 million yuan [5] Violations by Hongda Xingye - Hongda Xingye has been found to have changed the intended use of funds raised in 2019 without authorization [2][5] - The company’s annual reports from 2019 to 2022 and the semi-annual report for 2023 contained false records regarding the use of raised funds [2][5] - The company failed to timely disclose significant litigation, arbitration, and guarantee matters [2][5] Investor Compensation - Investors who bought shares or bonds during the specified period and continued to hold or sold at a loss after September 23, 2023, have the right to claim compensation [3][6] - Required documentation for claims includes trading statements and identification copies [7] - Legal representation for claims is typically on a contingency basis, meaning no upfront fees are required, and fees are only paid upon winning the case [7]

根据红土创新基金管理有限公司（以下简称"本公司"）与第一创业证券股份有限公司（以下简称"第一 创业"）签署的销售协议，本公司旗下部分基金产品自2025年12月9日起新增第一创业为销售机构。现将 相关事项公告如下： 一、自2025年12月9日起，投资者可通过上述销售机构办理下表中对应基金的开户、申购、赎回、定投 等业务。 ■ 二、重要提示 上述业务仅适用于处于正常申购、赎回期及处于特定开放日和开放时间的基金。基金封闭期等特殊期间 的有关规定详见对应基金的《基金合同》和《招募说明书》 等相关法律文件及本公司发布的最新业务 公告。 2、红土创新基金管理有限公司 客服电话：400-060-3333 网址：www.htcxfund.com 三、实行费率优惠 对通过第一创业申购本公司旗下前述基金的投资者实施的具体费率优惠情况请以第一创业的规则为准。 基金原费率请详见基金合同、招募说明书（更新）等法律文件，以及本公司发布的最新业务公告。费率 优惠期限内，如本公司新增第一创业为销售机构的基金产品，则自该基金产品开放认、申购当日起，将 同时开通该基金上述优惠活动。 四、投资者可通过以下途径咨询有关详情： 1、第一创业证券股份有 ...