第一创业证券股份有限公司关于会计师事务所 2024 年度 履职情况评估及董事会审计委员会履行监督职责情况的报告 根据《中华人民共和国公司法》《中华人民共和国证券法》（以下简称"《证 券法》"）《上市公司治理准则》《国有企业、上市公司选聘会计师事务所管理办法》 《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 ——主板上市公司规范运作》以及《第一创业证券股份有限公司章程》（以下简 称"《公司章程》"）《第一创业证券股份有限公司会计师事务所选聘制度》等有关 规定，第一创业证券股份有限公司（以下简称"公司"）对公司 2024 年度外部审 计机构立信会计师事务所（特殊普通合伙）（以下简称"立信"）本年度履职情况 进行了评估。现将公司关于立信 2024 年度履职情况评估及董事会审计委员会履 行监督职责情况汇报如下： 一、会计师事务所基本情况 （一）资质条件 会计师事务所名称：立信会计师事务所（特殊普通合伙） 注册地址：上海市黄浦区南京东路 61 号四楼 首席合伙人：朱建弟 立信会计师事务所（特殊普通合伙）1927 年在上海创建，1986 年复办，2010 年成为全国首家完成改制的特殊普通合伙制 ...

第一创业证券股份有限公司 2024 年度投资者保护工作报告 2024 年，第一创业证券股份有限公司（以下简称"公司"）积极贯彻落实《中 华人民共和国证券法》（以下简称"《证券法》"）《国务院关于加强监管防范风险 推动资本市场高质量发展的若干意见》《国务院办公厅关于进一步加强资本市场 中小投资者合法权益保护工作的意见》《关于加强上市公司监管的意见（试行）》 《上市公司投资者关系管理工作指引》（以下简称"《投关指引》"）《关于加强证 券公司和公募基金监管加快推进建设一流投资银行和投资机构的意见（试行）》 《关于加强上市证券公司监管的规定》等法律法规和准则有关投资者保护相关要 求，切实推进投资者保护工作。公司制定、披露并落实"质量回报双提升"行动 方案，将投资者利益放在更加突出位置，增强投资者获得感，持续优化投资者服 务，及时回应投资者关切，健全投资者保护机制，有效保护投资者特别是中小投 资者合法权益，重点开展了以下七个方面的工作： 一、注重投资者回报，全年实施两次现金分红 公司牢固树立回报股东的意识，根据监管规定结合公司经营管理情况，制定 对股东回报的合理规划。公司实行持续、稳定的股利分配政策，公司的股利分配 重 ...

第一创业证券股份有限公司 2024 年度监事会工作报告 2024 年，第一创业证券股份有限公司（以下简称"公司"）监事会严格遵循《中 华人民共和国公司法》（以下简称"《公司法》"）、《中华人民共和国证券法》（以下简称 "《证券法》"）等法律、法规和准则以及《第一创业证券股份有限公司章程》（以下简 称"《公司章程》"）、《第一创业证券股份有限公司监事会议事规则》（以下简称"《监事 会议事规则》"）的规定和要求，认真行使和履行监事会的监督职权和职责，促进公司 规范运作和健康发展，切实维护公司和全体股东的权益。现将公司监事会 2024 年度 工作情况报告如下： 一、2024 年度监事会工作开展情况 （一）顺利完成监事会换届 2024 年 6 月，公司第四届监事会任期届满。公司根据法律、法规和准则以及《公 司章程》的相关规定，规范开展第五届监事会的提名、推选、任职条件审查、信息披 露等工作，圆满完成监事会换届。 公司第五届监事会由 2 名非职工代表监事和 3 名职工代表监事组成。新一届监事 会成立后，全体监事迅速投入各项工作，勤勉尽责地履行监督职责，有效地保障了公 司治理机制的规范运行。 （二）修订《监事会议事规则》 ...

二〇二五年四月二十六日 1 根据《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——主板上市公司规范运作》等法律、法规和准则，以及《第一创业证 券股份有限公司章程》（以下简称"《公司章程》"）《第一创业证券股份有限公 司独立董事工作制度》（以下简称"《独立董事工作制度》"）的相关规定，公 司现任独立董事李旭冬先生、刘晓华女士、余剑峰先生分别就 2024 年度独立性 情况进行了自查，并向董事会提交了《独立董事 2024 年度独立性情况自查报告》 （以下简称"《自查报告》"），公司董事会对《自查报告》进行了核查，并结 合上述独立董事的任职兼职、主要社会关系等相关情况，就公司现任独立董事 2024 年度的独立性情况进行了评估并出具以下专项意见： 经核查，公司现任独立董事 2024 年度均符合相关法律、法规和准则以及《公 司章程》《独立董事工作制度》对独立董事独立性的要求，未发生与公司存在关 联关系、利益冲突或其他可能妨碍独立客观判断等影响其独立性的情形。 第一创业证券股份有限公司董事会 第一创业证券股份有限公司董事会 关于独立董事 2024 年度独立性的专项评估意见 ...

第一创业证券股份有限公司 2024可持续发展报告 目 录 | 释义 | 01 | | --- | --- | | 报告编制说明 | 02 | | 董事会环境、社会及公司治理 | 04 | | （ESG）管理声明 | | | 2024 年可持续发展亮点绩效 | 05 | | --- | --- | | 评级认可与行业协会参与情况 | 06 | | 03 | ESG 管理体系 | 15 | | --- | --- | --- | | | ESG 治理 | 15 | | | ESG 战略 | 17 | 社会篇 | 社会篇 | | CONTENT | 治理篇 | | | --- | --- | --- | --- | --- | | 06 | 服务实体经济 | 38 | 夯实公司治理根基 10 | 72 | | 科技金融 | | 40 | 公司治理 | 72 | | 绿色金融 | | 41 | 行业文化建设 | 78 | | 普惠金融 | | 42 | 全面风险管理 | 82 | | 养老金融 | | 44 | | | | 数字金融 | | 44 | | | | 07 | 优化产品服务质效 | 45 | 谨守商业行为 ...

证券代码：002797 证券简称：第一创业 公告编号：2025-026 陈兴珠先生的简历见本公告附件。 特此公告。 第一创业证券股份有限公司董事会 二〇二五年四月二十六日 附件： 陈兴珠先生：中国国籍，无境外永久居留权，1973 年 2 月出生，研究生学历。 陈兴珠先生 2000 年 10 月至 2006 年 9 月任中银国际证券有限责任公司投资银行部 经理，2006 年 10 月至 2009 年 6 月任瑞银证券有限责任公司投资银行部执行总经 理，2009 年 6 月至 2013 年 4 月任中银国际证券有限责任公司投资银行部董事总经 理。2013 年 5 月加入第一创业证券承销保荐有限责任公司（原第一创业摩根大通证 券有限责任公司，以下简称"一创投行"），历任企业融资主管、投资银行部负责人、 总经理办公会委员、副总经理，现任一创投行总经理。 截至目前，陈兴珠先生未持有公司股份，与持有公司 5%以上股份的股东、公司 第一创业证券股份有限公司 关于聘任公司副总裁的公告 本公司及董事会全体成员保证信息披露的内容真实、准确和完整，没有虚假记 载、误导性陈述或重大遗漏。 第一创业证券股份有限公司（以下简称"公司"） ...

Financial Performance - Total revenue for 2024 reached ¥3,531,605,346.33, an increase of 41.91% compared to ¥2,488,689,449.42 in 2023[34]. - Net profit attributable to shareholders was ¥903,629,183.85, representing a significant increase of 173.28% from ¥330,655,551.54 in the previous year[34]. - The net profit after deducting non-recurring gains and losses was ¥896,298,335.02, up 177.83% from ¥322,610,853.27 in 2023[34]. - The company generated operating cash flow of ¥4,580,359,959.06, a 26.42% increase from ¥3,623,216,628.00 in the previous year[34]. - Basic earnings per share rose to ¥0.22, reflecting a 175.00% increase from ¥0.08 in 2023[35]. - Total assets increased by 16.48% to ¥52,742,456,894.57 from ¥45,281,204,701.96 in 2023[35]. - Total liabilities grew by 19.82% to ¥35,930,378,034.76 compared to ¥29,988,124,647.91 in the previous year[35]. - The weighted average return on equity increased to 5.80%, up 3.55 percentage points from 2.25% in 2023[35]. - Total revenue for the first quarter was ¥673.43 million, increasing to ¥1,130.52 million by the fourth quarter, representing a growth of approximately 67.9%[37]. - Net profit attributable to shareholders rose from ¥143.20 million in the first quarter to ¥262.52 million in the fourth quarter, marking an increase of about 83.6%[37]. Capital Structure and Growth - The company reported a total registered capital of 4.2024 billion RMB and a net capital of 10.513 billion RMB[15]. - The company completed its initial public offering in May 2016, issuing 21.9 million shares, increasing its registered capital from CNY 1.97 billion to CNY 2.189 billion[26]. - In July 2020, the company conducted a non-public offering of 700 million shares, raising its registered capital from CNY 3.5024 billion to CNY 4.2024 billion[26]. - The company underwent multiple capital increases, with registered capital rising from CNY 1 billion in 1993 to CNY 4.2024 billion by 2020, reflecting significant growth over the years[25][26]. - The company has consistently increased its capital through various rounds of financing, demonstrating strong investor confidence and market positioning[26]. Risk Management - The company emphasizes the importance of risk management and internal control systems to ensure stable and sustainable business development[6]. - The company faces significant risks due to the cyclical nature of the securities industry, which can lead to substantial fluctuations in operating performance[5]. - The company has a comprehensive risk management framework to address market, credit, operational, liquidity, reputational, and money laundering risks[5]. - The risk coverage ratio improved to 224.67% in 2024, up from 215.28% in 2023, reflecting enhanced risk management capabilities[41]. - The company has implemented a comprehensive risk prevention framework, including stricter delisting regulations and enhanced disclosure requirements for major shareholders[49]. Business Operations and Services - The company has not changed its main business since its listing, maintaining a focus on securities and futures operations[18]. - The company has a total of 57 branches, all holding the necessary licenses issued by the China Securities Regulatory Commission[19]. - The company is a member of the national interbank lending market and has qualifications for various financial services, including asset management and bond underwriting[20]. - The company has a comprehensive qualification portfolio that supports its strategic goals in market expansion and service diversification[21][23]. - The company has established a strong presence in the interbank bond market, with qualifications for self-owned fund investments approved by the People's Bank of China[23]. - The company is actively participating in the development of new financial technologies and services, positioning itself for future growth in the financial sector[22][24]. - The company has established a green finance framework to guide capital towards renewable energy and low-carbon technologies, promoting sustainable development[48]. - The company has a comprehensive range of financial services, including asset management, fixed income, investment banking, and alternative investments, positioning it as a leading integrated securities firm[51]. Corporate Governance - The company has established a robust corporate governance structure, ensuring independent operation and mutual checks among the shareholders' meeting, board of directors, supervisory board, and management[27]. - The company has a diverse organizational structure, with a focus on compliance with relevant laws and regulations, ensuring operational integrity[27]. - The company emphasizes the protection of minority shareholders' rights and interests through transparent communication and governance practices[191]. - The board of directors consists of 9 members, including 3 independent directors, and held 6 meetings to make decisions on significant matters, maintaining compliance with legal and regulatory requirements[193]. - The supervisory board, composed of 5 members, held 5 meetings during the reporting period, effectively overseeing the legality and compliance of the board and management's actions[194]. Market Trends and Industry Outlook - The securities industry is experiencing increased competition in brokerage services, with a focus on wealth management transformation and differentiated institutional services[44]. - The A-share market saw a significant recovery with the Shanghai Composite Index rising by 12.67% and the Shenzhen Component Index increasing by 9.34% in 2024[45]. - The company is actively pursuing market opportunities and adapting to regulatory changes to support high-quality development in the securities industry[46]. - The company aims to enhance its trading-driven transformation strategy and become a leading bond trading service provider in China[96]. - The application of artificial intelligence in the securities industry is anticipated to drive high-quality development and improve service efficiency across various business scenarios[180]. Future Strategies - The company aims to maintain strategic focus and enhance core competitiveness by prioritizing customer-centric services and developing a unique operational model[59]. - The company plans to strengthen its investment research capabilities and improve market assessment and pricing abilities[96]. - The company will continue to focus on providing high-quality financial services and enhancing investor experience in 2025[87]. - The company plans to implement a "Quality Return Dual Improvement" action plan, focusing on enhancing service quality for the real economy and promoting sustainable development[186]. - In 2025, the company aims to enhance its comprehensive financial service capabilities, focusing on customer-centric strategies and strengthening client service capabilities[181].

Financial Performance - Total revenue for Q1 2025 was ¥660,809,470.04, a decrease of 1.87% compared to ¥673,427,362.24 in the same period last year[3] - Net profit attributable to shareholders was ¥118,001,998.86, down 17.59% from ¥143,197,078.56 year-on-year[3] - Total operating revenue for the current period is ¥660,809,470.04, a decrease of 1.8% from ¥673,427,362.24 in the previous period[21] - Net income for the current period is ¥136,528,570.84, down 11.1% from ¥153,559,136.39 in the previous period[21] - Net profit attributable to shareholders of the parent company is ¥118,001,998.86, a decrease of 17.6% compared to ¥143,197,078.56 in the previous period[21] Cash Flow - Net cash flow from operating activities was -¥542,941,250.65, compared to -¥168,031,003.82 in the previous year, indicating a significant decline[3] - Cash inflow from operating activities totaled ¥3,443,286,363.47, down from ¥4,498,627,855.86 in the previous period[23] - The net cash flow from operating activities was -$542,941,250.65, compared to -$168,031,003.82 in the previous period, indicating a decline in operational cash generation[24] - The net cash flow from investing activities was -$696,237,690.53, significantly higher than -$56,078,706.58 previously, reflecting increased investment outflows[24] - The net cash flow from financing activities was $217,444,357.31, a decrease from $932,279,783.78 in the prior period, suggesting reduced financing inflows[24] Assets and Liabilities - Total assets increased by 2.51% to ¥54,068,178,832.98 from ¥52,742,456,894.57 at the end of the previous year[4] - Total liabilities rose to ¥36,865,843,831.25, up from ¥35,930,378,034.76, indicating an increase of 2.6%[19] - The company's total equity attributable to shareholders of the parent company increased to ¥16,678,003,390.46 from ¥16,305,769,337.75, reflecting a growth of 2.3%[19] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 289,921[12] - The top shareholder, Beijing State-owned Capital Operation Management Co., Ltd., holds 11.06% of the shares, totaling 464,686,400 shares[12] - The company holds 161,577,066 shares through Huaxi Xinyu Investment Co., Ltd., which is a significant shareholder[13] Investments and Financial Assets - The company issued corporate bonds totaling 1.3 billion yuan during the reporting period[16] - The company's trading financial assets increased to 20,008,195,943.15 yuan from 18,690,681,394.43 yuan[18] - The long-term equity investments rose to 2,019,905,859.36 yuan compared to 1,991,605,617.39 yuan at the beginning of the period[18] - The company reported a significant increase in other debt investments to 1,709,185,651.82 yuan from 930,745,187.29 yuan[18] Regulatory and Operational Updates - The company has completed rectifications following a warning issued by the Shenzhen Securities Regulatory Bureau due to issues in private asset management business[17] - The company has established new branch offices to expand its market presence[14] - The company has no changes in the participation of major shareholders in the securities lending business[14] Other Financial Metrics - Other comprehensive income after tax attributable to shareholders of the parent company is ¥228,248,226.17, compared to ¥109,672,803.79 in the previous period, showing a significant increase[22] - The cash and cash equivalents at the end of the period amounted to 11,321,033,249.37 yuan, a decrease from 11,903,998,426.18 yuan at the beginning of the period[18] - The total amount of customer funds deposited was 8,698,967,027.51 yuan, an increase from 8,580,958,475.68 yuan[18] - The company reported a net decrease in financial assets held for trading of ¥2,724,407,236.12 in the previous period[23] - The company’s basic and diluted earnings per share remain at ¥0.03, unchanged from the previous period[22] Cash Management - The total cash and cash equivalents at the end of the period amounted to $12,652,982,560.51, down from $13,674,781,914.24 at the beginning of the period[25] - The company repurchased shares with a net cash outflow of $2,470,997,780.22, indicating a significant commitment to returning value to shareholders[24] - Cash paid for interest, fees, and commissions totaled $144,259,704.32, reflecting ongoing financing costs[24] - Cash paid to employees was $255,931,542.03, slightly lower than $263,413,057.04 in the previous period, indicating a potential reduction in workforce costs[24] - The company raised $1,300,000,000.00 through bond issuance, which is an increase from $1,000,000,000.00 in the previous period, indicating strong capital market access[24] - The cash inflow from investment activities was $109,815,202.80, compared to $674,689.65 previously, showing a significant increase in cash recovered from investments[24] - The impact of exchange rate changes on cash and cash equivalents was -$64,769.86, contrasting with a positive impact of $30,639.66 in the previous period[24]

第一创业（002797）公告，2024年营业收入为35.32亿元，同比增长41.91%。归属于上市公司股东的净 利润为9.04亿元，同比增长173.28%。公司拟向全体股东每10股派发现金股利0.64元(含税)，不送红股， 不以公积金转增股本。 ...

由博时基金管理有限公司（以下简称"本公司"）申请，并经上海证券交易所确认，自2025年4月10日 起，本公司将新增第一创业证券股份有限公司为博时上证30年期国债交易型开放式指数证券投资基金 (基金简称：博时上证30年期国债ETF，场内简称：国债30年，扩位简称：30年国债指数ETF，交易代 码：511130)申购、赎回业务的代办券商（以下简称"一级交易商"）。 一、投资者可通过以下途径咨询有关详情 特此公告。 博时基金管理有限公司 2025年4月10日 博时标普石油天然气勘探及生产精选行业指数型发起式证券投资基金（QDII）调整大额申购、转换转 入、 ■ 或致电博时一线通：95105568(免长途话费) ，登录本公司网站www.bosera.com了解有关情况。 二、截至2025年4月10日,30年国债指数ETF一级交易商名单如下： 爱建证券有限责任公司、财达证券股份有限公司、财通证券股份有限公司、长城证券股份有限公司、德 邦证券股份有限公司、第一创业证券股份有限公司、东北证券股份有限公司、东方财富证券股份有限公 司、东方证券股份有限公司、东海证券股份有限公司、东兴证券股份有限公司、东莞证券股份有限公 司、方 ...