2023 年第一次临时股东大会 2023 年第一次临时股东大会会议材料 第一创业证券股份有限公司 2023 年第一次临时股东大会会议议程 现场会议召开时间：2023年9月11日14:30 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 会议材料 二〇二三年九月 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 2023 年第一次临时股东大会会议材料 关于审议修订《第一创业证券股份有限公司章程》的 议案 各位股东： 公司根据法律法规和准则的最新要求，并结合公司实际情况，对 《公司章程》进行了相应修订，《<第一创业证券股份有限公司章程> 修订条款对照表》详见附件。现提请股东大会审议以下事项： 1、同意修订后的《第一创业证券股份有限公司章程》； 2、同意授权董事会，并由董事会授权公司经营管理层在股东大 会审议通过的范围内，根据有关法律法规和准则的变化情况、有关政 府机关和监管机构的要求与建议对 ...

证券代码：002797 证券简称：第一创业 公告编号：2023-047 第一创业证券股份有限公司 关于召开 2023 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》《上市公司股东大会规则》《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"） 第四届董事会第十四次会议审议通过，公司决定召开 2023 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： 4、会议召开的日期、时间： （1）现场会议召开时间：2023 年 9 月 11 日（星期一）14:30 开始。 （2）网络投票时间：2023 年 9 月 11 日（星期一）。 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：2023 年 9 月 11 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 （http://wltp.cninfo.com.cn）进 ...

2、2023 年 1 至 6 月，公司与关联方的资金往来均属于正常的经营性资金往 来，不存在任何关联方非经营性占用公司资金的情形，不存在将资金直接或间接 地提供给关联方使用的情形，不存在损害公司及中小股东合法权益的情形。 第一创业证券股份有限公司独立董事 关于 2023 年 1 至 6 月份控股股东及其他关联方占用公司资金、 公司对外担保情况的专项说明和独立意见 根据《上市公司治理准则》《上市公司独立董事规则》《上市公司监管指引第 8 号——上市公司资金往来、对外担保的监管要求》《深圳证券交易所股票上市 规则》等有关法律法规和准则及《第一创业证券股份有限公司章程》《第一创业 证券股份有限公司独立董事工作制度》，作为第一创业证券股份有限公司（以下 简称"公司"）第四届董事会的独立董事，我们本着勤勉审慎、独立客观的原则， 以及对公司和全体股东尤其是中小股东负责的态度，对 2023 年 1 至 6 月份控股 股东及其他关联方占用公司资金、公司对外担保情况进行了认真细致的核查，现 发表独立意见如下： 1、公司无控股股东，不存在控股股东占用公司资金的情况。公司第一大股 东北京国有资本运营管理有限公司亦不存在占用公司资金 ...

第一创业证券股份有限公司 2023 年半年度 非经营性资金占用及其他关联资金往来情况汇总表 注：若出现总数与各分项数值之和尾数不符的情况，均为四舍五入原因造成。 单位：万元 1 | 非经营性资金占用 | 资金占用方名称 | 占用方与上市公司 | 上市公司核 算的会计科 | 期初占用 | 本期占用累 计发生金额 | 本期占用资 | 本期偿还 累计发生 | 期末占用资金余额 | 占用形成原因 | 占用性质 | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | 的关联关系 | | 资金余额 | （不含利 | 金的利息 | | | | | | | | | 目 | | | (如有) | 金额 | | | | | | | | | | 息） | | | | | | | 控股股东、实际控 | | | | | | | | | | 非经营性占用 | | 制人及其附属企业 | | | | | | | | | | 非经营性占用 | | 小计 | - | - | - | | | | | | | - | | 前控股股东、实际 | | | | ...

1 证券代码：002797 证券简称：第一创业 2023 年 5 月 17 日投资者关系活动记录表 编号：2023-01 □特定对象调研 □分析师会议 投资者关系活动 □媒体采访 业绩说明会 □新闻发布会 □路演活动 类别 □现场参观 □其他 参与单位名称及 人员姓名 参与第一创业 2022 年年度报告网上业绩说明会的投资者 时间 2023 年 5 月 17 日 15:00-17:00 全景网"全景路演"（https://rs.p5w.net/html/137425.shtml） 深圳证券交易所"互动易"平台"云访谈"栏目 地点 （http://irm.cninfo.com.cn/interview/interview/activityInfo?acti vityId=636607328519499776） 第一创业证券股份有限公司董事、总裁王芳女士 上市公司接待人 第一创业证券股份有限公司董事会秘书屈婳女士 员姓名 第一创业证券股份有限公司副总裁、财务总监马东军先生 第一创业证券股份有限公司独立董事罗飞先生 投资者关系活动主要内容详见附件。 投资者关系活动 接待过程中，公司接待人员与投资者进行了充分的交流和 ...

证券代码：002797 证券简称：第一创业 公告编号：2023-018 为与广大投资者进行充分、有效的交流，现就本次业绩说明会提前向投资者 公开征集问题，广泛听取投资者的意见和建议。欢迎广大投资者于 2023 年 5 月 15 日（星期一）17:00 前，将您关注的问题通过电子邮件方式发送至公司投资者 关系邮箱 IR@fcsc.com，或通过扫描以下本次业绩说明会问题征集二维码提交相 关问题。公司将在本次业绩说明会上对投资者普遍关注的问题进行回答。 出席本次业绩说明会的人员有：公司董事、总裁王芳女士，董事会秘书屈婳 女士，副总裁、财务总监马东军先生，独立董事罗飞先生。 欢迎广大投资者积极参与。 问题征集二维码： 第一创业证券股份有限公司 关于举行 2022 年年度报告网上业绩说明会的公告 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"）于 2023 年 4 月 29 日披露 了《2022 年年度报告》及其摘要，相关内容请详见深圳证券交易所官方网站 （http://www.szse.cn）。为便于广大投资者进一步了解公 ...

Financial Performance - Total revenue for 2022 was CNY 2,611,358,645.25, a decrease of 19.77% compared to 2021[28]. - Net profit attributable to shareholders for 2022 was CNY 400,810,788.88, down 46.22% from the previous year[28]. - Net cash flow from operating activities for 2022 was negative CNY 2,297,196,783.29, a decline of 286.68% compared to 2021[28]. - Basic and diluted earnings per share for 2022 were both CNY 0.10, a decrease of 44.44% from 2021[28]. - Total assets at the end of 2022 were CNY 47,806,898,219.77, an increase of 10.80% from the end of 2021[28]. - Total liabilities at the end of 2022 were CNY 32,546,175,520.56, up 15.58% from the end of 2021[28]. - The weighted average return on equity for 2022 was 2.76%, down 2.50 percentage points from 2021[28]. - The company reported a total revenue of CNY 1,482,529,462.83 for the parent company in 2022, a decrease of 27.36% from 2021[28]. - The net profit for the parent company in 2022 was CNY 470,489,481.89, down 27.65% from the previous year[28]. - The company experienced a significant decline in cash flow from operating activities, with a net cash flow of negative CNY 2,150,643,636.01 for the parent company in 2022[28]. Capital Structure and Financing - The company reported a registered capital of 4.2024 billion RMB and a net capital of 9.143 billion RMB[7]. - The registered capital of the company increased from CNY 1 billion to CNY 8 million in 1998, and further to CNY 747.27 million in 2002[18]. - In 2008, the registered capital was raised to CNY 1.59 billion following approval from the China Securities Regulatory Commission[18]. - The company completed a capital increase in 2011, raising the registered capital from CNY 1.59 billion to CNY 1.97 billion[18]. - The company went public in 2016, issuing 21.9 million shares and increasing the registered capital to CNY 2.189 billion[18]. - In 2020, the company conducted a private placement of 700 million shares, raising the registered capital to CNY 4.2024 billion[18]. - The total amount of funds raised in 2022 was CNY 1,400,000,000.00, which has been fully utilized for repaying interest-bearing debts and supplementing working capital[117]. - The second phase of bond issuance raised CNY 1,600,000,000.00, which has also been fully used to supplement working capital by the end of the reporting period[117]. Risk Management - The company emphasizes the cyclical nature of the securities industry, which significantly impacts its operating performance due to market conditions[2]. - The company has established a robust risk management and internal control system to ensure stable and sustainable development under legal and compliant operations[2]. - The company is committed to enhancing its risk management framework to mitigate various risks, including market, credit, operational, liquidity, reputational, and money laundering risks[2]. - The company faces significant risks including market risk, credit risk, operational risk, liquidity risk, reputation risk, money laundering risk, and environmental climate risk[129][130][131]. - Market risk primarily arises from the company's proprietary investment and trading activities, influenced by factors such as interest rates and equity prices[129]. - Credit risk is mainly associated with fixed income business, financing activities, and counterparties, with measures in place for credit rating and risk monitoring[130][132]. - Operational risk is managed through self-assessment, key risk indicators, and monitoring mechanisms to identify and mitigate potential losses[131][134]. - Liquidity risk management includes establishing a comprehensive authorization system and adjusting asset-liability structures to ensure alignment with capital levels[133]. - The company has implemented measures to enhance reputation risk management, including investor education and timely information dissemination[135]. - Environmental climate risks are categorized into low-carbon transition risks and physical impacts from climate change, affecting production costs and investment value[131]. 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[19]. - The company’s board consists of 13 directors, including 5 independent directors, ensuring compliance with relevant laws and regulations[141]. - The company’s supervisory board held 6 meetings during the reporting period, effectively overseeing the compliance of directors and senior management[143]. - The company disclosed a total of 131 reports and announcements during the reporting period, ensuring timely and accurate information dissemination[146]. - The company has implemented a series of measures to proactively control ESG risks and promote sustainable development[136]. - The company has established effective communication channels with stakeholders, ensuring their rights and interests are respected and maintained[145]. - The company has a compliance officer and a chief risk officer in place, ensuring adherence to regulations and risk management[184]. - The company has maintained a stable leadership team, with key executives holding their positions since 2018 or earlier[183]. Strategic Development - The company’s future plans and strategic developments are subject to market conditions and should be approached with caution by investors[2]. - The company aims to become a leading investment bank with a focus on sustainable development and fixed income characteristics, as outlined in its 2022-2024 strategic plan[47]. - The company is actively expanding its capital strength and seeking transformation in response to the competitive landscape of the securities industry[38]. - The company plans to enhance its risk management mechanisms and integrate ESG into its business management processes[51]. - The company plans to continue implementing its 2022-2024 strategic plan, focusing on becoming a securities company with fixed income characteristics and asset management as the core business[128]. - The investment banking business will focus on industry and regional strengths, enhancing client bases and project reserves for hard technology enterprises[128]. Market Presence and Operations - The company operates 56 branches, all holding the necessary licenses issued by the China Securities Regulatory Commission for securities and futures business[11]. - The company has established a significant presence in the financial services sector, with multiple branches and subsidiaries across major cities in China[25]. - The company has been involved in the interbank bond market since April 2003, showcasing its engagement in fixed income markets[12]. - The company has qualifications for online securities brokerage and investment consulting, highlighting its adaptation to digital finance trends[14][15]. - The company has been recognized as a qualified investor for block trading systems, enhancing its trading capabilities in the market[15]. - The company has qualifications for participating in the Northbound Trading program, allowing it to engage in cross-border investment activities[12]. Awards and Recognition - The company received multiple awards in 2022, including the "Annual Market Influence Award" and "Market Innovation Award" in the bond market, highlighting its strong market presence and innovation capabilities[45]. - The company has achieved AA rating in ESG from Shenzhen Stock Exchange and Wind ESG, and improved its MSCI ESG rating to BBB, indicating strong sustainability performance[50]. - The company received multiple awards for its performance, including recognition as a top bond investment trading institution in 2022[62]. - The company has been recognized as a leader in the financial market, receiving accolades for its innovative asset management products and marketing strategies[45]. Employee Management and Training - The total number of employees as of December 31, 2022, is 3,539, including 564 at headquarters and 2,225 in branches and subsidiaries[195]. - The company conducted a total of 148,300 hours of employee training during the reporting period, with an average training duration of 48.26 hours per employee[199]. - The company has established a comprehensive human resources management system to protect employee rights and ensure compliance with labor laws[198]. - The company has implemented various training programs, including the Polaris Plan and the Navigation Plan, to enhance employee skills and ethics[199]. Customer Engagement and Satisfaction - Customer feedback is collected through various channels to enhance satisfaction and service quality[200]. - The company implements a customer service and management system for clients under brokers[200]. - The company has established a mechanism for risk identification and reporting related to broker activities[200].

Financial Performance - Total operating revenue for Q1 2023 reached ¥691,865,297.91, an increase of 30.17% compared to the same period last year[4] - Net profit attributable to shareholders was ¥140,884,273.51, representing a significant increase of 95.96% year-on-year[4] - Net profit attributable to shareholders after deducting non-recurring gains and losses was ¥135,339,257.55, up 97.45% from the previous year[4] - Basic earnings per share for the quarter was ¥0.034, reflecting a 100% increase year-on-year[4] - The total comprehensive income for Q1 2023 was ¥166,080,028.94, compared to ¥75,643,513.19 in Q1 2022, marking a 119.5% increase[19] - Net profit for Q1 2023 was ¥173,439,957.62, compared to ¥82,939,835.83 in Q1 2022, representing a 109.1% year-over-year growth[19] Cash Flow and Assets - The net cash flow from operating activities was ¥1,314,130,387.44, a significant improvement from a negative cash flow of ¥1,051,833,936.87 in the same period last year[4] - The company reported a net cash inflow from operating activities of ¥1,314,130,387.44, a significant improvement from a net outflow of ¥-1,051,833,936.87 in the same period last year[20] - The company experienced a net cash outflow from financing activities of ¥718,279,855.75 in Q1 2023, contrasting with a net inflow of ¥1,053,307,014.51 in Q1 2022[21] - The net cash and cash equivalents at the end of Q1 2023 stood at ¥10,607,325,258.72, slightly down from ¥10,661,020,922.83 at the end of Q1 2022[21] - The company's cash and cash equivalents increased to RMB 9.38 billion from RMB 8.76 billion year-over-year[15] Shareholder and Equity Information - Shareholder equity attributable to the parent company was ¥14,744,744,901.19, an increase of 0.91% from the previous year[4] - The company's equity attributable to shareholders increased to RMB 14.74 billion from RMB 14.61 billion year-over-year[17] - The total number of ordinary shareholders at the end of the reporting period was 223,332[8] - Shareholder Huaxi Xinyu reduced its holdings by 72,640,000 shares, representing 1.73% of the total share capital, bringing its ownership below 5%[10] Liabilities and Financial Obligations - The total liabilities decreased to RMB 31.37 billion from RMB 32.55 billion, indicating a reduction in financial obligations[17] Operational Developments - The company established a new branch office in Wuxi, enhancing its operational footprint[11][12] - The company issued short-term financing bonds totaling RMB 1 billion in the first quarter of 2023 to support business development[14] Income and Other Financial Metrics - The company reported non-recurring gains of ¥5,545,015.96 for the quarter, primarily from government subsidies and other income[5] - The company’s net interest income decreased to ¥27,679,578.93 in Q1 2023 from ¥45,364,989.80 in Q1 2022, reflecting a decline of 38.9%[18] - The company’s investment income for Q1 2023 was ¥161,131,298.35, down from ¥181,831,846.76 in Q1 2022, a decrease of 11.5%[18] - The company reported a significant increase in other income, which rose to ¥8,115,403.72 in Q1 2023 from ¥4,482,933.55 in Q1 2022, an increase of 81.5%[18] Asset Overview - Total assets at the end of the reporting period were ¥46,778,554,833.66, a decrease of 2.15% compared to the end of the previous year[4] - As of March 31, 2023, the company's total assets amounted to RMB 46.78 billion, a decrease from RMB 47.81 billion as of December 31, 2022[15][17] - The company reported a decrease in trading financial assets to RMB 20.93 billion from RMB 22.13 billion[16] - The company’s customer funds deposits rose to RMB 7.03 billion from RMB 6.32 billion, reflecting increased client activity[15] Management Structure - The company has no controlling shareholder or actual controller, maintaining independent management and operational integrity[10]

Group 1: Risk Management and Regulatory Compliance - The company has maintained a BBB rating in recent classification evaluations, indicating stable risk management practices [2] - The new regulatory framework emphasizes enhancing risk management capabilities, with a focus on six evaluation indicators [2] - The company has not received any regulatory penalties during the past evaluation period, reflecting improved compliance and risk management capabilities [2] Group 2: Financial Performance - In Q1 2017, the company's net profit attributable to shareholders decreased by 50% quarter-on-quarter and 31% year-on-year, primarily due to a significant drop in investment banking revenue [3] - The company's performance is closely tied to market conditions, making it difficult to predict annual earnings [3] Group 3: Business Strategy and Development Plans - The company aims to become a leading securities firm with a focus on fixed income, asset management, and increasing market share in brokerage and investment banking by 2019 [3] - The operational strategy for 2017 emphasizes growth, performance enhancement, and efficiency improvement [3] Group 4: Brokerage and Asset Management - The company's market share in stock trading is steadily increasing, with a net commission rate slightly above the industry average of 0.000345 [4] - The company is transitioning its brokerage business towards comprehensive wealth management, enhancing customer satisfaction through technological and institutional innovations [4] Group 5: Fixed Income and Debt Financing - The company plans to increase its bond project reserves and expand its debt financing business to improve revenue and market share [5] - The competitive landscape in the bond market is intensifying, prompting the company to deepen existing client relationships and broaden its product offerings [5]