证券代码：002797 证券简称：第一创业 公告编号：2024-011 第一创业证券股份有限公司 第四届监事会第十五次会议决议公告 本公司及监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"）第四届监事会第十五次会议 通知于 2024 年 4 月 15 日以电子邮件方式发出，会议于 2024 年 4 月 25 日在深圳 以现场与视频会议相结合的方式召开。本次会议应出席监事 5 名，实际出席监事 5 名，由公司监事会主席张长宇先生主持，公司部分高级管理人员列席会议。会议的 召集和表决程序符合《中华人民共和国公司法》和《第一创业证券股份有限公司章 程》的有关规定。 本次会议审议了会议通知列明的议案并形成如下决议： 1、审议通过《关于<公司 2023 年度监事会工作报告>的议案》 表决结果：五票同意，零票反对，零票弃权。 本议案尚需提交公司股东大会审议。《第一创业证券股份有限公司 2023 年度 监事会工作报告》与本决议同日公告。 2、审议通过《关于<公司 2023 年度财务决算报告>的议案》 经审核，监事会认为公司董事会编制和审议《 ...

第一创业证券股份有限公司 2023年度独立董事述职报告（李旭冬） 本人作为第一创业证券股份有限公司（以下简称"公司"）第四届董事会独 立董事，现将 2023 年度履职情况报告如下： 一、基本情况 本人中国国籍，无境外永久居留权，1970 年 11 月出生，本科学历，高级会 计师、中国注册会计师、中国注册资产评估师及中国注册税务师。本人 1992 年 10 月至 1996 年 11 月任呼和浩特锅炉制造总厂会计，1996 年 12 月至 1998 年 10 月任内蒙古会计师事务所经理，1998 年 10 月至 2000 年 8 月任内蒙古国正会计 师事务所部门经理，2000 年 8 月至 2011 年 9 月任中天华正会计师事务所合伙 人，2012 年 1 月至今任大华会计师事务所（特殊普通合伙）执行合伙人。本人曾 担任郑州煤矿机械集团股份有限公司、杭州诺邦无纺股份有限公司、浙江泰坦股 份有限公司等公司独立董事职务，现任公司独立董事、大华会计师事务所（特殊 普通合伙）执行合伙人、北京金融控股集团有限公司外部董事、天津力神电池股 份有限公司独立董事、天津泰达生物医学工程股份有限公司独立董事、金成技术 股份有限公司 ...

Financial Performance - Total revenue for Q1 2024 was ¥673,427,362.24, a decrease of 2.66% compared to ¥691,865,297.91 in the same period last year[3]. - Net profit attributable to shareholders was ¥143,197,078.56, representing a 1.64% increase from ¥140,884,273.51 year-on-year[3]. - Total operating revenue decreased to ¥673,427,362.24 from ¥691,865,297.91, representing a decline of approximately 2.0% year-over-year[18]. - Net income for the period was ¥153,559,136.39, down from ¥173,439,957.62, indicating a decrease of about 11.5%[19]. - Net interest income fell to ¥14,157,758.16 from ¥27,679,578.93, a decline of approximately 48.9%[19]. - The total assets under management generated net income of ¥225,970,931.07, down from ¥230,095,798.73, reflecting a decrease of approximately 1.8%[19]. Cash Flow - Net cash flow from operating activities decreased by 112.79%, resulting in a net outflow of ¥168,031,003.82 compared to a net inflow of ¥1,314,130,387.44 in the previous year[3][7]. - The net cash inflow from operating activities was ¥4,498,627,855.86, compared to ¥3,133,598,812.56 in the previous period, an increase of approximately 43.5%[21]. - The net cash outflow for operating activities was ¥4,666,658,859.68, significantly higher than ¥1,819,468,425.12 in the prior period[21]. - The net cash flow from investing activities was -$56.08 million, a decrease from -$17.77 million in the prior period[22]. - The net cash flow from financing activities was $932.28 million, contrasting with a negative $718.28 million in the previous period[22]. - The company reported a net increase in cash and cash equivalents of $708.20 million, compared to $578.08 million in the previous period[22]. Assets and Liabilities - Total assets at the end of the reporting period were ¥44,804,423,804.59, down 1.05% from ¥45,281,204,701.96 at the end of the previous year[3]. - Total liabilities decreased to ¥29,273,891,969.38 from ¥29,988,124,647.91, a reduction of about 2.4%[18]. - Cash and cash equivalents increased to 9,247,644,363.02 yuan from 7,847,914,270.28 yuan, reflecting a growth of approximately 17.8%[17]. - Customer funds deposits rose to 6,796,213,987.86 yuan, up from 5,513,622,967.76 yuan, indicating a growth of about 23.2%[17]. - The company reported a decrease in short-term financing payables from 50,699,068.49 yuan to 20,597,917.81 yuan, a reduction of approximately 59.4%[17]. - The trading financial liabilities increased significantly to 1,796,210,709.18 yuan from 780,621,901.47 yuan, marking an increase of about 130%[17]. Shareholder Information - Shareholders' equity attributable to shareholders increased by 1.71% to ¥15,073,777,653.56 from ¥14,820,907,771.21 at the end of the previous year[3]. - The total equity attributable to shareholders increased to ¥15,073,777,653.56 from ¥14,820,907,771.21, an increase of approximately 1.7%[18]. - Basic and diluted earnings per share remained unchanged at ¥0.03[3]. - The company’s earnings per share remained stable at ¥0.03 for both periods[20]. Business Developments - The company completed the registration of changes to its business scope, now including securities investment fund custody services[13]. - The company has made changes to several branch office addresses and expanded its business scope in the Beijing branch to include securities brokerage and investment consulting services[14]. - The company has not reported any changes in the participation of major shareholders in the securities lending business[11]. - The company has not disclosed any new product or technology developments in the recent conference call[12]. - The company issued corporate bonds worth 1 billion yuan in Q1 2024 to support business development needs[15]. Other Information - Non-recurring gains and losses totaled ¥3,298,265.13 for the reporting period[5]. - The company does not have any other items that meet the definition of non-recurring gains and losses[5]. - The decrease in cash flow from operating activities was primarily due to changes in trading financial instruments, borrowed funds, and repurchase business funds[7]. - The company has not made any adjustments or restatements to previous years' accounting data[3]. - The first quarter report for 2024 was not audited[23].

第一创业证券股份有限公司 2023 年度监事会工作报告 2023 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》《中华人民共和国证券法》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，围绕公司全年战略 重点和工作任务，认真行使和履行监事会的监督职权和职责。现将公司监事会 2023 年 度工作情况和 2024 年重点工作安排报告如下： 一、 2023 年监事会主要工作情况 （一）严格规范履行法定职责 1、依法召开监事会会议 2023 年，监事会共召开 5 次会议，对推选公司监事、选举公司监事会主席、公司 定期报告、利润分配方案、续聘会计师事务所、合规报告、反洗钱报告、风险管理报 告、内部控制自我评价报告、监事薪酬等重大事项进行了审议。 报告期内，监事会共审议通过 19 项议案。监事会会议的召集、召开和表决程序 符合相关法律、法规和准则的要求，并依法履行了信息披露义务。公司监事在监事会 会议召开前，认真审阅会议材料，会议期间充分讨论议案内容，有 ...

证券代码：002797 证券简称：第一创业 公告编号：2024-010 第一创业证券股份有限公司 第四届董事会第十九次会议决议公告 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"）第四届董事会第十九次会议 通知于 2024 年 4 月 15 日以电子邮件方式发出，会议于 2024 年 4 月 25 日在深圳以 现场与视频会议相结合的方式召开。本次会议应出席董事 11 名，实际出席董事 11 名（其中，委托出席董事 1 名：因工作原因，董事长吴礼顺先生委托董事王芳女士 代表出席并行使表决权），经与会董事全体一致推举，会议由董事王芳女士主持，公 司监事和部分高级管理人员列席会议。会议的召集和表决程序符合《中华人民共和 国公司法》和《第一创业证券股份有限公司章程》的有关规定。 本次会议审议了会议通知列明的各项议案并形成如下决议： 一、审议通过《关于<公司 2023 年度经营报告>的议案》 三、审议通过《关于公司 2023 年度利润分配方案的议案》 以现有总股本 4,202,400,000 股为基数，向全体股东每 10 股派 ...

第一创业证券股份有限公司 2023年度内部控制自我评价报告 根据《企业内部控制基本规范》及其配套指引、《证券公司内部控制指引》 的规定和其他内部控制监管要求（以下简称"企业内部控制规范体系"），结合 第一创业证券股份有限公司（以下简称"公司"）内部控制制度和评价办法，在 内部控制日常监督和专项监督的基础上，公司对2023年12月31日（内部控制自我 评价报告基准日）的内部控制有效性进行了自我评价。 一、重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其 有效性，并如实披露内部控制自我评价报告是公司董事会的责任。监事会对董事 会建立和实施内部控制进行监督。经营管理层负责组织领导企业内部控制的日常 运行。公司董事会、监事会及董事、监事、高级管理人员保证本报告内容不存在 任何虚假记载、误导性陈述或重大遗漏，并对报告内容的真实性、准确性和完整 性依法承担个别及连带法律责任。 公司内部控制的目标是合理保证经营管理合法合规、资产安全、财务报告及 相关信息真实完整，提高经营效率和效果，促进实现发展战略。由于内部控制存 在的固有局限性，故仅能为实现上述目标提供合理保证。此外，由于情况的变化 可能导致 ...

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"）第四届董事会第十八次会议通 知于 2024 年 3 月 20 日以电子邮件方式发出，并于 2024 年 3 月 25 日以通讯方式召 开。本次会议应参加表决董事 11 名，实际参加表决董事 11 名。会议的召集和表决 程序符合《中华人民共和国公司法》和《第一创业证券股份有限公司章程》（以下简 称"《公司章程》"）的有关规定。 本次会议审议了会议通知列明的议案并形成如下决议： 证券代码：002797 证券简称：第一创业 公告编号：2024-009 第一创业证券股份有限公司 第四届董事会第十八次会议决议公告 二〇二四年三月二十六日 1 表决结果：十一票同意，零票反对，零票弃权。 备查文件：经与会董事签字并加盖董事会印章的公司第四届董事会第十八次会 议决议 特此公告。 第一创业证券股份有限公司董事会 审议通过《关于延长公司高级管理人员任期的议案》 公司现任高级管理人员任期于 2024 年 3 月 25 日届满，根据《公司章程》的相 关规定并为与公司董事会换届进度安排保持同步， ...

证券代码：002797 证券简称：第一创业 公告编号：2024-008 第一创业证券股份有限公司 关于会计政策变更的公告 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。 重要内容提示： 二、会计政策变更的主要内容及对公司的影响 （一）会计政策变更的主要内容 本次会计政策变更系第一创业证券股份有限公司（以下简称"公司"）依据 中华人民共和国财政部（以下简称"财政部"）发布的相关企业会计准则解释进 行的相应变更，无需提交公司董事会和股东大会审议，不会对公司财务状况、经 营成果和现金流量产生重大影响。 一、会计政策变更概述 （一）会计政策变更原因及日期 财政部于2022年11月发布了《关于印发<企业会计准则解释第16号>的通知》 （财会[2022]31号）（以下简称"《会计准则解释第16号》"）,对"关于单项交 易产生的资产和负债相关的递延所得税不适用初始确认豁免的会计处理"会计 政策内容进行了明确规定，自2023年1月1日起施行。公司依据前述规定对会计政 策作出相应变更，并于2023年1月1日起执行。 （二）变更前后采取的会计政策 本次变更前，公司执行财政部发布的 ...

Investment Rating - The report assigns an "Accumulate" rating for the company, marking the first coverage of this rating [4]. Core Views - The company is positioned to leverage its diversified ownership structure and the strategic support from its largest shareholder, Beijing State Capital Operation Management Co., to enhance its business capabilities and market flexibility [11][12]. - The dual-driven strategy of "Fixed Income + Asset Management" is expected to strengthen the company's service capabilities for institutional clients, capitalizing on the growth of the bond market in China [11][18]. - The company anticipates a second growth phase in its North Exchange business, focusing on project reserves and issuance for various hard technology and innovative growth enterprises [11][19]. Summary by Sections Company Overview - The company has a diversified ownership structure, with Beijing State Capital becoming the largest shareholder in May 2023, which is expected to enhance strategic collaboration and business advantages [11][12]. - As of September 2023, the company had total assets of 513.02 billion and net assets of 154.63 billion, showing a continuous growth trend [9]. Business Analysis - The company has established a solid foundation for business development, with steady growth in asset management, fixed income, investment banking, and brokerage services [25]. - In the first three quarters of 2023, the company achieved operating income of 1.913 billion, a slight increase of 0.05% year-on-year, while net profit attributable to shareholders was 328 million, a decrease of 3.67% [25][27]. Financial Forecast - The company forecasts earnings per share of 0.11, 0.14, and 0.15 yuan for 2023, 2024, and 2025, respectively, with net profits attributable to shareholders expected to be 459 million, 591 million, and 645 million yuan [2][4]. - The projected net profit growth rates are 14.6%, 28.6%, and 9.2% for the respective years [2]. Industry Analysis - The report highlights a shift in the securities industry towards capital intermediation and investment, with a competitive landscape characterized by leading comprehensive brokers and differentiated development among smaller brokers [17]. - The fixed income sector is identified as a new growth area, with increasing demand for stable investment products amid ongoing financial reforms in China [18].

Group 1: Company Strategy and Goals - The company aims to become a securities firm with a focus on fixed income and asset management, refining its strategy based on resources and development stage [5] - The company emphasizes a customer-centric approach and aims to enhance services for state-owned enterprises in Beijing, leveraging opportunities from market reforms [5] Group 2: Collaboration with Shareholders - The establishment of a Strategic Client Committee aims to strengthen collaboration with shareholders and enhance services for state-owned enterprises [6] - The company has achieved four breakthroughs in its North Exchange-related business, including assisting the first state-owned enterprise in Beijing to list on the North Exchange [6] Group 3: Fixed Income and Asset Management - The company has developed a strong brand and research capability in fixed income, with a deep customer base and effective trading transformation [7] - The asset management business focuses on a "fixed income plus" strategy, enhancing product innovation and customization capabilities [10] Group 4: Risk Management and Market Response - Recent revisions to risk control indicators are expected to improve capital efficiency by reducing capital requirements for certain investments [11] - The company has effectively managed credit risk during market volatility, ensuring no client accounts became insolvent [13] Group 5: Business Development and Market Position - The company plans to focus on regional and industrial development, enhancing its comprehensive financial service capabilities [12] - The self-operated and derivative business has low exposure to small-cap stocks, with ongoing adjustments to positions to mitigate risks [14]