证券代码：002797 证券简称：第一创业 公告编号：2025-071 第一创业证券股份有限公司 2025 年第一次临时股东大会决议公告 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。 一、会议召开情况 1、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 ★特别提示： 1、本次会议未出现否决提案的情形。 2、本次会议未涉及变更以往股东大会已通过的决议的情形。 3、为尊重和保护中小股东利益，本次会议审议的全部提案，中小股东投票 表决时均进行单独计票。 （2）网络投票时间：2025 年 12 月 29 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：2025 年 12 月 29 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 统进行投票的具体时间为：2025 年 12 月 29 日 9:15-15:00。 2、会议召开方式：本次会议采用现场表决与网络投票相结合的方式召开。 3、现场会议召开地点：广东省深圳市福田区福华一路 115 ...

北京·上海·深圳·杭州·广州·昆明·天津·成都·宁波·福州·西安·南京·南宁·济南·重庆·苏州 Beijing·Shanghai·Shenzhen·Hangzhou·Guangzhou·Kunming·Tianjin·Chengdu ·Ningbo·Fuzhou·Xi`an·Nanjing·N anning·Jinan· Chongqing·Suzhou 长沙·太原·武汉·贵阳·乌鲁木齐·郑州·石家庄·合肥·海南·青岛·香港·巴黎·马德里·硅谷·斯德哥尔摩·纽约 Changsha·Taiyuan·Wuhan·Guiyang·Urumqi·Zhengzhou·Shijiazhuang·Hefei·Hainan·Qingdao·Hongkong·Paris·M adrid·Silicon Valley Stockholm·NewYork 致：第一创业证券股份有限公司 国浩律师（深圳）事务所 关于第一创业证券股份有限公司 2025 年第一次临时股东大会 之 GLG/SZ/A2562/FY/2025-1685 本所律师根据对事实的了解及对法律的理解，出具法律意见如下： 一、本次股东大会的召集与召开程序 法律意见书 国 ...

Group 1: Climate Disclosure Standards - The Ministry of Finance, along with nine other departments, issued the "Corporate Sustainable Disclosure Standard No. 1 - Climate (Trial)" on December 25, marking a significant step towards a unified sustainable disclosure standard system in China [1] - The "Climate Standard" is currently positioned as a trial document, with voluntary implementation by companies until specific requirements are established [1] - The Ministry of Finance plans to adopt a gradual approach to implementation, expanding from listed companies to non-listed companies, and from large enterprises to small and medium-sized enterprises [1] Group 2: ESG Disclosure in A-Share Banks - The A-share ESG strong disclosure list has expanded to 27 banks, including 6 state-owned banks, 9 joint-stock banks, 10 city commercial banks, and 2 rural commercial banks [2] - Among the 27 banks, 16 reported a year-on-year decrease in carbon emissions, while 9 banks, including 1 state-owned bank and 6 city commercial banks, reported an increase in carbon emissions [2] - The top five banks with the highest year-on-year increase in carbon emissions are Beijing Bank (13.88%), Nanjing Bank (13.23%), Qingdao Bank (11.92%), Chongqing Bank (10.96%), and Hangzhou Bank (10.02%) [3] Group 3: Regulatory Actions and Penalties - First Capital's subsidiary was fined 12.7358 million yuan for failing to diligently supervise a convertible bond project [4] - Jinghua Pharmaceutical's subsidiary was fined 500,000 yuan for environmental pollution, which is not expected to significantly impact the company's net profit for 2025 [5] - Tianyi Medical is facing a potential fine of 8.7852 million yuan for not producing medical devices according to registered technical requirements [6][7] Group 4: Energy Sector ESG Developments - The "National Energy Sustainable Development Index" was officially launched, achieving a cumulative return rate of 40% [8] - Five thermal power companies have been included in the ESG strong disclosure category, which will require them to improve ESG governance and reporting by 2026 [9] - A report evaluated the low-carbon transition performance of 33 thermal power companies, indicating significant disparities in transition progress and a slower development of non-fossil energy compared to national averages [9]

Core Viewpoint - The announcement from the Shenzhen Stock Exchange regarding the administrative penalty imposed on First Capital Securities' subsidiary, Yichuang Investment Bank, highlights significant compliance failures in the underwriting and sponsorship of a convertible bond project, raising concerns about the responsibilities of sponsoring institutions in the industry [1][10]. Group 1: Background of the Case - The issue traces back to 2019 when Hongda Xingye Co., Ltd. initiated a convertible bond issuance project, with Yichuang Investment Bank acting as the sponsor, earning a fee of 4.2453 million yuan (excluding tax) [4]. - The total amount of the convertible bonds issued was 2.427 billion yuan, with a maturity of six years, and as of March 18, 2024, 337 million yuan of the bonds remained outstanding [4]. - The company faced financial difficulties due to a downturn in the chemical industry, leading to a default on interest payments in December 2020 and subsequent delisting in March 2024 [4]. Group 2: Regulatory Findings and Penalties - Regulatory investigations revealed multiple serious violations by Hongda Xingye, including unauthorized changes to the use of 1.691 billion yuan of raised funds and failure to disclose significant litigation and guarantees [5]. - In June, the Jiangsu Securities Regulatory Bureau imposed penalties on Hongda Xingye and eight related individuals, with fines ranging from 500,000 to 22 million yuan, and the company's actual controller was banned for life from the securities market [5]. - Yichuang Investment Bank was penalized for failing to fulfill its continuous supervision responsibilities, resulting in the confiscation of its sponsorship income and a fine totaling over 16.98 million yuan [7]. Group 3: Implications for the Industry - The case underscores the stringent requirements for sponsoring institutions in the capital market, emphasizing that their diligence directly impacts market order and investor interests [11]. - The incident serves as a warning to all investment banks about the importance of compliance and the need to maintain high standards of professional conduct, regardless of performance pressures [11]. - First Capital Securities has stated that it will enhance its operational processes and compliance measures in response to the incident, signaling a commitment to improving the quality of its investment banking services [10].

Core Viewpoint - The article discusses the administrative penalties imposed by the China Securities Regulatory Commission (CSRC) on Hongda Xingye Co., Ltd. and its underwriter, First Capital Securities Co., Ltd., due to violations related to the issuance of convertible bonds in 2019, including misappropriation of funds and false disclosures [1][3][10]. Group 1: Administrative Penalties - First Capital Securities' subsidiary, First Capital Securities Underwriting and Sponsorship Co., Ltd., failed to perform due diligence during the ongoing supervision of Hongda Xingye's 2019 convertible bond project, leading to false records in supervisory documents [1][8][9]. - The CSRC's Jiangsu Regulatory Bureau ordered corrections, issued warnings, confiscated underwriting business income, and imposed fines on First Capital Securities and its representatives [1][9]. Group 2: Violations by Hongda Xingye - Hongda Xingye allegedly changed the use of raised funds without authorization, involving an amount of 1,691,280,000 yuan, with 69,000,000 yuan in 2019 and 1,622,280,000 yuan in 2020, primarily used by its controlling shareholder and related parties [3][10]. - 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 and financial performance, including inflated revenues and profits [3][10]. Group 3: Legal Actions and Investor Compensation - Due to the violations, affected investors are encouraged to register for compensation claims through legal representation, with specific conditions for eligibility based on their investment timeline [5][12]. - The compensation claims are based on the legal framework that holds companies and their executives accountable for damages caused by false statements, including investment losses and related costs [4][11].

Group 1 - The article lists several securities firms and asset management companies, indicating a focus on the financial services sector in China [2] - The mentioned companies include Huazhong Securities, Guoyuan Securities, First Capital, Changjiang Securities, Invesco Great Wall Fund, China Ocean Fund, Huaxia Fund, Harvest Fund, CCB Fund, and Industrial Bank Fund [2] Group 2 - The presence of multiple firms suggests a competitive landscape in the Chinese financial services industry [2] - The diversity of companies listed indicates a range of services offered, from securities trading to asset management [2] - The article may imply potential collaboration or competition among these firms in the evolving market [2]

来源：市场资讯 声明：市场有风险，投资需谨慎。本文为AI基于第三方数据生成，仅供参考，不构成个人投资建议。 有投资者在互动平台向第一创业提问："董秘您好：今日国务院国资委发布加强国企上市公司质量和市 值管理，请问贵公司是国企或央企吗？自上市贵公司股价一直下跌，快十年了还在上市发行价的一半 多，对于国家的这个战略贵公司有什么规划吗？" 针对上述提问，第一创业回应称："您好！公司无控股股东、无实际控制人，持股比例排名前五的股东 企业性质涵盖国有、民营和集体所有制。公司致力于为股东创造长期价值，股价走势受多重因素综合影 响，敬请投资者理性投资，合理控制投资风险。谢谢！" ...

证券之星消息，第一创业(002797)12月26日在投资者关系平台上答复投资者关心的问题。 投资者提问：董秘您好：今日国务院国资委发布加强国企上市公司质量和市值管理，请问贵公司是国企 或央企吗？自上市贵公司股价一直下跌，快十年了还在上市发行价的一半多，对于国家的这个战略贵公 司有什么规划吗？ 第一创业回复：您好！公司无控股股东、无实际控制人，持股比例排名前五的股东企业性质涵盖国有、 民营和集体所有制。公司致力于为股东创造长期价值，股价走势受多重因素综合影响，敬请投资者理性 投资，合理控制投资风险。谢谢！ 以上内容为证券之星据公开信息整理，由AI算法生成（网信算备310104345710301240019号），不构成 投资建议。 ...

第一创业证券股份有限公司（以下简称"公司"）全资子公司第一创业证券 承销保荐有限责任公司（以下简称"一创投行"）于 2025 年 10 月 31 日收到中 国证券监督管理委员会（以下简称"中国证监会"）《立案告知书》（证监立案 字 0102025023 号），并于 2025 年 12 月 5 日收到中国证监会江苏监管局《行政 处罚事先告知书》（苏证监罚字〔2025〕21 号），具体情况详见公司分别于 2025 年 11 月 1 日和 2025 年 12 月 8 日在深圳证券交易所网站（http://www.szse.cn/） 披露的《关于全资子公司收到中国证券监督管理委员会立案告知书的公告》《关 于全资子公司收到中国证券监督管理委员会江苏监管局<行政处罚事先告知书> 的公告》。 证券代码：002797 证券简称：第一创业 公告编号：2025-070 第一创业证券股份有限公司 关于全资子公司收到中国证券监督管理委员会江苏监管局 《行政处罚决定书》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。 代表人为宋垚、范本源。 一创投行在鸿达兴业 2019 年可转债 ...

Core Viewpoint - The securities sector experienced a decline on December 18, with related indices showing a drop of 0.8% as of the report time [1]. Market Performance - The broker index opened at 11,415.07 and closed at 11,321.83, reflecting a decrease of 90.82 points or 0.80% [2]. - The trading volume reached 13 billion, with a turnover of 8.6 billion [2]. - The highest price recorded was 11,426.34, while the lowest was 11,306.22 [2]. Individual Stock Movements - China International Capital Corporation (CICC) and Xinda Securities saw their gains narrow to below 5%, after initially opening at the daily limit and nearly 7% higher, respectively [2]. - Dongxing Securities led the gainers with a price of 14.44, reflecting a rise of 9.98% [3]. - Xinda Securities and CICC reported increases of 4.89% and 4.84%, respectively [3]. - On the downside, Zhongyin Securities fell over 4%, with other firms like CITIC Securities, Huatai Securities, and China Galaxy also experiencing declines [4].