Financial Performance - Total revenue for Q3 2023 was CNY 5,605,427,464.93, a decrease of 17.98% compared to the same period last year[4] - Net profit attributable to shareholders for Q3 2023 was CNY 532,109,717.75, down 59.62% year-on-year[4] - Net profit excluding non-recurring gains and losses for Q3 2023 was CNY 493,482,128.81, a decline of 61.65% compared to the previous year[4] - Basic earnings per share for Q3 2023 was CNY 0.04, down 63.64% year-on-year[5] - Net profit attributable to shareholders of the parent company for Q3 2023 was CNY 4.36 billion, down 28.3% from CNY 6.08 billion in Q3 2022[18] - The net profit margin for Q3 2023 was approximately 19.4%, down from 34.0% in Q3 2022, indicating a significant decline in profitability[18] - Total comprehensive income attributable to the parent company was CNY 4,652,148,242.69, down from CNY 4,999,721,118.77 year-over-year[19] - Basic and diluted earnings per share decreased to CNY 0.33 from CNY 0.47 in the same period last year[19] - Net profit for the third quarter was CNY 4,697,031,346.06, a decrease of 33.2% compared to CNY 7,033,214,372.82 in the same quarter of 2022[25] - The company reported a profit before tax of CNY 5,525,771,208.25, down 33.5% from CNY 8,268,811,393.05 in the same period last year[25] Cash Flow - Cash flow from operating activities for the year-to-date was CNY -21,563,945,486.37, a decrease of 655.23%[5] - Net cash flow from operating activities was negative at CNY -21,563,945,486.37, compared to a positive CNY 3,883,768,716.16 in the previous year[20] - Total cash inflow from operating activities was 23.33 billion RMB, significantly lower than 53.82 billion RMB in the same period of 2022[26] - Cash inflow from investment activities increased to CNY 29,872,079,422.98, up from CNY 22,521,948,628.25 year-over-year[20] - The company reported a net cash outflow from investment activities of -1.67 billion RMB, an improvement from -4.65 billion RMB in the previous year[26] - Net cash flow from financing activities was negative at CNY -11,731,752,271.66, compared to a positive CNY 3,601,797,513.57 in the same period last year[21] - Net cash flow from financing activities increased to 4.74 billion RMB, recovering from a negative 5.71 billion RMB in the same period last year[27] - Cash and cash equivalents at the end of Q3 2023 stood at 97.61 billion RMB, down from 116.67 billion RMB at the end of Q3 2022[27] - The company reported a net decrease in cash and cash equivalents of CNY -27,537,164,942.25 for the period[21] Assets and Liabilities - Total assets at the end of Q3 2023 were CNY 736,172,996,197.44, a decrease of 2.31% from the end of the previous year[5] - Total assets as of September 30, 2023, amounted to CNY 136.23 billion, a decrease from CNY 158.58 billion as of December 31, 2022[14] - Total assets as of Q3 2023 amounted to CNY 736.17 billion, a decrease from CNY 753.61 billion at the end of 2022[16] - Total liabilities decreased to CNY 555.94 billion in Q3 2023 from CNY 575.99 billion in 2022, reflecting a reduction of 3.5%[16] - Total liabilities decreased to CNY 313,217,026,974.69 from CNY 322,959,908,026.66, a reduction of 3.0%[24] - The company's cash and cash equivalents were CNY 136.23 billion, compared to CNY 158.58 billion in the previous year[14] - The company’s financial investments in trading financial assets reached CNY 222.60 billion, an increase from CNY 209.60 billion[14] - The company’s short-term borrowings decreased to CNY 5,421,894,539.05 from CNY 7,211,239,604.08 year-over-year[22] Income and Expenses - Total operating revenue for the first three quarters of 2023 reached CNY 22.57 billion, an increase of 19.1% compared to CNY 18.94 billion in the same period of 2022[17] - Net interest income for the first three quarters of 2023 was CNY 3.27 billion, down 30.9% from CNY 4.74 billion in the same period of 2022[17] - The company’s total operating expenses for the first three quarters of 2023 were CNY 16.42 billion, an increase of 43.8% from CNY 11.43 billion in the same period of 2022[17] - Total operating revenue for the first three quarters of 2023 was CNY 10,559,108,105.71, a decrease of 14.9% compared to CNY 12,403,783,932.76 in the same period of 2022[24] - Net interest income decreased to CNY 1,728,828,175.37 from CNY 2,090,576,726.97, reflecting a decline of 17.3%[24] - Net commission and fee income fell to CNY 5,331,340,561.17, down 19.5% from CNY 6,622,001,556.74 year-over-year[24] - Total operating expenses increased to CNY 5,038,470,008.34, up 21.0% from CNY 4,164,104,035.41 in the previous year[24] Shareholder Information - The total number of common stock shareholders at the end of the reporting period was 247,380, with 247,235 being A-share holders[10] - The top ten shareholders collectively held 10.38% of the total share capital, with Hong Kong Central Clearing Limited holding 26.09%[10][12] - The company's equity attributable to shareholders increased by 1.45% to CNY 166,978,884,347.33 compared to the end of the previous year[5] - The total equity attributable to shareholders of the parent company increased to CNY 166.98 billion in Q3 2023 from CNY 164.59 billion in 2022, marking a growth of 1.5%[16] - Total equity increased to CNY 150,731,150,059.13 from CNY 149,045,782,898.20, reflecting a growth of 1.1%[24] Other Notable Changes - The company reported a significant increase in credit impairment losses, amounting to CNY 1,464,333,416.73, up 223.46% year-on-year[8] - The company plans to enhance its market expansion strategies and invest in new technologies to improve operational efficiency[18] - The company’s goodwill stood at CNY 3.77 billion, slightly up from CNY 3.68 billion[14] - The company’s long-term equity investments were valued at CNY 7.60 billion, an increase from CNY 7.01 billion[14] - Other comprehensive income after tax was CNY 35,395,548.77, compared to a loss of CNY 899,998,394.82 in the previous year[25] - The company experienced a foreign exchange impact on cash and cash equivalents of 39.84 million RMB, compared to 134.92 million RMB in the previous year[27]

Financial Performance - Operating revenue for the third quarter was CNY 5,605,427,464.93, a decrease of 17.98% compared to the same period last year[3] - Net profit attributable to shareholders was CNY 532,109,717.75, down 59.62% year-on-year[3] - Net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 493,482,128.81, a decline of 61.65% compared to the previous year[3] - Basic earnings per share for the quarter were CNY 0.04, down 63.64% year-on-year[3] - Total profit for the first three quarters of 2023 was approximately ¥6.25 billion, a decrease of 17.6% compared to ¥7.58 billion in the same period of 2022[16] - Net profit for the first three quarters of 2023 was approximately ¥4.51 billion, down 20.7% from ¥5.69 billion in the same period of 2022[16] - Basic and diluted earnings per share for the first three quarters of 2023 were both ¥0.33, compared to ¥0.47 in the same period of 2022, reflecting a decline of 29.8%[16] Cash Flow - The net cash flow from operating activities for the year-to-date was CNY -21,563,945,486.37, a decrease of 655.23%[3] - Cash flow from operating activities for the first three quarters of 2023 showed a net outflow of approximately ¥21.56 billion, contrasting with a net inflow of ¥3.88 billion in the same period of 2022[17] - Cash flow from investment activities generated a net inflow of approximately ¥5.96 billion in the first three quarters of 2023, compared to a net outflow of approximately ¥5.63 billion in the same period of 2022[18] - Cash flow from financing activities resulted in a net outflow of approximately ¥11.73 billion in the first three quarters of 2023, compared to a net inflow of approximately ¥3.60 billion in the same period of 2022[18] - Cash inflow from operating activities for the first three quarters of 2023 was ¥23,334,899,090.83, down 56.5% from ¥53,821,814,638.10 in the first three quarters of 2022[26] - Cash outflow from operating activities totaled ¥54,156,939,239.60 in the first three quarters of 2023, compared to ¥44,187,349,950.74 in the same period of 2022[26] Assets and Liabilities - Total assets as of September 30, 2023, were CNY 736,172,996,197.44, a decrease of 2.31% from the end of the previous year[3] - The total liabilities as of September 30, 2023, were ¥555,936,549,675.82, down from ¥575,987,247,342.03 at the end of 2022, a reduction of about 3%[14] - The total assets as of September 30, 2023, were RMB 463,948,177,033.82, a decrease from RMB 472,005,690,924.86 at the end of 2022[22] - Total liabilities amounted to RMB 313,217,326,974.69, down from RMB 322,959,908,026.66[22] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period is 247,380, with 247,235 being A-share shareholders and 145 being H-share shareholders[7] - The top 10 shareholders hold a total of 3,408,743,106 shares, representing 26.09% of the total shares[8] - Shanghai Guosheng Group and its wholly-owned subsidiary hold a combined total of 135,632,750 shares, accounting for 10.38% of the total share capital[11] Income and Expenses - Total operating expenses increased significantly to ¥16,418,908,636.71 from ¥11,430,799,496.64, marking a rise of approximately 43%[15] - Total operating income for the first three quarters of 2023 was RMB 10,559,108,105.71, a decrease of 14.9% compared to RMB 12,403,783,932.76 in the same period of 2022[24] - Total operating expenses rose to RMB 5,038,470,008.34, an increase of 21.0% from RMB 4,164,104,035.41[24] Investment and Other Income - Other business income increased by 92.28% to CNY 7,139,826,130.95, primarily due to increased sales revenue from subsidiaries[6] - Investment income surged to ¥5,243,200,268.80 compared to ¥1,314,280,466.54 in the previous year, showing a substantial increase of approximately 299%[15] - Investment income increased significantly to RMB 2,808,236,342.77, compared to RMB 1,346,359,081.23, marking a growth of 108.3%[24] Changes in Financial Position - Cash and cash equivalents are reported at 136,229,054,975.81 RMB, down from 158,580,169,366.67 RMB[13] - The company's financial investments in trading assets increased to 222,597,855,033.30 RMB from 209,598,729,439.75 RMB[13] - The total amount of receivables is reported at 14,137,869,347.56 RMB, an increase from 10,394,514,867.70 RMB[13] - The company has a total of 84,046,759,547.00 RMB in customer deposits, down from 98,970,479,371.57 RMB[13] - The company’s goodwill stands at 3,768,159,665.86 RMB, slightly up from 3,676,231,096.22 RMB[13] - The company reported a significant increase in receivables, which rose to RMB 8,085,499,638.12 from RMB 4,490,816,958.87, an increase of 80.0%[19] Tax and Other Comprehensive Income - The company reported a tax expense of ¥828,739,862.19 for the first three quarters of 2023, a decrease of 32.8% from ¥1,235,597,020.23 in the same period of 2022[25] - Other comprehensive income attributable to the parent company for the first three quarters of 2023 was approximately ¥290.40 million, a significant recovery from a loss of approximately ¥1.08 billion in the same period of 2022[16]

证券代码：600837 证券简称：海通证券 公告编号：临 2023-054 海通证券股份有限公司 关于向专业投资者公开发行公司债券 获得中国证券监督管理委员会注册批复的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大 遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 近日，海通证券股份有限公司（以下简称公司）收到中国证券监督管理委 员会《关于同意海通证券股份有限公司向专业投资者公开发行公司债券注册的 批复》（证监许可〔2023〕2416号），批复内容如下： 一、同意公司向专业投资者公开发行面值总额不超过200亿元公司债券的注 册申请。 二、本次发行公司债券应严格按照报送上海证券交易所的募集说明书进行。 三、本批复自同意注册之日起24个月内有效，公司在注册有效期内可以分 期发行公司债券。 四、自同意注册之日起至本次公司债券发行结束前，公司如发生重大事项， 应及时报告并按有关规定处理。 公司将严格按照有关法律法规和上述批复文件的要求及公司股东大会的授 权办理本次公司债券发行的相关事宜，并及时履行信息披露义务。 特此公告。 海通证券股份有限公司 2023年10月30日 ...

二、审议通过了《关于修订<海通证券股份有限公司廉洁从业管理办法>的议 案》 同意对《海通证券股份有限公司廉洁从业管理办法》进行修订，修订稿经公 司董事会审议通过后生效。 证券代码：600837 证券简称：海通证券 公告编号：临2023-053 海通证券股份有限公司 第八届董事会第二次会议决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大 遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 海通证券股份有限公司（以下简称公司）第八届董事会第二次会议于 2023 年 10 月 30 日以通讯表决方式召开。本次会议通知已于 2023 年 10 月 16 日以电子 邮件和书面传真的方式发出。公司董事会成员 11 人（包括 4 名独立董事），截 至 2023 年 10 月 30 日，公司董事会办公室收到 11 名董事送达的通讯表决票，会 议召集、召开及表决程序符合《公司法》和《公司章程》的有关规定。本次会议 审议通过了以下议案： 一、审议通过了《公司 2023 年第三季度报告》 表决结果：[11]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 表决结果：[11]票赞成， ...

证券代码：600837 证券简称：海通证券 公告编号：临2023-052 海通证券股份有限公司 关于召开 2023 年第三季度网上业绩说明会的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大 遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 重要内容提示： （网址：http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 10 月 27 日（星期五）至 11 月 2 日（星期四）16:00 前登录上证路演中心网站首页点击"提问预征集"栏目或通过公司董事会办公室 邮箱 dshbgs@haitong.com 进行提问。公司将在说明会上对投资者普遍关注的问 题进行回答。 海通证券股份有限公司（以下简称公司）将于 2023 年 10 月 31 日发布公司 2023 年第三季度报告，为便于广大投资者更全面深入地了解公司 2023 年第三季 度经营成果、财务状况，公司计划于 2023 年 11 月 3 日上午 9:00-10:00 召开 2023 年第三季度业绩说明会，就投资者关心的问题进行交流。 一、 说明会类型 ...

（在中華人民共和國註冊成立之股份有限公司） （股份代號：6837） 香港交易及結算所有限公司及香港聯合交易所有限公司對本公告的內容概不負責，對其準確性 或完整性亦不發表任何聲明，並明確表示，概不對因本公告全部或任何部份內容而產生或因倚 賴該等內容而引致的任何損失承擔任何責任。 董事會會議通知 於本公告日期，本公司執行董事為周杰先生、李軍先生及趙永剛先生；本公司非 執行董事為屠旋旋先生、石磊先生、肖荷花女士及許建國先生；本公司獨立非執 行董事為周宇先生、范仁達先生、毛付根先生及毛惠剛先生。 * 僅供識別 承董事會命 海通證券股份有限公司 董事長 周杰 中國•上海 2023年10月16日 海通證券股份有限公司（「本公司」）董事會（「董事會」）謹此宣佈，本公司將於 2023年10月30日（星期一）舉行董事會會議，以考慮及批准（其中包括）本集團（包 括本公司及其附屬公司）截至2023年9月30日止九個月之第三季度業績。 ...

证券代码：600837 证券简称：海通证券 公告编号：临 2023-050 二、审议通过了《关于选举发展战略与 ESG 管理委员会委员及主任委员的议 案》 依据《公司法》《公司章程》和《发展战略与 ESG 管理委员会工作细则》的 有关规定，选举周杰先生、赵永刚先生、屠旋旋先生、石磊先生和周宇先生为公 司第八届董事会发展战略与 ESG 管理委员会委员，同时选举周杰先生为该委员会 主任委员。 表决结果：[11]票赞成，[0]票反对，[0]票弃权，审议通过本议案。 三、审议通过了《关于选举合规与风险管理委员会委员及主任委员的议案》 依据《公司法》《公司章程》和《合规与风险管理委员会工作细则》的有关规 海通证券股份有限公司 第八届董事会第一次会议（临时会议）决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大 遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 海通证券股份有限公司（以下简称公司）第八届董事会第一次会议（临时会 议）通知于 2023 年 10 月 12 日以电子邮件和传真方式发出，会议于 2023 年 10 月 12 日公司 2023 年第一次临时股东大会后在 ...

国浩律师（上海）事务所 关于海通证券股份有限公司 2023 年第一次临时股东大会的法律意见书 致：海通证券股份有限公司 国浩律师（上海）事务所（以下简称本所）接受海通证券股份有限公司（以 下简称公司）的委托，指派本所律师出席公司 2023 年第一次临时股东大会（以 下简称本次股东大会），并根据《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》）、《上市公司股东大会规则》 （以下简称《股东大会规则》）以及《海通证券股份有限公司章程》（以下简称 《公司章程》）的规定出具本法律意见书。 本所依据本法律意见书出具日之前已经发生或存在的事实及中国（为出具本 法律意见书之目的，本法律意见书中"中国"仅指中国大陆地区，不包括香港特 别行政区和澳门特别行政区及台湾地区）现行法律、法规及规范性文件发表法律 意见。 本所同意将本法律意见书作为公司本次股东大会公告的法定文件，随公司其 他公告一并提交上海证券交易所审查并予公告。 在本法律意见书中，本所律师仅对本次股东大会的召集和召开程序、出席会 议人员的资格、召集人资格、会议表决程序及表决结果是否符合《公司法》《证 券法》《股东大会规则》 ...

二、前述人员的提名、聘任程序及公司第八届董事会第一次会议（临时会议） 的召集、召开、表决等程序符合法律法规和《公司章程》的相关规定。 三、同意聘任上述高级管理人员。 海通证券股份有限公司独立董事 关于公司董事会聘任高级管理人员的独立意见 根据《上市公司独立董事管理办法》《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》《上海证券交易所股票上市规则》及《海通 证券股份有限公司章程》的有关规定，作为海通证券股份有限公司(以下简称公 司)的独立董事，在认真审阅有关文件的基础上，基于独立判断的立场，对公司 第八届董事会第一次会议（临时会议）审议的《关于聘任公司高级管理人员的议 案》发表独立意见如下： 一、公司第八届董事会聘任李军先生为公司总经理；毛宇星先生、姜诚君先 生、潘光韬先生和张信军先生为公司副总经理，其中毛宇星先生兼任首席信息官， 张信军先生兼任财务总监；裴长江先生为公司董事会秘书；陈春钱先生、张向阳 先生为公司业务总监；赵慧文女士为公司合规总监；侍旭先生为公司首席风险官。 经审阅上述人员的个人简历，未发现前述人员有《公司法》第 146 条规定不得担 任公司高级管理人员的情形，亦未有被中国证 ...

海通证券股份有限公司 章 程 2023 年 10 月 | 第一章 | 总则 3 | | --- | --- | | 第二章 | 经营宗旨和范围 5 | | 第三章 | 股份 6 | | 第一节 | 股份发行 6 | | 第二节 | 股份增减和回购 7 | | 第三节 | 股份转让 10 | | 第四节 | 购买公司股份的财务资助 12 | | 第五节 | 股票和股东名册 13 | | 第四章 | 党的组织 15 | | 第五章 | 股东、股权管理及股东大会 16 | | 第一节 | 股东及股权管理 16 | | 第二节 | 股东大会的一般规定 25 | | 第三节 | 股东大会的召集 29 | | 第四节 | 股东大会的提案与通知 30 | | 第五节 | 股东大会的召开 32 | | 第六节 | 股东大会的表决和决议 36 | | 第七节 | 类别股东表决的特别程序 39 | | 第六章 | 董事和董事会 42 | | 第一节 | 董事 42 | | 第二节 | 独立董事 45 | | 第三节 | 董事会 48 | | 第四节 | 董事会秘书 54 | | 第五节 | 合规总监 55 | | 第七章 | 总 ...