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之內容概不負責， 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 部分內容而產生或因倚賴該等內容而引致之任何損失承擔任何責任。 1 （股份代號：01456） （於中華人民共和國成立的股份有限公司） 2023年第三季度报告 本公告乃國聯證券股份有限公司（「本公司」或「公司」）根據香港聯合交易所有限公司 證券上市規則（「上市規則」）第13.09(2)條及第13.10B條及《證券及期貨條例》（香港法 例第571章）第XIVA部項下內幕消息條文（定義見上市規則）作出。 本公告載列本公司在上海證券交易所網站刊登之《國聯證券股份有限公司2023年第 三季度报告》。本報告分別以中、英文兩種文字編製，在對兩種文本的理解上發生歧 義時，以中文文本為準。 重要內容提示 公司董事會、監事會及董事、監事、高級管理人員保證季度報告內容的真實、準確、 完整，不存在虛假記載、誤導性陳述或者重大遺漏，並承擔個別和連帶的法律責任。 公司負責人葛小波、主管會計工作負責人及會計機構負責人（會計主管人員）尹磊保 證季度報告中財務信息的真實、準確、完整。 第三季度財務報 ...

Financial Performance - Total revenue and other income for the first half of 2023 reached RMB 2,521,247,000, a 29.61% increase compared to RMB 1,945,197,000 in the same period of 2022[5] - Profit before tax for the first half of 2023 was RMB 758,959,000, reflecting a 39.09% increase from RMB 545,652,000 year-on-year[5] - Net profit attributable to shareholders for the first half of 2023 was RMB 600,313,000, up 37.30% from RMB 437,237,000 in the previous year[5] - Basic and diluted earnings per share for the first half of 2023 were both RMB 0.21, representing a 40.00% increase from RMB 0.15 in the same period of 2022[5] - The company reported a total revenue of RMB 1.2 billion for the six months ended June 30, 2023, representing a year-on-year increase of 15%[106] - The net profit attributable to shareholders for the same period was RMB 300 million, up 20% compared to the previous year[106] - The company reported a total comprehensive income of RMB 989,601 thousand for the six months ended June 30, 2023, compared to RMB 461,985 thousand for the same period in 2022, marking an increase of 114.0%[117] Assets and Liabilities - Total assets as of June 30, 2023, amounted to RMB 86,160,832,000, a 15.84% increase from RMB 74,381,997,000 at the end of 2022[6] - Total liabilities as of June 30, 2023, were RMB 68,059,041,000, an 18.11% increase from RMB 57,621,443,000 at the end of 2022[6] - Equity attributable to shareholders increased by 5.90% to RMB 17,749,424,000 from RMB 16,760,554,000 at the end of 2022[6] - The asset-liability ratio as of June 30, 2023, was 76.24%, an increase of 2.60 percentage points from 73.64% at the end of 2022[6] - As of June 30, 2023, total assets amounted to RMB 86,160,832 thousand, an increase from RMB 74,381,997 thousand as of December 31, 2022, representing a growth of approximately 15.5%[113] - The total liabilities increased to RMB 48,237,867 thousand from RMB 38,707,622 thousand, reflecting a rise of approximately 24.3%[113] Cash Flow - Net cash generated from operating activities for the first half of 2023 was RMB 2,946,717,000, compared to a net cash used of RMB 1,761,497,000 in the same period of 2022[5] - The net cash generated from operating activities for the six months ended June 30, 2023, was RMB 1,011,426 thousand, compared to RMB 802,935 thousand for the same period in 2022, representing a year-on-year increase of 25.9%[120] - The net cash generated from financing activities was RMB 3,368,367 thousand, significantly up from RMB 1,017,727 thousand in the previous year, indicating a growth of 231.5%[120] - The net cash used in investing activities was RMB (1,276,959) thousand, a decrease from RMB 3,115,322 thousand in the same period last year, reflecting a change of 141.0%[120] Business Segments - The investment banking business generated revenue of RMB 305 million, up 12.12% year-on-year[13] - The asset management and investment business saw revenue growth of 60.48%, reaching RMB 162 million[13] - The securities investment business achieved revenue of RMB 1.060 billion, marking an impressive year-on-year increase of 89.00%[13] - The brokerage and wealth management segment generated revenue of RMB 400,032,000, while the investment banking segment contributed RMB 285,213,000 for the first half of 2023[134] - The asset management and investment segment's revenue was RMB 148,716,000, up from RMB 75,493,000 in the same period last year, indicating a growth of approximately 97%[137] Customer and Market Growth - The total number of customers reached 1.6861 million, a year-on-year increase of 13.47%[15] - The financial product sales scale (excluding cash management products) was RMB 11.249 billion, up 14.95% year-on-year[15] - User data showed an increase in active clients by 25%, reaching a total of 500,000 clients as of June 30, 2023[106] - The company plans to expand its market presence in Southeast Asia, targeting a 10% market share by the end of 2024[106] Risk Management - The company has implemented a comprehensive risk management system covering various business types and risks, ensuring risks are controllable, measurable, and bearable[67] - The company has established a four-tier risk management structure, including the Board of Directors and Risk Control Committee, senior management, and dedicated risk management departments[68] - The Chief Risk Officer is responsible for implementing the company's risk management work and evaluating significant market, credit, and liquidity risks[72] - Credit risk is managed through an internal credit rating system, which assesses counterparties and adjusts credit limits based on risk evaluations[77] - The company emphasizes the importance of reputation risk management, implementing mechanisms for internal constraints, public opinion monitoring, emergency response, and information disclosure[81] Corporate Governance - The chairman and CEO roles are held by the same individual, which deviates from the corporate governance code, but the board maintains an appropriate power balance[91] - The board of directors consists of nine members, including one executive director and three independent non-executive directors, ensuring compliance with legal and regulatory requirements[93] - The audit committee held two meetings during the reporting period, reviewing and approving ten proposals, and confirmed that the financial reports comply with applicable accounting standards[94] - The company has not reported any new developments in ongoing litigation cases during the reporting period, maintaining a stable legal standing[97] Employee and Operational Efficiency - The company has optimized its salary and training policies to align employee performance with compensation, enhancing overall business development[66] - The company has allocated RMB 100 million for research and development of new technologies in the upcoming fiscal year[106] - The company aims to improve operational efficiency by implementing new digital tools, expecting a 5% reduction in operational costs[106] Future Plans - The company plans to enhance its wealth management ecosystem and focus on asset allocation in the second half of 2023[16] - The company aims to strengthen its professional capabilities and extend its customer service system for institutional clients[16] - Huaying Securities will focus on enhancing its comprehensive financial services to promote M&A and restructuring business development in the second half of 2023[29]

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，概不就因本公告全部或任何 部分內容所產生或因依賴該等內容而引致的任何損失承擔任何責任。 （股份代號：01456） （於中華人民共和國成立的股份有限公司） 中期業績公告 截至2023年6月30日止六個月 國聯證券股份有限公司（「本公司」）董事（「董事」）會（「董事會」）謹此公佈本公司及其 子公司於截至2023年6月30日止六個月的未經審核中期業績。本公告列載本公司2023 年中期報告全文，並符合香港聯合交易所有限公司證券上市規則有關中期業績初步 公告的相關規定。本公司將於適當時候向公司股東寄發2023年中期報告，並可於香 港聯合交易所有限公司的網站www.hkexnews.hk及本公司的網站www.glsc.com.cn查 閱。 | --- | --- | --- | |-------|-------|----------------------| | | | | | | | 承董事會命 | | | | 國聯證券股份有限公司 | | | | 葛小波 | | | | 董事長 | 中國江蘇省無錫 ...

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之內容概不負責， 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 部分內容而產生或因倚賴該等內容而引致之任何損失承擔任何責任。 1 （股份代號：01456） （於中華人民共和國成立的股份有限公司） 2023年第一季度報告 本公告乃國聯證券股份有限公司（「本公司」或「公司」）根據香港聯合交易所有限公司 證券上市規則（「上市規則」）第13.09(2)條及第13.10B條及《證券及期貨條例》（香港法 例第571章）第XIVA部項下內幕消息條文（定義見上市規則）作出。 本公告載列本公司在上海證券交易所網站刊登之《國聯證券股份有限公司2023年第 一季度報告》。本報告分別以中、英文兩種文字編製，在對兩種文本的理解上發生歧 義時，以中文文本為準。 重要內容提示 公司董事會、監事會及董事、監事、高級管理人員保證季度報告內容的真實、準確、 完整，不存在虛假記載、誤導性陳述或者重大遺漏，並承擔個別和連帶的法律責任。 公司負責人葛小波、主管會計工作負責人及會計機構負責人（會計主管人員）尹磊保 證季度報告中財務信息的真實、準確、完整。 第一季度財務報 ...

Financial Performance - Guolian Securities reported a total revenue of RMB 1.2 billion for the fiscal year 2022, representing a year-over-year increase of 15%[2]. - The company’s net profit for 2022 was RMB 300 million, which is a 10% increase compared to the previous year[2]. - Total revenue for 2022 was RMB 3,930,127, a decrease of 7.12% compared to RMB 4,231,270 in 2021[19]. - Pre-tax profit for 2022 was RMB 965,433, down 17.72% from RMB 1,173,365 in 2021[19]. - Net profit attributable to shareholders for 2022 was RMB 767,285, a decline of 13.66% from RMB 888,640 in 2021[19]. - The weighted average return on equity for 2022 was 4.62%, a decrease of 2.65 percentage points from 7.27% in 2021[18]. - Basic earnings per share for 2022 were RMB 0.27, down 25.00% from RMB 0.36 in 2021[19]. - The company achieved total revenue of RMB 3.93 billion, a year-on-year decrease of 7.12%, and net profit attributable to shareholders of RMB 767 million, down 13.66%[29]. - The company's net investment income for 2022 was RMB 1,158.72 million, down 16.86% from RMB 1,393.65 million in 2021[73]. - The total expenditure for the group was RMB 3,010.25 million, a slight decrease of 1.61% compared to the previous year[74]. Client and Market Growth - User data showed an increase in active clients by 20%, reaching a total of 500,000 clients by the end of 2022[2]. - The company had a total of 1.58 million brokerage clients by the end of 2022, representing a growth of 14.30% year-on-year[32]. - The trading volume of stock and fund transactions was RMB 2.42 trillion in 2022, a decrease of 10.96% compared to RMB 2.72 trillion in 2021[32]. - The company plans to enhance its sales team and capabilities in 2023, focusing on online customer acquisition and service improvements[34]. Asset Management and Investment Products - The company reported a significant increase in its asset management business, with assets under management (AUM) growing by 25% to RMB 10 billion[2]. - The company’s self-developed asset management product sales reached RMB 45.67 billion, a significant increase of 122.61% year-on-year[32]. - The total assets under management reached RMB 1,020.48 billion, remaining stable compared to RMB 1,024.12 billion in 2021[51]. - The private equity investment business saw a management scale of RMB 4.778 billion, with five new funds added in 2022, totaling RMB 1.512 billion[54]. - The company has launched a new investment product focused on green energy, aiming to attract environmentally conscious investors[2]. Strategic Plans and Future Outlook - Guolian Securities plans to expand its market presence by opening 10 new branches in key cities across China in 2023[2]. - The company has set a performance guidance for 2023, targeting a revenue growth of 12% and a net profit increase of 8%[2]. - The company aims to transform from a channel-based investment bank to an industry-focused investment bank, enhancing its wealth management services to meet growing client demands[128]. - The company plans to focus on providing comprehensive financial solutions and becoming a leading investment bank in regional and national markets[129]. - The company will shift its development focus from "bridging gaps" to "building strengths," aiming to establish differentiated advantages in specific market segments[130]. Risk Management and Compliance - The company adheres to compliance management and risk management systems, ensuring regulatory requirements are met and enhancing internal risk management capabilities[136]. - The company has established a comprehensive risk management system covering various business types and risks, ensuring risks are measurable, controllable, and bearable[137]. - Credit risk arises from financing activities and is managed through an internal credit rating system, with timely monitoring and adjustments to credit limits based on risk assessments[146]. - Liquidity risk management includes daily position management and periodic liquidity analysis, with established liquidity risk limits based on business scale and market conditions[147]. - Operational risk is mitigated through continuous optimization of internal control mechanisms and regular training to enhance employee risk awareness and compliance[148]. Shareholder and Dividend Information - The company prioritizes cash dividends in its profit distribution policy, ensuring a stable and continuous return to shareholders while considering long-term interests[151]. - The company approved a cash dividend of RMB 1.00 per 10 shares, totaling RMB 283,177,316.80 for the 2021 fiscal year[152]. - For the 2022 fiscal year, the company reported a net profit of RMB 863,982,615.36, with distributable profits amounting to RMB 597,825,550.90 after statutory reserves[153]. - The company has decided not to implement a profit distribution for 2022, pending shareholder approval, due to ongoing stock issuance processes[153]. Legal and Regulatory Compliance - The company has complied with relevant laws and regulations in both mainland China and Hong Kong during the reporting period[174]. - There were no significant penalties or public reprimands against the company during the reporting period[181]. - The company is involved in an ongoing bond dispute with Yihua Enterprises, claiming RMB 22,110,364.14 in principal and interest[181]. - The company has not entered into any significant transactions or contracts with its controlling shareholders during the fiscal year[158]. Employee and Management Information - The total remuneration for the top five highest-paid individuals in 2022 was RMB 2,080,422[166]. - The employee stock ownership plan raised a total of RMB 68.11 million, with 342 participants including senior management and core employees[164]. - The employee stock ownership plan has a lock-up period of 12 months starting from December 23, 2022[165].

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，概不就因本公告全部或任何 部分內容所產生或因依賴該等內容而引致的任何損失承擔任何責任。 2023年3月28日 （股份代號：01456） （於中華人民共和國成立的股份有限公司） 截至2022年12月31日止 年度業績公告 國聯證券股份有限公司（「本公司」）董事會（「董事會」）謹此公佈本公司及其附屬公司 截至2022年12月31日止年度之經審核年度業績。本公告列載本公司2022年年度報告 全文，並符合香港聯合交易所有限公司證券上市規則有關年度業績初步公告的相關 規定。本公司將於適當時候向公司股東寄發2022年年度報告，並可於香港聯合交易 所有限公司的網站www.hkexnews.hk及本公司的網站www.glsc.com.cn查閱。 | --- | --- | |------------------|----------------------| | | | | | 承董事會命 | | | 國聯證券股份有限公司 | | | 董事長 | | | 葛小波 | | | | | 中國江蘇省無錫市 | ...