Financial Results - The company reported its mid-term financial results for the six months ending June 30, 2023, which were reviewed by the audit committee and confirmed without objections to the accounting policies adopted[2]. - The mid-term financial report was prepared in accordance with International Financial Reporting Standards and has not been audited but has been reviewed by KPMG[2]. - Total revenue and other income for the first half of 2023 was RMB 26,170.74 million, a decrease of 0.45% compared to the same period last year[22]. - Operating profit for the same period was RMB 7,348.70 million, reflecting a decline of 5.10% year-on-year[22]. - Profit attributable to equity holders of the company was RMB 5,741.58 million, down 9.89% from the previous year[22]. - The net cash generated from operating activities significantly decreased by 98.03% to RMB 277.62 million[22]. - Total assets as of June 30, 2023, reached RMB 924,164.12 million, an increase of 7.37% compared to the end of the previous year[23]. - Total liabilities increased by 8.23% to RMB 754,188.84 million[23]. - The equity attributable to equity holders of the company was RMB 163,695.85 million, up 3.79% year-on-year[23]. - The basic earnings per share for the first half of 2023 was RMB 0.61, a decrease of 11.59% compared to the same period last year[22]. Risk Management - The company has established an effective internal control system and dynamic risk control indicators to manage operational risks, including market, credit, liquidity, operational, and reputational risks[3]. - The report includes a risk statement indicating potential losses due to adverse market price changes and credit rating fluctuations[3]. - The company emphasizes the importance of understanding the differences between plans, forecasts, and commitments in its forward-looking statements[3]. - The company has developed a comprehensive risk management system tailored to its business characteristics, covering various risk types including market, credit, operational, liquidity, and reputational risks[100]. - The risk management framework includes a four-tier system involving the board of directors, supervisory board, management, and various departments, ensuring effective oversight and implementation of risk management policies[94]. - The company reported no significant market risk events during the first half of 2023, indicating effective risk control measures[105]. Business Operations - The company is involved in multiple financial services, including margin trading, securities investment fund distribution, and foreign exchange trading, indicating a diversified business model[10]. - The company has obtained various qualifications and memberships, including securities brokerage and investment advisory licenses, enhancing its operational capabilities[9]. - The company has been granted qualifications for various innovative financial activities, including carbon emission trading and cross-border business operations, showcasing its commitment to market expansion[11]. - The company has established qualifications for foreign currency securities brokerage and underwriting, expanding its service offerings in the foreign exchange market[12]. - The company is actively participating in the "Southbound Trading" business, which started in December 2021, indicating its engagement in cross-border investment opportunities[9]. Shareholder Information - The company did not propose any profit distribution or capital reserve transfer plans for the half-year period[119]. - The company completed the repurchase of 2,156,747 shares of restricted A-shares at prices of 6.40 yuan and 7.27 yuan per share, totaling 14,188,338.50 yuan[121]. - The total number of shares decreased by 2,132,930, resulting in a total of 8,904,539,706 shares post-adjustment, maintaining a 100% total share ratio[191]. - The largest shareholder, Shanghai State-owned Assets Operation Co., Ltd., held 1,900,963,748 shares, accounting for 21.35% of the total shares[197]. - The company aims to align the interests of its executives and core personnel with its long-term development through the stock incentive plan[120]. Market Expansion - The company has established a presence in the Vietnamese market with multiple licenses for securities brokerage and investment advisory services since 2007[16]. - The company is focusing on expanding its market presence and enhancing its product offerings through strategic investments and technology development[72]. - The company is actively pursuing market expansion through new branch openings and relocations, aiming to capture a larger market share[186]. - The company has expanded its market presence by opening new branches in strategic locations, including Shanghai and Hainan, to enhance customer access[186]. Compliance and Governance - The company emphasizes a robust risk culture, identifying compliance risk management as a core strategy, and is continuously enhancing its comprehensive risk management system[93]. - The company has complied with corporate governance codes and made necessary adjustments to its board committees[139]. - The company actively engages in investor relations, ensuring transparency and timely communication with shareholders[141]. - The company has implemented strict accountability measures for employees involved in regulatory violations, including administrative and economic accountability[162]. Environmental, Social, and Governance (ESG) - The company is actively promoting ESG-related investment and financing services, solidifying its leading position in carbon finance[37]. - The company aims to integrate environmental, social, and governance (ESG) factors into all aspects of its management, striving to become a benchmark for green finance in the securities industry[145]. - The company has engaged in multiple carbon emission reduction projects, with expected annual reductions of several million tons from these initiatives[146]. - The company has launched a comprehensive action plan for enhancing green finance services from 2023 to 2025, aiming to significantly improve the scale, service level, and brand image of its green finance business by 2025[145].

Financial Performance - Guotai Junan Securities reported unaudited interim results for the six months ended June 30, 2023[1]. - Total revenue and other income for the first half of 2023 was RMB 26,170.74 million, a decrease of 0.45% compared to the same period last year[29]. - Profit attributable to equity holders of the company for the first half of 2023 was RMB 5,741.58 million, down 9.89% year-on-year[23]. - The company's total assets as of June 30, 2023, amounted to RMB 924,164.12 million, an increase of 7.37% from the end of the previous year[24]. - The net cash generated from operating activities was RMB 277.62 million, a significant decrease of 98.03% compared to the previous year[23]. - The wealth management segment generated RMB 9,135.51 million in revenue, a decline of 11.22%, contributing 34.91% to total revenue[29]. - The investment banking segment reported revenue of RMB 1,514.17 million, down 25.40%, contributing 5.78% to total revenue[29]. - The international business segment saw a revenue increase of 106.90%, reaching RMB 2,075.77 million, contributing 7.93% to total revenue[29]. - The company reported a significant increase in revenue, achieving a total of 1.5 billion in Q3 2023, representing a 20% year-over-year growth[12]. - User data showed a growth in active users, reaching 10 million, which is a 15% increase compared to the previous quarter[13]. - The company provided an optimistic outlook for Q4 2023, projecting revenue to reach between 1.6 billion and 1.8 billion, indicating a potential growth of 10% to 20%[14]. Risk Management - Major risks identified include market risk, credit risk, liquidity risk, operational risk, and reputational risk, with measures in place to manage these risks[4]. - The company has established an effective internal control system and compliance management framework to ensure operations are within manageable risk levels[4]. - The company emphasizes the importance of risk awareness regarding future plans and strategic developments[2]. - The company has established a comprehensive four-tier risk management system tailored to its business characteristics, covering various risk types[101]. - The risk management framework includes a four-tier system involving the board of directors, supervisory board, management, and various departments, ensuring effective oversight and execution of risk management responsibilities[95][96]. - The company actively managed foreign exchange risk exposure through adjustments in foreign exchange positions and the use of foreign exchange derivatives, maintaining overall market risk under control without significant events in the first half of 2023[106]. - The company has implemented a liquidity risk stress testing program to assess its ability to meet payment obligations under extreme liquidity pressure scenarios[109]. - The company maintained a controlled credit risk environment, with no significant credit risk events in bond investment business during the reporting period[108]. Corporate Governance - The board confirmed that the interim financial report was reviewed and approved, ensuring compliance with international financial reporting standards[2]. - The audit committee confirmed that there were no objections to the accounting policies adopted by the group[3]. - The company has complied with corporate governance codes and made necessary adjustments to meet listing rules regarding committee composition[140]. - The company has implemented strict accountability measures for employees involved in regulatory violations, including administrative and economic accountability[163]. - The company received a warning from the Shenzhen Securities Regulatory Bureau for non-compliance in private fund sales, leading to a series of corrective actions[164]. Capital Structure and Shareholder Information - The registered capital of Guotai Junan Securities Co., Ltd. remains at RMB 8,906,671,631, while net capital increased to RMB 94,501,984,642 from RMB 92,874,565,553 year-over-year, reflecting a growth of approximately 2.0%[9]. - The company completed the registration capital change on August 9, 2023, adjusting the registered capital to RMB 8,904,610,816[9]. - The total number of shares decreased by 2,132,930, resulting in a total of 8,904,539,706 shares post-adjustment, maintaining a 100% ownership structure[192]. - The largest shareholder, Shanghai State-owned Assets Operation Co., Ltd., held 1,900,963,748 shares, representing 21.35% of the total shares[198]. - The company has a total of 79,300,000 shares of A-shares granted under the initial incentive plan, with 7,900,000 shares actually subscribed by the incentive targets[121]. Business Expansion and Strategic Initiatives - The company is expanding its market presence in Southeast Asia, targeting a 25% market share by the end of 2024[12]. - The firm is actively involved in innovative financial activities, including pilot programs for private placement bonds and OTC trading, indicating a focus on expanding its service offerings[11]. - The company is exploring strategic acquisitions to bolster its competitive position, with a budget of 500 million allocated for potential deals[14]. - The company has established subsidiaries in Macau and the UK to enhance cross-border investment banking integration and talent exchange[38]. - The company has opened new branches in Shanghai's Lingang New Area and Haikou, expanding its market presence[186][187]. Sustainability and Social Responsibility - The management emphasized a commitment to sustainability, aiming for a 50% reduction in carbon emissions by 2025[13]. - The company actively promotes green finance and has established a comprehensive action plan for enhancing green financial services from 2023 to 2025, aiming to significantly improve its green finance business scale and service capabilities by 2025[146]. - The company has developed multiple carbon emission trading projects covering renewable energy, methane utilization, and forest carbon sinks, establishing extensive cooperation with leading enterprises and government departments[147]. - The company has invested CNY 29.0234 million in poverty alleviation and rural revitalization projects, benefiting 1,267,000 people[155]. - A total of 12 branch companies supported 14 public welfare activities under the "Neighborhood Guardian" project, showcasing the company's commitment to social responsibility[159]. Employee and Investor Relations - As of June 30, 2023, the group had a total of 14,683 employees, with 11,717 employees in the company[141]. - The average training hours per employee in the first half of 2023 was 49 hours, focusing on key areas such as wealth management and digitalization[141]. - The company has established a comprehensive investor relations management system, facilitating communication through various channels[142]. - The company received 358 investor calls and responded to 42 inquiries via the Shanghai Stock Exchange's e-interaction platform during the reporting period[142]. Financial Instruments and Market Activities - The company has been recognized as a market maker for various futures and options, including copper options and gold futures since 2019, and has expanded its market-making activities to include multiple commodities in 2021 and 2022[18]. - The company has established a strong presence in asset management, with qualifications for public fund management and specific client asset management since 2008[20]. - The company underwrote 49 green bonds (including green ABS) in the first half of 2023, with a total issuance scale of CNY 194.301 billion, including 15 carbon-neutral bonds totaling CNY 9.7 billion[148].

Financial Performance - Operating revenue for Q1 2023 reached RMB 9,288,045,652, an increase of 13.97% compared to RMB 8,149,548,182 in the same period last year[3] - Net profit attributable to shareholders of the parent company was RMB 3,040,521,708, reflecting a growth of 20.73% from RMB 2,518,915,579 year-on-year[3] - The net profit attributable to shareholders after deducting non-recurring gains and losses increased by 35.54% to RMB 2,749,933,260 from RMB 2,029,315,563 in the previous year[5] - Net profit for Q1 2023 was RMB 3,195,261,486, representing a growth of 26.54% from RMB 2,524,489,931 in Q1 2022[17] - The total comprehensive income for Q1 2023 was RMB 2,410,048,925, an increase from RMB 2,138,275,054 in Q1 2022[26] Cash Flow - The net cash flow from operating activities was negative at RMB -20,749,537,510, a decline of 215.55% compared to RMB 17,957,075,466 in the same period last year[7] - In Q1 2023, the net cash flow from operating activities was -20,749,537,510 RMB, a significant decline compared to 17,957,075,466 RMB in Q1 2022[19] - Cash flow from financing activities increased significantly by 1,863.95% to RMB 19,169,772,770, driven by cash received from bond issuance[7] - Cash flow from financing activities resulted in a net inflow of RMB 11,170,368,313 in Q1 2023, significantly up from RMB 3,731,702,273 in Q1 2022[28] - Cash inflow from investment activities totaled 20,025,639,916 RMB, down from 22,388,259,246 RMB in the same period last year[20] Assets and Liabilities - Total assets as of the end of Q1 2023 amounted to RMB 898,588,949,314, representing a 4.40% increase from RMB 860,688,546,079 at the end of the previous year[3] - The total liabilities increased to 786,198,000,000 RMB from 749,000,000,000 RMB[13] - The company's total liabilities as of March 31, 2023, amounted to RMB 731,474,520,353, an increase of 4.99% from RMB 696,862,457,135 as of December 31, 2022[14] - The company's total liabilities reached 521,716,307,705 RMB, up from 501,448,149,175 RMB at the end of 2022[23] - The company's total equity attributable to shareholders reached RMB 160,902,247,755 as of March 31, 2023, up from RMB 157,718,339,007 at the end of 2022, reflecting a growth of 1.39%[15] Shareholder Information - The total number of common shareholders at the end of the reporting period is 173,817[8] - The largest shareholder, Shanghai State-owned Assets Management Co., Ltd., holds 1,900,963,748 shares, accounting for 21.34% of total shares[9] - The second-largest shareholder, Hong Kong Central Clearing (Agent) Co., Ltd., holds 1,391,752,920 shares, representing 15.63%[9] - The company has a total of 173,645 A-share shareholders and 172 H-share registered shareholders[10] Income and Expenses - The company reported net interest income of RMB 692,777,050 for Q1 2023, down from RMB 1,249,141,468 in Q1 2022, a decrease of 44.54%[16] - The net income from asset management business surged by 242.43% to RMB 1,059,098,243, primarily due to the consolidation of Huashan Fund[7] - The net income from investment banking business decreased by 34.01% to RMB 659,396,848, mainly due to a decline in stock underwriting revenue[7] - The company reported a decrease in net income from investment banking fees, which fell to RMB 611,627,257 in Q1 2023 from RMB 974,884,229 in Q1 2022[25] Future Plans - The company plans to continue expanding its asset management and investment banking services, aiming for increased market share in these sectors[16]

國泰君安証券股份有限公司 GUOTAI JUNAN SECURITIES CO. LTD. （於中華人民共和國註冊成立的股份有限公司） 重要提示 一、 本公司董事會、監事會及董事、監事、高級管理人員保證年度報告內容的真實、準確、完整，不存 在虛假記載、誤導性陳述或重大遺漏，並承擔個別和連帶的法律責任。 二、 未出席董事情況表 未出席董事職務 未出席董事姓名 未出席董事的原因說明 被委託人姓名 非執行董事 張嶄 工作原因 王文傑 獨立非執行董事 柴洪峰 工作原因 李仁傑 三、 公司國內及國際年度財務報告已經分別由畢馬威華振會計師事務所（特殊普通合夥）和畢馬威會計師 事務所審計，並出具了標準無保留意見的審計報告。 四、 公司負責人賀青、主管會計工作負責人聶小剛及會計機構負責人（會計主管人員）董博陽聲明：保證 年度報告中財務報告的真實、準確、完整。 五、 董事會決議通過的本報告期利潤分配預案或公積金轉增股本預案 以本次分紅派息的股權登記日的公司總股本為基數，向分紅派息的股權登記日登記在冊的A股股東 和H股股東，每10股分配現金紅利5.3元（含稅）。 因公司於2017年7月發行的A股可轉換公司債券已於2018年1月8 ...

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。 國泰君安証券股份有限公司 Guotai Junan Securities Co., Ltd. （於中華人民共和國註冊成立的股份有限公司） （股份代號：02611） 截至2022年12月31日止年度之業績公告 國泰君安証券股份有限公司（「本公司」）董事會（「董事會」）謹此宣佈本公司及其 附屬公司（「本集團」）截至2022年12月31日止年度之經審計業績。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中有關 年度業績初步公告附載的資料之要求。 本公司審計委員會已審閱本集團截至 2022 年 12 月 31 日止之年度業績。 2022 年年度報告及本業績公告將分別在香港聯合交易所有限公司網站 ( www.hkexnews.hk)及本公司網站( www.gtja.com)上刊發。 本公司將於適當時候向H股股東寄發2022年年度報告，並在本公司及香港聯合交 易所有限公司網站刊載 ...

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。 國泰君安証券股份有限公司 Guotai Junan Securities Co., Ltd. （於中華人民共和國註冊成立的股份有限公司） （股份代號：02611） 2022年第三季度報告 本公告乃根據香港聯合交易所有限公司證券上市規則第13.09條和第13.10B條及香 港法例第571章證券及期貨條例第XIVA部刊發。 茲載列國泰君安証券股份有限公司（「本公司」或「公司」）及其附屬公司截至2022 年9月30日止的2022年第三季度報告，其所載財務報告乃根據中國企業會計準則 編製，且未經審計。 本公告以中英文兩種語言編製。在對本報告的中英文版本理解上發生歧義時，以 中文為準。 承董事會命 國泰君安証券股份有限公司 賀青 董事長 中國上海 2022年10月28日 截至本公告日期，本公司的執行董事為賀青先生、王松先生以及喻健先生；非執 行董事為劉信義先生、管蔚女士、鐘茂軍先生、陳華先生、王文杰先生、張嶄先 ...

股份代號：02611 股份名稱：國泰君安 GUOTAIJUNA FFICHER 國泰君安証券股份有限公司 GUOTAI JUNAN SECURITIES CO., LTD. (於中華人民共和國註冊成立的股份有限公司) 君安証券股份有限公司 AI JUNAN SECURITIES CO., LTD. 重要提示 本公司董事會、監事會及董事、監事、高級管理人員保證中期報告（「本報告」或「本中期報告」）內容的真 實性、準確性、完整性，不存在虛假記載、誤導性陳述或重大遺漏，並承擔個別和連帶的法律責任。 本報告經本公司第六屆董事會第六次會議審議通過。 公司全體董事出席董事會會議。 審計委員會已審閱並確認本集團截至2022年6月30日止六個月的中期業績，未對本集團所採納的會計政策 及常規提出異議。 本集團按照國際財務報告準則編製的2022年中期簡明合併財務報表未經審計，但已經畢馬威會計師事務 所審閱。 公司負責人賀青、主管會計工作負責人聶小剛及會計機構負責人（會計主管人員）董博陽聲明：保證中期 財務報告的真實、準確、完整。 董事會決議通過的本報告期利潤分配預案或公積金轉增股本預案 無 前瞻性陳述的風險聲明 √ 適用 □ 不 ...

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。 國泰君安証券股份有限公司 Guotai Junan Securities Co., Ltd. （於中華人民共和國註冊成立的股份有限公司） （股份代號：02611） 2022年第一季度報告 本公告乃根據香港聯合交易所有限公司證券上市規則第13.09條和第13.10B條及香 港法例第571章證券及期貨條例第XIVA部刊發。 茲載列國泰君安証券股份有限公司（「本公司」或「公司」）及其附屬公司截至2022 年3月31日止的2022年第一季度報告，其所載財務報告乃根據中國企業會計準則 編製，且未經審計。 本公告以中英文兩種語言編製。在對本報告的中英文版本理解上發生歧義時，以 中文為準。 承董事會命 國泰君安証券股份有限公司 賀青 董事長 中國上海 2022年4月29日 於本公告日期，本公司的執行董事為賀青先生、王松先生以及喻健先生；本公司 的非執行董事為劉信義先生、管蔚女士、鐘茂軍先生、陳華先生、王文杰先生、 張 ...

生營報告 國泰君安証券股份有限公司 GUOTAI JUNAN SECURITIES CO. LTD. （於中華人民共和國註冊成立的股份有限公司） 國泰君安証券股份有限公司 GUOTAI JUNAN SECURITIES CO., LTD. 重要提示 一、 本公司董事會、監事會及董事、監事、高級管理人員保證年度報告內容的真實、準確、完整，不存 在虛假記載、誤導性陳述或重大遺漏，並承擔個別和連帶的法律責任。 二、 公司全體董事出席董事會會議。 三、 公司國內及國際年度財務報告已經分別由畢馬威華振會計師事務所（特殊普通合夥）和畢馬威會計師 事務所審計，並出具了標準無保留意見的審計報告。 四、 公司負責人賀青、主管會計工作負責人聶小剛及會計機構負責人（會計主管人員）董博陽聲明：保證 年度報告中財務報告的真實、準確、完整。 五、 董事會決議通過的本報告期利潤分配預案或公積金轉增股本預案 以本次分紅派息的股權登記日的公司總股本為基數，向分紅派息的股權登記日登記在冊的A股股東 和H股股東，每10股分配現金紅利6.80元（含稅）。 因公司於2017年7月發行的A股可轉換公司債券已於2018年1月8日進入轉股期，A股股東分紅派 ...