2021 年第一季度报告 公司代码：603093 公司简称：南华期货 南华期货股份有限公司 2021 年第一季度报告 1 / 19 2021 年第一季度报告 一、 二、 11Í 四、 目录 | --- | |----------------| | | | 重要提示 . | | 公司基本情况 . | | 重要事项 . | | 附录 . | 2 / 19 2021 年第一季度报告 单位：元 币种：人民币 一、 重要提示 1.1 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或者重大遗漏，并承担个别和连带的法律责任。 1.2 公司全体董事出席董事会审议季度报告。 1.3 公司负责人罗旭峰、主管会计工作负责人王力及会计机构负责人（会计主管人员）夏海波保 证季度报告中财务报表的真实、准确、完整。 1.4 本公司第一季度报告未经审计。 二、 公司基本情况 2.1 主要财务数据 | --- | --- | --- | --- | |------------------------------------------------|----------------- ...

Financial Performance - The company achieved a net profit attributable to shareholders of RMB 94,173,413.09 for the year 2020[6]. - The company's operating revenue for 2020 was CNY 9,915,230,244.26, representing a 3.96% increase from CNY 9,537,526,165.45 in 2019[67]. - The net profit attributable to shareholders for 2020 was CNY 94,173,413.09, an increase of 18.47% compared to CNY 79,493,205.66 in 2019[67]. - The net cash flow from operating activities reached CNY 4,983,031,137.37, a significant increase of 1,325.06% from CNY 349,671,860.91 in 2019[67]. - Total assets at the end of 2020 were CNY 22,313,912,410.32, up 58.81% from CNY 14,050,296,817.62 at the end of 2019[67]. - The total liabilities increased by 70.87% to CNY 19,838,035,233.46 from CNY 11,609,722,976.82 in 2019[67]. - The basic earnings per share for 2020 was CNY 0.1624, an increase of 8.97% from CNY 0.1490 in 2019[68]. - The weighted average return on equity for 2020 was 3.83%, up 0.20 percentage points from 3.63% in 2019[68]. - The company's net profit for the parent company was 1.03 billion yuan, reflecting a year-on-year increase of 78.10%[90]. - The company's operating income for 2020 was 9.91 billion RMB, up 3.96% compared to the previous year[124]. Profit Distribution and Capital Management - The company decided not to distribute profits or increase capital reserves for the year 2020, opting to use undistributed profits to strengthen capital[6]. - The company implemented a cash dividend policy, ensuring that cash distributions are no less than 10% of the distributable profits for the year[182]. - For 2020, the company reported a net profit of 94,173,413.09 RMB but did not propose any cash dividend distribution due to ongoing non-public issuance of A-shares[184]. - The company plans to use undistributed profits to strengthen its capital base following the completion of the A-share issuance[187]. - In 2019, the company distributed cash dividends of 0.48 RMB per 10 shares, totaling 27,840,000 RMB, which accounted for 35.02% of the net profit attributable to shareholders[183]. Risk Management - The company faces significant risks related to macroeconomic conditions and regulatory changes in the futures industry[10]. - The company emphasizes the importance of risk management, including market, credit, operational, and information system risks[10]. - The company has established a comprehensive risk management system covering market risk, credit risk, operational risk, information system risk, liquidity risk, and compliance risk[169]. - The company has implemented a complete risk management framework, including various internal control measures and emergency response plans to ensure effective risk management[170]. - The company actively monitors market risk by adjusting margin levels based on comprehensive market risk assessments[173]. - The company employs a dual-review system for important positions to minimize operational risk and has established emergency plans to avoid trading system errors[173]. - The company has specific measures in place for managing risks associated with over-the-counter derivatives, including real-time monitoring of hedging positions[177]. Business Operations and Expansion - The company is currently in the process of a non-public issuance of A-shares, which will affect future profit distribution plans[6]. - The company has expanded its international presence, obtaining various licenses for futures trading and investment management in Hong Kong and the United States[34]. - The company has established six subsidiaries and 32 business departments, all licensed for securities and futures operations by the CSRC[21]. - The company has completed its international layout in major cities including Hong Kong, the USA, Singapore, and London, enabling 24-hour trading across three major time zones[92]. - The company is expanding its business model to include innovative services such as fund sales, investment consulting, and risk management, enhancing its operational diversity[151]. - The company plans to strengthen its brokerage services, with 32 branches and 6 subsidiaries across major cities, aiming to improve service capabilities and client engagement[160]. Market Trends and Performance - The futures market in China has seen steady growth, with an increase in market participants and a significant rise in trading volume in 2020[87]. - In 2020, the total trading volume of the national futures market reached 6.018 billion contracts, with a total transaction value of 43.572 trillion yuan, representing year-on-year growth of 53.82% and 50.61% respectively[90]. - The company's brokerage income for the year was 20.205 billion yuan, an increase of 48.69% year-on-year, while the unaudited net profit was 8.603 billion yuan, up 42.20% year-on-year[90]. - The company launched 12 new products in 2020, bringing the total number of futures and options products to 90, including 7 internationalized products[88]. - The company’s iron ore futures have attracted participation from approximately 270 overseas clients from 21 countries and regions, making it the largest global trading volume for iron ore derivatives[88]. Compliance and Regulatory Framework - The company has maintained a strong compliance and risk management framework, achieving an A-class AA rating from the China Securities Regulatory Commission from 2017 to 2020[95]. - The company has a dedicated compliance and risk management department to oversee adherence to anti-money laundering obligations and other regulatory requirements[170]. - The company's profit distribution policy is transparent and compliant with regulatory requirements, ensuring clarity in decision-making processes[182].

2020 年第三季度报告 公司代码：603093 公司简称：南华期货 南华期货股份有限公司 2020 年第三季度报告 1 / 21 2020 年第三季度报告 目录 一、 | --- | --- | |-------|---------------| | | | | | 重要提示 | | | 公司基本情况. | | | 重要事项 | | | 附录 | 1 Í 三、 四、 2 / 21 2020 年第三季度报告 单位：元 币种：人民币 一、 重要提示 1.1 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或者重大遗漏，并承担个别和连带的法律责任。 1.2 公司全体董事出席董事会审议季度报告。 1.3 公司负责人罗旭峰、主管会计工作负责人王力及会计机构负责人（会计主管人员）夏海波保 证季度报告中财务报表的真实、准确、完整。 1.4 本公司第三季度报告未经审计。 二、 公司基本情况 2.1 主要财务数据 | --- | --- | --- | --- | |----------------------------------------------|--- ...

公司代码：603093 公司简称：南华期货 2020 年半年度报告 南华期货股份有限公司 2020 年半年度报告 1 / 164 2020 年半年度报告 重要提示 一、 本公司董事会、监事会及董事、监事、高级管理人员保证半年度报告内容的真实、准确、完 整，不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 二、 公司全体董事出席董事会会议。 三、 本半年度报告未经审计。 四、 公司负责人罗旭峰、主管会计工作负责人王力及会计机构负责人（会计主管人员）夏海波声 明：保证半年度报告中财务报告的真实、准确、完整。 五、 经董事会审议的报告期利润分配预案或公积金转增股本预案 本公司2020年上半年度无利润分配或公积金转增股本方案。 六、 前瞻性陈述的风险声明 √适用 □不适用 本报告中所涉及的未来规划、发展战略、经营计划等前瞻性描述，不构成公司对投资者的实 际承诺，敬请投资者注意风险。 七、 是否存在被控股股东及其关联方非经营性占用资金情况 否 八、 是否存在违反规定决策程序对外提供担保的情况？ 否 九、 重大风险提示 公司业务与国内外宏观经济环境、资本市场走势高度相关，资本市场的剧烈波动及期货行业 的 ...

证券代码：603093 证券简称：南华期货 公告编号：2020-025 南华期货股份有限公司关于参加 浙江辖区上市公司投资者网上 集体接待日活动的公告 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。 为进一步加强与投资者的沟通交流，南华期货股份有限公司（以下简称"公 司"）将参加由浙江证监局指导、浙江上市公司协会与深圳市全景网络有限公司 共同举办的"凝心聚力 共克时艰"辖区上市公司投资者网上集体接待日活动（以 下简称"本次活动"），现将有关事项公告如下： 本次活动将通过深圳市全景网络有限公司提供的网上平台，采取网络远程方 式举行。投资者可登录"投资者关系互动平台"网站(http://rs.p5w.net）参与 本次投资者集体接待日活动，活动时间为 2020 年 5 月 15 日下午 15:00 至 17:00。 届时公司董事长罗旭峰先生、副总经理兼财务总监王正浩先生、董事会秘书 钟益强先生将通过网络在线形式与投资者就公司治理、发展战略、经营情况等投 资者关注的问题进行沟通交流（如有特殊情况，参会人员会有所调整）。 欢迎广 ...

2020 年第一季度报告 公司代码：603093 公司简称：南华期货 南华期货股份有限公司 2020 年第一季度报告 1 / 20 2020 年第一季度报告 一、 二、 11Í 四、 | --- | |----------------| | 目录 | | 重要提示 . | | 公司基本情况 . | | 重要事项 . | | 附录 . | 2 / 20 2020 年第一季度报告 单位：元 币种：人民币 一、 重要提示 1.1 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或者重大遗漏，并承担个别和连带的法律责任。 1.2 公司全体董事出席董事会审议季度报告。 1.3 公司负责人罗旭峰、主管会计工作负责人王正浩及会计机构负责人（会计主管人员）夏海波 保证季度报告中财务报表的真实、准确、完整。 1.4 本公司第一季度报告未经审计。 二、 公司基本情况 2.1 主要财务数据 | --- | --- | --- | --- | --- | |-------------------------------------------------|--------- ...

Financial Performance - The company's operating income for 2018 was CNY 4,587,419,310.87, representing a 107.91% increase compared to CNY 2,039,428,135.45 in 2017[64]. - The net profit attributable to shareholders for 2019 was CNY 79,493,205.66, a decrease of 35.84% from CNY 123,888,848.02 in 2018[66]. - The total assets at the end of 2019 were CNY 14,050,296,817.62, reflecting a 24.18% increase from CNY 11,314,096,133.80 at the end of 2018[66]. - The company's net cash flow from operating activities in 2019 was CNY 349,671,860.91, compared to a negative cash flow of CNY -1,540,671,193.08 in 2018[66]. - The basic earnings per share for 2019 was CNY 0.1490, down 38.66% from CNY 0.2429 in 2018[66]. - The company's total liabilities at the end of 2019 were CNY 11,609,722,976.82, an increase of 25.53% from CNY 9,248,923,156.95 in 2018[66]. - The total revenue for Q2 2019 was CNY 2,203,272,662.76, with a net profit of CNY 24,422,006.64 attributable to shareholders[70]. - The company's operating income for 2019 was CNY 9.54 billion, reflecting a significant increase of 107.91% compared to the previous year[116]. - The net profit attributable to shareholders for 2019 was CNY 0.79 billion, a decrease of 35.64% year-on-year[115]. - The average daily equity of clients in the futures brokerage business was CNY 7.59 billion, up 6.34% year-on-year, with transaction volume increasing by 29.06% to 9,546.81 million contracts[118]. Capital Structure - The registered capital increased from 510,000,000 RMB to 580,000,000 RMB during the reporting period[19]. - The company completed its initial public offering on August 30, 2019, raising a net amount of RMB 282.31 million by issuing 70 million shares[50]. - The registered capital of the company increased to RMB 580 million following the IPO[50]. - The company's registered capital was raised from RMB 28.56 million to RMB 45 million in February 2011[49]. - The company's registered capital was increased to RMB 11 million in December 2002[47]. - The company has been involved in multiple capital increases since its establishment, with the most recent increase occurring in December 2012[50]. Business Operations and Expansion - The company holds a comprehensive range of licenses for futures brokerage, financial futures brokerage, investment consulting, asset management, and fund distribution, ensuring compliance with regulatory requirements[20]. - The company has expanded its business scope to include stock options trading, having been approved as a participant in the Shanghai Stock Exchange stock options market[21]. - The company has established a presence in both the Shanghai and Shenzhen stock exchanges, enhancing its market reach and operational capabilities[21]. - The company has expanded its business scope to include food sales and grain acquisition licenses in various regions[26]. - The company is actively pursuing market expansion through strategic partnerships and regulatory compliance in both domestic and international markets[29]. - The company has expanded its international business presence, obtaining FCA approval for NANHUA UK and becoming a second-class member of LME, covering major international financial hubs[89]. - The company plans to expand its overseas financial services, including futures brokerage and asset management, to enhance its market presence[84]. Risk Management - The company emphasizes the importance of risk management in its operations, addressing market, credit, operational, and information system risks[8]. - The company is subject to significant risks related to macroeconomic conditions and capital market fluctuations, which could impact its operational performance[8]. - The company has established a comprehensive risk management system covering various risks, including market, credit, operational, and information system risks[174]. - Specific risk management measures include adjusting margin levels based on market assessments and monitoring clients' margin risks in real-time[179]. - The company has implemented strict operational procedures and dual-review systems to mitigate operational risks and enhance employee training[179]. - Information system risks are addressed by adhering to industry standards and maintaining multiple data centers to ensure system reliability and disaster recovery[179]. Regulatory Compliance - The company operates under strict market access regulations, with all subsidiaries holding the necessary licenses issued by regulatory authorities[20]. - The company has received an A-class AA rating from the China Securities Regulatory Commission in 2019, indicating strong compliance and risk management capabilities[92]. - The company has developed a robust compliance framework to enhance employee awareness and prevent legal violations[176]. Shareholder Returns - The company plans to distribute a cash dividend of 0.48 RMB per 10 shares, totaling 27,840,000 RMB based on a total share capital of 580,000,000 shares for the 2019 fiscal year[6]. - In 2019, the company distributed cash dividends amounting to 27.84 million yuan, representing 35.02% of the net profit attributable to ordinary shareholders in the consolidated financial statements[188]. - The company reported a commitment to ensure that the interests of shareholders are not harmed, with provisions for compensation in case of violations by Hengdian Holdings[194]. Market Trends - The overall trading volume and turnover in the futures market increased in 2019 compared to 2018, indicating a positive market trend[84]. - In 2019, the total trading volume of the national futures market reached 3,962,077,706 contracts, with a total transaction value of 2,906,085.43 billion yuan, representing year-on-year growth of 30.81% and 37.85% respectively[88]. - From January to November 2019, the total commission income of national futures companies was 121.17 billion yuan, a slight increase of 0.25% compared to the same period in 2018; the unaudited net profit was 49.89 billion yuan, a year-on-year decrease of 12.78%[88]. Strategic Goals - The company's strategic goal is to become a financial service company centered on derivative business[146]. - The company aims to enhance its business scale and profitability while transitioning to a financial service company focused on derivatives[164]. - In 2020, the company plans to leverage its brand and reputation to expand its market presence and enhance its risk management services[165]. - The company will focus on expanding its basis trading and OTC derivatives business to better serve the real economy[166]. - The company intends to integrate its overseas financial services to provide comprehensive risk management for investors going abroad[170]. - The company plans to strengthen its collaboration with leading enterprises in the industry to expand its basis trading business[166].

Financial Performance - The company's operating income for 2018 was CNY 4,587,419,310.87, representing a 107.91% increase compared to CNY 2,039,428,135.45 in 2017[64]. - The net profit attributable to shareholders for 2019 was CNY 79,493,205.66, a decrease of 35.84% from CNY 123,888,848.02 in 2018[66]. - The total assets at the end of 2019 were CNY 14,050,296,817.62, reflecting a 24.18% increase from CNY 11,314,096,133.80 at the end of 2018[66]. - The company's net cash flow from operating activities in 2019 was CNY 349,671,860.91, compared to a negative cash flow of CNY -1,540,671,193.08 in 2018[66]. - The basic earnings per share for 2019 was CNY 0.1490, down 38.66% from CNY 0.2429 in 2018[66]. - The company's total equity attributable to shareholders at the end of 2019 was CNY 2,427,324,818.64, an 18.29% increase from CNY 2,052,072,009.88 at the end of 2018[66]. - The company's quarterly revenue for Q1 2019 was CNY 1,623,408,089.96, while Q4 2019 revenue was CNY 1,897,866,477.21[70]. - The company's net profit attributable to shareholders in Q4 2019 was CNY -1,557,273.36, indicating a loss compared to profits in the previous quarters[70]. - The overall revenue for the company was ¥9,537,526,165.45, with a year-over-year increase of 107.91%[118]. - The net profit attributable to shareholders was CNY 0.7949 billion, a decrease of 35.64% year-on-year[110]. Capital Structure - The registered capital increased from 510,000,000 RMB to 580,000,000 RMB during the reporting period[19]. - The company completed its IPO on August 30, 2019, raising a net amount of RMB 282.31 million by issuing 70 million shares[50]. - The registered capital of the company increased from RMB 45 million to RMB 51 million following capital increases in December 2012[50]. - The company’s registered capital was raised from RMB 11 million to RMB 16 million in April 2009, following a capital increase approval by the China Securities Regulatory Commission[49]. - The company has been involved in multiple capital increases, with the most recent increase in registered capital occurring in 2019[50]. Business Operations - The company’s main business includes futures brokerage and investment management, with a focus on capital operations[53]. - The company has a total of 6 subsidiaries and 34 business departments, all holding the necessary licenses for securities and futures operations[20]. - The company has expanded its business scope to include stock options trading as of January 27, 2015, and became a trading participant on the Shenzhen Stock Exchange on December 6, 2019[21]. - The company has established a strong presence in both domestic and international markets through strategic licensing and business expansions[34]. - The company has expanded its business scope to include food sales and grain acquisition, with relevant licenses obtained in 2017 and 2019[26][30]. - The company’s operations include asset management and fund sales, reflecting a diversified business model[56]. Risk Management - The company emphasizes the importance of risk management, including market risk, credit risk, operational risk, and information system risk[8]. - The company has established a comprehensive risk management system covering market, credit, operational, and information system risks to mitigate potential threats[159]. - The company has implemented a robust risk control and compliance management system, enhancing its ability to prevent and mitigate financial risks[88]. - The company has launched new risk management systems to support its basis trade business, integrating futures and spot risk management[92]. - The company faces significant risks related to macroeconomic conditions and capital market fluctuations, which could impact its operational performance[8]. Regulatory Compliance - The company holds various licenses for futures brokerage, financial futures brokerage, investment consulting, asset management, and fund distribution, ensuring compliance with regulatory requirements[20]. - In 2019, the company received an A-class AA rating from the China Securities Regulatory Commission, indicating strong compliance and risk management capabilities[88]. - The company has a strict compliance and internal control system to prevent money laundering risks, with dedicated personnel for monitoring compliance[164]. - The company has committed to compliance and risk management, with a robust framework that includes various policies and procedures to ensure effective risk control[159]. Market Trends - The company anticipates intensified competition in the futures market due to the increase in the number of futures companies, which reached 149 by the end of 2019[144]. - In 2019, the total trading volume in the national futures market reached 3,962,077,706 contracts, with a total trading value of 2,906,085.43 billion RMB, representing year-on-year growth of 30.81% and 37.85% respectively[84]. - The company plans to expand its international presence in the futures market, with the removal of foreign ownership limits for futures companies starting January 1, 2020[84]. Technological Development - The company invested in a private cloud platform in 2019 to support big data and technology development, enhancing its technological capabilities[92]. - The company developed the NHTD2 high-speed trading system to improve services for high-frequency trading clients[92]. Shareholder Information - The company reported a cash dividend of 27,840,000 RMB for 2019, with a net profit attributable to ordinary shareholders of 79,493,205.66 RMB, representing 35.02% of the net profit[169]. - The company has committed to not transferring or managing its shares in Nanhua Futures for 36 months post-listing, ensuring stability in shareholding[182]. - If the stock price falls below the issue price for 20 consecutive trading days within 6 months post-listing, the lock-up period for shares will automatically extend by 6 months[181].

2019 年年度报告 公司代码：603093 公司简称：南华期货 南华期货股份有限公司 2019 年年度报告 1 / 199 2019 年年度报告 重要提示 一、 公司董事会、监事会及董事、监事、高级管理人员保证年度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 二、 公司全体董事出席董事会会议。 三、 天健会计师事务所（特殊普通合伙）为公司出具了标准无保留意见的审计报告。 四、 公司负责人罗旭峰、主管会计工作负责人王正浩及会计机构负责人（会计主管人员）夏海波 声明：保证年度报告中财务报告的真实、准确、完整。 五、 经董事会审议的报告期利润分配预案或公积金转增股本预案 公司2019年度利润分配预案为：2019年度利润分配采用现金分红方式，以总股本580,000,000 股为基数，向全体股东每10股派发现金红利0.48元（含税），共派发现金红利27,840,000元。在实 施权益分派的股权登记日前公司总股本发生变动的，拟维持分配总额不变，相应调整每股分配比 例，并将另行公告具体调整情况。 上述预案已经公司第三届董事会第十一次会议审议通过，将提交2019年度股东大 ...

证券代码：603093 证券简称：南华期货 公告编号：2019-013 南华期货股份有限公司关于参加 浙江辖区上市公司投资者网上 集体接待日活动的公告 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。 为进一步加强与投资者的沟通交流，南华期货股份有限公司（以下简称"公 司"）将参加由浙江上市公司协会、深圳市全景网络有限公司共同举办的"浙江 辖区上市公司投资者网上集体接待日"活动（以下简称"本次活动"），现将有 关事项公告如下： 本次活动将通过深圳市全景网络有限公司提供的网上平台，采取网络远程方 式举行。投资者可登录"投资者关系互动平台"网站(http://rs.p5w.net）参与 本次投资者集体接待日活动，活动时间为 2019 年 11 月 5 日（星期二）下午 15:30 至 17:00。届时公司将通过网络在线交流形式与投资者就公司治理、发展战略、 经营状况、可持续发展等投资者关心的问题进行沟通。 欢迎广大投资者积极参与。 特此公告。 南华期货股份有限公司董事会 2019 年 10 月 28 日 ...