中信证券股份有限公司年度报告.pdf

（证券代码：600030） 二零一三年半年度报告 二零一三年八月 中信证券股份有限公司2013年半年度报告 重要提示 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。 本半年度报告经本公司第五届董事会第十六次会议、第五届监事会第六次会议审议通过。本公司全体 董事、监事出席了会议，未有董事、监事对本半年度报告提出异议。 本公司半年度财务报告未经审计，安永华明会计师事务所 （特殊普通合伙）、安永会计师事务所分别 按照中国企业会计准则和国际财务报告准则出具了审阅意见。 本公司董事长王东明先生、主管财会工作负责人兼财会机构负责人葛小波先生声明：保证本半年度报 告中的财务报告真实、准确、完整。 本公司不存在被关联方非经营性资金占用情况。 本公司不存在违反规定决策程序对外提供担保的情况。 本报告所涉及的未来计划、发展战略等前瞻性描述不构成公司对投资者的实质承诺，敬请投资者注意 投资风险。 1 中信证券股份有限公司2013年半年度报告 目 录 释义 ······················································································3 一、公司基本情况··········································································4 二、财务概要··············································································4 三、管理层讨论与分析······································································6 四、董事会报告···········································································19 五、重要事项·············································································20 六、股份变动及主要股东持股情况 ···························································25 七、董事、监事、高级管理人员和员工情况····················································26 八、公司治理情况··········································································27 九、未经审计中期简要合并财务报表·························································27 十、备查文件目录··········································································27 附录一：信息披露索引······································································28 附件二：报告期内取得的行政许可批复························································31 2 中信证券股份有限公司2013年半年度报告 释义 中信证券、公司、本公司 指 中信证券股份有限公司 本集团 指 中信证券股份有限公司及其子公司 中国证监会 指 中国证券监督管理委员会 深圳证监局 指 中国证券监督管理委员会深圳监管局 上交所 指 上海证券交易所 深交