东方证券(600958.SH)收到2019年半报事后审核问询函 要求结合业务情况逐项分析相关风控指标变动原因等
格隆汇9月12日丨东方证券(600958.SH)公布，公司于2019年9月12日收到上海证券交易所上市公司监管一部下发的《关于对东方证券股份有限公司2019年半年度报告的事后审核问询函》(上证公函【2019】2745号)，具体内容如下：
“依据《公开发行证券的公司信息披露内容与格式准则第3号－半年度报告的内容与格式》、上海证券交易所行业信息披露指引等规则的要求，经对你公司2019年半年度报告进行事后审核，为便于投资者理解，请公司从经营信息、会计政策等方面进一步补充披露下述信息。
1.半年报披露，公司买入返售金融资产期末余额272.79亿元，主要系股票质押式回购业务。本期买入返售资产减值损失4.06亿元，上期发生额仅为0.33亿元，本期同比大幅增长。请补充披露：（1）截至目前股票质押相关业务的开展情况、存续项目期限结构、风险管控等情况；（2）结合被质押标的股票的市值下跌幅度、违约、诉讼、减值测试方法等情况，具体分析相关减值计提的充分性和合理性。
2.半年报披露，子公司上海东证期货有限公司2019年上半年实现营业收入35.66亿元，净亏损0.68亿元。请公司结合东证期货的业务开展情况说明亏损的具体原因，并就相关因素对公司未来业绩的影响充分提示风险。
3.报告期内，公司的投资管理业务营业收入同比减少35.38%，利润率同比下降2.99个百分点。请公司结合市场、同行业可比公司等情况，补充披露投资管理业务收入减少的具体原因。
4.半年报显示，报告期末公司部分风险控制指标有所波动，其中流动性覆盖率从290%下降至197%，资本杠杆率从16.31%下降至14.17%。请公司结合业务情况逐项分析相关风控指标变动原因，及拟采取的应对措施。
针对前述问题，依据《格式准则第3号》、上海证券交易所行业信息披露指引等规定要求，对于公司认为不适用或因特殊原因确实不便说明披露的，应当详细披露无法披露的原因。
请你公司及时披露本问询函，并于2019年9月21日之前披露对本问询函的回复，同时按要求对定期报告作相应修订和披露。”
公司将根据问询函的要求，尽快就上述事项予以回复并履行披露义务。
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