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东北证券(000686)公告正文

东北证券:2019年第一季度报告全文

公告日期 2019-04-25
股票简称:东北证券 股票代码:000686
                                                                             2019 年第一季度报告全文




                            东北证券股份有限公司
                         2019 年第一季度报告全文

       §1 重要提示
      1.1 本公司董事会、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 本报告经公司第九届董事会第十次会议审议通过,公司 13 名董事中,实际出席会
  议的董事 13 名。
      1.3 公司第一季度财务报告未经会计师事务所审计。
      1.4 公司董事长李福春先生、主管会计工作负责人王天文先生及会计机构负责人刘雪山
  先生声明:保证季度报告中财务报表的真实、准确、完整。

       §2 公司基本情况
      2.1 主要会计数据和财务指标
      公司是否需追溯调整或重述以前年度会计数据
       □ 是 √ 否

                                       本报告期               上年同期           本报告期比上年同期增减

营业收入(元)                      2,275,771,875.87          945,476,451.54                      140.70%

归属于上市公司股东的净利润(元)       567,906,600.98         132,905,501.51                      327.30%

归属于上市公司股东的扣除非经常性
                                       566,509,601.75         125,912,383.83                      349.92%
损益的净利润(元)
经营活动产生的现金流量净额(元)    5,432,534,138.01          534,685,880.66                      916.02%

基本每股收益(元/股)                               0.24                  0.06                    300.00%

稀释每股收益(元/股)                               0.24                  0.06                    300.00%

加权平均净资产收益率                              3.75%                  0.85%                      2.90%

                                       本报告期末             上年度末           本报告期末比上年度末增减

总资产(元)                       72,473,147,207.04       65,022,874,039.77                       11.46%

归属于上市公司股东的净资产(元)   15,434,700,048.12       15,035,425,060.52                        2.66%

      截止披露前一交易日的公司总股本:

截止披露前一交易日的公司总股本(股)                                                       2,340,452,915

用最新股本计算的全面摊薄每股收益(元/股)                                                         0.2426




                                                    1
                                                                                       2019 年第一季度报告全文

             非经常性损益项目和金额
              √ 适用 □ 不适用

                                                                                              单位:(人民币)元
                                   项目                                      年初至报告期期末金额            说明
      非流动资产处置损益                                                                  -321,600.49
      越权审批,或无正式批准文件,或偶发性的税收返还、减免                                            -
      计入当期损益的政府补助,但与公司正常经营业务密切相关,符合国
                                                                                             508,789.81
      家政策规定、按照一定标准定额或定量持续享受的政府补助除外
      除上述各项之外的其他营业外收入和支出                                               1,672,342.57
                                  小 计                                                  1,859,531.89
      减:非经常性损益的所得税影响数                                                         464,882.97
      扣除所得税影响后的非经常性损益                                                     1,394,648.92
      其中:归属于上市公司股东的非经常性损益                                             1,396,999.23
             归属于少数股东的非经常性损益                                                     -2,350.31

             对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义
         界定的非经常性损益项目,以及把《公开发行证券的公司信息披露解释性公告第 1 号——非
         经常性损益》中列举的非经常性损益项目界定为经常性损益的项目,应说明原因
             √ 适用 □ 不适用

                项目                涉及金额(元)                                    原因
      交易性金融资产、衍生工具                            由于证券投资业务为本公司的主营业务,因此处置交易
      及可供出售金融资产的投资              86,185,209.71 性金融资产及衍生工具和可供出售金融资产取得的投资
      收益                                                收益不界定为非经常性损益。
                                                         由于证券投资业务为本公司的主营业务,因此持有交易
      交易性金融资产及衍生工具
                                          970,058,046.41 性金融资产及衍生工具产生的公允价值变动收益不界定
      公允价值变动损益
                                                         为非经常性损益。

             2.2 报告期末股东总数及前十名股东持股情况表
             2.2.1 普通股股东总数和表决权恢复的优先股股东数量及前 10 名股东持股情况表
                                                                                                          单位:股
                                                                     报告期末表决权恢复的优先
报告期末普通股股东总数                                  105,950                                                             0
                                                                     股股东总数(如有)
                                                前 10 名股东持股情况

                                                       持股比例                      持有有限售条     质押或冻结情况
              股东名称                      股东性质                    持股数量
                                                         (%)                       件的股份数量 股份状态      数量
吉林亚泰(集团)股份有限公司             境内一般法人          30.81     721,168,744                0   质押      713,163,954
吉林省信托有限责任公司                 国有法人              11.80     276,073,582                0
中国证券金融股份有限公司               境内一般法人           2.51      58,754,349                0

中央汇金资产管理有限责任公司           国有法人               1.75      40,985,760                0

中信信托有限责任公司-中信信托成泉汇 基金、理财产品
                                                              1.50      35,079,260                0
涌八期金融投资集合资金信托计划       等

吉林省爱都商贸有限公司                 境内一般法人           1.32      30,868,000                0   质押          30,860,000

香港中央结算有限公司                   境外法人               1.20      28,199,087                0


                                                         2
                                                                                       2019 年第一季度报告全文

吉林省正茂物流仓储经营有限公司            境内一般法人           1.12    26,172,667                0     质押      26,170,000

长春市正茂家佳物流有限公司                境内一般法人           1.05    24,530,556                0     质押      24,530,000

吉林省申广商贸有限公司                    境内一般法人           0.95    22,350,264                0     质押      22,344,000
                                               前 10 名无限售条件股东持股情况
                                                                                                       股份种类
                股东名称                            持有无限售条件股份数量
                                                                                           股份种类                 数量
吉林亚泰(集团)股份有限公司                               721,168,744                     人民币普通股             721,168,744
吉林省信托有限责任公司                                   276,073,582                     人民币普通股             276,073,582
中国证券金融股份有限公司                                  58,754,349                     人民币普通股              58,754,349

中央汇金资产管理有限责任公司                              40,985,760                     人民币普通股              40,985,760

中信信托有限责任公司-中信信托成泉汇
                                                          35,079,260                     人民币普通股              35,079,260
涌八期金融投资集合资金信托计划

吉林省爱都商贸有限公司                                    30,868,000                     人民币普通股              30,868,000

香港中央结算有限公司                                      28,199,087                     人民币普通股              28,199,087

吉林省正茂物流仓储经营有限公司                            26,172,667                     人民币普通股              26,172,667

长春市正茂家佳物流有限公司                                24,530,556                     人民币普通股              24,530,556

吉林省申广商贸有限公司                                    22,350,264                     人民币普通股              22,350,264
                                          报告期内,未发现上述股东之间存在关联关系或存在《上市公司收购管理办法》规
上述股东关联关系或一致行动的说明
                                          定的一致行动人的情形。
前 10 名普通股股东参与融资融券业务情况
                                       无
说明(如有)

               公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回
         交易
                □ 是 √ 否

               2.2.2 公司优先股股东总数及前 10 名优先股股东持股情况表
                □ 适用 √ 不适用

                §3 重要事项
               3.1 报告期主要财务数据、财务指标发生变动的情况及原因
                √ 适用 □ 不适用

                                                                                             单位:(人民币)元
                                                                        增减变动
       项目名称                期末余额              年初余额                                      主要原因
                                                                        百分比
  货币资金               15,878,122,160.49      11,569,794,622.18          37.24%   客户资金增长
  结算备付金                1,899,081,682.08      1,367,046,169.41         38.92%   客户保证金增长
  应收款项                    170,863,283.80        398,275,937.70        -57.10%   在途清算资金减少
  代理买卖证券款           16,089,691,516.69     10,556,653,817.09         52.41%   客户资金增长
  应付职工薪酬                897,022,021.19        679,227,555.34         32.07%   应付职工工资增加
  应付款项                    166,464,711.14        745,584,508.57        -77.67%   在途清算资金减少
                                                                                    执行新金融工具准则,其他综合收益
  其他综合收益                -50,327,483.48       -722,323,371.55         93.03%
                                                                                    金额调整


                                                             3
                                                                                                    2019 年第一季度报告全文

                                                                                     增减变动
              项目名称               本期金额                上期金额                                             主要原因
                                                                                     百分比
                                                                                                 信用业务利息收入减少,债券回购业
         利息净收入                 -44,028,411.14          34,393,432.94             -228.01%
                                                                                                 务利息支出增加
         资产管理业务手续
                                     24,215,584.87          40,163,575.05              -39.71%   资管业务规模下降,管理费收入减少
         费净收入
         公允价值变动收益
                                    970,058,046.41          92,100,915.81              953.26%   交易性金融资产公允价值上升
         (损失以“-”列示)
         其他业务收入               865,686,475.12          310,461,562.94             178.84%   期货现货交易业务收入增长
         业务及管理费               666,267,362.07          447,976,068.66              48.73%   职工薪酬费用增长
         其他业务成本               874,294,254.78          300,029,799.68             191.40%   期货现货交易业务支出增长
         利润总额                   764,626,447.74          173,035,841.19             341.89%   收入大幅增长,公司盈利增加
         所得税费用                 181,997,865.75          33,496,599.49              443.33%   盈利增加,所得税费用增长

                        3.2 重要事项进展情况及其影响和解决方案的分析说明
                        3.2.1 股份回购的实施进展情况
                        □ 适用 √ 不适用

                        3.2.2 采用集中竞价方式减持回购股份的实施进展情况
                        □ 适用 √ 不适用

                        3.2.3 其他重要事项
                        (1)营业网点迁址情况
序号     原营业网点名称          迁址后营业网点名称                         原地址                            新地址                   迁址时间
                                                                                                  天津市河西区平山道森淼公寓
 1         天津分公司               天津分公司         天津市南开区西市大街 83 号                                                  2019 年 1 月 25 日
                                                                                                  底商 306
                                                                                                  上海市浦东新区北艾路 1766 号
 2     上海洪山路证券营业部     上海北艾路证券营业部   上海市浦东新区洪山路 175 号                                                 2019 年 1 月 28 日
                                                                                                  1001、1002 室
                                                       广 州 市 越 秀 区 东 风 东 路 745 号       广州市天河区黄埔大道西 122 号
 3         广东分公司               广东分公司                                                                                     2019 年 2 月 18 日
                                                       2101-2103A、2105 单元                      之二 1501、1502、1503 单元
                                                                                                  青岛市市南区闽江路 2 号 1 单元
 4     青岛山东路证券营业部     青岛山东路证券营业部   青岛市市南区闽江路 2 号 1 单元 901 户                                       2019 年 3 月 5 日
                                                                                                  100 户
                                                       中国(上海)自由贸易试验区陆家嘴东路       中国(上海)自由贸易试验区杨
 5       上海浦东分公司           上海浦东分公司                                                                                   2019 年 3 月 7 日
                                                       166 号 2907 室                             高南路 729 号 17 楼 01 单元
                                                                                                  深圳市福田区莲花街道福中社
                                                       深圳市福田区华强北路长盛大厦 924-926
 6         深圳分公司               深圳分公司                                                    区金田路 4028 号荣超经贸中心     2019 年 3 月 11 日
                                                       房
                                                                                                  B2308、2309

                        (2)证券公司短期融资券发行情况
                        根据公司 2017 年 10 月 17 日召开的 2017 年第二次临时股东大会授权,以及《中国人民
                银行关于核定东北证券股份有限公司短期融资券最高待偿还余额的通知(银发[2017]231
                号)》的批复,公司于 2019 年 1 月 15 日完成 2019 年第一期短期融资券的发行工作,发行规
                模 15 亿元,期限 91 天,票面利率 3.12%;于 2019 年 3 月 5 日完成 2019 年第二期短期融资
                券的发行工作,发行规模 15 亿元,期限 91 天,票面利率 2.85%。
                        (3)监事变动情况
                        ① 2019 年 3 月 1 日,公司监事会收到郭燕女士的书面辞职报告,因已达法定退休年龄,
                郭燕女士辞去公司第九届监事会监事职务。辞任监事职务后,郭燕女士不在公司担任其他职

                                                                        4
                                                                            2019 年第一季度报告全文

务。
     ② 2019 年 3 月 21 日,公司召开 2019 年第一次临时股东大会,选举崔强先生为公司第
九届监事会非职工监事,任期自本次股东大会审议通过之日起至公司第九届监事会届满之日
止。
     (4)调整公司向东证融汇提供净资本担保承诺金额情况
     2018 年 12 月 25 日,公司召开第九届董事会 2018 年第六次临时会议审议通过了《关于
调整公司向东证融汇证券资产管理有限公司提供净资本担保承诺金额的议案》,同意公司向
东证融汇提供净资本担保承诺金额调整为不超过 3 亿元人民币(含 3 亿元人民币),调整后
的净资本担保承诺期限自本次董事会审议通过且经上海证监局认可之日起至东证融汇净资
本持续满足监管部门相关要求为止。具体详见公司于 2018 年 12 月 26 日在巨潮资讯网
(www.cninfo.com.cn)披露的《东北证券股份有限公司关于调整向全资子公司东证融汇证
券资产管理有限公司提供净资本担保承诺金额的公告》(2018-065)。
     2019 年 1 月 14 日,公司收到中国证监会上海监管局下发的《关于东北证券股份有限公
司向东证融汇资产管理有限公司出具净资本担保承诺书的无异议函》(沪证监机构字
[2019]14 号)。根据该函,上海证监局对公司向东证融汇出具净资本担保承诺书事项无异议。
本次调整后的净资本担保承诺期限自 2019 年 1 月 14 日起至东证融汇净资本持续满足监管部
门相关要求为止。
     (5)会计政策变更情况
     2019 年 4 月 9 日,公司召开第九届董事会第九次会议审议通过了《关于会计政策变更
的议案》,根据财政部 2017 年修订发布的《企业会计准则第 22 号-金融工具确认和计量》
等四项准则以及 2018 年发布的关于修订报表格式的通知及其解读文件,公司董事会同意公
司对金融工具会计政策及财务报表列报格式进行调整。具体情况详见公司于 2019 年 4 月 11
日在巨潮资讯网(www.cinfo.com.cn)披露的《东北证券股份有限公司关于会计政策变更的
公告》(2019-025)。
     (6)诉讼事项
     2019年第一季度,公司不存在《深圳证券交易所股票上市规则》中要求披露的涉案金额
超过1,000万元且占公司最近一期经审计净资产绝对值10%以上的重大诉讼仲裁事项;公司新
增 超 过 1,000 万 元 的 诉 讼仲 裁 事 项 具 体 情 况 详 见公 司 于 2019 年 4 月 11 日 在巨 潮 资 讯 网
(www.cinfo.com.cn)披露的《东北证券股份有限公司2018年年度报告》“第五节、重要事
项-十九、其他重大事项的说明(五)期后事项”。
     (7)期后事项
     根据公司 2017 年 10 月 17 日召开的 2017 年第二次临时股东大会授权,以及《中国人民
银行关于核定东北证券股份有限公司短期融资券最高待偿还余额的通知(银发[2017]231
号)》的批复,公司于 2019 年 4 月 15 日完成 2019 年第三期短期融资券的发行工作,发行规


                                                  5
                                                           2019 年第一季度报告全文

模 15 亿元,期限 88 天,票面利率 2.98%。

    3.3 公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内超期未
履行完毕的承诺事项
    □ 适用 √ 不适用

    公司报告期不存在公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报
告期内超期未履行完毕的承诺事项。

    3.4 对 2019 年 1-6 月经营业绩的预计
    预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生大幅度
变动的警示及原因说明
    □ 适用 √ 不适用




                                           6
                                                                                                                                                                                    2019 年第一季度报告全文


                     3.5 证券投资情况
                      √ 适用 □ 不适用
                                                                                                                                                                                          单位:(人民币)元
                                                       会计计量                        本期公允价值       计入权益的累计                                                                                会计核算
证券品种   证券代码     证券简称      最初投资成本                  期初账面价值                                            本期购买金额       本期出售金额        报告期损益         期末账面价值                     资金来源
                                                         模式                            变动损益         公允价值变动                                                                                    科目
                                                       公允价值                                                                                                                                         交易性
  债券      190205     19 国开 05                    -                             -     1,842,701.60                      2,977,077,866.34   2,247,201,403.67         929,026.95      723,842,450.00                  自有资金
                                                         计量                                                                                                                                           金融资产
                                                         公允价值                                                                                                                                       交易性
  债券      136003     15 如意债       304,615,545.31                297,906,900.02       -233,773.22                        320,797,890.53     310,816,895.77       6,730,410.07      306,797,712.00                  自有资金
                                                           计量                                                                                                                                         金融资产

                       18 中 石 油                       公允价值                                                                                                                                       交易性
  债券     101801102                   302,203,360.27                299,685,000.00      3,970,500.00                        304,955,141.10     302,203,360.27      11,676,533.84      301,603,500.00                  自有资金
                       MTN001                              计量                                                                                                                                         金融资产

                                                         公允价值                                                                                                                                       交易性
  债券      135783     16 永开 01                    -                             -     1,447,500.00                        306,529,503.54                   -        630,739.73      299,101,800.00                  自有资金
                                                           计量                                                                                                                                         金融资产

                       19 北京银行                       公允价值                                                                                                                                       交易性
  债券     111912014                                 -                             -     1,406,000.00                      6,124,463,121.37   5,832,174,501.44      16,389,917.09      291,309,600.00                  自有资金
                       CD014                               计量                                                                                                                                         金融资产

                       19 浦发银行                       公允价值                                                                                                                                       交易性
  债券     111909014                                 -                             -       839,566.67                      3,414,136,461.11   3,121,123,345.42      19,922,689.14      291,290,100.00                  自有资金
                       CD014                               计量                                                                                                                                         金融资产

                       19 建设银行                       公允价值                                                                                                                                       交易性
  债券     111905027                                 -                             -                  -                      291,152,121.31                   -      1,010,000.00      291,380,100.00                  自有资金
                       CD027                               计量                                                                                                                                         金融资产

                                                         公允价值                                                                                                                                       交易性
  债券     1780048     17 铁道 04                    -                             -        36,500.00                        265,026,616.44                   -        -14,381.54      255,077,500.00                  自有资金
                                                           计量                                                                                                                                         金融资产
                    华润信托-
                                                         公允价值                                                                                                                                       交易性
信托产品 XT20171108 崇安 3 号集                      -                             -                  -                      250,000,000.00                   -        240,123.57      271,233,587.00                  自有资金
                                                           计量                                                                                                                                         金融资产
                    合信托产品
                                                         公允价值                                                                                                                                       交易性
  债券      143192     17 邮政 03      236,703,116.43                232,428,800.00      2,077,540.00                        239,226,815.08     236,703,116.43       9,820,317.80      233,240,700.00                  自有资金
                                                           计量                                                                                                                                         金融资产
期末持有的其他证券投资               30,856,845,559.12          - 30,433,603,196.48    979,811,613.18      -50,704,626.68 287,418,414,974.11 289,754,159,147.87   1,061,635,304.48 29,169,473,267.73               -              -
合计                                 31,700,367,581.13          - 31,263,623,896.50    991,198,148.23      -50,704,626.68 301,911,780,510.93 301,804,381,770.87   1,128,970,681.13 32,434,350,316.73               -              -

证券投资审批董事会公告披露日期 2019 年 4 月 11 日,详见公司在巨潮资讯网(www.cninfo.com.cn)披露的《东北证券股份有限公司第九届董事会第九次会议决议公告》(2019-020)

证券投资审批股东会公告披露日期
                               无
(如有)




                                                                                                                 7
                                                                 2019 年第一季度报告全文

        3.6 衍生品投资情况
        □ 适用 √ 不适用

        3.7 报告期内接待调研、沟通、采访等活动登记表
        √ 适用 □ 不适用

         接待时间              接待方式   接待对象类型           调研的基本情况索引
                                                         与个人投资者电话沟通,无调研情况披
                                                         露索引。在避免选择性披露的前提下,
2019 年 1 月 2 日-3 月 29 日   电话沟通    个人投资者    与个人投资者针对行业状况、公司日常
                                                         经营情况等进行交流沟通。

        3.8 违规对外担保情况
        □ 适用 √ 不适用

       公司报告期无违规对外担保情况。

        3.9 控股股东及其关联方对上市公司的非经营性占用资金情况
         □ 适用 √ 不适用

       公司报告期不存在控股股东及其关联方对上市公司的非经营性占用资金。




                                           8
                                                                                 2019 年第一季度报告全文

          §4       财务报表

         4.1 财务报表

                                               合并资产负债表

  编制单位:东北证券股份有限公司                                                       单位:(人民币)元

                    资产                             期末余额                          期初余额

资产:

   货币资金                                               15,878,122,160.49                 11,569,794,622.18

     其中:客户资金存款                                   13,347,716,057.01                  8,875,497,513.44

   结算备付金                                              1,899,081,682.08                  1,367,046,169.41

     其中:客户备付金                                      1,403,952,921.68                       806,208,929.85

   贵金属

   拆出资金

   融出资金                                                7,931,858,885.33                  6,978,155,626.96

   衍生金融资产                                                             -                      1,806,295.00

   存出保证金                                              2,162,383,925.98                  2,001,906,444.89

   应收款项                                                     170,863,283.80                    398,275,937.70

   合同资产

   买入返售金融资产                                        6,977,928,578.94                  6,746,993,962.52

   持有待售资产

   金融投资:                                             32,434,350,316.73                 31,263,623,896.50

         以公允价值计量且其变动计入当期
                                                                                            20,044,401,103.55
损益的金融资产
         交易性金融资产                                   32,296,655,180.18

         债权投资

         可供出售金融资产                                                                   11,219,222,792.95

         其他债权投资

         其他权益工具投资                                       137,695,136.55

         持有至到期投资

   长期股权投资                                                 659,411,759.14                    628,339,997.57

   投资性房地产                                                 77,945,453.88                     78,889,464.36

   固定资产                                                     653,067,047.84                    665,222,310.85

   在建工程

   使用权资产

   无形资产                                                     234,622,331.22                    238,979,140.72

   商誉                                                         75,920,803.93                     75,920,803.93

   递延所得税资产                                               469,345,705.92                    655,848,672.76

   其他资产                                                2,848,245,271.76                  2,352,070,694.42

                 资产总计                                 72,473,147,207.04                 65,022,874,039.77

  法定代表人:李福春                      主管会计工作负责人:王天文              会计机构负责人:刘雪山




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                                                                              2019 年第一季度报告全文

                                        合并资产负债表(续)

编制单位:东北证券股份有限公司                                                      单位:(人民币)元

             负债和股东权益                        期末余额                        年初余额
 负债:
    短期借款
    应付短期融资款                                      5,666,566,581.36              4,503,650,000.00
    拆入资金                                            1,300,798,444.44                             -
    交易性金融负债                                        720,289,956.20                             -

    以公允价值计量且其变动计入当期损
 益的金融负债
    衍生金融负债                                              1,120,210.00                1,367,894.79
    卖出回购金融资产款                                  14,261,773,505.50            14,514,217,616.44
    代理买卖证券款                                      16,089,691,516.69            10,556,653,817.09
    代理承销证券款                                                       -                           -
    应付职工薪酬                                          897,022,021.19                679,227,555.34
    应交税费                                                  91,228,442.01              94,379,434.16
    应付款项                                              166,464,711.14                745,584,508.57
    合同负债
    持有待售负债
    预计负债                                                  1,213,600.00                1,213,600.00
    长期借款
    应付债券                                            8,441,375,483.96              9,946,190,203.34
      其中:优先股
             永续债
    租赁负债
    递延收益                                                  1,256,450.40                1,221,076.08
    递延所得税负债                                        166,960,734.46                159,505,671.92
    其他负债                                            8,139,129,118.91              7,695,819,199.87
                 负债合计                               55,944,890,776.26            48,899,030,577.60
 所有者权益:
    股本                                                2,340,452,915.00              2,340,452,915.00
    其他权益工具
      其中:优先股
             永续债
    资本公积                                            5,749,787,563.89              5,749,787,563.89
    减:库存股
    其他综合收益                                          -50,327,483.48               -722,323,371.55
    盈余公积                                              864,069,371.64                864,069,371.64
    一般风险准备                                        1,905,361,018.53              1,900,250,798.27
    未分配利润                                          4,625,356,662.54              4,903,187,783.27

    归属于母公司所有者权益合计                          15,434,700,048.12            15,035,425,060.52
    少数股东权益                                        1,093,556,382.66              1,088,418,401.65
             所有者权益合计                             16,528,256,430.78            16,123,843,462.17
           负债和股东权益总计                           72,473,147,207.04            65,022,874,039.77

法定代表人:李福春                     主管会计工作负责人:王天文             会计机构负责人:刘雪山




                                                   10
                                                                                2019 年第一季度报告全文

                                             母公司资产负债表

 编制单位:东北证券股份有限公司                                                       单位:(人民币)元
                    资产                            期末余额                         期初余额

资产:

   货币资金                                                13,173,684,421.85               9,387,154,993.65

     其中:客户资金存款                                    11,886,620,092.56               7,621,682,243.91

   结算备付金                                              1,877,803,930.76                1,335,731,986.36

     其中:客户备付金                                      1,546,551,756.67                     918,699,514.42

   贵金属

   拆出资金

   融出资金                                                7,931,858,885.33                6,978,155,626.96

   衍生金融资产                                                                                  1,806,295.00

   存出保证金                                              1,112,974,953.51                     848,004,154.67

   应收款项                                                    108,089,029.68                   332,028,117.97

   合同资产

   买入返售金融资产                                        6,964,928,578.94                6,493,993,962.52

   持有待售资产

   金融投资:                                              28,824,640,060.39              27,721,983,191.11

         以公允价值计量且其变动计入当期
                                                                                          19,018,040,101.53
损益的金融资产

         交易性金融资产                                    28,824,640,060.39

         债权投资

         可供出售金融资产                                                                  8,703,943,089.58

         其他债权投资

         其他权益工具投资

         持有至到期投资

   长期股权投资                                            3,729,329,166.85                3,701,050,400.40

   投资性房地产                                                153,955,722.51                   154,899,732.99

   固定资产                                                    565,227,223.40                   578,036,309.89

   在建工程

   使用权资产

   无形资产                                                    204,021,262.15                   208,275,177.42

   商誉

   递延所得税资产                                              367,518,065.33                   541,901,355.09

   其他资产                                                2,887,273,599.74                2,628,322,918.46

                 资产总计                                  67,901,304,900.44              60,911,344,222.49

 法定代表人:李福春                       主管会计工作负责人:王天文            会计机构负责人:刘雪山




                                                      11
                                                                                  2019 年第一季度报告全文

                                          母公司资产负债表(续)

    编制单位:东北证券股份有限公司                                                      单位:(人民币)元

               负债和股东权益                         期末余额                             年初余额
负债:
   短期借款
   应付短期融资款                                            5,666,566,581.36                  4,503,650,000.00

   拆入资金                                                  1,300,798,444.44                                   -

   交易性金融负债                                                718,922,061.41                                 -

   以公允价值计量且其变动计入当期损益的
金融负债

   衍生金融负债                                                    1,120,210.00                                 -

   卖出回购金融资产款                                       14,261,773,505.50                 14,514,217,616.44

   代理买卖证券款                                           14,073,284,974.36                  9,036,167,302.35

   代理承销证券款                                                             -                                 -

   应付职工薪酬                                                  798,229,856.71                  549,951,232.00

   应交税费                                                       59,875,211.74                   32,281,875.89

   应付款项                                                      165,625,915.01                  515,050,146.42

   合同负债
   持有待售负债
   预计负债                                                        1,213,600.00                       1,213,600.00

   长期借款                                                                   -                                 -

   应付债券                                                  8,441,375,483.96                  9,946,190,203.34

      其中:优先股
           永续债
   租赁负债
   递延收益                                                        1,075,183.80                       1,039,809.48

   递延所得税负债                                                156,170,541.63                  138,056,011.65

   其他负债                                                  7,670,672,976.14                  7,419,264,218.44

负债合计                                                    53,316,704,546.06                 46,657,082,016.01

所有者权益:
   股本                                                      2,340,452,915.00                  2,340,452,915.00

   其他权益工具
      其中:优先股
           永续债
   资本公积                                                  5,731,707,549.24                  5,731,707,549.24

   减:库存股
   其他综合收益                                                     527,731.20                  -637,690,232.27

   盈余公积                                                      869,511,997.21                  869,511,997.21

   一般风险准备                                              1,739,023,994.42                  1,739,023,994.42

   未分配利润                                                3,903,376,167.31                  4,211,255,982.88

               所有者权益合计                               14,584,600,354.38                 14,254,262,206.48

           负债和股东权益总计                               67,901,304,900.44                 60,911,344,222.49

    法定代表人:李福春                    主管会计工作负责人:王天文               会计机构负责人:刘雪山




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                                                                                   2019 年第一季度报告全文

                                                         合并利润表
      编制单位:东北证券股份有限公司                                                       单位:(人民币)元
                                 项目                                       本期发生额               上期发生额
一、营业总收入                                                                  2,275,771,875.87       945,476,451.54
    利息净收入                                                                    -44,028,411.14        34,393,432.94
      利息收入                                                                    240,407,282.04       360,733,488.42
      利息支出                                                                    284,435,693.18       326,340,055.48
    手续费及佣金净收入                                                            366,127,285.48       348,515,334.08
    其中:经纪业务手续费净收入                                                    233,908,687.71       183,202,886.34
          投资银行业务手续费净收入                                                  41,781,335.10       59,129,206.67
          资产管理业务手续费净收入                                                  24,215,584.87       40,163,575.05
    投资收益(损失以“-”列示)                                                  117,256,971.28       159,645,503.02
      其中:对联营企业和合营企业的投资收益                                          31,071,761.57       27,215,755.09
      以摊余成本计量的金融资产终止确认产生的收益(损失以“-”号填列)
    净敞口套期收益(损失以“-”号填列)
    其他收益                                                                        1,093,784.44        9,919,733.57
    公允价值变动收益(损失以“-”列示)                                          970,058,046.41       92,100,915.81
    汇兑收益(损失以“-”列示)                                                     -415,912.09         -777,929.56
    其他业务收入                                                                  865,686,475.12      310,461,562.94
    资产处置收益(损失以“-”号填列)                                                  -6,363.63       -8,782,101.26
二、营业总支出                                                                  1,511,917,539.21      780,669,204.40
    税金及附加                                                                      7,382,405.87        5,685,199.80
    业务及管理费                                                                  666,267,362.07      447,976,068.66
    资产减值损失                                                                  -17,777,493.74       26,978,136.26
    信用减值损失                                                                  -18,248,989.77
    其他资产减值损失
    其他业务成本                                                                  874,294,254.78      300,029,799.68
三、营业利润(亏损以“-”列示)                                                  763,854,336.66      164,807,247.14
    加:营业外收入                                                                  1,287,494.44        9,764,167.96
    减:营业外支出                                                                    515,383.36        1,535,573.91
四、利润总额(亏损总额以“-”列示)                                              764,626,447.74      173,035,841.19
    减:所得税费用                                                                181,997,865.75       33,496,599.49
五、净利润(净亏损以“-”列示)                                                  582,628,581.99      139,539,241.70
    (一)按经营持续性分类
    1.持续经营净利润(净亏损以“-”号填列)                                      582,628,581.99      139,539,241.70
   2.终止经营净利润(净亏损以“-”号填列)
    (二)按所有权属分类
    1.归属于母公司所有者的净利润                                                  567,906,600.98      132,905,501.51
    2.少数股东损益                                                                 14,721,981.01        6,633,740.19
六、其他综合收益的税后净额                                                         17,973,861.61     -211,163,093.40
    归属母公司所有者的其他综合收益的税后净额                                       17,973,861.61     -211,207,732.75
    (一)不能重分类进损益的其他综合收益                                           17,973,861.61                   -
          1.重新计量设定受益计划的变动额
          2.权益法下不能转损益的其他综合收益
          3.其他权益工具投资公允价值变动                                           17,973,861.61
          4.企业自身信用风险公允价值变动
          5.其他
    (二)将重分类进损益的其他综合收益                                                         -     -211,207,732.75
          1.权益法下可转损益的其他综合收益
          2.其他债权投资公允价值变动
          3.可供出售金融资产公允价值变动损益                                                         -211,207,732.75
          4.金融资产重分类计入其他综合收益的金额
          5.持有至到期投资重分类为可供出售金融资产损益
          6.其他债权投资信用损失准备
          7.现金流量套期储备
          8.外币财务报表折算差额
          9.其他
    归属于少数股东的其他综合收益的税后净额                                                     -           44,639.35
七、综合收益总额                                                                  600,602,443.60      -71,623,851.70
其中:归属于母公司所有者(或股东)的综合收益总额                                  585,880,462.59      -78,302,231.24
      归属于少数股东的综合收益总额                                                 14,721,981.01        6,678,379.54
八、每股收益                                                                                   -                   -
(一)基本每股收益                                                                          0.24                0.06
(二)稀释每股收益                                                                          0.24                0.06

      法定代表人:李福春                       主管会计工作负责人:王天文           会计机构负责人:刘雪山



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                                                                                  2019 年第一季度报告全文

                                                         母公司利润表
         编制单位:东北证券股份有限公司                                                      单位:(人民币)元
                                     项目                                   本期发生额                   上期发生额
一、营业总收入                                                                   1,167,155,868.00          403,256,658.57
    利息净收入                                                                     -33,314,349.73           38,722,135.19
      利息收入                                                                     315,582,376.95          372,459,450.94
      利息支出                                                                     348,896,726.68          333,737,315.75
    手续费及佣金净收入                                                             240,348,956.73          225,934,062.09
    其中:经纪业务手续费净收入                                                     192,757,446.35          163,017,649.49
          投资银行业务手续费净收入                                                  41,781,335.10           59,148,074.59
          资产管理业务手续费净收入                                                                 -                    -
    投资收益(损失以“-”列示)                                                   -12,109,345.41           67,726,915.32
      其中:对联营企业和合营企业的投资收益                                          28,278,766.45           27,775,293.57
      以摊余成本计量的金融资产终止确认产生的收益(损失以“-”号填列)
    净敞口套期收益(损失以“-”号填列)
    其他收益                                                                         1,093,784.44            9,919,733.57
    公允价值变动收益(损失以“-”列示)                                           966,502,110.11           65,567,040.17
    汇兑收益(损失以“-”列示)                                                         -415,912.09          -777,929.56
    其他业务收入                                                                     5,056,983.65            4,946,803.05
    资产处置收益(损失以“-”号填列)                                                      -6,359.70        -8,782,101.26
二、营业总支出                                                                     522,613,149.13          315,540,677.60
    税金及附加                                                                       6,477,631.06            5,094,574.33
    业务及管理费                                                                   532,880,463.99          309,454,044.08
    资产减值损失                                                                                   -          363,743.91
    信用减值损失                                                                   -17,593,540.18
    其他资产减值损失
    其他业务成本                                                                         848,594.26           628,315.28
三、营业利润(亏损以“-”列示)                                                   644,542,718.87           87,715,980.97
    加:营业外收入                                                                   1,245,427.55            4,782,268.17
    减:营业外支出                                                                       470,703.68          1,533,569.31
四、利润总额(亏损总额以“-”列示)                                               645,317,442.74           90,964,679.83
    减:所得税费用                                                                 153,948,645.84            9,837,473.89
五、净利润(净亏损以“-”列示)                                                   491,368,796.90           81,127,205.94
    (一)持续经营净利润(净亏损以“-”号填列)                                   491,368,796.90           81,127,205.94
    (二)终止经营净利润(净亏损以“-”号填列)
六、其他综合收益的税后净额                                                                         -      -162,732,054.62
    (一)不能重分类进损益的其他综合收益                                                           -                    -
          1.重新计量设定受益计划的变动额
          2.权益法下不能转损益的其他综合收益
          3.其他权益工具投资公允价值变动
          4.企业自身信用风险公允价值变动
          5.其他
    (二)将重分类进损益的其他综合收益                                                             -      -162,732,054.62
          1.权益法下可转损益的其他综合收益
          2.其他债权投资公允价值变动
          3.可供出售金融资产公允价值变动损益                                                              -162,732,054.62
          4.金融资产重分类计入其他综合收益的金额
          5.持有至到期投资重分类为可供出售金融资产损益
          6.其他债权投资信用损失准备
          7.现金流量套期储备
          8.外币财务报表折算差额
          9.其他
七、综合收益总额                                                                   491,368,796.90          -81,604,848.68
八、每股收益                                                                                       -                    -
(一)基本每股收益                                                                              0.21                  0.03
(二)稀释每股收益                                                                              0.21                  0.03

         法定代表人:李福春                    主管会计工作负责人:王天文          会计机构负责人:刘雪山




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                                                                                         2019 年第一季度报告全文

                                                  合并现金流量表
 编制单位:东北证券股份有限公司                                                                   单位:(人民币)元

                               项目                                 本期发生额                       上期发生额
一、经营活动产生的现金流量
   销售商品、提供劳务收到的现金
   向其他金融机构拆入资金净增加额
    收取利息、手续费及佣金的现金                                            767,674,717.67               749,045,129.63
    拆入资金净增加额                                                      1,300,000,000.00             -1,150,000,000.00
    回购业务资金净增加额                                                   -498,364,989.67             1,386,150,872.43
    代理买卖证券收到的现金净额                                            5,525,324,715.72             1,410,021,680.49
    收到其他与经营活动有关的现金                                          6,749,440,579.83             6,257,842,602.24
经营活动现金流入小计                                                      13,844,075,023.55            8,653,060,284.79

   为交易目的而持有的金融资产净增加额                                      -276,214,482.13             1,868,654,088.69
    拆出资金净增加额
   返售业务资金净增加额
    支付利息、手续费及佣金的现金                                            215,279,422.04               475,089,279.30
    支付给职工以及为职工支付的现金                                          260,391,286.97               453,867,667.46
    支付的各项税费                                                          109,513,950.48               123,882,157.06
    支付其他与经营活动有关的现金                                          8,102,570,708.18             5,196,881,211.62
经营活动现金流出小计                                                      8,411,540,885.54             8,118,374,404.13
经营活动产生的现金流量净额                                                5,432,534,138.01               534,685,880.66
二、投资活动产生的现金流量
    收回投资所收到的现金                                                    187,737,376.17             1,263,437,100.22
    取得投资收益收到的现金                                                    4,096,421.14               110,361,143.67
   处置固定资产、无形资产和其他长期资产收回的现金净额                             46,000.00                3,627,403.08
    处置子公司及其他营业单位收到的现金净额
    收到其他与投资活动有关的现金
投资活动现金流入小计                                                        191,879,797.31             1,377,425,646.97
    投资支付的现金                                                          331,392,000.00             1,141,610,954.55
    购建固定资产、无形资产和其他长期资产所支付的现金                          39,117,828.27                99,697,838.78
    取得子公司及其他营业单位支付的现金净额
    支付其他与投资活动有关的现金
投资活动现金流出小计                                                        370,509,828.27             1,241,308,793.33
投资活动产生的现金流量净额                                                 -178,630,030.96               136,116,853.64
三、筹资活动产生的现金流量
    吸收投资收到的现金
    其中:子公司吸收少数股东投资收到的现金
    取得借款收到的现金
    发行债券收到的现金                                                    4,158,520,000.00             6,500,000,000.00
    收到其他与筹资活动有关的现金
筹资活动现金流入小计                                                      4,158,520,000.00             6,500,000,000.00
    偿还债务支付的现金                                                    2,000,000,000.00             5,200,000,000.00
    分配股利、利润或偿付利息支付的现金                                      363,011,173.30
    其中:子公司支付给少数股东的股利、利润
    支付其他与筹资活动有关的现金                                          2,511,936,907.92
筹资活动现金流出小计                                                      4,874,948,081.22             5,200,000,000.00
筹资活动产生的现金流量净额                                                 -716,428,081.22             1,300,000,000.00
四、汇率变动对现金的影响                                                      -2,538,834.27                -5,198,779.79
五、现金及现金等价物净增加额                                              4,534,937,191.56             1,965,603,954.51
    加:期初现金及现金等价物余额                                          12,716,978,221.00            13,223,014,860.22
六、期末现金及现金等价物余额                                              17,251,915,412.56            15,188,618,814.73

 法定代表人:李福春                          主管会计工作负责人:王天文                       会计机构负责人:刘雪山



                                                         15
                                                                                      2019 年第一季度报告全文


                                              母公司现金流量表

编制单位:东北证券股份有限公司                                                               单位:(人民币)元

                              项目                              本期发生额                   上期发生额
 一、经营活动产生的现金流量
     销售商品、提供劳务收到的现金
    向其他金融机构拆入资金净增加额
     收取利息、手续费及佣金的现金                                   629,714,425.15              609,145,283.65
     拆入资金净增加额                                             1,300,000,000.00           -1,150,000,000.00
     回购业务资金净增加额                                          -688,664,989.67            1,386,150,872.43
     代理买卖证券收到的现金净额                                   5,037,117,672.01            1,294,688,430.74
     收到其他与经营活动有关的现金                                   142,034,984.64            2,385,124,910.45
 经营活动现金流入小计                                             6,420,202,092.13            4,525,109,497.27
    为交易目的而持有的金融资产净增加额                             -163,392,352.12            2,221,639,406.86
    拆出资金净增加额
    返售业务资金净增加额
     支付利息、手续费及佣金的现金                                   194,114,116.97              454,620,253.87
     支付给职工以及为职工支付的现金                                 175,532,347.48              345,968,228.06
     支付的各项税费                                                  62,929,137.68               79,852,078.69
     支付其他与经营活动有关的现金                                 1,085,556,403.20              608,650,012.96
 经营活动现金流出小计                                             1,354,739,653.21            3,710,729,980.44
 经营活动产生的现金流量净额                                       5,065,462,438.92              814,379,516.83
 二、投资活动产生的现金流量
     收回投资所收到的现金                                                        -                           -
     取得投资收益收到的现金                                                      -
     处置固定资产、无形资产和其他长期资产收回的现金净额                   46,000.00               3,627,403.08
     收到其他与投资活动有关的现金
 投资活动现金流入小计                                                     46,000.00               3,627,403.08
     投资支付的现金                                                              -
     购建固定资产、无形资产和其他长期资产所支付的现金                37,201,058.75               98,417,352.89
     支付其他与投资活动有关的现金                                                -                           -
 投资活动现金流出小计                                                37,201,058.75               98,417,352.89
 投资活动产生的现金流量净额                                         -37,155,058.75              -94,789,949.81
 三、筹资活动产生的现金流量
     吸收投资收到的现金                                                          -
     取得借款收到的现金                                                          -
     发行债券收到的现金                                           4,158,520,000.00            6,500,000,000.00
     收到其他与筹资活动有关的现金                                                -
 筹资活动现金流入小计                                             4,158,520,000.00            6,500,000,000.00
     偿还债务支付的现金                                           2,000,000,000.00            5,200,000,000.00
     分配股利、利润或偿付利息支付的现金                             353,427,173.30
     支付其他与筹资活动有关的现金                                 2,502,260,000.00
 筹资活动现金流出小计                                             4,855,687,173.30            5,200,000,000.00
 筹资活动产生的现金流量净额                                        -697,167,173.30            1,300,000,000.00
 四、汇率变动对现金的影响                                            -2,538,834.27               -5,198,779.79
 五、现金及现金等价物净增加额                                     4,328,601,372.60            2,014,390,787.23
     加:期初现金及现金等价物余额                                10,722,883,980.01           11,366,017,224.93
 六、期末现金及现金等价物余额                                    15,051,485,352.61           13,380,408,012.16

    法定代表人:李福春                       主管会计工作负责人:王天文                会计机构负责人:刘雪山




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                                                                             2019 年第一季度报告全文


             4.2 财务报表调整情况说明
           4.2.1 首次执行新金融工具准则、新收入准则、新租赁准则调整首次执行当年年初财务报表
    相关项目情况
           √ 适用 □ 不适用

           (1)合并资产负债表
                                                                                      单位:(人民币)元
                      项目                 2018 年 12 月 31 日    2019 年 1 月 1 日            调整数
资产:
    货币资金                                 11,569,794,622.18      11,569,794,622.18
      其中:客户资金存款                      8,875,497,513.44       8,875,497,513.44
    结算备付金                                1,367,046,169.41       1,367,046,169.41
      其中:客户备付金                           806,208,929.85        806,208,929.85
    贵金属
    拆出资金
    融出资金                                  6,978,155,626.96       6,973,875,816.65         -4,279,810.31
    衍生金融资产                                   1,806,295.00          1,806,295.00
    存出保证金                                2,001,906,444.89       2,001,906,444.89
    应收款项                                     398,275,937.70        400,281,206.47          2,005,268.77
    合同资产                                     不适用
    买入返售金融资产                          6,746,993,962.52       6,742,952,981.92         -4,040,980.60
    持有待售资产
    金融投资:                               31,263,623,896.50      31,143,793,224.66       -119,830,671.84
        以公允价值计量且其变动计入当期损
                                             20,044,401,103.55        不适用             -20,044,401,103.55
益的金融资产
         交易性金融资产                          不适用             31,030,063,236.92 31,030,063,236.92
         债权投资                                不适用
         可供出售金融资产                    11,219,222,792.95        不适用             -11,219,222,792.95
         其他债权投资                            不适用
         其他权益工具投资                        不适用                113,729,987.74        113,729,987.74
         持有至到期投资                                               不适用
    长期股权投资                                 628,339,997.57        628,339,997.57
    投资性房地产                                  78,889,464.36         78,889,464.36
    固定资产                                     665,222,310.85        665,222,310.85
    在建工程
    使用权资产                                   不适用
    无形资产                                     238,979,140.72        238,979,140.72
    商誉                                          75,920,803.93         75,920,803.93
    递延所得税资产                               655,848,672.76        715,780,020.77         59,931,348.01
    其他资产                                  2,352,070,694.42       2,199,019,924.14       -153,050,770.28
                    资产总计                 65,022,874,039.77      64,803,608,423.52       -219,265,616.25
负债:
    短期借款


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                                                                          2019 年第一季度报告全文

    应付短期融资款                           4,503,650,000.00      4,503,650,000.00
    拆入资金
    交易性金融负债                             不适用
    以公允价值计量且其变动计入当期损益的
                                                                    不适用
金融负债
    衍生金融负债                                 1,367,894.79          1,367,894.79
    卖出回购金融资产款                      14,514,217,616.44     14,514,217,616.44
    代理买卖证券款                          10,556,653,817.09     10,556,653,817.09
    代理承销证券款
    应付职工薪酬                               679,227,555.34        679,227,555.34
    应交税费                                    94,379,434.16        94,379,434.16
    应付款项                                   745,584,508.57        745,584,508.57
    合同负债                                   不适用
    持有待售负债
    预计负债                                     1,213,600.00          1,213,600.00
    长期借款
    应付债券                                 9,946,190,203.34      9,946,190,203.34
      其中:优先股
             永续债
    租赁负债                                   不适用
    递延收益                                     1,221,076.08          1,221,076.08
    递延所得税负债                             159,505,671.92        157,235,194.91      -2,270,477.01
    其他负债                                 7,695,819,199.87      7,665,429,535.62     -30,389,664.25
                   负债合计                 48,899,030,577.60     48,866,370,436.34     -32,660,141.26
所有者权益:
    股本                                     2,340,452,915.00      2,340,452,915.00
    其他权益工具
      其中:优先股
             永续债
    资本公积                                 5,749,787,563.89      5,749,787,563.89
    减:库存股
    其他综合收益                              -722,323,371.55        -68,301,345.09     654,022,026.46
    盈余公积                                   864,069,371.64        864,069,371.64
    一般风险准备                             1,900,250,798.27      1,900,250,798.27
    未分配利润                               4,903,187,783.27      4,062,560,281.82    -840,627,501.45
    归属于母公司所有者权益合计              15,035,425,060.52     14,848,819,585.53    -186,605,474.99
    少数股东权益                             1,088,418,401.65      1,088,418,401.65
               所有者权益合计               16,123,843,462.17     15,937,237,987.18    -186,605,474.99
            负债和所有者权益总计            65,022,874,039.77     64,803,608,423.52    -219,265,616.25

           调整情况说明
           2017 年 4 月,财政部颁布了经修订的《企业会计准则第 22 号—金融工具确认和计量》、《企
    业会计准则第 23 号—金融资产转移》、《企业会计准则第 24 号—套期会计》及《企业会计准则第


                                                 18
                                                                              2019 年第一季度报告全文

     37 号—金融工具列报》(“新金融工具准则”)。公司自 2019 年 1 月 1 日起执行新金融工具准则,
     因采用新金融工具准则引起的具体影响科目及金额见上述调整报表。

             (2)母公司资产负债表
                                                                                       单位:(人民币)元
                       项目                2018 年 12 月 31 日     2019 年 1 月 1 日             调整数
资产:
    货币资金                                   9,387,154,993.65       9,387,154,993.65
         其中:客户资金存款                    7,621,682,243.91       7,621,682,243.91
    结算备付金                                 1,335,731,986.36       1,335,731,986.36
         其中:客户备付金                        918,699,514.42         918,699,514.42
    贵金属
    拆出资金
    融出资金                                   6,978,155,626.96       6,973,875,816.65           -4,279,810.31
    衍生金融资产                                    1,806,295.00          1,806,295.00
    存出保证金                                   848,004,154.67         848,004,154.67
    应收款项                                     332,028,117.97         334,033,386.74            2,005,268.77
    合同资产                                     不适用
    买入返售金融资产                           6,493,993,962.52       6,489,952,981.92           -4,040,980.60
    持有待售资产
    金融投资:                                27,721,983,191.11     27,483,201,516.98          -238,781,674.13
        以公允价值计量且其变动计入当期损
                                              19,018,040,101.53        不适用              -19,018,040,101.53
益的金融资产
          交易性金融资产                         不适用             27,483,201,516.98       27,483,201,516.98
          债权投资                               不适用
          可供出售金融资产                     8,703,943,089.58        不适用               -8,703,943,089.58
          其他债权投资                           不适用
          其他权益工具投资                       不适用
          持有至到期投资                                               不适用
    长期股权投资                               3,701,050,400.40       3,701,050,400.40
    投资性房地产                                 154,899,732.99         154,899,732.99
    固定资产                                     578,036,309.89         578,036,309.89
    在建工程
    使用权资产                                   不适用
    无形资产                                     208,275,177.42         208,275,177.42
    商誉
    递延所得税资产                               541,901,355.09         593,307,761.10           51,406,406.01
    其他资产                                   2,628,322,918.46       2,628,322,918.46
                     资产总计                 60,911,344,222.49     60,717,653,432.23          -193,690,790.26
负债:
    短期借款
    应付短期融资款                             4,503,650,000.00       4,503,650,000.00
    拆入资金
    交易性金融负债                               不适用

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                                                                         2019 年第一季度报告全文

    以公允价值计量且其变动计入当期损益的
                                                                    不适用
金融负债
    衍生金融负债
    卖出回购金融资产款                      14,514,217,616.44    14,514,217,616.44
    代理买卖证券款                           9,036,167,302.35     9,036,167,302.35
    代理承销证券款
    应付职工薪酬                               549,951,232.00       549,951,232.00
    应交税费                                    32,281,875.89        32,281,875.89
    应付款项                                   515,050,146.42       515,050,146.42
    合同负债                                  不适用
    持有待售负债
    预计负债                                     1,213,600.00         1,213,600.00
    长期借款
    应付债券                                 9,946,190,203.34     9,946,190,203.34
      其中:优先股
            永续债
    租赁负债                                  不适用
    递延收益                                     1,039,809.48         1,039,809.48
    递延所得税负债                             138,056,011.65       135,785,534.64       -2,270,477.01
    其他负债                                 7,419,264,218.44     7,388,874,554.19      -30,389,664.25
                   负债合计                 46,657,082,016.01    46,624,421,874.75      -32,660,141.26
所有者权益:
    股本                                     2,340,452,915.00     2,340,452,915.00
    其他权益工具
      其中:优先股
            永续债
    资本公积                                 5,731,707,549.24     5,731,707,549.24
    减:库存股
    其他综合收益                              -637,690,232.27           527,731.20      638,217,963.47
    盈余公积                                   869,511,997.21       869,511,997.21
    一般风险准备                             1,739,023,994.42     1,739,023,994.42
    未分配利润                               4,211,255,982.88     3,412,007,370.41     -799,248,612.47
               所有者权益合计               14,254,262,206.48    14,093,231,557.48     -161,030,649.00
           负债和所有者权益总计             60,911,344,222.49    60,717,653,432.23     -193,690,790.26

           调整情况说明
           2017 年 4 月,财政部颁布了经修订的《企业会计准则第 22 号—金融工具确认和计量》、《企
     业会计准则第 23 号—金融资产转移》、《企业会计准则第 24 号—套期会计》及《企业会计准则第
     37 号—金融工具列报》(“新金融工具准则”)。公司自 2019 年 1 月 1 日起执行新金融工具准则,
     因采用新金融工具准则引起的具体影响科目及金额见上述调整报表。

           4.2.2 首次执行新金融工具准则、新租赁准则追溯调整前期比较数据的说明
           □ 适用 √不适用


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                                     2019 年第一季度报告全文

4.3 审计报告
第一季度报告是否经过审计
□ 是 √ 否




                                东北证券股份有限公司董事会

                                       董事长:李福春

                                  二〇一九年四月二十四日




                           21
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