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广发证券(000776)公告正文

广发证券:2011年半年度报告摘要

公告日期 2011-08-23
股票简称:广发证券 股票代码:000776
    广发证券股份有限公司 2011 年半年度报告摘要
    证券代码:000776                           证券简称:广发证券                                  公告编号:2011-075
    广发证券股份有限公司 2011 年半年度报告摘要
    §1 重要提示
    1.1 本公司董事会、监事会及其董事、监事、高级管理人员保证本报告所载资料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、准确性和完整性负个别及连带责任。
    本半年度报告摘要摘自半年度报告全文,报告全文同时刊载于巨潮资讯网(www.cninfo.com.cn)。投
    资者欲了解详细内容,应当仔细阅读半年度报告全文。
    1.2 本报告经公司第七届董事会第五次会议审议通过。
    1.3 公司半年度财务报告未经会计师事务所审计。
    1.4 本公司董事长应刚先生、总裁林治海先生、副总裁兼财务总监及财务部负责人孙晓燕女士声明:
    保证 2011 年半年度报告中财务报告的真实、完整。
    §2 上市公司基本情况
    2.1 基本情况简介
    股票简称             广发证券
    股票代码             000776
    上市证券交易所          深圳证券交易所
    董事会秘书                                    证券事务代表
    姓名               罗斌华                                         蔡铁征
    广州市天河区天河北路 183-187 号大都会广 广州市天河区天河北路 183-187 号大都会广
    联系地址
    场 43 楼                                场 43 楼
    电话               020-87550265 87550565                          020-87550265 87550565
    传真               020-87553600                                   020-87553600
    电子信箱             lbh@gf.com.cn                                  ctz@gf.com.cn
    2.2 主要财务数据和指标
    2.2.1 主要会计数据和财务指标
    单位:元
    本报告期末比上年度期末增减
    2011 年 6 月 30 日    2010 年 12 月 31 日
    (%)
    总资产(元)                     70,285,472,237.24      95,946,580,139.21                        -26.75%
    归属于上市公司股东的所有者权益(元)         19,497,998,852.33      19,401,217,301.41                          0.50%
    股本(股)                       2,507,045,732.00       2,507,045,732.00                          0.00%
    归属于上市公司股东的每股净资产(元/股)                     7.78                  7.74                          0.52%
    2011 年 1-6 月         2010 年 1-6 月      本报告期比上年同期增减(%)
    1
    广发证券股份有限公司 2011 年半年度报告摘要
    营业总收入(元)                 3,270,800,219.36     3,633,283,241.81                                   -9.98%
    营业利润(元)                  1,708,250,490.70     2,121,337,165.11                                  -19.47%
    利润总额(元)                  1,720,156,554.16     2,167,212,738.27                                  -20.63%
    归属于上市公司股东的净利润(元)           1,343,025,031.02     1,639,639,020.97                                  -18.09%
    归属于上市公司股东的扣除非经常性损益后的
    1,334,095,587.47     1,616,238,539.90                                  -17.46%
    净利润(元)
    基本每股收益(元/股)                            0.54                   0.66                                -18.18%
    稀释每股收益(元/股)                            0.54                   0.66                                -18.18%
    加权平均净资产收益率 (%)                         6.83%                9.97%                                   -3.14%
    扣除非经常性损益后的加权平均净资产收益率
    6.79%                9.83%                                   -3.04%
    (%)
    经营活动产生的现金流量净额(元)          -23,093,131,737.09   -12,836,530,311.83                                 -79.90%
    每股经营活动产生的现金流量净额(元/股)                   -9.21                  -5.12                               -79.88%
    注 1:2010 年,经中国证监会证监许可[2010]164 号文件核准延边公路建设股份有限公司定向回购股份及以新增股份换
    股吸收合并原广发证券股份有限公司,根据中国证监会《公开发行证券的公司信息披露编报规则第 9 号——净资产收益率和
    每股收益的计算及披露(2010 年修订)》第九条关于以发行股份购买资产等方式实现非上市公司间接上市且构成反向购买
    的上市公司计算每股收益的规定,上表计算上年同期每股收益时采用的普通股加权平均股数为 2,474,576,673 股。
    注 2:在计算 2010 年 1-6 月每股经营活动产生的现金流量净额时以 2010 年 6 月末股本 2,507,045,732 股计算。2010
    年归属于上市公司股东的每股净资产也采用该口径计算。
    2.2.2 非经常性损益项目
    √ 适用 □ 不适用
    单位:元
    非经常性损益项目                                     金额                       附注(如适用)
    非流动资产处置损益                                                                  3,551,865.63
    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
    3,314,488.00
    国家政策规定、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                                                5,039,709.83
    所得税影响额                                                                       -2,976,619.91
    少数股东权益影响额                                                                            0.00
    合计                                                   8,929,443.55                 -
    2.2.3 境内外会计准则差异
    □ 适用 √ 不适用
    2.2.4 公司净资本及风险监控指标
    公司资产质量优良,经营稳健,各项风险控制指标符合《证券公司监督管理条例》及《证券公司风险控制指标管理办法》
    的有关规定。
    单位:万元
    母公司风险控制指标                    2011 年 6 月 30 日              2010 年 12 月 31 日
    净资本                                              1,183,144.98                     1,196,290.56
    净资产                                              1,899,585.94                     1,900,605.71
    净资本/各项风险资本准备之和                              232.65%                          227.44%
    2
    广发证券股份有限公司 2011 年半年度报告摘要
    净资本/净资产                                               62.28%                         62.94%
    净资本/负债                                                180.27%                        166.45%
    净资产/负债                                                289.44%                        264.45%
    自营权益类证券及证券衍生品/净资本                           48.58%                         54.14%
    自营固定收益类证券/净资本                                   97.20%                        102.06%
    §3 股本变动及股东情况
    3.1 股份变动情况表
    √ 适用 □ 不适用
    单位:股
    本次变动前                      本次变动增减(+,-)                              本次变动后
    数量         比例    发行新股 送股 公积金转股        其他          小计            数量         比例
    一、有限售条件股份       2,414,972,787 96.33%                                -682,870,620 -682,870,620 1,732,102,167        69.09%
    1、国家持股
    2、国有法人持股           429,185,233 17.12%                                  -85,808,125    -85,808,125      343,377,108   13.70%
    3、其他内资持股          1,985,787,554 79.21%                                -597,062,495 -597,062,495 1,388,725,059        55.39%
    其中:境内非国有法
    1,983,497,381 79.12%                                    -594,772,322 -594,772,322 1,388,725,059        55.39%
    人持股
    境内自然人持股         2,290,173    0.09%                                 -2,290,173     -2,290,173
    4、外资持股
    其中:境外法人持股
    境外自然人持股
    5、高管股份
    二、无限售条件股份         92,072,945    3.67%                                682,870,620    682,870,620      774,943,565   30.91%
    1、人民币普通股            92,072,945    3.67%                                682,870,620    682,870,620      774,943,565   30.91%
    2、境内上市的外资股
    3、境外上市的外资股
    4、其他
    三、股份总数             2,507,045,732 100.00%                                                              2,507,045,732 100.00%
    3.2 前 10 名股东、前 10 名无限售条件股东持股情况表
    单位:股
    股东总数                                                                                                      60,251
    前 10 名股东持股情况
    持有有限售条件股份 质押或冻结的股份
    股东名称                   股东性质       持股比例      持股总数
    数量               数量
    辽宁成大股份有限公司                境内非国有法人        24.93%       625,077,044             625,077,044                       0
    吉林敖东药业集团股份有限公司 境内非国有法人               24.82%       622,326,463             622,326,463                       0
    中山公用事业集团股份有限公司 国有法人                     13.70%       343,377,108             343,377,108                       0
    香江集团有限公司                    境内非国有法人         5.64%       141,321,552             141,321,552           138,118,962
    3
    广发证券股份有限公司 2011 年半年度报告摘要
    广东粤财信托有限公司           境内非国有法人          4.80%         120,457,831                   0                     0
    普宁市信宏实业投资有限公司     境内非国有法人          2.91%          72,968,179                   0          70,000,000
    酒泉钢铁(集团)有限责任公司     国有法人                2.85%          71,536,898                   0                     0
    亨通集团有限公司               境内非国有法人          2.28%          57,229,518                   0          56,000,000
    安徽华茂纺织股份有限公司       境内非国有法人          1.92%          48,070,000                   0          38,500,000
    广州高金技术产业集团有限公司 境内非国有法人            1.68%          42,056,368                   0          42,000,000
    前 10 名无限售条件股东持股情况
    股东名称                         持有无限售条件股份数量                       股份种类
    广东粤财信托有限公司                                                    120,457,831            人民币普通股
    普宁市信宏实业投资有限公司                                               72,968,179            人民币普通股
    酒泉钢铁(集团)有限责任公司                                               71,536,898            人民币普通股
    亨通集团有限公司                                                         57,229,518            人民币普通股
    安徽华茂纺织股份有限公司                                                 48,070,000            人民币普通股
    广州高金技术产业集团有限公司                                             42,056,368            人民币普通股
    宜华企业(集团)有限公司                                                   39,006,566            人民币普通股
    汇天泽投资有限公司                                                       38,236,617            人民币普通股
    湖北水牛实业发展有限公司                                                 33,708,883            人民币普通股
    广州钢铁企业集团有限公司                                                  9,338,415            人民币普通股
    辽宁成大、吉林敖东、中山公用及香江集团承诺,原持有广发证券的股份转换而成的存续公司
    上述股东关联关系或一致行动的
    股票,自延边公路股权分置改革实施复牌之日起三十六个月内,即 2013 年 2 月 12 日前,不上
    说明
    市交易及转让。
    3.3 控股股东及实际控制人变更情况
    □ 适用 √ 不适用
    公司无控股股东及实际控制人,直接持有公司5%以上的股东有4家,分别为辽宁成大股份有限公司(以下简称“辽宁成
    大”);吉林敖东药业集团股份有限公司(以下简称“吉林敖东”);中山公用事业集团股份有限公司(以下简称“中山公用”);
    香江集团有限公司(以下简称“香江集团”)。报告期内,公司前四大股东情况均未发生变化。
    §4 董事、监事和高级管理人员情况
    4.1 董事、监事和高级管理人员持股变动
    □ 适用 √ 不适用
    §5 董事会报告
    5.1 经营情况讨论与分析
    公司是中国证监会核准的首批综合类证券公司之一,在 2008 年至 2010 年证券公司分类监管评级中连续三年被评为 A
    类 A 级,在 2011 年被评为 A 类 AA 级证券公司。2011 年上半年,公司高度重视健全内部管理体制,不断完善风险防范机
    制,继续加大对业务的投入,逐渐优化利润来源结构,传统业务继续保持平稳发展,创新业务取得了快速发展。
    截至报告期末,公司注册资本2,507,045,732元人民币,经营范围为:证券经纪;证券投资咨询;与证券交易、证券投资
    活动有关的财务顾问;证券承销与保荐;证券自营;证券资产管理;证券投资基金代销;为期货公司提供中间介绍业务;融
    4
    广发证券股份有限公司 2011 年半年度报告摘要
    资融券。
    截至 2011 年 6 月 30 日,公司总资产 702.85 亿元,较年初下降 26.75%;净资产(归属于上市公司股东)194.98 亿元,
    较年初增长 0.50%;2011 年上半年,实现营业收入 32.71 亿元,较上年同期下降 9.98%;实现净利润(归属于上市公司股东)
    13.43 亿元,较上年同期下降 18.09%。
    由于股市的整体下行和市场竞争白热化,公司经营业绩有所下降,但剔除去年转让所持广发华福证券有限责任公司(以
    下简称“广发华福”)股权的影响,公司今年上半年的整体营业收入较去年同期增长 0.47%。
    2011 年上半年,行业竞争导致证券交易佣金费率持续下降,公司在队伍建设、营销与客户服务、新设网点等方面投入
    加大,经纪业务利润率比上年同期减少 15.65 个百分点。上半年股票市场跌宕起伏,公司合理把握风险,自营业务收入较上
    年同期增长 237.85%,自营业务利润率提高 10.90 个百分点。上半年公司投行业务稳步发展,较好地把握了发行节奏以及各
    类企业对债券融资的需求,公司投资银行业务收入同比增长 45.30%。资产管理业务因管理规模迅速扩大,营业收入同比增
    长 72.93%。公司继续加大力度推广新业务,提高融资融券业务规模,稳妥推进股指期货业务,实现多元化的业务收入结构。
    公司的各子公司按照既定的经营方针,发展态势良好。整体来看,公司主营业务在市场环境并不理想的情况下,较好地贯彻
    了提高运营质量、抗御市场风险的思路。
    5.2 主营业务分行业、产品情况表
    单位:万元
    主营业务分行业情况
    营业收入比上年 营业成本比上年 营业利润率比上
    分行业或分产品       营业收入        营业成本       营业利润率(%)
    同期增减(%) 同期增减(%) 年同期增减(%)
    证券经纪业务            183,263.15        99,219.82           45.86%             -27.08%              2.56%           -15.65%
    投资银行业务             43,999.65        12,418.95           71.77%              45.30%              45.98%           -0.13%
    证券自营业务             22,452.85         3,551.16           84.18%             237.85%              99.99%          10.90%
    资产管理业务             11,781.94         2,741.68           76.73%              72.93%              87.68%           -1.83%
    5.2 主营业务分地区情况
    1、营业收入分地区情况
    单位:元
    2011 年 1-6 月                          2010 年 1-6 月
    地区
    营业部家数            营业收入         营业部家数              营业收入            增减百分比
    安徽                 1                2,883,428.42           1                  2,503,326.56          15.18%
    北京                 6                67,982,571.86          6                 91,187,940.75         -25.45%
    福建                 3                35,779,053.51          3                 39,015,157.16          -8.29%
    甘肃                 1                12,313,842.53          1                 16,428,846.77         -25.05%
    广东                 89              911,120,883.44         82            1,052,230,277.55           -13.41%
    广西                 1                9,772,219.01           1                  9,610,953.67           1.68%
    贵州                 1                5,422,966.38           1                  6,046,357.24         -10.31%
    海南                 3                12,651,507.76          3                 15,766,007.33         -19.75%
    河北                 11               98,114,664.47         12                113,349,839.90         -13.44%
    河南                 3                9,512,370.05           2                 10,670,971.92         -10.86%
    黑龙江                1                11,057,180.02          1                 11,715,955.18          -5.62%
    5
    广发证券股份有限公司 2011 年半年度报告摘要
    湖北                16               117,423,043.74               17               145,746,544.18          -19.43%
    湖南                 1                 2,203,243.88               1                  1,790,785.63           23.03%
    吉林                 3                30,215,783.12               4                 37,331,518.89          -19.06%
    江苏                 5                31,192,237.41               5                 31,382,560.33           -0.61%
    江西                 1                 2,267,952.26               1                  1,641,540.35           38.16%
    辽宁                11                85,418,135.22               10               116,869,319.66          -26.91%
    山东                 5                34,741,875.74               5                 37,117,972.36           -6.40%
    山西                 1                 9,143,423.83               1                 10,989,661.48          -16.80%
    陕西                 2                32,205,971.90               2                 34,165,209.38           -5.73%
    上海                11                97,035,287.57               11               113,745,092.77          -14.69%
    四川                 2                14,983,649.61               2                 15,001,209.54           -0.12%
    天津                 2                16,531,617.78               3                 19,926,028.60          -17.04%
    新疆                 1                 4,756,950.92               1                  2,503,685.18           90.00%
    云南                 3                21,791,593.07               3                 21,124,423.90            3.16%
    浙江                 7                45,247,406.44               7                 50,435,933.26          -10.29%
    重庆                 3                22,029,241.93               3                 22,581,247.03           -2.44%
    总部                               1,372,927,114.46                             1,089,697,063.06            25.99%
    母公司合计                            3,116,725,216.33                             3,120,575,429.63            -0.12%
    境内子公司                              138,501,401.23                                498,886,695.91          -72.24%
    抵销                                       -204,306.00                                   -204,306.00
    境内合计           194               3,255,022,311.56              189            3,619,257,819.54           -10.06%
    境外(含港澳)                             15,777,907.80                                 14,025,422.27           12.50%
    总计             194               3,270,800,219.36              189            3,633,283,241.81            -9.98%
    2、营业利润分地区情况
    单位:元
    2011 年 1-6 月                               2010 年 1-6 月
    地区
    营业部家数             营业利润              营业部家数               营业利润             增减百分比
    安徽             1                     -276,460.72            1                           -268,303.65        -3.04%
    北京             6                   26,877,849.78            6                      54,056,217.47          -50.28%
    福建             3                   16,243,974.45            3                      23,419,754.35          -30.64%
    甘肃             1                    5,287,892.01            1                      10,077,983.77          -47.53%
    广东             89                 474,251,984.76            82                    683,062,824.23          -30.57%
    广西             1                    4,869,098.72            1                       5,267,319.61           -7.56%
    贵州             1                    1,387,862.92            1                       2,711,663.91          -48.82%
    海南             3                    3,968,369.33            3                       8,721,647.17          -54.50%
    河北             11                  48,923,672.10            12                     74,132,382.84          -34.00%
    河南             3                     -315,089.06            2                       5,415,848.43         -105.82%
    黑龙江            1                    4,446,191.49            1                       6,724,987.78          -33.89%
    湖北             16                  57,194,273.23            17                     89,228,114.77          -35.90%
    湖南             1                     -856,858.19            1                           -844,152.17        -1.51%
    吉林             3                   15,058,709.31            4                      23,477,601.33          -35.86%
    江苏             5                    5,680,967.09            5                       8,497,809.31          -33.15%
    6
    广发证券股份有限公司 2011 年半年度报告摘要
    江西            1              -1,085,618.69    1                  -808,142.80       -34.34%
    辽宁            11            36,998,886.20    10                72,182,400.89       -48.74%
    山东            5               8,735,611.72    5                16,457,976.77       -46.92%
    山西            1               4,852,909.48    1                  6,974,047.22      -30.41%
    陕西            2             13,161,380.00     2                20,332,497.06       -35.27%
    上海            11            25,598,206.98    11                57,004,788.16       -55.09%
    四川            2               4,307,618.54    2                  6,298,533.26      -31.61%
    天津            2               6,671,655.19    3                10,711,657.93       -37.72%
    新疆            1                 -58,378.22    1                  -717,939.23        91.87%
    云南            3             11,664,552.33     3                13,972,516.87       -16.52%
    浙江            7             13,286,213.76     7                22,758,581.35       -41.62%
    重庆            3               7,583,198.25    3                11,247,579.05       -32.58%
    总部                         867,421,752.01                     639,163,182.65        35.71%
    母公司合计                     1,661,880,424.77                   1,869,259,378.33      -11.09%
    境内子公司                       49,666,296.56                     252,582,039.91       -80.34%
    抵销                                    0.00                               0.00
    境内合计         194          1,711,546,721.33   189             2,121,841,418.24      -19.34%
    境外(含港澳)                      -3,296,230.63                       -504,253.13       553.69%
    总计           194          1,708,250,490.70   189             2,121,337,165.11      -19.47%
    5.3 主营业务及其结构发生重大变化的原因说明
    □ 适用 √ 不适用
    5.4 主营业务盈利能力(毛利率)与上年相比发生重大变化的原因说明
    □ 适用 √ 不适用
    5.5 利润构成与上年度相比发生重大变化的原因分析
    □ 适用 √ 不适用
    5.6 募集资金使用情况
    5.6.1 募集资金使用情况对照表
    □ 适用 √ 不适用
    5.6.2 变更募集资金投资项目情况表
    □ 适用 √ 不适用
    5.7 董事会下半年的经营计划修改计划
    □ 适用 √ 不适用
    7
    广发证券股份有限公司 2011 年半年度报告摘要
    5.8 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
    5.9 公司董事会对会计师事务所本报告期“非标准审计报告”的说明
    □ 适用 √ 不适用
    5.10 公司董事会对会计师事务所上年度“非标准审计报告”涉及事项的变化及处理情况的说明
    □ 适用 √ 不适用
    §6 重要事项
    6.1 收购、出售资产及资产重组
    6.1.1 收购资产
    □ 适用 √ 不适用
    6.1.2 出售资产
    □ 适用 √ 不适用
    6.1.3 自资产重组报告书或收购出售资产公告刊登后,该事项的进展情况及对报告期经营成果与财务状况
    的影响
    □ 适用 √ 不适用
    6.2 担保事项
    □ 适用 √ 不适用
    6.3 非经营性关联债权债务往来
    □ 适用 √ 不适用
    6.4 重大诉讼仲裁事项
    √ 适用 □ 不适用
    1、上海迅捷证券合同纠纷案
    2008 年 3 月 21 日,上海迅捷国际印务有限公司(以下简称“上海迅捷”)以原广发证券上海水清南路证券营业部拒绝归还
    保证金为由,向上海市第一中级人民法院提起诉讼,要求原广发证券和原广发证券上海水清南路证券营业部归还人民币
    66,323,222.06 元,并支付相应利息。2009 年 11 月 19 日,上海市高级人民法院作出(2008)沪高民二(商)终字第 78 号民事判决
    书,判决原广发证券和原广发证券上海水清南路证券营业部赔偿上海迅捷人民币 45,399,325.24 元,并承担案件受理费人民币
    673,419.20 元。截至 2009 年 12 月 31 日,原广发证券已为上述诉讼确认预计负债人民币 45,620,306.46 元。本公司于 2010 年 2
    月 22 日向最高人民法院申请再审及暂缓执行,但仍于 2010 年 3 月 15 日被上海市第一中级人民法院扣划执行款人民币
    47,111,814.13 元。2010 年 10 月 29 日,最高人民法院裁定由于上海迅捷已于起诉前被注销工商登记,并无诉讼主体资格,撤
    销一、二审判决结果。因此,2010 年 11 月 10 日,本公司向上海市第一中级人民法院申请退还扣划款项。
    2010 年 11 月 12 日,上海迅捷股东浙江茉织华印刷有限公司与上海九龙山股份有限公司向上海市第一中级人民法院提起
    8
    广发证券股份有限公司 2011 年半年度报告摘要
    诉讼,要求本公司返还人民币 66,311,656.55 元及相应利息。该案于 2011 年 1 月 11 日开庭审理,2011 年 3 月 2 日本公司收到
    一审《民事判决书》,判决本公司及本公司水清南路证券营业部于判决生效之日起十日内偿付两原告人民币 45,399,325.24 元,
    并承担案件受理费人民币 255,600 元。判决还称,“两原告在庭审中明确表示,可以将本案诉讼的预期胜诉利益与本院(2010)
    沪一中执字第 1385 号执行回转案件予以抵销,不再因本案提起新的执行程序”。本公司已向上海市高级人民法院提起上诉,
    要求撤销一审判决,驳回两原告对本公司的全部诉讼请求并承担全部诉讼费用。2011 年 7 月,本公司收到上海市高级人民法
    院二审《民事判决书》,判决“驳回上诉,维持原判”。目前本公司拟向最高人民法院提出申诉。
    2、海南华银信托托管费纠纷案
    2008 年 4 月 15 日,海南华银国际信托投资公司管理人以广发证券占用海南华银资金为由,向海南省中级人民法院提起诉
    讼,要求公司返还 2038 万元本金及利息 8,327,369.90 元。2009 年 11 月 30 日,海南省高级人民法院判决公司向海南华银国际
    信托投资公司管理人返还 1,050 万元及占用期间利息。该案已二审终结,尚未执行完毕。2011 年 6 月 9 日,海南省第一中级
    人民法院出具《执行裁定书》,要求本公司向海南华银国际信托投资公司管理人给付本金及利息 1700 万元,目前已强制执行
    1093 万元。本公司已向海南省第一中级人民法院提出执行异议申请。
    3、铜梁县农村信用合作联社诉重庆营业部国债返还纠纷案
    2005 年 3 月 15 日,铜梁县农村信用合作联社以公司重庆科园一路证券营业部账户监管不当为由,向重庆市铜梁县人民法
    院起诉,要求公司重庆科园一路证券营业部返还 2001 年三期国债 11,561,343.60 元及利息。2005 年 6 月,铜梁县人民法院接
    上级法院通知中止审理此案。
    4、秦皇岛中院对我司自有资金错误执行案
    2010 年 12 月 15 日,秦皇岛市中级人民法院以经中国银行秦皇岛分行申请,执行“被执行人河北省证券有限公司秦皇岛
    证券交易营业部在广发证券股份有限公司处的自有资金 3400 万元”为由,扣划了我司自有资金 3400 万元。由于秦皇岛证券
    交易营业部与我司没有直接关系,我司向秦皇岛市中级人民法院提出了执行异议,但该异议被法院于 2011 年 3 月 7 日驳回。
    我司随即以申请执行人中国银行秦皇岛分行为被告向秦皇岛市中院提起了诉讼并获立案。现该案开庭时间尚未确定,正处于
    庭审前的准备阶段。
    6.5 其他重大事项及其影响和解决方案的分析说明
    √ 适用 □ 不适用
    1、发起设立广发沿海产业(大连)基金管理有限公司(暂定名)及广发沿海产业(大连)基金(暂定名)事项
    2011 年 3 月 10 日,公司第六届董事会第二十一次会议审议通过了《关于参与发起设立广发沿海产业(大连)基金管理有
    限公司(暂定名)、广发沿海产业(大连)基金(暂定名)暨与辽宁成大共同投资的关联交易的议案》。公司的全资子公司广
    发信德投资管理有限公司拟与辽宁成大股份有限公司(系本公司第一大股东)、大连一方集团有限公司在辽宁省大连市共同发
    起设立广发沿海产业(大连)基金管理有限公司(暂定名)及广发沿海产业(大连)基金(暂定名)。根据《深圳证券交易所
    股票上市规则》(2008 年修订)有关规定,上述行为构成关联交易,但不构成《上市公司重大资产重组管理办法》规定的重大
    资产重组。公司独立董事对于该事项发表了事前认可意见和独立意见。设立基金管理公司及产业基金尚需获得中国证监会等
    的批准后方可最终实施,最终方案以中国证监会等的批准为准。
    2、非公开发行股票方案
    2010 年 9 月 1 日,公司 2010 年第四次临时股东大会审议通过了非公开发行股票方案。公司将向不超过 10 名特定对象非
    公开发行不超过 60,000 万股股票,发行价格不低于 27.41 元/股,募集资金总额不超过 180 亿元。所募集资金将全部用于增加
    发行人资本金,补充公司营运资金,以扩大业务经营,提升公司的市场竞争力和抗风险能力。
    2011 年 3 月 14 日,中国证监会对本公司非公开发行 A 股股票的行政许可申请予以受理。
    2011 年 5 月 16 日,中国证券监督管理委员会发行审核委员会对本公司 2010 年非公开发行 A 股股票的申请进行了审核。
    根据会议审核结果,公司本次非公开发行 A 股股票的申请获无条件通过。
    2011 年 6 月 2 日,公司收到中国证券监督管理委员会《关于核准广发证券股份有限公司非公开发行股票的批复》(证监许
    可[2011]843 号),核准公司非公开发行不超过 60,000 万股 A 股新股,自核准发行之日起 6 个月内有效。
    2011 年 6 月 14 日,公司发布了关于 2010 年非公开发行 A 股股票发行底价调整的公告,在公司分红除息后对本次非公开
    发行股票的发行底价进行相应调整,由不低于 27.41 元/股调整为不低于 26.91 元/股。
    公司本次非公开发行 A 股股票预计将在 2011 年 8 月底之前发行完成。
    3、向广发信德投资管理有限公司增资事项
    2011 年 6 月 10 日,公司第七届董事会第三次会议审议通过了《关于向广发信德投资管理有限公司增资的议案》,同意以
    公司自有资金向广发信德增资 2 亿元人民币,并授权公司经营管理层根据国家有关规定,全权办理增资广发信德的有关事宜。
    2011 年 7 月,广发信德获得广东省工商行政管理局换发的新营业执照,注册资本为人民币 15 亿元。
    6.5.1 证券投资情况
    √ 适用 □ 不适用
    9
    广发证券股份有限公司 2011 年半年度报告摘要
    单位:元
    占期末证券
    期末持有数
    序号 证券品种 证券代码         证券简称      初始投资金额(元)                      期末账面值         总投资比例     报告期损益
    量(股)
    (%)
    1     债券       1080068 10 苏交通债             519,928,194.41      5,200,000       503,882,080.00         3.36%        8,791,249.10
    2     债券        110005   11 附息国债 05        498,938,747.14      5,000,000       484,533,500.00         3.23%        7,112,372.80
    3     可转债      113001   中行转债              412,947,470.41      4,013,350       423,930,160.50         2.83%      -14,901,954.49
    4     债券        122070   11 海航 01             411,808,611.22     4,100,000       411,980,300.00         2.75%         167,228.53
    5     债券        092503   09 农行 013           299,410,701.35      3,000,000       291,903,600.00         1.95%        4,247,147.39
    6     债券        123000   09 宜华债             280,317,844.40      2,800,000       279,939,240.00         1.87%      11,078,622.51
    7     债券        122071   11 海航 02            261,363,859.90      2,600,000       260,378,300.00         1.74%        -988,414.05
    8     债券        058031   05 中信债 1           243,321,871.51      2,500,000       245,969,500.00         1.64%        5,785,520.66
    9     债券        122011   08 金发债             206,677,616.14      2,000,000       210,020,000.00         1.40%        6,744,713.92
    10     债券        122995   08 合建投             200,301,923.15      2,000,000       205,160,000.00         1.37%        4,074,936.59
    期末持有的其他证券投资                  11,689,847,114.54       -           11,664,150,973.23       77.86%     -108,855,627.27
    报告期已出售证券投资损益                        -                -                  -                -          195,194,700.06
    合计                        15,024,863,954.17       -          14,981,847,653.73            100%   118,450,495.75
    证券投资情况说明
    无
    6.5.2 持有其他上市公司股权情况
    √ 适用 □ 不适用
    单位:元
    占该公司                                       报告期所有者权              股份来
    证券代码            证券简称      初始投资金额                   期末账面值       报告期损益                      会计核算科目
    股权比例                                           益变动                    源
    可供出售金融 包销及
    000623      吉林敖东                61,537,276.88       4.23%    897,453,398.40       728,215.98      71,170,999.76
    资产         购买
    可供出售金融
    300110      华仁药业                32,000,000.00       4.68%    142,900,000.00             0.00     -44,100,000.00                投资
    资产
    可供出售金融
    002509      天广消防                15,000,000.00       5.00%    116,700,000.00             0.00     -39,550,000.00                投资
    资产
    可供出售金融
    300198      纳川股份                15,480,000.00       4.35%    110,440,000.00             0.00      94,960,000.00                投资
    资产
    可供出售金融
    300219      鸿利光电                20,000,000.00       5.16%    103,169,546.00             0.00      83,169,546.00                投资
    资产
    可供出售金融
    600036      招商银行                53,764,080.00       0.02%     52,211,502.00         2,929.00      -1,522,159.00                购买
    资产
    可供出售金融
    600000      浦发银行                50,323,278.25       0.03%     49,199,734.32             0.00      -1,123,543.93                购买
    资产
    可供出售金融
    601766      中国南车                48,471,500.00       0.06%     49,840,000.00             0.00       1,368,500.00                购买
    资产
    可供出售金融
    000629      攀钢钒钛                45,941,571.83       0.07%     44,278,970.49             0.00      -1,662,601.34                购买
    资产
    可供出售金融
    600015      华夏银行                44,762,360.00       0.06%     43,480,000.00             0.00      -1,282,360.00                购买
    资产
    -           其他上市公司股权        50,238,580.92                 98,637,113.08       402,595.20      10,393,986.45 可供出售金融 -
    10
    广发证券股份有限公司 2011 年半年度报告摘要
    资产
    合计            437,518,647.88   -       1,708,310,264.29   1,133,740.18   171,822,367.94          -        -
    6.5.3 大股东及其附属企业非经营性资金占用及清偿情况表
    □ 适用 √ 不适用
    6.5.4 公司、股东及实际控制人承诺事项履行情况
    上市公司及其董事、监事和高级管理人员、公司持股 5%以上股东及其实际控制人等有关方在报告期内或持续到报告期内的
    以下承诺事项
    √ 适用 □ 不适用
    承诺事项                   承诺人                       承诺内容                           履行情况
    辽宁成大、吉林敖东、中山公用及
    辽宁成大股份有限公司、吉林   香江集团承诺,原持有广发证券的
    敖东药业集团股份有限公司、   股份转换而成的存续公司股票,自
    中山公用事业集团股份有限公   本次交易完成及新增股份发行结
    司、香江集团有限公司、广东   束之日起三十六个月内,不上市交 限售期内,除吉林省机械有限公司所
    粤财信托有限公司、广州高金   易及转让;广东粤财信托有限公 持股份发生司法过户之外,其他股东
    技术产业集团有限公司、酒泉   司、广州高金技术产业集团有限公 所持股份未发生转让。2010 年 4 月
    钢铁(集团)有限责任公司、   司、酒泉钢铁(集团)有限责任公 21 日,根据《吉林市船营区人民法
    普宁市信宏实业投资有限公     司、普宁市信宏实业投资有限公 院民事调解书》,中国证券登记结算
    司、亨通集团有限公司、安徽   司、亨通集团有限公司、安徽华茂 有限责任公司深圳分公司将吉林省
    华茂纺织股份有限公司、深圳   纺织股份有限公司、深圳市汇天泽 公路机械有限公司持有本公司的
    股改承诺
    市汇天泽投资有限公司、宜华   投资有限公司、宜华企业(集团)1,908,478 股股份办理了司法过户手
    企业(集团)有限公司、湖北   有限公司、湖北水牛实业发展有限 续。2011 年 2 月 21 日,除辽宁成大、
    水牛实业发展有限公司、广州   公司、广州钢铁企业集团有限公 吉林敖东、中山公用和香江集团继续
    钢铁企业集团有限公司、神州   司、神州学人集团股份有限公司、履行承诺外,其他股东承诺自延边公
    学人集团股份有限公司、广东   广东肇庆星湖生物科技股份有限 路股权分置改革实施复牌之日起十
    肇庆星湖生物科技股份有限公   公司、吉林省公路机械厂、吉林省 二个月内不上市交易及转让的股权
    司、吉林省公路机械厂、吉林   公路勘测设计院、吉林省公路机械 已经解除限售。
    省公路勘测设计院、吉林省公   有限公司、李可英、赵媛媛、宋健、
    路机械有限公司、李可英、赵   张淑梅承诺:自延边公路股权分置
    媛媛、宋健、张淑梅           改革实施复牌之日起十二个月内,
    不上市交易及转让。
    1、广发证券及其高级管理人员承
    诺,本次交易完成后,广发证券作
    为公众公司将严格履行信息披露
    和投资者教育方面的义务。上市后
    的广发证券除需满足一般上市公
    司的信息披露要求外,将针对广发
    证券自身特点,在定期报告中充分
    披露客户资产保护、风险控制、合
    规检查、创新业务开展与风险管理
    等信息,强化对投资者的风险揭
    收购报告书或权益变动报 公司及公司有限售条件股东、
    示。2、广发证券及其高级管理人 报告期内,各承诺方均履行了承诺。
    告书中所作承诺         董事和高级管理人员
    员承诺,将严格按照《证券公司风
    险控制指标管理办法》的规定,完
    善风险管理制度,健全风险监控机
    制,建立对风险的实时监控系统,
    加强对风险的动态监控,增强识
    别、度量、控制风险的能力,提高
    风险管理水平。3、为避免与换股
    吸收合并后存续公司发生同业竞
    争并为规范可能发生的关联交易,
    辽宁成大股份有限公司和吉林敖
    11
    广发证券股份有限公司 2011 年半年度报告摘要
    东药业集团股份有限公司作出如
    下承诺:①作为换股吸收合并后存
    续公司的第一大股东和第二大股
    东,保证现在和将来不经营与存续
    公司业务相同的业务;亦不间接经
    营、参与投资与存续公司业务有竞
    争或可能有竞争的企业。同时保证
    不利用其股东的地位损害存续公
    司及其它股东的正当权益。并且将
    促使其全资拥有或其拥有 50%股
    权以上或相对控股的下属子公司
    遵守上述承诺。②对于辽宁成大股
    份有限公司和吉林敖东药业集团
    股份有限公司及其关联方将来与
    存续公司发生的关联交易,将严格
    履行上市公司关联交易的决策程
    序,遵循市场定价原则,确保公平、
    公正、公允,不损害中小股东的合
    法权益。4、辽宁成大股份有限公
    司、吉林敖东药业集团股份有限公
    司分别出具了关于保持吸收合并
    后存续公司独立性的承诺,并承诺
    与存续公司的资金往来将严格遵
    守《关于规范上市公司与关联方资
    金往来及上市公司对外担保若干
    问题的通知》(证监发[2003]56 号)
    和《关于规范上市公司对外担保行
    为的通知》(证监发[2005]120 号)
    的有关规定。
    重大资产重组时所作承诺 同上                           同上                             同上
    发行时所作承诺           无                           无                               无
    其他承诺(含追加承诺) 无                             无                               无
    6.5.5 董事会本次利润分配或资本公积金转增股本预案
    √ 适用 □ 不适用
    根据公司 2010 年度股东大会审议通过的《广发证券股份有限公司 2010 年利润分配方案》,确定如下现金分红方案:以公
    司现有股本 2,507,045,732 股,每 10 股派发现金红利 5.00 元(含税),实际分配现金红利 1,253,522,866.00 元。公司于 2011 年
    6 月 14 日刊登了《广发证券股份有限公司 2010 年度权益分派实施公告》,现金红利已于 2011 年 6 月 22 日发放。
    6.5.6 其他综合收益细目
    单位:元
    项目                                   本期发生额                        上期发生额
    1.可供出售金融资产产生的利得(损失)金额                               148,913,672.68                  -496,069,469.41
    减:可供出售金融资产产生的所得税影响                                     16,169,040.98                  -134,214,925.61
    前期计入其他综合收益当期转入损益的净额                                   84,237,508.80                    40,790,233.04
    小计                                                                     48,507,122.90                  -402,644,776.84
    2.按照权益法核算的在被投资单位其他综合收益中所
    -31,129,457.35                  -103,095,414.10
    享有的份额
    减:按照权益法核算的在被投资单位其他综合收益中所
    享有的份额产生的所得税影响
    12
    广发证券股份有限公司 2011 年半年度报告摘要
    前期计入其他综合收益当期转入损益的净额
    小计                                                                  -31,129,457.35                -103,095,414.10
    3.现金流量套期工具产生的利得(或损失)金额
    减:现金流量套期工具产生的所得税影响
    前期计入其他综合收益当期转入损益的净额
    转为被套期项目初始确认金额的调整额
    小计
    4.外币财务报表折算差额                                               -10,098,279.65                  -2,042,449.46
    减:处置境外经营当期转入损益的净额
    小计                                                                  -10,098,279.65                  -2,042,449.46
    5.其他
    减:由其他计入其他综合收益产生的所得税影响
    前期其他计入其他综合收益当期转入损益的净额
    小计
    合计                                                                   7,279,385.90                 -507,782,640.40
    6.6 报告期接待调研、沟通、采访等活动情况表
    接待时间            接待地点        接待方式        接待对象               谈论的主要内容及提供的资料
    询问公司日常经营情况以及公司非公开发
    2011 年 06 月 30 日   无              电话沟通        公众投资者
    行方案等
    2011 年 05 月 26 日   公司总部        实地调研        国泰君安证券研究员   公司业务发展情况和定向增发进展等情况
    §7 财务报告
    7.1 审计意见
    财务报告                      √未经审计   □审计
    7.2 财务报表
    13
    广发证券股份有限公司 2011 年半年度报告摘要
    7.2.1 资产负债表
    编制单位:广发证券股份有限公司                      2011 年 6 月 30 日                         单位:人民币元
    期末数                                         年初数
    资产
    合并数                 公司数                 合并数                 公司数
    流动资产:
    货币资金                 41,328,772,016.06        37,886,375,209.93      48,148,721,138.41       44,720,786,522.55
    其中:客户资金存款       38,663,246,885.58        36,649,441,947.85      45,391,262,818.66       42,936,311,293.15
    结算备付金                3,403,975,581.70         3,016,868,370.99      21,819,343,550.68       21,501,422,981.44
    其中:客户备付金          3,276,910,338.72         2,862,931,787.98      21,656,496,836.63       21,364,881,118.95
    拆出资金                                   -                      -                      -                       -
    交易性金融资产            9,248,976,583.51         9,154,230,453.06      11,316,704,542.27       11,224,446,563.05
    衍生金融资产                               -                      -                      -                       -
    买入返售金融资产                           -                      -                      -                       -
    应收利息                   176,995,371.87           169,137,598.43          127,960,694.61         122,414,211.94
    存出保证金                2,406,329,306.54         1,048,632,690.25       2,599,932,567.62        1,047,334,096.96
    可供出售金融资产          7,443,355,254.51         6,907,256,708.51       6,308,600,791.62        5,923,260,791.62
    持有至到期投资                             -                      -                      -                       -
    长期股权投资              2,724,358,342.82         4,247,988,822.19       2,441,166,709.97        3,570,806,739.34
    投资性房地产                    8,921,358.54           8,921,358.54           9,125,664.48            9,125,664.48
    固定资产                   633,986,287.99           615,172,772.08          679,210,776.24         659,171,319.58
    无形资产                   414,527,828.02           411,269,962.35          425,549,505.81         422,457,965.78
    其中:交易席位费                5,544,492.33           3,412,684.33           7,326,242.07            5,177,450.07
    商誉                                       -                      -                      -                       -
    递延所得税资产             187,623,269.42           184,538,859.48          456,304,995.29         448,978,360.38
    其他资产                  2,307,651,036.26         2,066,395,907.51       1,613,959,202.21        1,386,133,585.24
    资产合计                   70,285,472,237.24        65,716,788,713.32      95,946,580,139.21       91,036,338,802.36
    公司法定代表人:林治海       主管会计工作负责人:孙晓燕                       会计机构负责人:孙晓燕
    14
    广发证券股份有限公司 2011 年半年度报告摘要
    资产负债表(续)
    编制单位:广发证券股份有限公司                      2011 年 6 月 30 日                     单位:人民币元
    期末数                                     年初数
    负债和股东权益
    合并数                 公司数               合并数                公司数
    负债:
    短期借款                       124,584,590.59                       -                   -                     -
    其中:质押借款                 124,584,590.59                       -                   -                     -
    拆入资金                      1,000,000,000.00       1,000,000,000.00                   -                     -
    交易性金融负债                               -                      -                   -                     -
    衍生金融负债                                 -                      -                   -                     -
    卖出回购金融资产款            3,779,394,998.34       3,779,394,998.34    2,996,117,960.68      2,996,117,960.68
    代理买卖证券款            43,880,654,043.13         40,157,897,523.23   69,128,560,398.80   64,843,136,328.13
    代理承销证券款                               -                      -       63,040,000.00         63,040,000.00
    应付职工薪酬                   932,957,151.55         929,984,956.24     2,074,767,029.19      2,045,997,094.48
    应交税费                       448,022,915.47         439,754,048.74     1,488,997,810.24      1,464,767,182.91
    应付利息                         7,825,013.43            7,825,013.43        8,034,014.75          8,034,014.75
    预计负债                         6,561,343.00            6,561,343.00        6,561,343.00          6,561,343.00
    长期借款                                     -                      -                   -                     -
    应付债券                                     -                      -                   -                     -
    递延所得税负债                 307,367,981.65         196,900,808.83       368,760,360.29        285,119,371.07
    其他负债                       262,365,643.48         202,610,612.28       380,635,224.42        317,508,390.22
    负债合计                    50,749,733,680.64         46,720,929,304.09   76,515,474,141.37   72,030,281,685.24
    股东权益:
    股本                          2,507,045,732.00       2,507,045,732.00    2,507,045,732.00      2,507,045,732.00
    资本公积                       969,457,140.15         638,243,230.65       952,079,474.60        701,324,474.60
    减:库存股                                   -                      -                   -                     -
    盈余公积                      1,943,300,413.77       1,927,970,043.82    1,943,300,413.77      1,927,970,043.82
    一般风险准备                  4,101,701,068.21       4,101,701,068.21    4,101,701,068.21      4,101,701,068.21
    未分配利润                10,004,742,447.03          9,820,899,334.55    9,915,240,282.01      9,768,015,798.49
    外币报表折算差额                -28,247,948.83                             -18,149,669.18
    归属于母公司股东权益合计    19,497,998,852.33         18,995,859,409.23   19,401,217,301.41   19,006,057,117.12
    少数股东权益                    37,739,704.27                               29,888,696.43
    股东权益合计                19,535,738,556.60         18,995,859,409.23   19,431,105,997.84   19,006,057,117.12
    负债和股东权益总计          70,285,472,237.24         65,716,788,713.32   95,946,580,139.21   91,036,338,802.36
    公司法定代表人:林治海       主管会计工作负责人:孙晓燕                    会计机构负责人:孙晓燕
    15
    广发证券股份有限公司 2011 年半年度报告摘要
    7.2.2 利润表
    编制单位:广发证券股份有限公司                       2011 年 1-6 月                        编制单位:折人民币
    本期数                                   上年同期数
    项目
    合并数                 公司数              合并数                 公司数
    一、营业收入                               3,270,800,219.36       3,116,725,216.33    3,633,283,241.81    3,120,575,429.63
    手续费及佣金净收入                         2,500,298,327.60       2,390,122,287.23    2,933,360,655.71    2,496,680,476.39
    其中:代理买卖证券业务净收入               1,846,000,009.56       1,839,817,943.84    2,423,166,300.49    2,090,930,238.05
    证券承销业务净收入                     409,230,842.56        406,773,904.22       259,123,933.84         259,094,000.00
    受托客户资产管理业务净收入              44,080,069.56         44,080,069.56        48,819,372.43          48,819,372.43
    利息净收入                                   332,434,271.61        295,969,090.93       385,882,656.05         300,702,212.27
    投资收益(损失以"-"号填列)                  752,854,206.43        741,704,789.84       603,944,702.51         552,430,584.00
    其中:对联营企业和合营企业的投资收益         233,519,540.20        233,519,540.20       242,988,867.67         242,988,867.67
    公允价值变动收益(损失以"-"号填列)         -319,445,401.16       -310,271,866.87      -293,318,808.16     -230,089,351.47
    汇兑收益(损失以"-"号填列)                    2,321,418.39          -2,687,376.95         -994,857.05            -875,401.48
    其他业务收入                                   2,337,396.49          1,888,292.15         4,408,892.75           1,726,909.92
    二、营业支出                               1,562,549,728.66       1,454,844,791.56    1,511,946,076.70    1,251,316,051.30
    营业税金及附加                               170,337,244.09        165,274,408.21       173,296,465.91         149,442,469.73
    业务及管理费                               1,390,832,322.89       1,287,601,311.67    1,334,897,532.72    1,099,264,366.97
    资产减值损失                                   1,175,855.74          1,764,765.74         2,673,237.04           2,404,908.66
    其他业务成本                                    204,305.94              204,305.94        1,078,841.03            204,305.94
    三、营业利润(亏损以"-"号填列)            1,708,250,490.70       1,661,880,424.77    2,121,337,165.11    1,869,259,378.33
    加:营业外收入                                16,128,058.75         16,102,737.54        58,768,327.61          12,630,414.97
    减:营业外支出                                 4,221,995.29          4,186,878.74        12,892,754.45           5,847,825.36
    四、利润总额(亏损总额以"-"号填列)        1,720,156,554.16       1,673,796,283.57    2,167,212,738.27    1,876,041,967.94
    减:所得税费用                               379,317,817.51        367,389,881.51       452,586,523.26         384,876,710.14
    五、净利润(净亏损以"-"号填列)            1,340,838,736.65       1,306,406,402.06    1,714,626,215.01    1,491,165,257.80
    归属于母公司股东的净利润                   1,343,025,031.02                           1,639,639,020.97
    少数股东损益                                  -2,186,294.37                              74,987,194.04
    六、每股收益:
    (一)基本每股收益                                      0.54                                      0.66
    (二)稀释每股收益                                      0.54                                      0.66
    七、其他综合收益                               7,279,385.90         -63,081,243.95     -507,782,640.40     -471,366,717.90
    八、综合收益总额                           1,348,118,122.55       1,243,325,158.11    1,206,843,574.61    1,019,798,539.90
    归属于母公司股东综合收益总额               1,350,304,416.92                           1,145,485,462.63
    归属于少数股东的综合收益总额                  -2,186,294.37                              61,358,111.98
    公司法定代表人:林治海              主管会计工作负责人:孙晓燕                 会计机构负责人:孙晓燕
    16
    广发证券股份有限公司 2011 年半年度报告摘要
    7.2.3 现金流量表
    编制单位:广发证券股份有限公司                       2011 年 1-6 月                       单位:人民币元
    2011 年 1-6 月                               2010 年 1-6 月
    合并数                 公司数             合并数                    公司数
    一、经营活动产生的现金流量:
    处置交易性金融资产净增加额                2,017,267,449.01     2,022,819,557.65         83,426,150.44
    收取利息、手续费和佣金的现金              3,467,120,086.74     3,295,829,763.33      3,942,998,683.81       3,310,568,900.38
    拆入资金净增加额                          1,000,000,000.00     1,000,000,000.00
    代理买卖证券收到的现金净额
    代理承销证券收到的现金净额
    代理兑付债券收到的现金净额
    回购业务资金净增加额                        783,277,037.66       783,277,037.66         57,805,679.98       1,202,805,679.98
    收到其他与经营活动有关的现金                124,635,641.25        14,114,329.17         23,151,788.01             64,883,197.49
    经营活动现金流入小计                      7,392,300,214.66     7,116,040,687.81      4,107,382,302.24       4,578,257,777.85
    购置交易性金融资产净减少额                                                                                    511,472,999.42
    支付利息、手续费及佣金的现金                641,864,320.20       615,699,025.63        633,487,684.67         535,494,578.98
    代理买卖证券支付的现金净额               25,200,526,572.27    24,641,929,357.72     12,417,201,656.18      12,000,184,257.55
    拆入资金净减少额
    回购业务资金净减少额
    支付给职工以及为职工支付的现金            1,945,925,071.03     1,865,234,528.22      1,725,664,326.53       1,522,626,860.93
    支付的各项税费                            1,469,454,990.38     1,440,632,187.52      1,081,219,068.72         942,147,539.87
    支付其他与经营活动有关的现金              1,227,660,997.87     1,177,144,886.63      1,086,339,877.97       1,009,706,342.27
    经营活动现金流出小计                     30,485,431,951.75    29,740,639,985.72     16,943,912,614.07      16,521,632,579.02
    经营活动产生的现金流量净额               -23,093,131,737.09   -22,624,599,297.91    -12,836,530,311.83    -11,943,374,801.17
    二、投资活动产生的现金流量:
    收回投资收到的现金                           11,130,000.00
    处置可供出售金融资产净增加额
    取得投资收益收到的现金                      307,466,758.54       303,109,865.54        332,330,903.23         309,599,824.72
    处置固定资产、无形资产和其他长期资产收
    5,242,859.95           5,242,859.95       75,889,607.40              1,268,616.81
    回的现金净额
    处置子公司及其他营业单位收到的现金净额
    收购营业部购买日持有现金
    收到其他与投资活动有关的现金
    投资活动现金流入小计                        323,839,618.49       308,352,725.49        408,220,510.63         310,868,441.53
    投资支付的现金                              263,781,200.00       678,792,000.00        188,944,200.00         500,000,000.00
    购置可供出售金融资产净减少额                974,425,759.33       974,425,759.33      1,236,724,201.19       1,186,934,602.67
    购建固定资产、无形资产和其他长期资产支
    97,335,629.95                              81,651,071.07
    付的现金                                                          93,291,348.37                                   68,819,663.67
    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                                                             2,634,340.00
    投资活动现金流出小计                      1,335,542,589.28     1,746,509,107.70      1,509,953,812.26       1,755,754,266.34
    17
    广发证券股份有限公司 2011 年半年度报告摘要
    投资活动产生的现金流量净额                 -1,011,702,970.79    -1,438,156,382.21    -1,101,733,301.63    -1,444,885,824.81
    三、筹资活动产生的现金流量:
    吸收投资收到的现金                            10,037,302.21                             12,655,705.59        12,655,705.59
    其中:子公司吸收少数股东投资收到的现金        10,037,302.21
    发行债券收到的现金
    取得借款收到的现金                           124,584,590.59
    收到其他与筹资活动有关的现金
    筹资活动现金流入小计                         134,621,892.80                             12,655,705.59        12,655,705.59
    偿还债务支付的现金
    分配股利、利润或偿付利息支付的现金          1,253,522,866.00    1,253,522,866.00     1,014,091,464.00     1,014,091,464.00
    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                                                             3,271,079.72
    筹资活动现金流出小计                        1,253,522,866.00    1,253,522,866.00     1,017,362,543.72     1,014,091,464.00
    筹资活动产生的现金流量净额                 -1,118,900,973.20    -1,253,522,866.00    -1,004,706,838.13    -1,001,435,758.41
    四、汇率变动对现金及现金等价物的影响          -11,581,410.25        -2,687,376.95        -6,945,209.03         -875,401.48
    五、现金及现金等价物净增加额              -25,235,317,091.33   -25,318,965,923.07   -14,949,915,660.62   -14,390,571,785.87
    加:期初现金及现金等价物余额               69,968,064,689.09   66,222,209,503.99    84,211,847,480.07    71,083,584,104.32
    六、期末现金及现金等价物余额               44,732,747,597.76   40,903,243,580.92    69,261,931,819.45    56,693,012,318.45
    公司法定代表人:林治海            主管会计工作负责人:孙晓燕                会计机构负责人:孙晓燕
    18
    广发证券股份有限公司 2011 年半年度报告摘要
    7.2.4 合并所有者权益变动表
    编制单位:广发证券股份有限公司                                               2011 年 1-6 月                                                          单位:人民币元
    归属于母公司所有者权益
    项    目                                                                                                                          少数股东权益      股东权益合计
    股本            资本公积          盈余公积         一般风险准备        未分配利润        外币报表折算
    一、2010 年 12 月 31 日余额      2,507,045,732.00   952,079,474.60   1,943,300,413.77   4,101,701,068.21    9,915,240,282.01   -18,149,669.18   29,888,696.43    19,431,105,997.84
    1、会计政策变更
    2、前期差错更正
    3、其他
    二、2011 年 1 月 1 日余额       2,507,045,732.00   952,079,474.60   1,943,300,413.77   4,101,701,068.21    9,915,240,282.01   -18,149,669.18   29,888,696.43    19,431,105,997.84
    三、本年增减变动金额                                17,377,665.55                                            89,502,165.02    -10,098,279.65    7,851,007.84      104,632,558.76
    (一)净利润                                                                                                 1,343,025,031.02                     -2,186,294.37    1,340,838,736.65
    (二)其他综合收益                                    17,377,665.55                                                             -10,098,279.65                         7,279,385.90
    上述(一)和(二)小计                                  17,377,665.55                                          1,343,025,031.02   -10,098,279.65    -2,186,294.37    1,348,118,122.55
    (三)所有者投入和减少资本                                                                                                                       10,037,302.21       10,037,302.21
    1、所有者投入资本                                                                                                                              10,037,302.21       10,037,302.21
    2、股份支付计入股东权益的金额
    3、其他
    (四)利润分配                                                                                              -1,253,522,866.00                                     -1,253,522,866.00
    1、提取盈余公积
    2、提取一般风险准备
    3、对股东的分配                                                                                           -1,253,522,866.00                                     -1,253,522,866.00
    4、其他
    (五)股东权益内部结转
    1、资本公积转增
    2、盈余公积转增
    3、盈余公积弥补亏损
    4、其他
    四、2011 年 6 月 30 日余额      2,507,045,732.00   969,457,140.15   1,943,300,413.77   4,101,701,068.21   10,004,742,447.03   -28,247,948.83   37,739,704.27    19,535,738,556.60
    公司法定代表人:林治海                                                 主管会计工作负责人:孙晓燕                                                   会计机构负责人:孙晓燕
    19
    广发证券股份有限公司 2011 年半年度报告摘要
    合并所有者权益变动表(续)
    编制单位:广发证券股份有限公司                                            2010 年 1-6 月                                                         单位:人民币元
    归属于母公司所有者权益                                               少数股东权
    项   目                                                                                                                                        股东权益合计
    股本            资本公积          盈余公积       一般风险准备        未分配利润       外币报表折           益
    一、2009 年 12 月 31 日余额     2,000,000,000.0   1,013,756,032.4   1,877,828,526.9   3,124,270,036.7   8,368,478,767.79   -10,326,430.4   868,522,183.6   17,242,529,117.1
    1、会计政策变更                              0                  1                 8                9                                  6               5                  6
    2、前期差错更正
    3、其他
    二、2010 年 1 月 1 日余额       2,000,000,000.0   1,013,756,032.4   1,877,828,526.9   3,124,270,036.7   8,368,478,767.79   -10,326,430.4   868,522,183.6   17,242,529,117.1
    三、本年增减变动金额            507,045,732.00    -563,257,506.37   -423,243,628.92                9     625,547,556.97    -2,042,449.46   58,087,032.26    202,136,736.48
    (一)净利润                                                                                              1,639,639,020.97                   74,987,194.04   1,714,626,215.01
    (二)其他综合收益                                  -492,111,108.88                                                          -2,042,449.46   -13,629,082.0   -507,782,640.40
    上述(一)和(二)小计                                -492,111,108.88                                       1,639,639,020.97   -2,042,449.46   61,358,111.98   1,206,843,574.61
    (三)所有者投入和减少资本                                                                                                                   -3,271,079.72      -3,271,079.72
    1、所有者投入资本                                                                                                                          -3,271,079.72      -3,271,079.72
    2、股份支付计入股东权益的金额
    3、其他
    (四)利润分配                                                                                            -1,014,091,464.0                                   -1,014,091,464.0
    1、提取盈余公积                                                                                                        0                                                 0
    2、提取一般风险准备
    3、对股东的分配                                                                                         -1,014,091,464.0                                   -1,014,091,464.0
    4、其他                                                                                                                0                                                 0
    (五)股东权益内部结转            507,045,732.00     -71,146,397.49   -423,243,628.92                                                                          12,655,705.59
    1、资本公积转增
    2、盈余公积转增
    3、盈余公积弥补亏损
    4、其他                         507,045,732.00     -71,146,397.49   -423,243,628.92                                                                          12,655,705.59
    四、2010 年 6 月 30 日余额      2,507,045,732.0   450,498,526.04    1,454,584,898.0   3,124,270,036.7   8,994,026,324.76   -12,368,879.9   926,609,215.9   17,444,665,853.6
    公司法定代表人:林治海                        0                        主管会计工作负责人:孙晓燕9
    6                                                     2          会计机构负责人:孙晓燕4
    1
    20
    广发证券股份有限公司 2011 年半年度报告摘要
    7.2.5 母公司所有者权益变动表
    编制单位:广发证券股份有限公司                                       2011 年 1-6 月                                                单位:人民币元
    项      目            股本            资本公积              盈余公积         一般风险准备          未分配利润             股东权益合计
    一、2010 年 12 月 31 日余额      2,507,045,732.00   701,324,474.60       1,927,970,043.82   4,101,701,068.21        9,768,015,798.49      19,006,057,117.12
    1、会计政策变更
    2、前期差错更正
    3、其他
    二、2011 年 1 月 1 日余额        2,507,045,732.00   701,324,474.60       1,927,970,043.82   4,101,701,068.21        9,768,015,798.49      19,006,057,117.12
    三、本年增减变动金额                                -63,081,243.95                                                    52,883,536.06          -10,197,707.89
    (一)净利润                                                                                                          1,306,406,402.06       1,306,406,402.06
    (二)其他综合收益                                    -63,081,243.95                                                                           -63,081,243.95
    上述(一)和(二)小计                                  -63,081,243.95                                                  1,306,406,402.06       1,243,325,158.11
    (三)所有者投入和减少资本
    1、所有者投入资本
    2、股份支付计入股东权益的金额
    3、其他
    (四)利润分配                                                                                                       -1,253,522,866.00      -1,253,522,866.00
    1、提取盈余公积
    2、提取一般风险准备
    3、对股东的分配                                                                                                    -1,253,522,866.00      -1,253,522,866.00
    4、其他
    (五)股东权益内部结转
    1、资本公积转增
    2、盈余公积转增
    3、盈余公积弥补亏损
    4、其他
    四、2011 年 6 月 30 日余额       2,507,045,732.00   638,243,230.65       1,927,970,043.82   4,101,701,068.21        9,820,899,334.55      18,995,859,409.23
    公司法定代表人:林治海                                      主管会计工作负责人:孙晓燕                                            会计机构负责人:孙晓燕
    21
    广发证券股份有限公司 2011 年半年度报告摘要
    母公司所有者权益变动表(续)
    编制单位:广发证券股份有限公司                              2010 年 1-6 月                                                         单位:人民币元
    项      目           股本             资本公积            盈余公积         一般风险准备        未分配利润               股东权益合计
    一、2009 年 12 月 31 日余额      2,000,000,000.00   986,125,890.40     1,877,828,526.98   3,124,270,036.79      7,361,098,652.52        15,349,323,106.69
    1、会计政策变更
    2、前期差错更正
    3、其他
    二、2010 年 1 月 1 日余额        2,000,000,000.00   986,125,890.40     1,877,828,526.98   3,124,270,036.79      7,361,098,652.52        15,349,323,106.69
    三、本年增减变动金额              507,045,732.00    -527,182,745.44     -438,573,998.87                          477,073,793.80            18,362,781.49
    (一)净利润                                                                                                      1,491,165,257.80         1,491,165,257.80
    (二)其他综合收益                                    -471,366,717.90                                                                       -471,366,717.90
    上述(一)和(二)小计                                  -471,366,717.90                                             1,491,165,257.80         1,019,798,539.90
    (三)所有者投入和减少资本
    1、所有者投入资本
    2、股份支付计入股东权益的金额
    3、其他
    (四)利润分配                                                                                                   -1,014,091,464.00        -1,014,091,464.00
    1、提取盈余公积
    2、提取一般风险准备
    3、对股东的分配                                                                                                -1,014,091,464.00        -1,014,091,464.00
    4、其他
    (五)股东权益内部结转              507,045,732.00     -55,816,027.54     -438,573,998.87                                                    12,655,705.59
    1、资本公积转增
    2、盈余公积转增
    3、盈余公积弥补亏损
    4、其他                           507,045,732.00     -55,816,027.54     -438,573,998.87                                                    12,655,705.59
    四、2010 年 6 月 30 日余额       2,507,045,732.00   458,943,144.96     1,439,254,528.11   3,124,270,036.79      7,838,172,446.32        15,367,685,888.18
    公司法定代表人:林治海                                   主管会计工作负责人:孙晓燕                                      会计机构负责人:孙晓燕
    22
    广发证券股份有限公司 2011 年半年度报告摘要
    7.3 报表附注
    7.3.1 如果出现会计政策、会计估计变更或会计差错更正的,说明有关内容、原因及影响数
    □ 适用 √ 不适用
    7.3.2 如果财务报表合并范围发生重大变化的,说明原因及影响数
    □ 适用 √ 不适用
    7.3.3 如果被出具非标准审计报告,列示涉及事项的有关附注
    □ 适用 √ 不适用
    广发证券股份有限公司
    法定代表人:林治海
    二〇一一年八月十九日
    23
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