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广发证券(000776)公告正文

广发证券:2012年半年度报告摘要

公告日期 2012-08-28
股票简称:广发证券 股票代码:000776
                                                                               广发证券股份有限公司 2012 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:2012-060
                                        2012 年半年度报告摘要
                                                一、重要提示
    本公司董事会、监事会及董事、监事、高级管理人员保证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、准确性和完整性承担个别及连带责任。
    本报告经公司第七届董事会第二十次会议审议通过。
    公司半年度财务报告未经会计师事务所审计。
    本公司董事长孙树明先生、总经理林治海先生、副总经理兼财务总监及财务部负责人孙晓燕女士声明:保证 2012 年半年度报告中财务报告的真实、完整。
                                            二、公司基本情况(一)基本情况简介
    A 股简称                           广发证券
    A 股代码                           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 广州市天河区天河北路 183-187 号大都联系地址
                                   会广场 43 楼                        会广场 39 楼
    电话                               020-87550265,87550565                  020-87550265,87550565
    传真                               020-87553600                            020-87554163
    电子信箱                           lbh@gf.com.cn                           ctz@gf.com.cn(二)主要财务数据和指标1、主要会计数据和财务指标以前报告期财务报表是否发生了追溯调整□ 是 √ 否
       主要会计数据 (合并报表)
               主要会计数据            报告期(1-6 月)             上年同期               本报告期比上年同期增减
       营业收入(元)                  3,982,857,697.12         3,270,800,219.36                   21.77%
       营业利润(元)                  1,892,874,030.87         1,708,250,490.70                   10.81%
       利润总额(元)                  1,900,907,989.33         1,720,156,554.16                   10.51%
                                                                              广发证券股份有限公司 2012 年半年度报告摘要
    归属于上市公司股东的净利润
    (元)                           1,469,818,087.49       1,343,025,031.02                        9.44%
    归属于上市公司股东的扣除非
    经常性损益的净利润(元)         1,463,792,618.65       1,334,095,587.47                        9.72%
    经营活动产生的现金流量净额
    (元)                          -1,877,939,158.21      -23,093,131,737.09                       91.87%
                                         本报告期末              上年度期末            本报告期末比上年度期末增减
    总资产(元)                    80,554,697,132.50       76,810,750,884.62                       4.87%
    归属于上市公司股东的所有者
    权益(元)                      32,074,146,234.87       31,635,096,495.90                       1.39%
    股本(股)                       2,959,645,732.00       2,959,645,732.00                          0
    主要财务指标(合并报表)
                                                                                                     本报告期比上年同
                                                                       上年同期
             主要财务指标            报告期(1-6 月)                                                    期增减
                                                             调整前                 调整后                   调整后
                              1
    基本每股收益(元/股)                       0.25                  0.54                   0.27                -7.41%
                              1
    稀释每股收益(元/股)                       0.25                  0.54                   0.27                -7.41%
    扣除非经常性损益后的基本每股
                      1
    收益(元/股)                               0.25                  0.54                   0.27                -7.41%
    全面摊薄净资产收益率(%)                  4.58%                 6.89%                  6.89%   下降 2.31 个百分点
    加权平均净资产收益率(%)                  4.54%                 6.83%                  6.83%   下降 2.29 个百分点
    扣除非经常性损益后全面摊薄净
    资产收益率(%)                            4.56%                 6.84%                  6.84%   下降 2.28 个百分点
    扣除非经常性损益后的加权平均
    净资产收益率(%)                          4.53%                 6.79%                  6.79%   下降 2.26 个百分点
    每股经营活动产生的现金流量净
                  2
    额(元/股)                                -0.32                 -9.21                  -4.61                93.05%
                                                                                                     本报告期末比上年
                                                                      上年度期末
                                        本报告期末                                                     度同期末增减
                                                             调整前                 调整后                   调整后
    归属于上市公司股东的每股净资
                  2
    产(元/股)                                 5.42                 10.69                   5.34                    1.50%
                          3
    资产负债率(%)                           29.76%             23.24%                 23.24%      上升 6.52 个百分点
    注1:公司以资本公积金每10股转增10股,于2012年7月5日除权后,最新股数为5,919,291,464股,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)》,应当按调整后的股数重新计算各比较期间的每股收益。上表计算本报告期每股收益时采用的普通股加权平均股数为5,919,291,464股,计算调整后的上年同期每股收益时采用的普通股加权平均股数为5,014,091,464股。
    注2:本报告期末和本报告期初股本均为2,959,645,732股,本年资本公积金转增股本调整后的股数均为5,919,291,464股,本报告期末和调整后的本报告期初归属于上市公司股东的每股净资产、本报告期每股经营活动产生的现金流量净额均以5,919,291,464股计算。2011年6月末股本为2,507,045,732股,本年资本公积金转增股本调整后的股数为5,014,091,464股,计算调整后的上年同期每股现金流量时,采用5,014,091,464股计算。
    注 3:计算资产负债率时,资产和负债均剔除客户资金及代理买卖证券款的影响。
                                                                         广发证券股份有限公司 2012 年半年度报告摘要2、非经常性损益项目和金额(合并报表)
                                                                                                           单位:元
                                      非经常性损益项目                                       金      额
    非流动性资产处置损益                                                                             405,579.59
    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,符合国家政策规定、按照
                                                                                                    6,644,000.00
    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                                                             984,378.87
    非经常性损益的所得税影响数                                                                    -2,008,489.62
    扣除所得税影响数后的非经常性损益                                                               6,025,468.84
    减:少数股东损益影响额(税后)                                                                         0.00
    扣除少数股东损益影响额后的非经常性损益                                                         6,025,468.843、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                2012 年 6 月 30 日    2011 年 12 月 31 日
              净资本                                              2,109,025.47           2,262,072.35
              净资产                                              3,119,796.14           3,113,430.32
              净资本/各项风险资本准备之和                              744.56%                463.31%
              净资本/净资产                                              67.60%                   72.66%
              净资本/负债                                              159.61%                246.67%
              净资产/负债                                              236.10%                339.51%
              自营权益类证券及证券衍生品/净资本                          29.00%                   32.04%
              自营固定收益类证券/净资本                                  91.92%                   78.55%4、同时按照国际会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况□ 适用 √ 不适用5、同时按照境外会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况□ 适用 √ 不适用
                                        三、股本变动及股东情况(一)股本变动情况表□ 适用 √ 不适用
    报告期内公司股份总数及股份结构未发生变动。
    2012年5月7日,公司召开2011年年度股东大会审议通过了《广发证券2011年度利润分配及资本公积转增股本预案》。根据该议
                                                                               广发证券股份有限公司 2012 年半年度报告摘要
      案,公司以资本公积每10股转增10股,实际资本公积转增股本为2,959,645,732元。公司本次资本公积金转增股本于2012年7月5日
      除权后,最新股份总数为5,919,291,464股。
      (二)前 10 名股东、前 10 名无限售条件股东/流通股股东持股情况表
      截至 2012 年 6 月 30 日,前 10 名股东、前 10 名无限售条件股东持股情况表
    股东总数                                                                                                                 53,597.00前十名股东持股情况
                                                  持股比例                     持有有限售条               质押或冻结情况
      股东名称(全称)              股东性质                  持股总数
                                                    (%)                          件股份数量        股份状态             数量
    辽宁成大股份有限公司             境内非国有法人    21.12%     625,077,044.00 625,077,044.00           -                        0.00
    吉林敖东药业集团股份有限公司     境内非国有法人    21.03%     622,326,463.00 622,326,463.00           -                        0.00
    中山公用事业集团股份有限公司        国有法人         11.6%    343,377,108.00 343,377,108.00           -                        0.00
    香江集团有限公司                 境内非国有法人     4.77%     141,321,552.00 141,321,552.00          质押         140,768,962.00
    酒泉钢铁(集团)有限责任公司          国有法人        4.44%     131,536,898.00 60,000,000.00            -                        0.00广东粤财信托有限公司-广发证
                                 境内非国有法人     4.07%     120,457,831.00              0.00        -                        0.00券股权激励集合信托
    安徽华茂纺织股份有限公司         境内非国有法人     2.66%      78,716,400.00 60,000,000.00           质押             40,000,000.00
    普宁市信宏实业投资有限公司       境内非国有法人     2.47%      72,968,179.00              0.00       质押             72,000,000.00揭阳市信宏资产管理中心(有限合
                               境内非国有法人       2.26%      66,800,000.00 66,800,000.00            -                        0.00伙)
    上海海博鑫惠国际贸易有限公司     境内非国有法人     2.03%      60,000,000.00 60,000,000.00           质押             60,000,000.00前十名无限售条件股东持股情况
                                                                                                 股份种类及数量
                     股东名称                      持有无限售条件股份数量
                                                                                   种类                        数量广东粤财信托有限公司-广发证券股权激励集合信
                                                              120,457,831.00       A股                            120,457,831.00托
    普宁市信宏实业投资有限公司                                     72,968,179.00       A股                                72,968,179.00
    酒泉钢铁(集团)有限责任公司                                     71,536,898.00       A股                                71,536,898.00
    亨通集团有限公司                                               57,229,518.00       A股                                57,229,518.00
    宜华企业(集团)有限公司                                         35,000,000.00       A股                                35,000,000.00
    汇天泽投资有限公司                                             30,107,000.00       A股                                30,107,000.00
    安徽华茂纺织股份有限公司                                       18,716,400.00       A股                                18,716,400.00
    中国工商银行-融通深证 100 指数证券投资基金                     9,958,570.00       A股                                 9,958,570.00
    湖北水牛实业发展有限公司                                        9,772,051.00       A股                                 9,772,051.00
    神州学人集团股份有限公司                                        8,461,000.00       A股                                 8,461,000.00
      (三)控股股东及实际控制人变更情况
      □ 适用 √ 不适用
           公司不存在控股股东及实际控制人,以下为持有公司5%以上股权股东情况:
            1、辽宁成大股份有限公司
            注册地址:辽宁省大连市人民路 71 号
            法定代表人:尚书志
            注册资本:1,364,709,816 元
            实际控制人:辽宁省人民政府国有资产监督管理委员会
            主要经营范围:自营和代理货物及技术进出口(国家禁止的不得经营,限制的品种办理许可证后方可经营),经营进料加工和
                                                                        广发证券股份有限公司 2012 年半年度报告摘要“三来一补”业务,开展对销贸易和转口贸易,承包本行业境外工程和境内国际招标工程,上述境外工程所需的设备、材料出口;对外派遣本行业工程、生产及服务行业的劳务人员,农副产品收购(粮食除外),化肥连锁经营,中草药种植,房屋租赁,仓储服务。煤炭批发经营(有效期限至 2014 年 7 月 25 日)。
    2、吉林敖东药业集团股份有限公司
    注册地址:吉林省敦化市敖东大街 2158 号
    法定代表人:李秀林
    注册资本:894,438,433 元
    实际控制人:李秀林及其一致行动人
    主要经营范围:种植养殖、商业(国家专项控制、专营除外)、机械修理、仓储、本企业生产、科研所需要的原辅材料、机械设备、仪器仪表、零配件(国家实行核定公司经营的 12 种进口商品除外)进口;医药工业、医药商业、医药科研与开发(凭相关批准文件开展经营活动)。
    3、中山公用事业集团股份有限公司
    注册地址:广东省中山市兴中道 18 号财兴大厦北座
    法定代表人:陈爱学
                                1
    注册资本:598,987,089 元
    实际控制人:中山市人民政府国有资产监督管理委员会。
    主要经营范围:公用事业的投资及管理,市场的经营及管理,投资及投资策划、咨询和管理等业务。
                              四、董事、监事和高级管理人员情况(一)董事、监事和高级管理人员持股变动
    报告期内,公司董事、监事和高级管理人员均不存在持有公司股份、股票期权、限制性股票的情况。
                                               五、董事会报告(一)经营情况讨论与分析
    2012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,大力发展创新业务,在2011年至2012年连续两年被证监会评为A类AA级证券公司。公司将继续加大对各项业务的投入,逐渐优化利润来源结构,不断增强在创新业务领域的布局,使得公司业务协同优势逐渐凸显,集团化架构日趋稳固,传统业务继续保持平稳发展,创新业务取得快速发展。
    1、公司总体经营情况
    2012 年是国家“十二五”规划承上启下的关键之年,国际、国内经济形势更加错综复杂和充满考验。欧债危机的进一步加剧,世界经济的修复过程将延持较长的时间;中国经济要从依靠高出口、高投资、高消耗推动的高增长时代,转向依靠产业升级和效率提升的平稳发展新阶段,当前正是转型升级的关键时期。在外部冲击和内部结构矛盾的作用下,中国经济增速持续回落。
    根据国家统计局颁布的数据,2012 年上半年,经济增速放缓趋势明显,上半年 GDP 整体同比增长 7.8%,三年以来首次不足 8%;其中二季度 GDP 同比增长 7.6%,已是连续 6 个季度回落。伴随经济增速放缓,证券市场整体表现也差强人意。2012 年上半年上证1中山公用于 2012 年 7 月 11 日实施权益分派方案,每 10 股派 1 元,每 10 股送 3 股,实施完成后,股本增至 778,683,215 股。
                                                                           广发证券股份有限公司 2012 年半年度报告摘要综指上涨 1.18%,收于 2225.43 点;深证成指上涨 6.52%,收于 9500.32 点;2012 年上半年 A 股市场日均交易额 1,525 亿元,同比减少 27.5%;沪深两市股票募集资金总额为 1,859.37 亿元,同比减少 39.99%;公司债和企业债(不包括私募债)融资额为 4,152.90亿元,同比增加 111.18%(数据来源:公司统计)。
       2012 年 5 月,券商创新大会的召开,给行业带来了前所未有的创新潮,将为行业发展带来非常重大的正面影响。国内资本市场的改革创新力度加大,各项新政策密集出台,对券商的经营模式尤其是盈利模式将会产生重大影响。2012 年也是公司战略实施的开局之年,良好的创新形势为公司实施战略规划提供了有利的外部环境。
       截至 2012 年 6 月 30 日,公司总资产 805.55 亿元,较年初上升 4.87%;净资产(归属于上市公司股东)320.74 亿元,较年初增长 1.39%;2012 年上半年,实现营业收入 39.83 亿元,较上年同期上升 21.77%;实现净利润(归属于上市公司股东)14.70 亿元,较上年同期上升 9.44%。2
       2、公司主营业务情况
       2012 年上半年,证券市场呈现了大幅波动,整体来看,在当前形势下公司取得了较好的经营业绩。公司主营业务情况详见下表:
                                                                                                                     单位:元
                                                                          营业收入比上     营业成本比上       营业利润率比上年同
    项目                营业收入             营业成本       营业利润率
                                                                          年同期增减       年同期增减               期增减
    证券经纪业务         1,222,333,975.82     845,142,983.77         30.86%     -33.30%           -14.82%          减少 15 个百分点
    投资银行业务          749,996,601.97      163,711,710.10         78.17%     70.46%               31.82%       增加 6.40 个百分点
    资产管理业务          128,378,247.23       25,282,530.78         80.31%      8.96%               -7.78%       增加 3.58 个百分点
    证券自营业务          962,093,554.57       47,657,332.02         95.05%     328.50%              34.20%       增加 10.86 个百分点
       2012 年上半年,在股票市场行情低迷、交投萎缩等多重因素影响下,公司经纪业务盈利能力受到很大的挑战,经纪业务利润率比上年同期减少 15 个百分点。上半年股票市场跌宕起伏,公司合理把握风险和投资时机,自营业务收入较上年同期增长 328.50%,自营业务利润率提高 10.86 个百分点。上半年在股权融资市场项目数量和融资规模双降以及债券市场蓬勃发展的不同境遇下,公司投行继续稳步发展,投资银行业务营业利润率同比增长 6.40%。公司资产管理业务管理规模减少,营业利润率同比增长 3.58 个百分点。3
       (1)经纪业务
       2011 年上半年市场成交量逐步走低,行业经纪业务市场竞争日趋激烈,经纪业务向财富管理转型已成为整个行业的共识。公司本着“以客户为中心”的核心理念,以创新差异化产品为立足点,通过全面、优质、高效的金融服务来抑制佣金下滑的压力,通过扩大产品开发,布局电子平台,控制经营成本等措施,努力促使经纪业务转型。
       截至2012年6月30日,公司共有199家营业部,行业排名第3位;客户数和客户资产再创新高,共有客户数364.1万户,托管客户资产约8500亿元。上半年,沪深两市股票基金成交总额17.85万亿(单边计算),同比下降28.69%。公司完成股票基金成交额1.45万亿元(双边计算),同比下降29.95%;实现代理买卖证券净收入11.27亿元(不含资产管理业务交易佣金收入和研发分仓收入),同比下降33.94%。公司代理买卖证券业务的交易额及市场份额情况如下表所示。
                                                     代理买卖证券情况                            单位:亿元
            证券种类                2012 年 1-6 月             市场份额              2011 年 1-6 月              市场份额
              股票                     14,285.84                4.08%                 20,530.09                    4.16%
              基金                      172.89                  2.44%                    149.09                    2.22%
              债券                     10,960.59                3.42%                  3,436.05                    2.32%
              权证                        0                       0                      97.36                     1.91%
              合计                     25,419.32                3.75%                 24,212.59                    3.70%
       注 1:上表数据为母公司数据
       注 2:上表数据来自沪深交易所
       注 3:市场份额是指该类证券交易额占沪深两市该类证券同一时期交易总额的比例2
    本段数据为合并报表数据。3
    本段数据为合并报表数据,后述各项主营业务数据为母公司数据。
                                                                              广发证券股份有限公司 2012 年半年度报告摘要
    (2)投资银行业务
    2012 年上半年,股权融资项目数量和募集资金规模显著下降,股权融资方面,A 股市场共发行了 147 家,同比减少 43.02%;主承销募集资金总额为 1,859.37 亿元,同比减少 39.99%(数据来源:公司统计),股权融资开始面临寒冬。公司股票承销业务贯彻执行了公司的经营思想,顺应了市场形势的变化,在低迷的市场环境下,公司的投行业务相比去年同期实现了较大幅度的增长。报告期内,公司完成股权融资项目 10 个,市场占有率为 6.80%,列第 4 位;主承销金额为 120.10 亿元,市场占有率为 6.46%,列第 4 位,承销家数及金额排名比去年同期分别前进了 5 位和 2 位(数据来源:公司统计)。上半年公司实现股权类承销及保荐收入55,502.16 万元,比去年同期增长 87.59%。
    随着大力发展债券市场相关政策的相继出台以及企业融资需求的不断旺盛,债券市场蓬勃发展,债券直接融资的规模和占比持续快速的扩大。2012 年上半年一共发行了 188 只企业债券,同比增幅 49.21%,累计融资 3,137.90 亿元,同比增幅 119.82%;发行了 80 只公司债券(不包括私募债),增幅 233.33%,累计融资 1,015 亿元,增幅 88.31%(数据来源:WIND 资讯)。企业债和公司债发行家数和融资规模比去年同期均有大幅度上升,市场上重股轻债的局面逐步得到扭转。报告期内,公司完成债券主承销项目14 家,承销金额共计 206.80 亿元;与去年同期相比,承销家数和承销金额分别增长了 100%和 43.61%,企业债券和公司债券承销总家数、承销总金额排名分列行业第 8 位和第 9 位,市场占有率分别为 4.28%和 4.65%(数据来源:WIND 资讯)。其中,我司公司债承销规模居行业首位。报告期,公司实现债券承销业务收入达 17,013.47 万元,比去年同期增长 23.38%。
    公司上半年共完成财务顾问项目 16 个,实现收入 1,798.50 万元。
                                                     证券承销保荐业务情况
                                     承销次数              承销金额(万元)           承销及保荐收入(万元)
          承销
                  证券种类    2012 年                   2012 年                       2012 年
          方式                            历年累计                    历年累计                     历年累计
                              1-6 月                     1-6 月                        1-6 月
                  新股发行       7          136       586,203.81    7,308,079.55     28,976.17    219,751.74
           主     公募增发       1           12       315,750.00    2,009,559.51     19,377.88    38,073.60
           承     定向增发       2           23       299,095.88    2,060,260.69      7,150.11    37,290.33
           销       配股         0           38          0.00       1,978,999.15       -10.00     20,746.88
                   可转债        0              3        0.00        945,000.00         0.00      18,304.96
                    债券        14           78      2,068,000.00   7,423,873.00     16,632.62    60,980.04
                  新股发行       0           12          0.00        197,110.97         0.00        835.92
           副     公募增发       0              3        0.00         59,260.60         0.00        36.00
           主     定向增发       0              0        0.00           0.00            0.00         0.00
           承       配股         0              2        0.00         6,004.51          0.00        35.50
           销      可转债        0              1        0.00         15,000.00         0.00        25.00
                    债券         1           20        58,500.00     325,160.00        56.44        673.62
                  新股发行       0           73          0.00        937,987.53         0.00       1,078.34
                  公募增发       1           13        1,000.00      234,260.89         8.00        301.65
           分     定向增发       0              0        0.00           0.00            0.00         0.00
                    配股         0           15          0.00         71,792.77         0.00        210.01
           销      可转债        0              5        0.00         91,131.38         0.00        60.77
                    债券        129         1032     1,023,162.15   12,587,695.49      324.41      7,360.96
                 合计           155         1466     4,351,711.84   36,251,176.04    72,515.63    405,765.32
    注:上表为母公司数据。
    (3)资产管理业务
    2012 上半年,券商集合理财产品发行持续下降。截至 2012 年 6 月 30 日,公司受托资产净值总规模为 71.87 亿元,较 2011 年
                                                                           广发证券股份有限公司 2012 年半年度报告摘要末减少 11.63 亿元,降幅 13.93%。其中,6 只集合理财产品受托资产净值规模为 68.25 亿元,定向资产净值规模为 3.62 亿元。
    公司资产管理业务已初步形成了股票、固定收益、QDII、量化投资四方面的业务模块。2012 年上半年,广发金管家弘利债券集合资产管理计划和广发金管家量化策略避险集合资产管理计划获批发行,QDII 业务外汇额度获批。下半年债券与量化集合产品的发行成立将完善公司中低风险产品线,改变公司资产管理产品链集中于权益类产品的现状,对完善产品链条,给客户更多选择,促进经纪业务转型,提高风险承受能力等方面具有重要意义。
    另外,创新大会的召开使得券商资产管理业务的创新环境大幅改善,未来资管创新空间有望大幅拓宽。
                                                   受托资产管理业务情况                          单位:万元
                                                    资产管理规模                           管理费收入
                                      2012 年 6 月 30 日   2011 年 6 月 30 日   2012 年 1-6 月   2011 年 1-6 月
                集合资产管理业务           682,501.07           904,155.66           5,284.30         4,052.52
                定向资产管理业务            36,183.99            56,548.42             230.31           355.49
                    合计                   718,685.05           960,704.08           5,514.61         4,408.01
    注:本表统计的资产管理业务规模为受托管理资产的净值。
    (4)证券投资自营业务
    2012 年上半年,公司准确把握市场趋势,抓住阶段性市场机会,根据市场情况对权益类证券投资进行了结构性调整,提高组合的灵活性,合理控制风险,取得了良好的投资业绩。同期,上证综指上涨 1.18%,沪深 300 指数上涨 4.94%,深证成份指数上涨6.52%,中小板指数上涨 4.23%。公司股票自营投资业务收益率均高于上述指数涨幅。
    报告期内,公司固定收益业务大力发展资本中介业务;努力拓展债券业务布局;深化利率衍生品投资业务开展与研究,取得了良好的投资业绩,公司并取得了利率互换许可。2012 年上半年中债综合全价指数收益率 1.56%,公司固定收益业务组合投资回报率远高于 2012 年上半年中债综合全价指数收益率。
    2012 年上半年,公司衍生产品业务不断完善和丰富股指期货优化组合套保策略,新增 ETF 流动性服务业务、阿尔法量化择股策略;同时,继续推进与融资融券业务合作,实施融券对冲策略,保障公司可融股票券源的提供。
    公司 2012 年上半年证券投资业务详细情况如下表所示。
                            证券投资业务情况(合并报表数据)
                                                                                                                    单位:元
                               项目                                2012 年 1-6 月                2011 年 1-6 月
            证券投资收益                                                 777,263,305.32            515,447,423.23
            其中:出售交易性金融资产的投资收益                             9,816,036.53           -217,388,436.89
                  出售可供出售金融资产的投资收益                         -73,250,972.38             88,200,069.57
                  衍生金融工具的投资收益                                 169,543,436.22            349,140,183.53
                  金融资产持有期间取得的投资收益                         671,154,804.95            295,495,607.02
            公允价值变动损益                                             208,595,701.99           -319,445,401.16
            其中:交易性金融资产公允价值变动收益                         388,844,401.99           -263,715,961.16
                  衍生金融工具公允价值变动收益                         -180,248,700.00             -55,729,440.00
    (5)融资融券业务
    2012 年上半年,公司持续加大对融资融券业务的拓展力度,各分支机构也加大了对融资融券业务的开拓力度,公司融资融券客户数量出现了较快增长,各项业务指标都比去年同期有较大增长。截至 2012 年 6 月 30 日,公司融资融券余额为 39.7 亿元,同比上升 137%,市场份额为 6.50%(数据来源:沪深交易所)。公司上半年取得的融资融券利息收入为 15,271.46 万元,同比上升156.59%。随着融资融券业务的持续推广,其对公司的利润贡献将逐步显现和增大。同时,公司正积极做好开展转融通业务的各项
                                                                        广发证券股份有限公司 2012 年半年度报告摘要准备工作,包括参与转融通业务的相关测试、完善开展转融通业务的相关技术系统等。另外,公司正在积极申报开展约定购回式证券交易业务。公司将进一步加强创新与服务,积极、稳妥地开展融资融券业务。
    (6)研究与销售业务
    2012 年上半年,国内股市成交量大幅萎缩,对研发佣金分仓收入产生了不利影响。但公司研究业务相对仍取得较好业绩,佣金分仓收入为 5330.02 万元。2012 年上半年,销售交易业务立足传统营收基础,不断拓展新的收入来源。在研究分仓市场中,席位交易占比较去年同期提升。同时,销售交易业务也在大宗交易、外部投行项目销售和国际业务拓展方面积极创新。
    (7)其他创新业务
    公司于 2011 年推出了债券质押式报价回购创新产品——“金快线”系列产品,客户数量和资产规模快速成长。截至 2012 年 6月 30 日,“金快线”产品签约客户数超过 7000 户,资产余额 7.77 亿元,比 2011 年 12 月 31 日大幅增长。
    公司首批获得中小企业私募债券承销资格,并通过推动公司营业部、投资银行部等相关部门正大力度推进中小企业私募债业务的开展。
    公司对新三板业务非常重视,充分发挥网点优势,在多个全国重点高新区积极开展业务,签约项目总家数超过 100 家。(二)主营业务分地区情况
      (1)营业收入地区分部情况                                                               单位:元
                                       2012 年 1-6 月                   2011 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              2,400,142.15       1              2,883,428.42          -16.76%
                北京              7             44,964,111.33       6             67,982,571.86          -33.86%
                福建              3             25,639,939.85       3             35,779,053.51          -28.34%
                甘肃              1              8,166,366.48       1             12,313,842.53          -33.68%
                广东              90           585,178,582.05       89          911,120,883.44           -35.77%
                广西              2              7,422,725.90       1              9,772,219.01          -24.04%
                贵州              1              3,529,167.70       1              5,422,966.38          -34.92%
                海南              3              8,752,846.51       3             12,651,507.76          -30.82%
                河北              11            61,389,444.68       11            98,114,664.47          -37.43%
                河南              4              7,232,290.49       3              9,512,370.05          -23.97%
               黑龙江             1              7,359,310.44       1             11,057,180.02          -33.44%
                湖北              16            87,550,870.21       16          117,423,043.74           -25.44%
                湖南              1              1,684,897.37       1              2,203,243.88          -23.53%
                吉林              3             16,589,462.73       3             30,215,783.12          -45.10%
                江苏              5             21,803,868.99       5             31,192,237.41          -30.10%
                江西              1              1,932,419.53       1              2,267,952.26          -14.79%
                辽宁              11            51,375,107.55       11            85,418,135.22          -39.85%
                山东              5             22,634,264.26       5             34,741,875.74          -34.85%
                山西              1              5,218,844.40       1              9,143,423.83          -42.92%
                陕西              2             22,535,633.80       2             32,205,971.90          -30.03%
                上海              12            65,467,121.85       11            97,035,287.57          -32.53%
                四川              2             12,433,864.56       2             14,983,649.61          -17.02%
                天津              2             10,908,188.66       2             16,531,617.78          -34.02%
                新疆              1              3,659,546.74       1              4,756,950.92          -23.07%
                云南              3             15,513,659.23       3             21,791,593.07          -28.81%
                浙江              7             29,908,908.78       7             45,247,406.44          -33.90%
                重庆              3             15,000,068.52       3             22,029,241.93          -31.91%
                                                                       广发证券股份有限公司 2012 年半年度报告摘要
         总部                         2,549,200,869.69                 1,372,927,114.46          85.68%
      母公司合计                      3,695,452,524.45                 3,116,725,216.33          18.57%
      境内子公司                        232,174,928.69                   138,501,401.23          67.63%
         抵销                            -2,356,247.29                      -204,306.00
       境内合计          199          3,925,271,205.85      194        3,255,022,311.56          20.59%
    境外(含港澳)                       57,586,491.27                    15,777,907.80         264.98%
         总计            199          3,982,857,697.12      194        3,270,800,219.36          21.77%
    注:截止 2012 年 6 月末,公司设有分公司 16 家,其营业收入、营业利润已反映在上述分地区数据中。
    (2)营业利润地区分部情况                                                            单位:元
                                2012 年 1-6 月                    2011 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                -56,338.80       1                -276,460.72             -
        北京                7              8,164,494.41       6             26,877,849.78        -69.62%
        福建                3             10,375,358.95       3             16,243,974.45        -36.13%
        甘肃                1              3,409,976.00       1               5,287,892.01       -35.51%
        广东             90              212,814,873.63       89           474,251,984.76        -55.13%
        广西                2              1,636,914.17       1               4,869,098.72       -66.38%
        贵州                1                587,929.40       1               1,387,862.92       -57.64%
        海南                3                799,968.57       3               3,968,369.33       -79.84%
        河北             11               18,425,865.60       11            48,923,672.10        -62.34%
        河南                4             -1,855,525.64       3                -315,089.06             -
       黑龙江               1              2,157,056.80       1               4,446,191.49       -51.49%
        湖北             16               35,568,115.20       16            57,194,273.23        -37.81%
        湖南                1               -517,004.01       1                -856,858.19             -
        吉林                3              3,791,573.01       3             15,058,709.31        -74.82%
        江苏                5                783,296.76       5               5,680,967.09       -86.21%
        江西                1               -105,499.70       1             -1,085,618.69              -
        辽宁             11               10,543,038.80       11            36,998,886.20        -71.50%
        山东                5              4,485,608.36       5               8,735,611.72       -48.65%
        山西                1              1,786,501.19       1               4,852,909.48       -63.19%
        陕西                2              9,213,724.76       2             13,161,380.00        -29.99%
        上海             12               -7,300,078.17       11            25,598,206.98              -
        四川                2              3,061,095.71       2               4,307,618.54       -28.94%
        天津                2              1,326,966.33       2               6,671,655.19       -80.11%
        新疆                1               -133,648.49       1                 -58,378.22             -
        云南                3              7,455,699.26       3             11,664,552.33        -36.08%
        浙江                7              3,628,149.11       7             13,286,213.76        -72.69%
        重庆                3              3,253,403.38       3               7,583,198.25       -57.10%
        总部                           1,446,634,720.01                    867,421,752.01         66.77%
    母公司合计                        1,779,936,234.60                  1,661,880,424.77          7.10%
    境内子公司                           92,014,932.67                     49,666,296.56         85.27%
        抵销                                  84,022.16                                   0
      境内合计          199            1,872,035,189.43      194         1,711,546,721.33          9.38%
    境外(含港澳)                         20,838,841.44                     -3,296,230.63              -
        总计            199            1,892,874,030.87      194         1,708,250,490.70         10.81%
                                                                                           广发证券股份有限公司 2012 年半年度报告摘要
                        注:截止 2012 年 6 月末,公司设有分公司 16 家,其营业收入、营业利润已反映在上述分地区数据中。
           (三)主营业务及其结构发生重大变化的原因说明
           □ 适用 √ 不适用
           (四)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
           (五)利润构成与上年相比发生重大变化的原因分析
           □ 适用 √ 不适用
           (六)募集资金使用情况
           1、募集资金使用情况对照表
           √ 适用 □ 不适用
                                                                                                                                       单位:万元
                                                                                                        本年度投入
    募集资金总额                                                              1,199,994.64                  募集资金总               122,088.86
                                                                                                        额
    报告期内变更用途的募集资金总额                                                 --
                                                                                                        已累计投入              1,056,796.11
    累计变更用途的募集资金总额                                                     --                       募集资金总
                                                                                                        额
    累计变更用途的募集资金总额比例                                                 --
                       是否已变更项 募集资金承诺投 调整后投资总额 本年度投入金 截 至 期 末 累 计 截 至 期 末 投 项目达到 本年度实 是 否 达 项目可行性
                                    资总额         (1)          额           投入金额(2)       资进度(%) 预定可使 现的效益 到 预 计 是否发生重承诺投资项目和超募资金 目(含部分变
        投向           更)                                                                      (3)=(2)/(1) 用状态日             效益     大变化
                                                                                                                期承诺投资项目
    增加公司资本金,补充公司营运资     否       1,199,994.64   1,199,994.64     122,088.86   1,056,796.11      88.07     不适用   不适用    不适用      否金
    1. 扩大承销准备金规模,增强   否       1,199,994.64   1,199,994.64       6,000.00       6,000.00      88.07     不适用   不适用    不适用      否
    投资银行承销业务实力
    2、增加融资融券业务准备金,   否                                           0.00        40,000.00                不适用   不适用    不适用      否
    全面开展融资融券业务
    3、优化经纪业务网点布局,拓   否                                        1,000.00        3,500.00                不适用   不适用    不适用      否
    展业务渠道,促进服务产品销
    Q售
    其                                 否                                          0.00       721,060.11                 不适用   不适用    不适用      否
    4、提高证券投资业务规模中
                                   否                                          0.00          0.00                    不适用   不适用    不适用      否
    5、扩大资产管理业务规模
    6、加大对子公司投入,扩大直   否                                       112,120.80    270,000.00                 不适用   不适用    不适用      否
    接投资、国际业务、股指期货
    等业务规模
                                   否                                        2,968.06     16,236.00                  不适用   不适用    不适用      否
    7、加大信息系统的资金投入
                                                                                                     广发证券股份有限公司 2012 年半年度报告摘要
                                否                                            0.00            0.00                    不适用   不适用   不适用      否
    8、其他资金安排
    承诺投资项目小计                否         1,199,994.64     1,199,994.64   122,088.86     1,056,796.11       88.07    不适用   不适用   不适用      否
    超募资金投向                                                                            不适用
                                                                                                             不适用   不适用   不适用   不适用    不适用
    归还银行贷款(如有)            -               -                -             -                 -
                                                                                                             不适用   不适用   不适用   不适用    不适用
    补充流动资金(如有)            -               -                -             -                 -
                                                                                                             不适用   不适用   不适用   不适用    不适用
    超募资金投向小计                -               -                -             -                 -
                                                                                                                      不适用   不适用   不适用      否
               合计             -          1,199,994.64     1,199,994.64   122,088.86     1,056,796.11       88.07未达到计划进度或预计收
    益的情况和原因(分具体项                                                                不适用目)项目可行性发生重大变化
                                                                                         无的情况说明
    超募资金的金额、用途及使                                                                 无用进展情况
    募集资金投资项目实施地                                                                   无点变更情况
    募集资金投资项目实施方                                                                   无式调整情况
                               该募集资金投资项目在募集资金实际到位之前,已由本公司利用自筹资金预先投入和实施部分募集资金投资项目。截至2011年8月17
                           日,公司以自筹资金预先投入募集资金投资项目金额合计人民币1,176,569,100.35元,经德勤华永会计师事务所验证并出具了《关于广
                           发证券股份有限公司以自筹资金预先投入募集资金投资项目情况的专项审核报告》(德师报(核)字(11)第 E0065号)。2011年10月21募集资金投资项目先期投
    入及置换情况           日经公司第七届董事会第七次会议和第七届监事会第四次会议审议通过,公司以募集资金1,176,569,100.35元置换预先投入募集资金投
                           资项目的自筹资金。该事项不影响募集资金投资计划的正常进行,不存在改变募集资金用途的情况。该事项已经公司独立董事发表了同
                           意意见,会计师事务所出具了专项审核报告,履行了必要的审批程序,保荐机构对此事项无异议。公司本次提出将部分闲置募集资金补
                           充流动资金的决策程序合法、有效,符合《深圳证券交易所主板上市公司规范运作指引》和公司《募集资金管理制度》的有关规定。
                               经公司2011年10月21日第七届董事会第七次会议和2011年11月9日第四次临时股东大会会议审议通过,2011年公司以部分闲置募集资
                           金2,609,602,048.75元用于暂时补充流动资金。截至2012年5月4日,公司已将该笔临时补充流动资金的募集资金合计2,609,602,048.75
                           元归还并转入募集资金专用账户。用闲置募集资金暂时补充
    流动资金情况                   为提高募集资金的使用效率,2012年公司以部分闲置募集资金用于暂时补充流动资金1,199,000,000.00元,使用期限自董事会审议
                           批准之日起六个月。该事项未改变募集资金用途,不影响募集资金投资计划的正常进行。该事项已经公司2012年5月8日第七届董事会第
                           十三次会议审议通过,监事会和独立董事发表了同意意见,保荐机构对此事项无异议。公司本次提出将部分闲置募集资金补充流动资金
                           的决策程序合法、有效,符合《深圳证券交易所主板上市公司规范运作指引》和公司《募集资金管理制度》的有关规定。
    项目实施出现募集资金结         公司募集资金尚未使用完毕。目前公司不存在募投项目节余资金的情况。余的金额及原因
                           公司尚未使用的募集资金用途主要为加大子公司投入、信息系统建设等。截至本报告期末,除公司利用闲置募集资金暂时补充的流尚未使用的募集资金用途
    及去向                 动资金外,其余尚未使用的募集资金仍在公司募集资金专户存储。募集资金使用及披露中存
                                                                                         无在的问题或其他情况
          2、变更募集资金投资项目情况表
          □ 适用 √ 不适用
                                                                         广发证券股份有限公司 2012 年半年度报告摘要(七)董事会下半年的经营计划
    公司将继续巩固在经纪业务、投资银行、证券投资等传统业务领域的竞争优势,积极扩大直接投资、融资融券、新三板和中小企业私募债业务规模,探索另类投资的盈利模式,争取柜台市场、转融通等创新领域业务,继续探索和推进公司国际化进程,进一步优化和完善业务收入结构,密切跟踪市场创新动态,持续加大相关业务或产品创新力度,推动公司发展再上新的台阶。(八)对 2012 年 1-9 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(九)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(十)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
                                              六、重要事项(一)收购、出售资产及资产重组1、收购资产□ 适用 √ 不适用2、出售资产情况□ 适用 √ 不适用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(二)担保事项□ 适用 √ 不适用(三)非经营性关联债权债务往来是否存在非经营性关联债权债务往来□ 是 √ 否(四)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
                                                                           广发证券股份有限公司 2012 年半年度报告摘要元,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。截止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。2012 年 2 月,该院向本公司账户划回部分多扣款(利息及诉讼费)共 1,599,389.89 元,其余款项 45,512,424.24 元尚未执行回转。
    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”。公司在上诉期内向上海市高级人民法院提起上诉,二审法院于 2011年 6 月 24 日判决“驳回上诉,维持原判”。2012 年 1 月,最高人民法院出具“(2011)民申字第 1142 号”《民事裁定书》,裁定“本案由最高院提审;再审期间,中止原判决的执行”。公司于 2012 年 3 月 28 日参加了最高人民法院的庭审,目前尚未收到判决。
    2、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。2011 年12 月,铜梁县法院重启该案审理程序,向营业部寄送《举证通知书》、《传票》等资料,并通知营业部 2012 年 2 月 21 日参加开庭审理,后开庭时间延长至 2012 年3月8日。我司已于 2012 年 3 月8日参加了一审庭审,目前尚未收到判决。
    3、秦皇岛中院对本公司自有资金执行争议案
    2010 年 12 月 15 日,秦皇岛市中级人民法院以执行“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处的自有资金 3400 万元”为由,扣划了本公司自有资金 3400 万元。该院执行局于 2011 年 3 月 7 日送达(2011)秦法执异字第 2 号《执行裁定书》,驳回本公司的执行异议。后本公司以申请执行人秦皇岛中行为被告起诉至秦皇岛市中级人民法院,已于 2011 年 11 月24 日开庭审理。2012 年 2 月,一审判决驳回本公司诉讼请求。本公司已于 2012 年 3 月进行上诉,启动了上诉程序。经河北省高院二审程序后,现该案一审判决被高院认定为事实不清,程序不当,由高院裁定撤销原审判决,发回重审。
    4.民安证券诉广东省工商局、本公司、广东物资协作开发公司房地产开发经营合同纠纷案
    2011 年 8 月 8 日,民安证券有限责任公司(以下简称“民安证券”)管理人以民安证券为原告向广州市天河区法院提起诉讼,要求被告广东省工商行政管理局、本公司及广东物资协作开发公司协助其办理天河区体育西路 55、57、59 号综合楼(以下简称“红盾大厦”)属其所有房产的房产证。原、被告四方曾共同签署协议,约定共同建房及各方所占楼层。2009 年 5 月,四方完成房屋权属初始登记,其后由于非本公司原因而未能办理房产证。该案有利于推动本公司在红盾大厦拥有产权的 14、15 层尽快办理房产证确权手续。2011 年 9 月 28 日一审开庭审理,2012 年 5 月 29 日法院召集四方庭后协调会,现等待一审判决过程中。(五)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)2012年5月7日,公司召开2011年度股东大会作出了修改公司章程的决议。根据此次公司章程的变更,公司法定代表人由董事长担任。公司在股东大会之后,根据相关法律法规向广东证监局递交了核准变更公司章程重要条款的申请。
    2012 年 7 月 11 日,公司公告收到证监局《关于核准广发证券股份有限公司变更公司章程重要条款的批复》(广东证监许可[2012]114 号),核准本公司变更《广发证券股份有限公司章程》的重要条款。同时,在巨潮资讯网(www.cninfo.com.cn)披露了《广发证券股份有限公司章程》。2012 年 7 月 26 日,公司办理完毕有关工商变更登记手续,孙树明先生自 2012 年 7 月 26 日起担任公司法定代表人。
    (2)2012 年 7 月,公司收到中国证监会机构监管部《关于广发证券股份有限公司申请发行短期融资券的监管意见函》(机构部部函[2012]386 号)。根据该函,中国证监会机构监管部对公司申请发行短期融资券无异议。
                                                                                                  广发证券股份有限公司 2012 年半年度报告摘要
    1、证券投资情况
    √ 适用 □ 不适用
                                                                                                                                                 单位:元
                                                                                                                      占期末证
    序                                                                          期末持有数量
         证券品种      证券代码           证券简称        初始投资金额(元)                     期末账面值(元)       券总投资           报告期损益(元)
    号                                                                            (张或股)
                                                                                                                        比例
    1     基金              270014         广发货币 B       1,001,291,154.92    1,001,291,155    1,001,291,154.92       4.25%                   3,094,080.21
    2     企业债券          122070         11 海航 01         885,065,398.65         8,900,000     901,570,000.00       3.82%                  49,587,873.86
    3     国债              110005       11 附息国债 05       499,107,442.32         5,000,000     519,923,500.00       2.20%                  10,860,605.26
    4     基金              070008         嘉实货币           895,000,000.00      895,000,000      895,000,000.00       3.79%                     833,159.71
    5     企业债券          1080068       10 苏交通债         520,099,529.33         5,200,000     518,471,720.00       2.20%                   8,916,256.57
                                        华泰柏瑞沪深
    6     基金              510300                            500,311,105.03      185,855,725      461,851,476.64       1.96%               -55,498,401.61
                                          300ETF
    7     企业债券          122782         11 宁农债          450,236,393.65         4,500,000     456,300,000.00       1.93%                  12,836,780.52
                                          嘉实沪深
    8     基金              159919                            428,878,050.68      430,240,414      402,274,787.10       1.71%                  -3,327,720.18
                                          300ETF
    9     金融债            092503        09 农行 013         299,895,038.64         3,000,000     298,727,100.00       1.27%                   7,807,205.24
    10    企业债券          112012         09 名流债          280,569,202.97         2,822,849     284,698,435.90       1.21%                  11,631,004.88
                期末持有的其他证券投资                    17,494,984,432.21                 -   17,841,275,648.58      75.66%              787,512,145.42
             报告期已出售证券投资损益                                      -                -                     -         -              206,544,885.15
                            合计                          23,255,437,748.40                 -   23,581,383,823.13           100%         1,040,797,875.03
    注1:本表按期末账面价值占公司期末证券投资总额的比例排序,填列公司期末所持前十只证券情况;
    注2:本表所述证券投资是指股票、权证、债券、基金、股指期货等投资。其中,股票投资只填列公司在合并报表交易性金融资产
        中核算的部分;
    注3:其他证券投资指除前十只证券以外的其他证券投资;
    注4:报告期损益,包括报告期公司因持有该证券取得的投资收益及公允价值变动损益。
    2、持有其他上市公司股权情况
    √ 适用 □ 不适用
                                                                                                                                                 单位:元
                                                       占该公司股                                         报告期所有者权        会计核
    证券代码        证券简称           初始投资金额                        期末账面值        报告期损益                                              股份来源
                                                         权比例                                               益变动            算科目
    600143          金发科技           839,519,932.07           4.04%    634,842,409.14    19,938,517.80      -204,582,289.41                 包销及购买
    000623          吉林敖东             55,226,176.30          3.73%    578,602,906.02     5,133,840.05       55,265,778.14                  包销及购买
    002663          普邦园林             42,000,000.00          3.43%    271,320,000.00                   -   229,320,000.00                  投资
    002081            金螳螂           144,844,104.90           0.77%    194,414,444.49       800,000.00       52,410,339.59                  非公开增发及购买
    002237          恒邦股份           128,304,000.00           1.58%    138,258,295.08     1,080,000.00       28,422,295.08                  非公开增发及购买
                                                                                                                                可供出
    300219          鸿利光电             20,000,000.00          5.16%    124,056,632.00       632,942.00       20,254,144.00        售金融    投资
                                                                                                                                  资产
    300110          华仁药业             32,000,000.00          4.58%    118,000,000.00     1,956,370.00       12,900,000.00                  投资
    002509          天广消防             15,000,000.00          5.00%    105,700,000.00     1,000,000.00       20,750,000.00                  投资
    300198          纳川股份             15,480,000.00          4.31%    105,060,000.00                   -     4,980,000.00                  投资
    002011          盾安环境             97,180,000.00          1.03%     91,590,000.00     1,720,000.00       15,136,000.00                  非公开增发
    其他上市公司股权                 679,552,377.11               -    785,400,793.74    10,294,786.17      103,534,735.54                  -
           合计                2,069,106,590.38                 -   3,147,245,480.47   42,556,456.02      338,391,002.94          -                  -
    注1:本表填列公司在可供出售金融资产中核算的持有其他上市公司股权情况;
    注2:报告期损益指该项投资对公司本报告期合并净利润的影响;
    注 3:报告期所有者权益变动不包括递延所得税的影响。
                                                                          广发证券股份有限公司 2012 年半年度报告摘要3、报告期内资金被占用情况及清欠进展情况□ 适用 √ 不适用4、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
    1、本公司的承诺事项及履行情况
    (1)吸收合并完成后,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示。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。
    履行情况:本公司制定了《广发证券股份有限公司信息披露事务管理制度》,并经 2009 年度股东大会审议通过。本公司严格遵守有关法律法规关于信息披露的各项规定,诚信地履行上市公司的信息披露义务,并结合证券公司的特点,在定期报告中披露客户资产保护状况,以及由证券公司业务特点所决定的相关风险及风险管理、合规检查、创新业务开展等信息。
    本公司实行“董事会(风险管理委员会)—公司经营班子(风险控制委员会)—公司中后台管理职能部门—各级部门负责人”的四级风险管理组织体系。公司中后台管理职能部门设立了合规与法律事务部、风险管理部和稽核部三个风险管理职能部门,对风险进行事前、事中、事后全程管理与控制。本公司建立了以净资本为核心的风险控制指标管理体系,开发和上线了风控指标动态监控系统,实现了风险控制指标的适时、动态监控和自动预警。本公司一直如实编制真实、准确、完整的净资本计算表和风险控制指标监管报表,各项风险控制指标均符合监管要求。
    2、股东承诺及履行情况
    (1)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股票,自本次交易完成及新增股份发行结束之日起三十六个月内,不上市交易及转让;广东粤财信托有限公司、广州高金技术产业集团有限公司、酒泉钢铁(集团)有限责任公司、普宁市信宏实业投资有限公司、亨通集团有限公司、安徽华茂纺织股份有限公司、深圳市汇天泽投资有限公司、宜华企业(集团)有限公司、湖北水牛实业发展有限公司、广州钢铁企业集团有限公司、神州学人集团股份有限公司、广东肇庆星湖生物科技股份有限公司、吉林省公路机械厂、吉林省公路勘测设计院、吉林省公路机械有限公司、李可英、赵媛媛、宋健、张淑梅承诺:自延边公路股权分置改革实施复牌之日起十二个月内,不上市交易及转让。
    履行情况:限售期内,除吉林省机械有限公司所持股份发生司法过户之外,其他股东所持股份未发生转让。2010 年 4 月 21 日,根据《吉林市船营区人民法院民事调解书》,中国证券登记结算有限责任公司深圳分公司将吉林省公路机械有限公司持有本公司的1,908,478 股股份办理了司法过户手续。自 2011 年 2 月 21 日起,除辽宁成大、吉林敖东、中山公用和香江集团继续履行承诺外,其他股东承诺自延边公路股权分置改革实施复牌之日起十二个月内不上市交易及转让的股权已经解除限售。
    (2)为避免与本公司发生同业竞争并为规范可能发生的关联交易,辽宁成大和吉林敖东分别作出如下书面承诺:
    辽宁成大承诺:作为换股吸收合并后存续公司的第一大股东,保证现在和将来不经营与存续公司相同的业务;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。承诺方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。并且承诺方将促使承诺方全资拥有或其拥有 50%股权以上或相对控股的下属子公司遵守上述承诺。
    吉林敖东承诺:作为换股吸收合并后存续公司的大股东之一,保证现在和将来不经营与存续公司相同的业务;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。承诺方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。并且承诺方将促使承诺方全资拥有或其拥有 50%股权以上或相对控股的下属子公司遵守上述承诺。
    履行情况:截至目前,辽宁成大、吉林敖东及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未开展与本公司相同的业务,也没有间接经营、参与投资与本公司业务有竞争或可能有竞争的企业。
    (3)为规范与本公司可能发生的关联交易,辽宁成大和吉林敖东分别作出如下书面承诺:
    辽宁成大承诺:对于承诺方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
                                                                            广发证券股份有限公司 2012 年半年度报告摘要定价原则,确保公平、公正、公允,不损害中小股东的合法权益。
    吉林敖东承诺:对于承诺方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。
    履行情况:截至目前,辽宁成大与吉林敖东遵守了相关承诺。
    (4)公司定向回购股份暨换股吸收合并后,辽宁成大和吉林敖东为本公司的重要影响的大股东,已分别出具《关于保持延边公路建设股份有限公司独立性的承诺》,承诺保证与本公司做到人员独立、资产独立、业务独立、财务独立、机构独立。
    履行情况:截至目前,辽宁成大与吉林敖东遵守了相关承诺,与本公司做到了人员独立、资产独立、业务独立、财务独立、机构独立。5、董事会本次利润分配或资本公积金转增预案□ 适用 √ 不适用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                            548,269,710.53          148,913,672.68
        减:可供出售金融资产产生的所得税影响                              138,040,996.80           16,169,040.98
               前期计入其他综合收益当期转入损益的净额                      -3,894,276.28           84,237,508.80
        小计                                                              414,122,990.01           48,507,122.90
        2.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
                                                                           36,564,022.55          -31,129,457.35
        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
            前期计入其他综合收益当期转入损益的净额                                      -                      -
        小计                                                               36,564,022.55          -31,129,457.35
        3.外币财务报表折算差额                                             -1,632,495.08          -10,098,279.65
           减:处置境外经营当期转入损益的净额                                           -                      -
        小计                                                               -1,632,495.08          -10,098,279.65
        合计                                                              449,054,517.48            7,279,385.90(六)报告期接待调研、沟通、采访等活动登记表
                                                                                            谈论的主要内容及提供的资
    接待时间          接待地点       接待方式       接待对象类型         接待对象
                                                                                                      料2012 年 01 月 01 日
                          无          电话沟通           个人            公众投资者         询问公司日常经营情况等-06 月 30 日
    2012 年 02 月 15 日    公司总部       实地调研           机构             华泰证券          公司经营发展情况
                                                                                            公司经营发展及整体业绩情
    2012 年 04 月 24 日       无          电话沟通           机构       国泰君安证券、投资者
                                                                                            况
                                                                    公众投资者、媒体、广
    2012 年 05 月 08 日    公司总部       实地调研           个人                            公司基本情况、经营发展情况
                                                                      东省上市公司协会
    2012 年 05 月 23 日    公司总部       实地调研           机构             东方证券          公司经营发展情况
    2012 年 05 月 29 日    公司总部       实地调研           机构          交银施罗德基金       公司经营发展情况
    2012 年 06 月 08 日       无          电话沟通           机构            汇添富基金         公司经营发展情况
                                                                               广发证券股份有限公司 2012 年半年度报告摘要
                                              七、财务报告(一)审计意见半年报是否经过审计□ 是 √ 否(二)财务报表是否需要合并报表:√ 是 □ 否
                                 合并及母公司资产负债表(未经审计)
    编制单位:广发证券股份有限公司                          2012 年 6 月 30 日                   单位:人民币元
                         附                   期末数                                        年初数
              资产       注
                                   合并数                公司数                 合并数                  公司数
                         六资产:
    货币资金               1    36,944,016,807.40    31,995,252,288.83         38,578,722,643.19       34,661,130,516.50
    其中:客户资金存款          27,668,599,773.76    25,082,423,235.53         29,744,827,735.79       27,562,451,226.35
    结算备付金             2     5,338,217,125.68        4,731,444,088.41       4,651,817,547.97        4,207,762,255.53
    其中:客户备付金             4,963,468,147.03        4,394,350,524.01       4,275,980,003.19        3,883,232,238.61
    交易性金融资产         3    15,691,729,142.36    14,004,922,441.80         12,870,468,955.54       12,699,703,605.34
    衍生金融资产           4                    -                       -                      -                       -
    应收利息               5       527,766,488.84         498,270,668.93         297,120,953.04          277,127,657.46
    存出保证金             6     2,247,782,730.03         844,359,174.68        2,297,103,838.21        1,020,020,644.35
    可供出售金融资产       7    11,036,900,161.25    10,002,036,497.65         10,728,479,801.26       10,210,927,313.26
    持有至到期投资         8                    -                       -                      -                       -
    长期股权投资           10    2,885,631,011.41        6,500,142,080.35       2,921,524,265.18        4,821,356,489.28
    投资性房地产           11        8,512,746.70           8,512,746.70            8,717,052.64            8,717,052.64
    固定资产               12      786,384,674.13         762,209,418.76         667,476,177.45          645,723,917.44
    无形资产               13      409,115,234.02         404,662,601.05         417,938,888.57          413,143,281.92
    其中:交易席位费                 3,755,176.17           1,637,800.17            4,473,522.27            2,360,106.27
    商誉                   14                   -                       -                      -                       -
    递延所得税资产         15       63,758,943.69          63,758,943.69         138,213,108.57          132,921,145.84
    其他资产               16    4,614,882,066.99        4,290,252,245.10       3,233,167,653.00        2,952,599,737.34
    资产合计                      80,554,697,132.50    74,105,823,195.95         76,810,750,884.62       72,051,133,616.90
    公司法定代表人:孙树明                主管会计工作负责人:孙晓燕                            会计机构负责人:孙晓燕
                                                                      广发证券股份有限公司 2012 年半年度报告摘要
                            合并及母公司资产负债表(续)(未经审计)
    编制单位:广发证券股份有限公司                 2012 年 6 月 30 日                          单位:人民币元
                           附                   期末数                                      年初数
         负债和股东权益    注
                                    合并数                  公司数                合并数               公司数
                           六负债:
    短期借款                 19       240,742,499.92                       -     193,422,578.18                     -
    其中:质押借款                    240,742,499.92                       -     193,422,578.18                     -
    拆入资金                 20      2,700,000,000.00       2,700,000,000.00                   -                    -
    卖出回购金融资产款       21      7,353,896,289.39       7,353,896,289.39    7,718,397,929.63    7,718,397,929.63
    代理买卖证券款           22     34,226,245,100.59      29,694,164,418.82   35,553,085,094.05   31,746,523,767.76
    代理承销证券款           23        54,936,000.00          54,936,000.00                    -                    -
    应付职工薪酬             24       966,583,321.30         932,848,925.25      971,358,856.08        929,174,681.54
    应交税费                 25       438,049,957.67         422,064,701.57      282,630,448.90        251,722,639.67
    应付利息                 26          9,625,785.53           9,518,445.00        9,732,694.08         9,198,963.10
    预计负债                 27          6,561,343.00           6,561,343.00        6,561,343.00         6,561,343.00
    递延所得税负债           15       189,524,380.29                       -      91,967,025.35                     -
    其他负债                 28      1,827,624,171.66       1,733,871,681.09     316,094,828.85        255,251,085.38
    负债合计                          48,013,788,849.35      42,907,861,804.12   45,143,250,798.12   40,916,830,410.08股东权益:
    股本                     29      2,959,645,732.00       2,959,645,732.00    2,959,645,732.00    2,959,645,732.00
    资本公积                 30     12,398,983,465.50      11,825,008,217.55   11,948,296,452.94   11,666,992,086.94
    盈余公积                 31      2,139,650,548.11       2,124,320,178.16    2,139,650,548.11    2,124,320,178.16
    一般风险准备             32      4,494,401,336.89       4,494,401,336.89    4,494,401,336.89    4,494,401,336.89
    未分配利润               33     10,126,340,704.57       9,794,585,927.23   10,136,345,483.08    9,888,943,872.83
    外币报表折算差额                   -44,875,552.20                      -      -43,243,057.12                    -
    归属于母公司股东权益合计          32,074,146,234.87      31,197,961,391.83   31,635,096,495.90   31,134,303,206.82
    少数股东权益                      466,762,048.28                       -      32,403,590.60                     -
    股东权益合计                      32,540,908,283.15      31,197,961,391.83   31,667,500,086.50   31,134,303,206.82
    负债和股东权益总计                80,554,697,132.50      74,105,823,195.95   76,810,750,884.62   72,051,133,616.90
    公司法定代表人:孙树明            主管会计工作负责人:孙晓燕                           会计机构负责人:孙晓燕
                                                                             广发证券股份有限公司 2012 年半年度报告摘要
                                      合并及母公司利润表(未经审计)
    编制单位:广发证券股份有限公司                         2012 年 1-6 月                           单位:人民币元
                                          附                 本期数                                上年同期数
               项        目               注
                                                   合并数              公司数             合并数                公司数
                                          六
    一、营业收入                                   3,982,857,697.12    3,695,452,524.45   3,270,800,219.36    3,116,725,216.33
    手续费及佣金净收入                      34   2,245,830,755.30    2,079,578,639.48   2,500,298,327.60    2,390,122,287.23
    其中:代理买卖证券业务净收入                 1,258,214,230.16    1,252,616,556.05   1,846,000,009.56    1,839,817,943.84
        证券承销业务净收入                      705,160,430.13      700,156,312.49     409,230,842.56      406,773,904.22
        受托客户资产管理业务净收入               55,164,155.85        55,146,097.91     44,080,069.56       44,080,069.56
    利息净收入                              35    534,853,463.73      448,767,175.80     332,434,271.61      295,969,090.93
    投资收益(损失以"-"号填列)             36    978,158,097.31      969,135,272.03     752,854,206.43      741,704,789.84
    其中:对联营企业和合营企业的投资收益          198,106,296.59      197,013,568.52     233,519,540.20      233,519,540.20
    公允价值变动收益(损失以"-"号填列)     37    208,595,701.99      184,498,542.69    -319,445,401.16     -310,271,866.87
    汇兑收益(损失以"-"号填列)             38      -1,235,584.58         475,606.43       2,321,418.39        -2,687,376.95
    其他业务收入                            39     16,655,263.37        12,997,288.02      2,337,396.49        1,888,292.15
    二、营业支出                                   2,089,983,666.25    1,915,516,289.85   1,562,549,728.66    1,454,844,791.56
    营业税金及附加                          40    165,866,440.18      159,004,679.37     170,337,244.09      165,274,408.21
    业务及管理费                            41   1,923,190,614.03    1,755,584,998.44   1,390,832,322.89    1,287,601,311.67
    资产减值损失                            42        722,306.10          722,306.10       1,175,855.74        1,764,765.74
    其他业务成本                                      204,305.94          204,305.94         204,305.94            204,305.94
    三、营业利润(亏损以"-"号填列)                1,892,874,030.87    1,779,936,234.60   1,708,250,490.70    1,661,880,424.77
    加:营业外收入                          43     10,557,274.94        10,468,015.54     16,128,058.75       16,102,737.54
    减:营业外支出                          44      2,523,316.48         2,211,402.76      4,221,995.29        4,186,878.74
    四、利润总额(亏损总额以"-"号填列)            1,900,907,989.33    1,788,192,847.38   1,720,156,554.16    1,673,796,283.57
    减:所得税费用                          45    422,885,049.02      402,727,926.98     379,317,817.51      367,389,881.51
    五、净利润(净亏损以"-"号填列)                1,478,022,940.31    1,385,464,920.40   1,340,838,736.65    1,306,406,402.06
    归属于母公司股东的净利润                   1,469,818,087.49                       1,343,025,031.02
    少数股东损益                                  8,204,852.82                           -2,186,294.37
    六、每股收益:                            46
    (一)基本每股收益                                          0.25                                   0.27
    (二)稀释每股收益                                          0.25                                   0.27
    七、其他综合收益                          48    449,054,517.48      158,016,130.61       7,279,385.90       -63,081,243.95
    八、综合收益总额                               1,927,077,457.79    1,543,481,051.01   1,348,118,122.55    1,243,325,158.11
    归属于母公司股东综合收益总额               1,918,872,604.97                       1,350,304,416.92
    归属于少数股东的综合收益总额                  8,204,852.82                           -2,186,294.37
    公司法定代表人:孙树明                   主管会计工作负责人:孙晓燕                            会计机构负责人:孙晓燕
                                                                                                     广发证券股份有限公司 2012 年半年度报告摘要
                                                 合并及母公司现金流量表(未经审计)
    编制单位:广发证券股份有限公司                                       2012 年 1-6 月                                          单位:人民币元
                                                      附                 2012 年 1-6 月                                    2011 年 1-6 月
                                                      注
                         项目                         六        合并数                      母公司               合并数                       母公司一、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
    收取利息、手续费和佣金的现金                                   3,359,166,778.09            3,108,100,897.77     3,467,120,086.74             3,295,829,763.33
    拆入资金净增加额                                               2,700,000,000.00            2,700,000,000.00     1,000,000,000.00             1,000,000,000.00
    代理承销证券收到的现金净额                                        54,936,000.00              54,936,000.00                     -                             -
    回购业务资金净增加额                                                           -                          -      783,277,037.66                783,277,037.66
    收到其他与经营活动有关的现金                          49          52,901,678.97             198,645,912.04       124,635,641.25                 14,114,329.17
    经营活动现金流入小计                                           6,167,004,457.06            6,061,682,809.81     7,392,300,214.66             7,116,040,687.81
    购置交易性金融资产净减少额                                     2,261,478,684.99             767,178,312.86                     -                             -
    支付利息、手续费及佣金的现金                                     603,954,972.46             576,458,073.34       641,864,320.20                615,699,025.63
    代理买卖证券支付的现金净额                                     1,346,335,398.19            2,064,874,334.50    25,200,526,572.27            24,641,929,357.72
    回购业务资金净减少额                                             364,501,640.24             364,501,640.24                     -                             -
    支付给职工以及为职工支付的现金                                 1,349,709,761.67            1,255,498,338.39     1,945,925,071.03             1,865,234,528.22
    支付的各项税费                                                   387,875,061.64             350,589,815.74      1,469,454,990.38             1,440,632,187.52
    支付其他与经营活动有关的现金                          49       1,731,088,096.08            1,689,912,657.36     1,227,660,997.87             1,177,144,886.63
    经营活动现金流出小计                                           8,044,943,615.27            7,069,013,172.43    30,485,431,951.75            29,740,639,985.72
    经营活动产生的现金流量净额                                     -1,877,939,158.21          -1,007,330,362.62   -23,093,131,737.09            -22,624,599,297.91二、投资活动产生的现金流量:
    收回投资收到的现金                                                87,440,000.00                           -       11,130,000.00                              -
    处置可供出售金融资产净增加额                                     296,325,192.92             296,325,192.92                     -                             -
    取得投资收益收到的现金                                           430,570,431.50             420,641,829.58       307,466,758.54                303,109,865.54
    处置固定资产、无形资产和其他长期资产收回的现金净额                 1,006,754.91                 964,614.91          5,242,859.95                 5,242,859.95
    投资活动现金流入小计                                             815,342,379.33             717,931,637.41       323,839,618.49                308,352,725.49
    投资支付的现金                                                   120,000,000.00            1,621,208,000.00      263,781,200.00                678,792,000.00
    购置可供出售金融资产净减少额                                                   -                          -      974,425,759.33                974,425,759.33
    购建固定资产、无形资产和其他长期资产支付的现金                   239,828,799.28             232,065,276.01        97,335,629.95                 93,291,348.37
    投资活动现金流出小计                                             359,828,799.28            1,853,273,276.01     1,335,542,589.28             1,746,509,107.70
    投资活动产生的现金流量净额                                       455,513,580.05           -1,135,341,638.60    -1,011,702,970.79             -1,438,156,382.21三、筹资活动产生的现金流量:
    吸收投资收到的现金                                               426,153,604.86                           -       10,037,302.21                              -
    其中:子公司吸收少数股东投资收到的现金                           426,153,604.86                           -       10,037,302.21                              -
    取得借款收到的现金                                                47,319,921.74                           -      124,584,590.59                              -
    筹资活动现金流入小计                                             473,473,526.60                           -      134,621,892.80                              -
    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
    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                         1.注 1       35,530,423.68
    筹资活动现金流出小计                                              35,530,423.68                           -     1,253,522,866.00             1,253,522,866.00
    筹资活动产生的现金流量净额                                       437,943,102.92                           -    -1,118,900,973.20             -1,253,522,866.00
    四、汇率变动对现金及现金等价物的影响                                 645,793.48                 475,606.43        -11,581,410.25                 -2,687,376.95
    五、现金及现金等价物净增加额                                    -983,836,681.76           -2,142,196,394.79   -25,235,317,091.33            -25,318,965,923.07
    加:期初现金及现金等价物余额                          50      42,907,325,560.15           38,868,892,772.03    69,968,064,689.09            66,222,209,503.99
    六、期末现金及现金等价物余额                                  41,923,488,878.39           36,726,696,377.24    44,732,747,597.76            40,903,243,580.92
    公司法定代表人:孙树明                                主管会计工作负责人:孙晓燕                                     会计机构负责人:孙晓燕
                                                                                                                                                         广发证券股份有限公司 2012 年半年度报告摘要
                                                                         合并所有者权益变动表(未经审计)
    编制单位:广发证券股份有限公司                                                           2012 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         外币报表折算差额
    一、2011 年 12 月 31 日余额   2,959,645,732.00   11,948,296,452.94   2,139,650,548.11   4,494,401,336.89   10,136,345,483.08       -43,243,057.12     32,403,590.60   31,667,500,086.50
    二、本年增减变动金额                               450,687,012.56                                             -10,004,778.51        -1,632,495.08    434,358,457.68     873,408,196.65
    (一)净利润                                                                                                 1,469,818,087.49                           8,204,852.82    1,478,022,940.31
    (二)其他综合收益                                  450,687,012.56                                                                   -1,632,495.08                       449,054,517.48
    上述(一)和(二)小计                                450,687,012.56                                           1,469,818,087.49        -1,632,495.08      8,204,852.82    1,927,077,457.79
    (三)所有者投入和减少资本                                                                                                                            426,153,604.86     426,153,604.86
    1、所有者投入资本                                                                                                                                   426,153,604.86     426,153,604.86
    2、其他
    (四)利润分配                                                                                              -1,479,822,866.00                                          -1,479,822,866.00
    1、提取盈余公积
    2、提取一般风险准备
    3、对股东的分配                                                                                           -1,479,822,866.00                                          -1,479,822,866.00
    4、其他
    三、2012 年 6 月 30 日余额    2,959,645,732.00   12,398,983,465.50   2,139,650,548.11   4,494,401,336.89   10,126,340,704.57       -44,875,552.20    466,762,048.28   32,540,908,283.15
    公司法定代表人:孙树明                                                  主管会计工作负责人:孙晓燕                                                         会计机构负责人:孙晓燕
                                                                                                                                                     广发证券股份有限公司 2012 年半年度报告摘要
                                                                      合并所有者权益变动表(未经审计)
    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        外币报表折算差额
    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
    二、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      10,037,302.212、其他
    (四)利润分配                                                                                            -1,253,522,866.00                                          -1,253,522,866.001、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                                          -1,253,522,866.004、其他
    三、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:孙树明                                                   主管会计工作负责人:孙晓燕                                                     会计机构负责人:孙晓燕
                                                                                                                                  广发证券股份有限公司 2012 年半年度报告摘要
                                                              母公司所有者权益变动表(未经审计)
    编制单位:广发证券股份有限公司                                          2012 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、2011 年 12 月 31 日余额   2,959,645,732.00   11,666,992,086.94   2,124,320,178.16        4,494,401,336.89      9,888,943,872.83             31,134,303,206.82
    二、本年增减变动金额                               158,016,130.61                                                    -94,357,945.60                 63,658,185.01
    (一)净利润                                                                                                        1,385,464,920.40              1,385,464,920.40
    (二)其他综合收益                                  158,016,130.61                                                                                  158,016,130.61
    上述(一)和(二)小计                                158,016,130.61                                                  1,385,464,920.40              1,543,481,051.01(三)所有者投入和减少资本1、所有者投入资本2、其他
    (四)利润分配                                                                                                     -1,479,822,866.00              -1,479,822,866.001、提取盈余公积2、提取一般风险准备
    3、对股东的分配                                                                                                  -1,479,822,866.00              -1,479,822,866.004、其他
    三、2012 年 6 月 30 日余额   2,959,645,732.00   11,825,008,217.55   2,124,320,178.16        4,494,401,336.89      9,794,585,927.23             31,197,961,391.83
    公司法定代表人:孙树明                                       主管会计工作负责人:孙晓燕                                               会计机构负责人:孙晓燕
                                                                                                                                   广发证券股份有限公司 2012 年半年度报告摘要
                                                             母公司所有者权益变动表(未经审计)
    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
    二、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、其他
    (四)利润分配                                                                                                       -1,253,522,866.00              -1,253,522,866.001、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              -1,253,522,866.004、其他
    三、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:孙树明                                  主管会计工作负责人:孙晓燕                                                     会计机构负责人:孙晓燕
                                                                  广发证券股份有限公司 2012 年半年度报告摘要(三)报表附注1、主要会计政策、会计估计的变更以及重大会计差错更正及其影响数(1)会计政策变更本报告期主要会计政策是否变更□ 是 √ 否(2)会计估计变更本报告期主要会计估计是否变更□ 是 √ 否(3)会计差错更正本报告期是否发现前期会计差错□ 是 √ 否2、合并报表合并范围发生变更的理由
    √适用   □不适用
    本报告期,本公司完成设立子公司广发乾和投资有限公司事项,并将该子公司纳入合并报表合并范围。3、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
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