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广发证券(000776)公告正文

广发证券:2012年第三季度报告全文

公告日期 2012-10-30
股票简称:广发证券 股票代码:000776
                     广发证券股份有限公司 2012 年第三季度报告全文




广 发 证 券 股 份 有 限 公 司

         (000776)

   二○一二年第三季度报告




         二○一二年十月




                                                               1
                                                                                 广发证券股份有限公司 2012 年第三季度报告全文




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、准确性和完整性负个别及连带责任。
    本报告经公司第七届董事会第二十三次会议审议通过。
    公司第三季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、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 年第三
季度报告中财务报告的真实、完整。

二、公司基本情况

(一)主要会计数据及财务指标

以前报告期财务报表是否发生了追溯调整
□ 是 √ 否 □ 不适用
                                         2012.9.30                          2011.12.31              本报告期末比上年度期末增减

总资产(元)                                79,262,461,465.61                   76,810,750,884.62                          3.19%

归属于上市公司股东的所有
                                            32,293,912,069.94                   31,635,096,495.90                          2.08%
者权益(元)

股本(股)                                   5,919,291,464.00                    2,959,645,732.00                        100.00%

归属于上市公司股东的每股                                               调整前          调整后
                 注1                                            5.46                                                       2.25%
净资产(元/股)                                                              10.69           5.34
                                   2012 年 7-9 月               比上年同期增减          2012 年 1-9 月        比上年同期增减

营业总收入(元)                     1,370,376,317.09                      29.94%        5,353,234,014.21                 23.76%

归属于上市公司股东的净利
                                       341,533,913.24                      57.65%        1,811,352,000.73                 16.14%
润(元)
经营活动产生的现金流量净
           注2                --                           --                            1,506,108,630.46                104.89%
额(元)
每股经营活动产生的现金流
                 注3          --                           --                                         0.25               104.80%
量净额(元/股)

                        注4
基本每股收益(元/股)                               0.06                     50%                      0.31                 3.33%

                        注4
稀释每股收益(元/股)                               0.06                     50%                      0.31                 3.33%


加权平均净资产收益率(%)                      1.06%            增长 0.14 个百分点                  5.65%    下降 1.88 个百分点

扣除非经常性损益后的加权
                                               1.03%            增长 0.16 个百分点                  5.60%    下降 1.83 个百分点
平均净资产收益率(%)
    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。本报告期末归
属于上市公司股东的每股净资产以本期末股数 5,919,291,464 股计算,计算 2011.12.31 归属于上市公司股东的每股净资产时,
调整前以 2,959,645,732 股计算,调整后以 5,919,291,464 股计算。
    注 2:2011 年 1-9 月经营活动产生的现金流量净额为-30,811,560,769.73 元,2012 年 1-9 月比上年同期正增长,增加额为
32,317,669,400.19 元。
    注 3:计算 2012 年 1-9 月每股经营活动产生的现金流量净额时采用了本期末股数 5,919,291,464 股,在计算比上年同期




                                                                                                                                  2
                                                                    广发证券股份有限公司 2012 年第三季度报告全文


增减幅度时,已相应将上年同期末股本 2,959,645,732 股按可比口径调整为 5,919,291,464 股。
    注 4: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)》:上表计算
本年 7-9 月和 1-9 月的每股收益时采用的普通股加权平均股数为 5,919,291,464 股;在计算比上年同期增减幅度时,已相应将
上年 7-9 月普通股加权平均股数 2,657,912,399 股按可比口径调整为 5,315,824,798 股,将上年 1-9 月普通股加权平均股数
2,557,334,621 股按可比口径调整为 5,114,669,242 股。

扣除非经常性损益项目和金额
√ 适用 □ 不适用
                          项目                          年初至报告期期末金额(元)                  说明

非流动资产处置损益                                                           460,905.20

计入当期损益的政府补助(与企业业务密切相关,按照
                                                                            9,415,699.21
国家统一标准定额或定量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                                       12,735,545.02 代扣代缴税款手续费等


少数股东权益影响额                                                                     -


所得税影响额                                                               -5,653,037.36


合计                                                                       16,959,112.07                            --



(二)报告期末股东总数及前十名股东持股情况表

                                                                                                              单位:股
报告期末股东总数(户)                                                                                          82497
                                      前十名无限售条件流通股股东持股情况

                                           期末持有无限售条件股                    股份种类及数量
                    股东名称
                                                 份的数量                   种类                     数量

酒泉钢铁(集团)有限责任公司                            263,073,796       人民币普通股                   263,073,796

广东粤财信托有限公司-广发证券股权激励
                                                      240,915,662       人民币普通股                   240,915,662
集合信托

安徽华茂纺织股份有限公司                              157,432,800       人民币普通股                   157,432,800


普宁市信宏实业投资有限公司                            145,936,358       人民币普通股                   145,936,358


揭阳市信宏资产管理中心(有限合伙)                    133,855,100       人民币普通股                   133,855,100


上海海博鑫惠国际贸易有限公司                          119,999,900       人民币普通股                       119,999,900


亨通集团有限公司                                      114,459,036       人民币普通股                       114,459,036


宜华企业(集团)有限公司                                 70,000,000       人民币普通股                        70,000,000


中国电子科技集团公司                                   60,000,000       人民币普通股                        60,000,000




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                                                                  广发证券股份有限公司 2012 年第三季度报告全文



汇天泽投资有限公司                                58,450,000          人民币普通股                      58,450,000



三、重要事项

(一)公司主要会计报表项目、财务指标大幅度变动的情况及原因

√ 适用 □ 不适用

        项目         2012 年 9 月 30 日     2011 年 12 月 31 日        增减幅度             主要变动原因

                                                                                     主要为分期付息的长期债券利
应收利息                  595,050,263.87           297,120,953.04       100.27%
                                                                                     息增加

递延所得税资产            219,310,361.14           138,213,108.57        58.68%      可抵扣暂时性差异增加


其他资产                5,387,957,786.01          3,233,167,653.00       66.65%      主要为融出资金的增加


拆入资金                4,678,000,000.00                       0.00            -     从银行拆入资金

                                                                                     主要是本期企业所得税等相关
应交税费                  441,369,585.45           282,630,448.90        56.16%
                                                                                     税费增加所致
                                                                                     本期金融资产公允价值变动产
递延所得税负债            202,512,265.33            91,967,025.35       120.20%
                                                                                     生的应纳税暂时性差异增加

其他负债                1,186,998,013.19           316,094,828.85       275.52%      主要为融入资金增加


股本                    5,919,291,464.00          2,959,645,732.00      100.00%      资本公积转增股本

                                                                                     广发控股(香港)有限公司所持
少数股东权益              504,855,072.86            32,403,590.60      1458.02%      有并纳入合并报表范围的基金
                                                                                     之少数股东权益增加所致

        项目          2012 年 1-9 月        2011 年 1-9 月           增减幅度             主要变动原因

                                                                                     自有资金利息及融资融券利息
利息净收入                802,784,066.63           577,382,130.14        39.04%
                                                                                     增加

投资收益                1,511,710,528.95           803,463,245.10        88.15%      主要为金融资产投资收益增加

                                                                                     主要为交易性金融资产公允价
公允价值变动收益           -59,454,468.55         -614,707,776.62        90.33%
                                                                                     值变动增加

其他业务收入               22,604,313.35              6,029,018.96      274.93%      主要为信息服务费收入增加


业务及管理费            2,811,765,173.17          2,148,779,218.38       30.85%      费用投入增加


资产减值损失                 1,159,553.36             1,762,691.29       -34.22%     无形资产减值损失减少


营业外支出                   3,008,005.92             5,093,819.73       -40.95%     赔款支出减少


少数股东损益                 7,976,409.06            -7,075,237.34      212.74%      本期盈利增加

                                                                                     可供出售金融资产公允价值变
其他综合收益              327,286,439.31          -221,777,441.20       247.57%
                                                                                     动增加



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                                                                广发证券股份有限公司 2012 年第三季度报告全文



                                                                                净利润和可供出售金融资产公
综合收益总额               2,146,614,849.10     1,330,813,510.02       61.30%
                                                                                允价值变动增加
归属于母公司股东综                                                              净利润和可供出售金融资产公
                           2,138,638,440.04     1,337,888,747.36       59.85%
合收益总额                                                                      允价值变动增加
归属于少数股东的综
                               7,976,409.06          -7,075,237.34    212.74%   本期盈利增加
合收益总额
经营活动产生的现金                                                              主要为代理买卖证券款收到的
                           1,506,108,630.46    -30,811,560,769.73     104.89%
流量净额                                                                        现金净额增加
投资活动产生的现金                                                              本期可供出售金融资产投资减
                           -165,792,833.62      -2,499,654,250.46      93.37%
流量净额                                                                        少
筹资活动产生的现金                                                              上年同期主要为定向增发现金
                          -1,015,139,758.71    10,941,298,469.42     -109.28%
流量净额                                                                        流入



(二)重大事项进展情况及其影响和解决方案的分析说明

1、非标意见情况

□ 适用 √ 不适用


2、公司存在向控股股东或其关联方提供资金、违反规定程序对外提供担保的情况

□ 适用 √ 不适用


3、日常经营重大合同的签署和履行情况

无。


4、其他

√ 适用 □ 不适用
       1、营业网点变更

       (1)、公司营业部经所在地证监局批准同城迁址

        2012 年 7 月 9 日,经中国证监会甘肃监管局《关于同意广发证券兰州酒泉路证券营业部迁址筹建的
批复》(甘证监发字[2012]97 号)文批准,核准我司兰州酒泉路证券营业部同城迁址,迁入地址为:兰州
市城关区甘南路 475-3 号华阳大厦二层,营业部名称变更为:广发证券股份有限公司兰州甘南路证券营业
部。2012 年 8 月 14 日,经中国证监会甘肃监管局《关于同意广发证券股份有限公司兰州酒泉路证券营业
部迁址开业的批复》(甘证监发字[2012]124 号),我司原兰州酒泉路证券营业部新址通过中国证监会甘肃
监管局验收,营业部名称正式变更为:广发证券股份有限公司兰州甘南路证券营业部。

        2012 年 7 月 30 日,经中国证监会浙江监管局《关于核准广发证券股份有限公司杭州钱江路证券营业
部迁址开业的批复》(浙证监许可[2012]102 号),我司原杭州富春江路证券营业部新址通过中国证监会浙
江监管局验收。迁入地址为:浙江省杭州市上城区钱江路 41 号 201 室,营业部名称正式变更为:广发证
券股份有限公司杭州钱江路证券营业部。




                                                                                                             5
                                                                广发证券股份有限公司 2012 年第三季度报告全文



    (2)、新设营业部情况

    2012 年 3 月 29 日,经中国证监会广东监管局《关于核准广发证券股份有限公司在陕西省咸阳市等地
设立 5 家证券营业部的批复》(广东证监许可[2012]41 号)文批准,同意我司在陕西省咸阳市秦都区、黑
龙江省大庆市萨尔图区、广东省佛山市顺德区、广东省中山市、广东省东莞市各设立 1 家证券营业部。截
至 2012 年 9 月底,上述 5 家营业部均已完成设立。具体详见下表:

         序号            新设证券营业部名称                                地址
                广发证券股份有限公司咸阳世纪大道证券   陕西省咸阳市秦都区世纪大道西段华宇蓝郡一号楼
           1
                营业部                                 商铺三层
                广发证券股份有限公司大庆纬六路证券营   黑龙江省大庆市萨尔图区纬六路 12 号(东风新村汇
           2
                业部                                   丰商城 16#)
                广发证券股份有限公司东莞塘厦证券营业   广东省东莞市塘厦镇润塘东街六号兴怡居二层 202A
           3
                部                                     号
                广发证券股份有限公司中山三乡证券营业   广东省中山市三乡镇景观大道 3 号文化活动中心 1
           4
                部                                     楼
                广发证券股份有限公司顺德容桂证券营业   佛山市顺德区容桂街道办事处文海西路 10 号新镜界
           5
                部                                     花园 10 号商铺



    2、关于发行短期融资券

    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。

    2012 年 9 月,公司收到中国人民银行《中国人民银行关于广发证券股份有限公司发行短期融资券的通
知》(银发[2012]229 号)。根据该通知,中国人民银行核定本公司待偿还短期融资券的最高余额为人民币
135 亿元,有效期一年。

    2012 年 10 月 18 日,公司已完成 2012 年度第一期短期融资券 45 亿元人民币的发行,本期短期融资券
期限为 90 天,票面利率为 4.00%。

    3、2011 年非公开发行 A 股股票解除限售

    2011年5月,经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号文)核准,公司于2011年8月16日以非公开发行股票的方式向10名特定投资者发行了
45,260万股人民币普通股(A股),发行价格26.91元/股。新增股份已于2011年8月22日在中国证券登记结
算有限责任公司深圳分公司办理完毕登记托管手续,于2011年8月26日在深圳证券交易所上市,限售锁定
期为一年。

    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》。根据该议案,公司以资本公积每10股转增10股,公司本次资本公积金转增股本已于2012年7
月5日除权。根据《中国证券登记结算有限责任公司深圳分公司限售股份登记存管业务指南(2011 年修订)》
第七条规定:“限售股份因权益分派等原因孳生的送转股,股份性质仍为限售股份”。因此,前述参与公司




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                                                          广发证券股份有限公司 2012 年第三季度报告全文



非公开发行的10名特定投资者所持有的限售股份由45,260万股增加至90,520万股。

     2012年8月27日,本次非公开发行A股股票解除限售,上市流通。

     4、关于开展转融通业务

     2012 年 8 月 14 日,经公司第七届董事会第十九次会议审议通过了《关于开展转融通业务的议案》,董
事会同意公司开展转融通业务,并授权公司经营管理层办理相关手续和具体事宜。

     2012 年 8 月底,公司收到中国证券金融股份有限公司函件,其中确定公司参与转融通业务的授信额度
为 20 亿元整。公司作为试点证券公司已参与了中国证券金融股份有限公司于 2012 年 8 月 30 日起启动的
转融资业务试点。

     5、关于获批开展约定购回式证券交易业务

     2012 年 9 月,公司收到上海证券交易所《关于确认广发证券股份有限公司约定购回式证券交易权限的
通知》(上证会字[2012]196 号)。根据该通知,上海证券交易所确认本公司的约定购回式证券交易权限,
试点期间业务规模为 10 亿元。公司将严格按照上海证券交易所等相关部门的规定,合规、有序地开展约
定购回式证券交易业务。

     6、关于变更公司章程、法定代表人

     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,公司公告收到广东证监局《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。

    7、关于变更公司注册资本

     根据公司 2011 年年度股东大会的有关决议,公司向全体股东每 10 股派 5.00 元人民币现金(含税);
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。根据股东大会的决议,公司转增
股本完成后,授权公司经营管理层办理注册资本、公司《章程》等相关变更手续。

      2012年9月7日,公司收到中国证监会《关于核准广发证券股份有限公司变更注册资本的批复》(证监
许可[2012]1204号)。根据该批复要求,公司已经依法办理工商变更登记,并修改《公司章程》。公司的注
册资本由2,959,645,732元变更为5,919,291,464元。



(三)公司或持股 5%以上股东在报告期内或持续到报告期内的承诺事项

√ 适用 □ 不适用




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                                                                        广发证券股份有限公司 2012 年第三季度报告全文



   承诺事项             承诺人                     承诺内容              承诺时间        承诺期限        履行情况
                辽宁成大股份有限公司、辽宁成大、吉林敖东、中山公用及香江                          限售期内,辽宁成
                                                                                   自本次交易完成
                吉林敖东药业集团股份 集团承诺,原持有广发证券的股份转换                           大、吉林敖东、中
                                                                                   及新增股份发行
                有限公司、中山公用事业 而成的存续公司股票,自本次交易完成 2010.2.6                山公用和香江集团
股改承诺                                                                           结束之日起三十
                集团股份有限公司、香江 及新增股份发行结束之日起三十六个                           继续履行承诺。
                                                                                   六个月内
                集团有限公司           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示。2、广
                                      发证券及其高级管理人员承诺,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
                                      公司和吉林敖东药业集团股份有限公
收购报告书或权 公司及公司有限售条件
                                      司作出如下承诺:①作为换股吸收合并                            报告期内,各承诺
益变动报告书中 股东、董事和高级管理人                                    2010.2.6   无
                                      后存续公司的第一大股东和第二大股                              方均履行了承诺。
所作承诺       员
                                      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。
资产置换时所作
               无                     无                                无          无              无
承诺
发行时所作承诺 无                     无                                无          无              无
其他对公司中小
               无                     无                                无          无              无
股东所作承诺
承诺是否及时履
               √是 □ 否 □ 不适用

未完成履行的具
体原因及下一步 无
计划



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                                                                           广发证券股份有限公司 2012 年第三季度报告全文



是否就导致的同
业竞争和关联交 □ 是 □ 否√不适用(关于可能存在的同业竞争和关联交易问题已作出承诺,详细请见本表第三行之相关内容)
易问题作出承诺
承诺的解决期限 不适用
解决方式        不适用
承诺的履行情况 不适用


       (四)对 2012 年度经营业绩的预计

       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


       (五)报告期内现金分红政策的执行情况

           2012 年 5 月 7 日,公司 2011 年度股东大会审议通过《广发证券股份有限公司 2011 年利润分配及资本公积转增股本预
       案》,确定如下方案:1、以公司现有总股本 2,959,645,732 股为基数,向全体股东每 10 股派 5.00 元人民币现金(含税;扣税
       后,个人股东、证券投资基金、合格境外机构投资者实际每 10 股派 4.50 元;对于合格境外机构投资者外的其他非居民企业,
       本公司未代扣代缴所得税,由纳税人在所得发生地缴纳);2、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。

            公司于2012年6月29日刊登了《广发证券股份有限公司2011年度利润分配及资本公积转增股本实施公告》。2012年7月5
       日,现金红利已发放,新增股份直接记入股东证券账户,公司总股本由2,959,645,732股增至5,919,291,464股。

            公司关于年度分红方案的实施、分红政策的执行符合法律法规和公司章程的有关规定。


       (六)其他需说明的重大事项

       1、证券投资情况

       □ 适用 √ 不适用


       2、衍生品投资情况

       □ 适用 √ 不适用


       3、报告期末衍生品投资的持仓情况

       □ 适用 √ 不适用


       4、报告期内接待调研、沟通、采访等活动登记表

                                                                                                      谈论的主要内容及
            接待时间          接待地点   接待方式    接待对象类型               接待对象
                                                                                                          提供的资料
                                                                                                     询问公司日常经营
       2012 年 07 月 01 日
                                 无      电话沟通        个人                 公众投资者             情况以及非公开发
       -2012 年 09 月 30 日
                                                                                                     行限售股解禁等
                                                                    招商证券、东方证券资产管理公司、
       2012 年 7 月 25 日     公司总部   实地调研        机构       广发基金、长城基金、日兴资产管理 公司经营发展情况
                                                                    公司




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                                                         广发证券股份有限公司 2012 年第三季度报告全文



                                                  国泰君安证券、华泰柏瑞基金、北京
2012 年 8 月 29 日   公司总部   实地调研   机构   星石投资管理公司、生命保险资产管 公司经营发展情况
                                                  理公司
                                                  上海证券报、投资快报、21 世纪经
2012 年 9 月 1 日       无      书面回复   机构                                      关于转融通业务
                                                  济报道、南方都市报
2012 年 9 月 4 日    公司总部   实地调研   机构           当代金融家杂志            公司社会责任方面
                                                                                    公司于揭阳的合作
2012 年 9 月 7 日      揭阳     实地调研   机构              揭阳日报
                                                                                    发展等
2012 年 9 月 7 日       无      书面回复   机构             南方都市报              公司经营发展情况
2012 年 9 月 12 日   公司总部   实地调研   机构       中信证券、中信产业基金        公司经营发展情况
2012 年 9 月 17 日   公司总部   实地调研   机构              投资快报               公司经营发展情况
2012 年 9 月 19 日      无      电话沟通   机构              博时基金               公司经营发展情况
2012 年 9 月 20 日   公司总部   实地调研   机构         民族证券、湘财证券          公司经营发展情况


5、发行公司债券情况

是否发行公司债券
□ 是   √ 否




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                                                                      广发证券股份有限公司 2012 年第三季度报告全文




四、附录

(一)财务报表

是否需要合并报表:
√ 是 □ 否 □ 不适用
如无特殊说明,财务报告中的财务报表的单位为:人民币元


4.1 资产负债表

                                 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 09 月 30 日                                           单位:元
                                            期末数                                        年初数
           资产
                             合并数                      公司数                合并数                公司数

资产:
  货币资金                 39,374,912,894.52          34,857,760,148.84     38,578,722,643.19      34,661,130,516.50
  其中:客户资金存款       25,072,813,243.59          22,518,024,107.75     29,744,827,735.79      27,562,451,226.35
  结算备付金                4,243,552,345.33           3,624,997,017.17      4,651,817,547.97       4,207,762,255.53
  其中:客户备付金          3,683,253,565.75           3,074,946,192.85      4,275,980,003.19       3,883,232,238.61
  拆出资金                                    -                       -                     -                      -
  交易性金融资产           10,814,463,624.32           9,413,242,991.30     12,870,468,955.54      12,699,703,605.34
  衍生金融资产                                -                       -                     -                      -
  买入返售金融资产                            -                       -                     -                      -
  应收利息                       595,050,263.87          545,873,633.95        297,120,953.04        277,127,657.46
  存出保证金                2,821,152,255.40             895,322,985.66      2,297,103,838.21       1,020,020,644.35
  可供出售金融资产         11,553,883,904.46           9,684,449,054.20     10,728,479,801.26      10,210,927,313.26
  持有至到期投资                              -                       -                     -                      -
  长期股权投资              3,059,816,201.23           6,581,728,145.27      2,921,524,265.18       4,821,356,489.28
  投资性房地产                     8,410,593.73            8,410,593.73          8,717,052.64           8,717,052.64
  固定资产                       776,871,538.50          751,757,861.64        667,476,177.45        645,723,917.44
  无形资产                       407,079,697.10          402,584,883.35        417,938,888.57        413,143,281.92
  其中:交易席位费                 3,319,046.91            1,200,552.91          4,473,522.27           2,360,106.27
  商誉                                        -                       -                     -                      -
  递延所得税资产                 219,310,361.14          219,310,361.14        138,213,108.57        132,921,145.84
  其他资产                  5,387,957,786.01           4,916,995,320.33      3,233,167,653.00       2,952,599,737.34
资产合计                   79,262,461,465.61          71,902,432,996.58     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




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                                                                    广发证券股份有限公司 2012 年第三季度报告全文



                           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 09 月 30 日                                            单位: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                         248,947,070.46                      -      193,422,578.18                       -
  其中:质押借款                   248,947,070.46                      -      193,422,578.18                       -
  拆入资金                        4,678,000,000.00      4,678,000,000.00                   -                       -
  交易性金融负债                                 -                     -                   -                       -
  衍生金融负债                                   -                     -                   -                       -
  卖出回购金融资产款              7,711,810,000.00      7,711,810,000.00    7,718,397,929.63        7,718,397,929.63
  代理买卖证券款                 30,855,108,013.14     25,661,726,813.07   35,553,085,094.05       31,746,523,767.76
  代理承销证券款                                 -                     -                   -                       -
  应付职工薪酬                    1,124,078,138.95      1,093,353,225.08      971,358,856.08         929,174,681.54
  应交税费                         441,369,585.45         398,883,394.08      282,630,448.90         251,722,639.67
  应付利息                            8,309,893.29          8,192,548.68        9,732,694.08            9,198,963.10
  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                   202,512,265.33                      -       91,967,025.35                       -
  其他负债                        1,186,998,013.19      1,000,014,211.10      316,094,828.85         255,251,085.38
负债合计                         46,463,694,322.81     40,558,541,535.01   45,143,250,798.12       40,916,830,410.08
股东权益:
  股本                            5,919,291,464.00      5,919,291,464.00    2,959,645,732.00        2,959,645,732.00
  资本公积                        9,309,558,405.11      8,696,620,185.52   11,948,296,452.94       11,666,992,086.94
  减:库存股                                     -                     -                   -                       -
  盈余公积                        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                    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                     10,467,874,617.81     10,109,258,297.00   10,136,345,483.08        9,888,943,872.83
  外币报表折算差额                  -36,864,301.98                            -43,243,057.12
归属于母公司股东权益合计         32,293,912,069.94     31,343,891,461.57   31,635,096,495.90       31,134,303,206.82
  少数股东权益                     504,855,072.86                              32,403,590.60
股东权益合计                     32,798,767,142.80     31,343,891,461.57   31,667,500,086.50       31,134,303,206.82
负债和股东权益总计               79,262,461,465.61     71,902,432,996.58   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




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                                                                        广发证券股份有限公司 2012 年第三季度报告全文



4.2 本报告期利润表
                                   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 7-9 月                                                   单位:元
                                                       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                               1,370,376,317.09     1,233,536,783.16   1,054,658,786.43     977,734,477.98
手续费及佣金净收入                          825,135,199.86       753,737,043.88    1,047,297,058.55     983,448,808.54
其中:代理买卖证券业务净收入                529,778,236.05       526,659,987.24      722,499,004.87     716,719,673.49
      证券承销业务净收入                    163,687,978.99       158,390,190.00      184,947,894.71     184,971,550.00
      受托客户资产管理业务净收入             26,927,490.29        27,271,533.01       36,116,480.17         36,047,358.12
利息净收入                                  267,930,602.90       220,673,434.03      244,947,858.53     215,677,243.75
投资收益(损失以"-"号填列)                 533,552,431.64       512,437,189.96       50,609,038.67         50,323,934.64
其中:对联营企业和合营企业的投资收益         97,662,431.21        97,215,150.23      113,467,909.25     113,467,909.25
公允价值变动收益(损失以"-"号填列)         -268,050,170.54     -259,464,220.54     -295,262,375.46    -273,379,402.63
汇兑收益(损失以"-"号填列)                    5,859,203.25          266,994.99        3,375,583.67         -1,995,590.20
其他业务收入                                   5,949,049.98        5,886,340.84        3,691,622.47          3,659,483.88
二、营业支出                                963,041,805.78       888,787,424.66      814,838,575.71     756,383,005.50
营业税金及附加                               73,927,846.41        70,814,052.57       56,202,691.70         53,278,160.90
业务及管理费                                888,574,559.14       817,433,971.86      757,946,895.49     702,421,526.08
资产减值损失                                    437,247.26           437,247.26          586,835.55           581,165.55
其他业务成本                                    102,152.97           102,152.97          102,152.97           102,152.97
三、营业利润(亏损以"-"号填列)             407,334,511.31       344,749,358.50      239,820,210.72     221,351,472.48
加:营业外收入                               15,062,880.41        15,047,369.65       15,813,682.21         15,785,386.83
减:营业外支出                                  484,689.44           484,389.44          871,824.44           771,824.44
四、利润总额(亏损总额以"-"号填列)         421,912,702.28       359,312,338.71      254,762,068.49     236,365,034.87
减:所得税费用                               80,607,232.80        44,639,968.94       43,009,853.92         36,578,909.56
五、净利润(净亏损以"-"号填列)             341,305,469.48       314,672,369.77      211,752,214.57     199,786,125.31
归属于母公司股东的净利润                    341,533,913.24                           216,641,157.54
少数股东损益                                   -228,443.76                            -4,888,942.97
六、每股收益:
(一)基本每股收益                                     0.06                                     0.04
(二)稀释每股收益                                     0.06                                     0.04
七、其他综合收益                            -121,768,078.17     -168,742,300.03     -229,056,827.10    -266,030,733.34
八、综合收益总额                            219,537,391.31       145,930,069.74      -17,304,612.53     -66,244,608.03
归属于母公司股东综合收益总额                219,765,835.07                           -12,415,669.56
归属于少数股东的综合收益总额                   -228,443.76                            -4,888,942.97
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




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4.3 年初到报告期末利润表
                                  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 1-9 月                                               单位:元
                                                        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                                5,353,234,014.21    4,928,989,307.61   4,325,459,005.79    4,094,459,694.31
手续费及佣金净收入                          3,070,965,955.16    2,833,315,683.36   3,547,595,386.15    3,373,571,095.77
其中:代理买卖证券业务净收入                1,787,992,466.21    1,779,276,543.29   2,568,499,014.43    2,556,537,617.33
证券承销业务净收入                           868,848,409.12      858,546,502.49     594,178,737.27      591,745,454.22
受托客户资产管理业务净收入                    82,091,646.14       82,417,630.92      80,196,549.73       80,127,427.68
利息净收入                                   802,784,066.63      669,440,609.83     577,382,130.14      511,646,334.68
投资收益(损失以"-"号填列)                 1,511,710,528.95    1,481,572,461.99    803,463,245.10      792,028,724.48
其中:对联营企业和合营企业的投资收益         295,768,727.80      294,228,718.75     346,987,449.45      346,987,449.45
公允价值变动收益(损失以"-"号填列)           -59,454,468.55      -74,965,677.85    -614,707,776.62    -583,651,269.50
汇兑收益(损失以"-"号填列)                    4,623,618.67          742,601.42        5,697,002.06         -4,682,967.15
其他业务收入                                  22,604,313.35       18,883,628.86        6,029,018.96         5,547,776.03
二、营业支出                                3,053,025,472.03    2,804,303,714.51   2,377,388,304.37    2,211,227,797.06
营业税金及附加                               239,794,286.59      229,818,731.94     226,539,935.79      218,552,569.11
业务及管理费                                2,811,765,173.17    2,573,018,970.30   2,148,779,218.38    1,990,022,837.75
资产减值损失                                   1,159,553.36        1,159,553.36        1,762,691.29         2,345,931.29
其他业务成本                                     306,458.91          306,458.91         306,458.91            306,458.91
三、营业利润(亏损以"-"号填列)             2,300,208,542.18    2,124,685,593.10   1,948,070,701.42    1,883,231,897.25
加:营业外收入                                25,620,155.35       25,515,385.19      31,941,740.96       31,888,124.37
减:营业外支出                                 3,008,005.92        2,695,792.20        5,093,819.73         4,958,703.18
四、利润总额(亏损总额以"-"号填列)         2,322,820,691.61    2,147,505,186.09   1,974,918,622.65    1,910,161,318.44
减:所得税费用                               503,492,281.82      447,367,895.92     422,327,671.43      403,968,791.07
五、净利润(净亏损以"-"号填列)             1,819,328,409.79    1,700,137,290.17   1,552,590,951.22    1,506,192,527.37
归属于母公司股东的净利润                    1,811,352,000.73                       1,559,666,188.56
少数股东损益                                   7,976,409.06                           -7,075,237.34
六、每股收益:
(一)基本每股收益                                      0.31                                    0.30
(二)稀释每股收益                                      0.31                                    0.30
七、其他综合收益                             327,286,439.31       -10,726,169.42    -221,777,441.20    -329,111,977.29
八、综合收益总额                            2,146,614,849.10    1,689,411,120.75   1,330,813,510.02    1,177,080,550.08
归属于母公司股东综合收益总额                2,138,638,440.04                       1,337,888,747.36
归属于少数股东的综合收益总额                   7,976,409.06                           -7,075,237.34
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




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                                                                           广发证券股份有限公司 2012 年第三季度报告全文



4.4 年初到报告期末现金流量表
                                     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 1-9 月                                         单位:元

                                                                  2012 年 1-9 月                               2011 年 1-9 月

项目                                                     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                            2,618,297,214.49       3,829,560,850.19                      -                        -

收取利息、手续费和佣金的现金                          4,596,493,092.43       4,237,015,070.35      5,016,557,468.95       4,745,494,853.47

拆入资金净增加额                                      4,678,000,000.00       4,678,000,000.00      1,000,000,000.00       1,000,000,000.00

回购业务资金净增加额                                                  -                       -    2,685,004,756.60       2,685,004,756.60

收到其他与经营活动有关的现金                           736,107,014.87          868,312,296.55        181,532,099.27             66,052,983.15

经营活动现金流入小计                                 12,628,897,321.79      13,612,888,217.09      8,883,094,324.82       8,496,552,593.22

购置交易性金融资产净减少额                                            -                       -    1,256,546,395.70       1,195,870,793.60

支付利息、手续费及佣金的现金                           825,130,754.76          783,734,735.52        937,181,386.66         894,463,098.09

代理买卖证券支付的现金净额                            4,888,694,507.49       6,102,056,003.83     31,398,344,328.70      31,499,370,829.89

回购业务资金净减少额                                      6,587,929.63             6,587,929.63                    -                        -

支付给职工以及为职工支付的现金                        1,785,316,505.07       1,656,176,564.06      2,425,056,905.22       2,314,292,212.60

支付的各项税费                                         642,893,810.46          593,669,543.26      1,688,896,050.07       1,653,830,480.99

支付其他与经营活动有关的现金                          2,974,165,183.92       2,377,600,448.27      1,988,630,028.20       1,914,770,297.27

经营活动现金流出小计                                 11,122,788,691.33      11,519,825,224.57     39,694,655,094.55      39,472,597,712.44

经营活动产生的现金流量净额                            1,506,108,630.46       2,093,062,992.52     -30,811,560,769.73    -30,976,045,119.22

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                         -       15,730,000.00                         -

处置可供出售金融资产净增加额                                          -        332,219,871.81                      -                        -

取得投资收益收到的现金                                 587,110,662.34          561,969,649.78        474,194,771.62         466,570,421.10

处置固定资产、无形资产和其他长期资产收回的现金净额        1,444,952.26             1,401,212.26        6,109,191.85              6,109,161.84

投资活动现金流入小计                                   675,995,614.60          895,590,733.85        496,033,963.47         472,679,582.94

投资支付的现金                                         252,000,000.00        1,621,208,000.00        332,581,200.00       1,178,792,000.00

购置可供出售金融资产净减少额                           302,917,644.40                         -    2,505,219,593.40       2,246,219,593.40

购建固定资产、无形资产和其他长期资产支付的现金         286,870,803.82          274,501,067.81        157,887,420.53         151,328,498.91

投资活动现金流出小计                                   841,788,448.22        1,895,709,067.81      2,995,688,213.93       3,576,340,092.31

投资活动产生的现金流量净额                             -165,792,833.62      -1,000,118,333.96      -2,499,654,250.46     -3,103,660,509.37

三、筹资活动产生的现金流量:

吸收投资收到的现金                                     464,475,073.20                         -   12,000,079,402.34      11,999,946,443.78

其中:子公司吸收少数股东投资收到的现金                 464,475,073.20                         -          132,958.56                         -

取得借款收到的现金                                      55,524,492.28                         -      194,741,933.08                         -

筹资活动现金流入小计                                   519,999,565.48                         -   12,194,821,335.42      11,999,946,443.78

分配股利、利润或偿付利息支付的现金                    1,479,822,866.00       1,479,822,866.00      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                            55,316,458.19                         -                    -                        -




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                                                                          广发证券股份有限公司 2012 年第三季度报告全文



筹资活动现金流出小计                                   1,535,139,324.19    1,479,822,866.00    1,253,522,866.00     1,253,522,866.00

筹资活动产生的现金流量净额                            -1,015,139,758.71   -1,479,822,866.00   10,941,298,469.42    10,746,423,577.78

四、汇率变动对现金及现金等价物的影响                       7,432,552.37         742,601.42        -24,618,107.62        -4,682,967.15

五、现金及现金等价物净增加额                            332,608,590.50      -386,135,606.02   -22,394,534,658.39   -23,337,965,017.96

加:期初现金及现金等价物余额                          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                          43,239,934,150.65   38,482,757,166.01   47,573,530,030.70    42,884,244,486.03
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




(二)审计报告

审计意见                       未经审计




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