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广发证券(000776)公告正文

广发证券:2014年第一季度报告全文

公告日期 2014-04-29
股票简称:广发证券 股票代码:000776
                     广发证券股份有限公司 2014 年第一季度报告全文




广 发 证 券 股 份 有 限 公 司

         (000776)

   二○一四年第一季度报告




         二○一四年四月




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                                         广发证券股份有限公司 2014 年第一季度报告全文




                         第一节 重要提示


    公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真

实、准确、完整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和

连带的法律责任。

    本报告经公司第七届董事会第四十八次会议审议通过。所有董事均出席了

审议本次季报的董事会会议。

    公司负责人孙树明先生、主管会计工作负责人孙晓燕女士及会计机构负责

人(会计主管人员)王莹女士声明:保证本季度报告中财务报告的真实、准确、

完整。




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                                                          广发证券股份有限公司 2014 年第一季度报告全文




                          第二节 主要财务数据及股东变化

一、主要会计数据和财务指标(合并数)

公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据
□ 是 √ 否
                                                                                   本报告期末比上年
              项目                本报告期末                  上年度末
                                                                                       度末增减
总资产(元)                      119,077,559,411.07        117,348,995,593.78                  1.47%
归属于上市公司股东的净资
                                   35,337,088,779.69         34,650,118,479.99                  1.98%
产(元)
                                                                                   本报告期比上年同
                                   本报告期                   上年同期
                                                                                       期增减
营业收入(元)                         2,464,674,560.28        1,896,286,716.34                29.97%
归属于上市公司股东的净利
                                        826,237,415.47          680,608,211.97                 21.40%
润(元)
归属于上市公司股东的扣除
                                        829,154,706.07          679,004,067.13                 22.11%
非经常性损益的净利润(元)
经营活动产生的现金流量净
                                       -149,698,404.89        -4,559,734,023.52                        -
额(元)
基本每股收益(元/股)                             0.14                      0.11               27.27%
稀释每股收益(元/股)                             0.14                      0.11               27.27%
加权平均净资产收益率                             2.36%                     2.03%   上涨 0.33 个百分点


公司报告期末至季度报告披露日股本是否因发行新股、增发、配股、股权激励行权、回购等原因发生变化
且影响所有者权益金额
□ 是 √ 否


非经常性损益项目和金额
√ 适用 □ 不适用
                                                                                            单位:元
                        项目                      年初至报告期期末金额               说明
非流动性资产处置损益                                          44,750.07               -
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、按照一定标准定额或定               670,000.00               -
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                       -4,604,470.87    主要为计提预计负债
非经常性损益的所得税影响数                                   972,430.20               -



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                                                               广发证券股份有限公司 2014 年第一季度报告全文


  扣除所得税影响数后的非经常性损益合计                          -2,917,290.60              -
  减:少数股东损益影响额(税后)                                         0.00              -
  扣除少数股东损益后的非经常性损益                              -2,917,290.60              -

  对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损

  益项目,以及把《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性

  损益项目界定为经常性损益的项目,应说明原因

  √适用 □ 不适用

      本集团持有交易性金融资产、交易性金融负债、衍生金融工具产生的公允价值变动损益,持有交易性

  金融资产、可供出售金融资产和应收款项类投资期间取得的投资收益,以及处置交易性金融资产、交易性

  金融负债、衍生金融工具和可供出售金融资产取得的投资收益不作为非经常性损益项目,而界定为经常性

  损益项目,原因为:本集团作为证券经营机构,上述业务均属于本集团的正常经营业务。


  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                                                                                      106,993
                                         前 10 名股东持股情况
                                                                持有有限            质押或冻结情况
                                    持股比例
      股东名称         股东性质                  持股数量       售条件的
                                      (%)                                     股份状态            数量
                                                                股份数量
辽宁成大股份有限公司 境内一般法人    21.12     1,250,154,088        0
吉林敖东药业集团股份
                     境内一般法人    21.03     1,244,652,926        0
有限公司
中山公用事业集团股份
                     国有法人        11.60      686,754,216         0
有限公司
香江集团有限公司     境内一般法人     4.77      282,643,104         0             质押          242,180,000
酒泉钢铁(集团)有限责
                     国有法人         4.44      263,073,796         0
任公司
广东粤财信托有限公司
-广发证券股权激励集 境内一般法人     3.38      199,915,662         0
合信托
普宁市信宏实业投资有
                     境内一般法人     2.47      145,936,358         0             质押          144,000,000
限公司
揭阳市信宏资产管理中
                     境内一般法人     2.26      133,737,449         0
心(有限合伙)



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                                                                广发证券股份有限公司 2014 年第一季度报告全文


安徽华茂纺织股份有限
                     境内一般法人       2.18      128,930,000        0
公司
亨通集团有限公司       境内一般法人     1.77      104,958,053        0             质押           65,800,000
                                      前 10 名无限售条件股东持股情况
                                                                                          股份种类
            股东名称                       持有无限售条件股份数量
                                                                                股份种类             数量
辽宁成大股份有限公司                            1,250,154,088                 人民币普通股      1,250,154,088
吉林敖东药业集团股份有限公司                    1,244,652,926                 人民币普通股      1,244,652,926
中山公用事业集团股份有限公司                     686,754,216                  人民币普通股       686,754,216
香江集团有限公司                                 282,643,104                  人民币普通股       282,643,104
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
                                                 199,915,662                  人民币普通股       199,915,662
权激励集合信托
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)               133,737,449                  人民币普通股       133,737,449
安徽华茂纺织股份有限公司                         128,930,000                  人民币普通股       128,930,000
亨通集团有限公司                                 104,958,053                  人民币普通股       104,958,053
  注 1:报告期末,以上股东不存在通过信用证券账户持有公司股份的情形;
  注 2:报告期内,以上股东不存在因参与融资融券、转融通业务所导致的股份增减变动情况;
  注 3:报告期内,以上股东未进行约定购回交易。




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                                                              广发证券股份有限公司 2014 年第一季度报告全文




                                        第三节 重要事项

一、 报告期主要会计报表项目、财务指标发生重大变动的情况及原因(合并数)

项目                     2014 年 3 月 31 日   2013 年 12 月 31 日   增减幅度   主要变动原因
                                                                               利率互换业务形成的资产减
衍生金融资产               36,007,366.36          57,383,402.53      -37.25%
                                                                               少
应收款项                  504,576,190.12        353,956,602.77       42.55%    应收业务账款增加
短期借款                  723,715,707.09        444,053,594.38       62.98%    质押借款增加
拆入资金                 2,700,000,000.00      5,300,000,000.00      -49.06%   从银行拆入资金减少
                                                                               利率互换业务形成的负债减
衍生金融负债               39,263,600.90          79,490,135.80      -50.61%
                                                                               少
代理承销证券款                 228,713.06                      -           -   子公司代理承销证券款
应付利息                  502,088,044.25        364,004,833.16       37.93%    公司债应付利息增加
项目                        2014 年 1-3 月        2013 年 1-3 月    增减幅度   主要变动原因
手续费及佣金净收                                                               主要为证券承销业务净收入
                         1,434,297,550.33      1,033,121,371.89      38.83%
入                                                                             增加
                                                                               主要为交易性金融资产公允
公允价值变动收益          152,034,257.96          31,120,608.88      388.53%
                                                                               价值增加
汇兑收益                  -15,374,846.05           1,347,294.49            -   汇率变动影响
其他业务收入                 2,069,673.91          3,924,137.41      -47.26%   主要是本期信息费收入减少
营业税金及附加            124,685,238.13          85,774,251.07      45.36%    营业收入增加所致
业务及管理费             1,270,002,896.86       943,452,163.06       34.61%    主要为职工费用增加
资产减值损失                    47,203.93           -103,721.44            -   上期有减值损失转回
其他业务成本                   434,134.90          1,448,711.06      -70.03%   投资性房地产折旧减少
营业外支出                   6,035,776.92            122,319.93     4834.42%   主要为本期计提预计负债
                                                                               可供出售金融资产公允价值
其他综合收益              -139,267,115.77       230,819,420.91             -
                                                                               变动减少
归属于少数股东的
                               615,558.49           -183,644.93            -   本期少数股东损益增加
综合收益总额
经营活动产生的现                                                               处置交易性金融资产和代理
                          -149,698,404.89     -4,559,734,023.52            -
金流量净额                                                                     买卖证券款收到的现金增加
投资活动产生的现                                                               处置可供出售金融资产流入
                         2,117,332,682.19       -929,541,523.38            -
金流量净额                                                                     现金增加
筹资活动产生的现
                         1,555,536,026.31      5,968,394,219.80      -73.94%   本期发行债券流入现金减少
金流量净额

二、重要事项进展情况及其影响和解决方案的分析说明

       1、营业网点变更



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                                                           广发证券股份有限公司 2014 年第一季度报告全文


       (1)公司营业部同城迁址

       2014 年 1 月 13 日,公司佛山南海大沥证券营业部由广东省佛山市南海区大沥镇九龙小商品批发城主

楼 1 号同城迁址至佛山市南海区大沥镇竹基南路 8 号兴沥雄广场九楼,营业部名称相应变更为“广发证券

股份有限公司佛山南海竹基南路证券营业部”,目前,《营业执照》及《经营证券业务许可证》均已变更完

毕。

       2014 年 1 月 13 日,公司秦皇岛河北大街证券营业部由河北省秦皇岛市海港区河北大街 377 号同城迁

址至秦皇岛市海港区和平大街 115 号 1、2、6、7 层,营业部名称相应变更为“广发证券股份有限公司秦

皇岛和平大街证券营业部”,目前,《经营证券业务许可证》变更完毕,《营业执照》正在办理中。

       2014 年 4 月 8 日,公司郑州花园路证券营业部由河南省郑州市花园路 19 号天丰大厦三、五楼同城迁

址至郑州市金水区农业路 62 号苏荷中心 12 楼东南面,营业部名称相应变更为“广发证券股份有限公司郑

州农业路证券营业部”,目前,《营业执照》及《经营证券业务许可证》均已变更完毕。



       (2)新设营业部情况

       2014 年 1 月 2 日,经广东证监局《关于核准广发证券股份有限公司设立 9 家分支机构的批复》(广东

证监许可〔2014〕1 号),核准公司在上海市新设 8 家证券营业部,在西藏拉萨市新设 1 家证券营业部。目

前,公司在拉萨市新设营业部已正式开业,在上海市新设 8 家证券营业部还在筹建之中。具体情况如下:

        序号           新设证券营业部名称                             地址

                 广发证券股份有限公司拉萨金珠西路   西藏自治区拉萨市金珠西路 189 号经济技术
             1
                 证券营业部                         开发区管委会写字楼 628 房



    2014 年 1 月 2 日,经广东证监局《关于核准广发证券股份有限公司设立 1 家分支机构的批复》(广东

证监许可〔2014〕2 号),核准公司在广东省佛山市新设 1 家证券营业部。目前,该营业部已正式开业,具

体情况如下:

        序号           新设证券营业部名称                             地址

                 广发证券股份有限公司佛山南平西路   佛山市南海区桂城街道南平西路佛山民间金
             1
                 证券营业部                         融街首、二层



       (3)新设分公司情况

        无


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                                                                          广发证券股份有限公司 2014 年第一季度报告全文




              (4)截止 2014 年 3 月 31 日还未获批的分公司和营业部的情况

               2014 年 3 月 25 日,经公司第七届董事会第四十六次会议审议通过《关于设立粤东分公司、粤西分公

       司和东莞分公司的议案》。目前,公司设立粤东分公司、粤西分公司和东莞分公司尚需取得证券监管部门

       的核准。



              2、关于发行次级债券

              2014 年 1 月 24 日经公司第七届董事会第四十五次会议以及 2014 年 2 月 10 日经公司 2014 年第一次临

       时股东大会审议通过《关于发行次级债券的议案》,批准公司非公开发行不超过 200 亿元(含 200 亿元)

       次级债券,目前正在办理相关程序之中。

              详细请见公司于 2014 年 1 月 25 日及 2014 年 2 月 11 日在巨潮资讯网(http://www.cninfo.com.cn)

       披露的《广发证券股份有限公司第七届董事会第四十五次会议决议的公告》及《广发证券股份有限公司 2014

       年第一次临时股东大会会议决议公告》。



              3、其他

                        重要事项概述                         披露日期               临时报告披露网站查询索引
     关于公司与辽宁成大股份有限公司进行场外                                   详细请参见 2014 年 4 月 15 日披露于巨
                                                        2014 年 4 月 15 日
     权益类收益互换交易(关联交易)                                             潮资讯网 www.cninfo.com.cn 的公告
                                                                              详细请参见 2014 年 4 月 19 日披露于巨
     关于广东证监局核准变更公司章程重要条款             2014 年 4 月 19 日
                                                                              潮资讯网 www.cninfo.com.cn 的公告
     关于资产管理子公司成立暨开展证券资产管                                   详细请参见 2014 年 4 月 19 日披露于巨
                                                        2014 年 4 月 19 日
     理业务                                                                   潮资讯网 www.cninfo.com.cn 的公告



       三、 公司或持股 5%以上股东在报告期内发生或以前期间发生但持续到报告期内的承诺事项

  承诺事项     承诺方                                承诺内容                                  承诺时间   承诺期限    履行情况

股改承诺/收             1、广发证券及其董事、监事和高级管理人员承诺,本次交易完成后,广发证
购报告书或    公司及公 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
权益变动报    司股东、 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                          各承诺方均
告书中所作    董事、监 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 2010.2.6        无       严格履行了
承诺/资产重   事和高级 险管理等信息,强化对投资者的风险揭示。                                                        承诺。
组时所作承    管理人员 2、广发证券及其董事、监事和高级管理人员承诺,将严格按照《证券公司风
诺                      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

                                                                                                                      8
                                                                           广发证券股份有限公司 2014 年第一季度报告全文


                        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司作出如下承
                        诺:①作为换股吸收合并后存续公司的第一大股东和第二大股东,保证现在和
                        将来不经营与存续公司业务相同的业务;亦不间接经营、参与投资与存续公司
                        业务有竞争或可能有竞争的企业。同时保证不利用其股东的地位损害存续公司
                        及其它股东的正当权益。并且将促使其全资拥有或其拥有 50%股权以上或相
                        对控股的下属子公司遵守上述承诺。②对于辽宁成大股份有限公司和吉林敖东
                        药业集团股份有限公司及其关联方将来与存续公司发生的关联交易,将严格履
                        行上市公司关联交易的决策程序,遵循市场定价原则,确保公平、公正、公允,
                        不损害中小股东的合法权益。
                        4、辽宁成大股份有限公司、吉林敖东药业集团股份有限公司已分别出具《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。

首次公开发
行或再融资         无                                    无                                      无          无              无
时所作承诺

其他对公司
中小股东所         无                                    无                                      无          无              无
作承诺

                                                                                                        自广发资管
                        因公司设立的全资资产管理子公司广发资管承接公司的 QDII 业务,根据中国
                                                                                                        成立之日
                        证监会的要求,广发资管必须满足开展 QDII 业务的资格条件,其中之一为“证
                                                                                                        (2014 年 1
为广发资管              券公司净资本不低于 8 亿元”。但广发资管开展业务暂不需要大量资本金,广                         广发证券严
                                                                                                        月 2 日)起
提供净资本   广发证券 发资管注册资本为 3 亿元。为支持广发资管业务做大做强,满足其业务持续发 2013.8.10                 格履行了承
                                                                                                        至其净资本
担保承诺                展要求,同时提高公司的资金使用效率,公司对广发资管提供不超过 6 亿元人                         诺。
                                                                                                        能够持续满
                        民币的净资本担保承诺;承诺期限自广发资管成立之日(2014 年 1 月 2 日)
                                                                                                        足监管部门
                        起至其净资本能够持续满足监管部门要求止。
                                                                                                        要求止。

承诺是否及时履行                              是

未完成履行的具体原因及下一步计划(如有)      不适用


         四、对 2014 年 1-6 月经营业绩的预计

         预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生大幅度变动的警示及原因说明

         □ 适用 √不适用


         五、证券投资情况

         □ 适用 √ 不适用




                                                                                                                       9
                                                           广发证券股份有限公司 2014 年第一季度报告全文


  六、衍生品投资情况

  □ 适用 √ 不适用

  七、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
2014 年 01 月 01 日                                                              询问公司日常经营
                        无       电话沟通    公众投资者         公众投资者
   -03 月 31 日                                                                      情况等

                                                            安信证券股份有限
2014 年 1 月 14 日    公司总部   实地调研      机构                          公司经营发展情况
                                                                  公司
                                                           香港上海汇丰银行
                                                           有限公司、麦格理基
2014 年 1 月 20 日    公司总部   实地调研      机构                           公司业务发展情况
                                                           金管理香港有限公
                                                                   司
                                                            阳光资产管理股份
2014 年 1 月 23 日    公司总部   实地调研      机构                          公司发展战略情况
                                                                有限公司
                                                           招商证券股份有限
                                                           公司、国信证券股份
                                                           有限公司、诺安基金
                                                           管理有限公司、华夏
2014 年 3 月 06 日    公司总部   实地调研      机构                           公司业务发展情况
                                                           基金管理有限公司、
                                                           泰康资产管理有限
                                                           责任公司、招商信诺
                                                           人寿保险有限公司




                                                                                                    10
                                                                       广发证券股份有限公司 2014 年第一季度报告全文




                                             第四节 财务报表

一、财务报表

1、资产负债表

                                             合并及母公司资产负债表

编制单位:广发证券股份有限公司                2014 年 3 月 31 日              单位:人民币元        审计类型:未经审计

                                                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                       35,024,609,539.65       29,098,915,064.35     32,003,625,127.56       26,294,262,650.01
   其中:客户存款                 27,559,365,323.42       23,991,862,753.06     25,227,415,214.50       21,896,008,920.91
   结算备付金                      6,219,070,786.58        5,470,767,707.58      5,656,267,311.04        4,911,423,807.00
   其中:客户备付金                5,234,389,325.89        4,534,985,053.20      5,174,452,939.37        4,482,751,385.62
   拆出资金                                       -                       -                     -                       -
   融出资金                       22,869,672,203.56       22,025,844,263.04     20,490,654,107.27       19,753,587,794.20
   交易性金融资产                 20,360,543,699.25       19,063,333,087.28     23,610,259,497.84       22,552,690,652.76
   衍生金融资产                       36,007,366.36           35,809,065.49         57,383,402.53          57,382,891.50
   买入返售金融资产                6,191,188,062.33        6,152,186,112.33      4,825,912,954.77        4,709,904,724.77
   应收款项                         504,576,190.12          179,790,781.92        353,956,602.77          131,269,943.78
   应收利息                        1,198,990,432.89        1,151,107,226.88      1,187,485,408.99        1,136,969,876.47
   存出保证金                      2,141,889,860.60         415,756,484.91       2,581,683,436.40         791,861,915.44
   可供出售金融资产               18,381,909,401.11       16,829,043,420.36     20,407,018,760.20       18,966,628,331.80
   持有至到期投资                                 -                       -                     -                       -
   长期股权投资                    3,733,985,889.62        7,909,107,694.66      3,603,315,317.48        7,523,103,789.19
   投资性房地产                       28,313,121.34           28,313,121.34         28,747,185.16          28,747,185.16
   固定资产                         686,320,704.68          643,196,211.52        716,171,633.61          671,020,531.98
   在建工程                         200,288,013.07          200,288,013.07        184,751,006.29          184,751,006.29
   无形资产                         443,044,932.56          435,078,762.05        447,409,861.24          441,887,194.54
   商誉                                2,058,241.61                       -          2,040,203.34                       -
   递延所得税资产                   349,550,799.54          343,948,839.43        415,814,588.51          408,718,506.89
   其他资产                         705,540,166.20          186,584,523.34        776,499,188.78          282,396,700.48
 资产合计                        119,077,559,411.07      110,169,070,379.55    117,348,995,593.78     108,846,607,502.26


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:王莹


注:2014 年财务数据根据财政部《关于印发<证券公司财务报表格式和附注>的通知》(财会〔2013〕26 号)以及中国证监会
《证券公司年度报告内容与格式准则》(2013 年修订)(证监会公告[2013]41 号)的相关规定进行列报,财务报表中 2013 年同期
的部分比较数字已按 2014 年的列报方式进行了重分类。


                                                                                                                      11
                                                                     广发证券股份有限公司 2014 年第一季度报告全文




                                      合并及母公司资产负债表(续)

编制单位:广发证券股份有限公司              2014 年 3 月 31 日              单位:人民币元        审计类型:未经审计

                                              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                         723,715,707.09                      -       444,053,594.38                        -
   应付短期融资款                 10,569,246,575.34     10,569,246,575.34      9,044,454,794.52        9,044,454,794.52
   拆入资金                        2,700,000,000.00      2,700,000,000.00      5,300,000,000.00        5,300,000,000.00
   交易性金融负债                     17,689,665.74                     -         20,231,154.60                       -
   衍生金融负债                       39,263,600.90         39,263,600.90         79,490,135.80          79,490,135.80
   卖出回购金融资产款             19,656,294,935.01     19,656,294,935.01     19,399,796,740.24       19,399,796,740.24
   代理买卖证券款                 33,826,238,419.54     27,724,602,918.28     31,609,230,528.70       25,705,945,685.92
   代理承销证券款                       228,713.06                      -                     -                       -
   应付职工薪酬                    1,441,058,154.38      1,402,395,721.38      1,665,985,861.35        1,560,554,168.67
   应交税费                         428,964,472.24        408,300,606.27        530,532,290.46          491,576,779.15
   应付款项                        1,143,761,255.77       738,992,794.33       1,564,131,001.27        1,199,019,410.28
   应付利息                         502,088,044.25        501,956,160.57        364,004,833.16          363,653,226.85
   预计负债                           52,282,551.90         59,458,460.40         47,935,872.87          59,458,460.40
   长期借款                                       -                     -                     -                       -
   应付债券                       11,980,409,627.30     11,980,409,627.30     11,979,739,743.77       11,979,739,743.77
   递延所得税负债                     62,564,424.83                     -         69,174,858.78                       -
   其他负债                         457,739,295.47        347,970,141.64        441,806,033.44          333,845,453.77
 负债合计                         83,601,545,442.82     76,128,891,541.42     82,560,567,443.34       75,517,534,599.37
 股东权益:
   股本                            5,919,291,464.00      5,919,291,464.00      5,919,291,464.00        5,919,291,464.00
   资本公积                        9,262,804,142.69      8,818,060,658.55      9,414,456,540.09        8,877,519,120.76
   减:库存股                                     -                     -                     -                       -
   盈余公积                        2,578,881,899.70      2,563,551,529.75      2,578,881,899.70        2,563,551,529.75
   一般风险准备                    5,372,864,040.07      5,372,864,040.07      5,372,864,040.07        5,372,864,040.07
   未分配利润                     12,281,130,382.03     11,366,411,145.76     11,454,892,966.56       10,595,846,748.31
   外币报表折算差额                  -77,883,148.80                     -        -90,268,430.43                       -
 归属于母公司股东权益合计         35,337,088,779.69     34,040,178,838.13     34,650,118,479.99       33,329,072,902.89
   少数股东权益                     138,925,188.56                      -       138,309,670.45                        -
 股东权益合计                     35,476,013,968.25     34,040,178,838.13     34,788,428,150.44       33,329,072,902.89
 负债和股东权益总计              119,077,559,411.07    110,169,070,379.55    117,348,995,593.78     108,846,607,502.26


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:王莹




                                                                                                                    12
                                                                    广发证券股份有限公司 2014 年第一季度报告全文


2、利润表

                                           合并及母公司利润表

编制单位:广发证券股份有限公司              2014 年 1-3 月                 单位:人民币元       审计类型:未经审计

                                                     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                             2,464,674,560.28    2,295,203,451.96    1,896,286,716.34    1,722,339,724.90
手续费及佣金净收入                       1,434,297,550.33    1,371,185,685.12    1,033,121,371.89     963,280,706.90
其中:经纪业务手续费净收入                 869,152,624.05      814,251,794.97      911,380,745.38      842,565,440.57
     投资银行业务手续费净收入             465,038,690.16      457,061,699.78       79,633,150.00          79,633,150.00
     资产管理业务手续费净收入              91,934,664.10       91,588,863.89       40,185,641.34          40,185,641.34
利息净收入                                231,224,726.72      175,400,166.15      237,825,504.66      204,910,245.24
投资收益(损失以"-"号填列)               660,423,197.41      584,153,110.28      588,947,799.01      514,888,084.21
其中:对联营企业和合营企业的投资收益       99,221,362.78       99,221,362.78       99,730,134.55          99,730,134.55
公允价值变动收益(损失以"-"号填列)       152,034,257.96      158,817,093.94       31,120,608.88          34,736,415.05
汇兑收益(损失以"-"号填列)                -15,374,846.05       1,188,317.81        1,347,294.49            -334,934.72
其他业务收入                                2,069,673.91        4,459,078.66        3,924,137.41           4,859,208.22
二、营业支出                             1,395,169,473.82    1,298,388,321.97    1,030,571,403.75     945,363,872.19
营业税金及附加                            124,685,238.13      122,498,057.16       85,774,251.07          82,458,550.39
业务及管理费                             1,270,002,896.86    1,175,408,997.06     943,452,163.06      861,223,619.97
资产减值损失                                   47,203.93           47,203.93         -103,721.44            232,990.77
其他业务成本                                  434,134.90          434,063.82        1,448,711.06           1,448,711.06
三、营业利润(亏损以"-"号填列)          1,069,505,086.46     996,815,129.99      865,715,312.59      776,975,852.71
加:营业外收入                              2,146,056.12        2,135,658.74        2,261,179.72           2,254,994.45
减:营业外支出                              6,035,776.92        1,686,694.10          122,319.93            122,319.93
四、利润总额(亏损总额以"-"号填列)      1,065,615,365.66     997,264,094.63      867,854,172.38      779,108,527.23
减:所得税费用                            238,762,391.70      226,699,697.18      187,429,605.34      172,647,305.24
五、净利润(净亏损以"-"号填列)           826,852,973.96      770,564,397.45      680,424,567.04      606,461,221.99
归属于母公司股东的净利润                  826,237,415.47                          680,608,211.97
少数股东损益                                  615,558.49                             -183,644.93
六、每股收益:
(一)基本每股收益                                   0.14                                     0.11
(二)稀释每股收益                                   0.14                                     0.11
七、其他综合收益                         -139,267,115.77       -59,458,462.21     230,819,420.91      185,099,747.91
八、综合收益总额                          687,585,858.19      711,105,935.24      911,243,987.95      791,560,969.90
归属于母公司股东综合收益总额              686,970,299.70                          911,427,632.88
归属于少数股东的综合收益总额                  615,558.49                             -183,644.93


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:王莹




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                                                                    广发证券股份有限公司 2014 年第一季度报告全文


3、现金流量表

                                       合并及母公司现金流量表
编制单位:广发证券股份有限公司               2014 年 1-3 月                单位:人民币元       审计类型:未经审计

                                           2014 年 1-3 月                              2013 年 1-3 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       3,649,978,381.76      3,866,357,994.38      2,617,566,239.35    2,278,650,982.98
收取利息、手续费和佣金的现金     2,342,065,611.69      2,207,361,767.89      1,536,813,300.64    1,432,415,446.58
代理买卖证券收到的现金净额       2,146,348,979.55      1,976,418,929.24                     -                    -
代理承销证券收到的现金净额            228,713.06                       -                    -                    -
收到其他与经营活动有关的现金      554,754,981.46        382,374,647.91       1,091,403,485.67      593,661,656.54
经营活动现金流入小计             8,693,376,667.52      8,432,513,339.42      5,245,783,025.66    4,304,728,086.10
融出资金净增加额                 2,379,018,096.29      2,272,256,468.84      4,981,849,142.08    4,919,611,782.94
支付利息、手续费及佣金的现金      466,445,896.03        448,949,682.35         245,913,759.24      234,316,848.68
代理买卖证券支付的现金净额                       -                     -       160,199,874.85       24,381,315.69
拆入资金净减少额                 2,600,000,000.00      2,600,000,000.00      1,970,000,000.00    1,970,000,000.00
回购业务资金净减少额             1,108,776,912.79      1,185,783,192.79      1,009,824,574.60    1,009,824,574.60
支付给职工以及为职工支付的现金   1,217,606,688.06      1,106,923,058.01      1,038,362,123.12      955,363,476.07
支付的各项税费                    330,062,012.14        302,963,731.13         215,733,315.52      169,552,455.12
支付其他与经营活动有关的现金      741,165,467.10        624,394,173.11         183,634,259.77      158,082,600.82
经营活动现金流出小计             8,843,075,072.41      8,541,270,306.23      9,805,517,049.18    9,441,133,053.92
经营活动产生的现金流量净额       -149,698,404.89        -108,756,966.81     -4,559,734,023.52   -5,136,404,967.82
二、投资活动产生的现金流量:
收回投资收到的现金                   6,400,000.00                      -         5,100,000.00                    -
处置可供出售金融资产净增加额     1,963,388,413.50      2,072,734,051.76                     -                    -
取得投资收益收到的现金            312,492,461.48        372,933,027.11         117,403,034.94      217,403,034.94
处置固定资产、无形资产和其他长
期资产收回的现金净额                  377,796.74              377,796.74          827,861.39            827,861.39
投资活动现金流入小计             2,282,658,671.72      2,446,044,875.61        123,330,896.33      218,230,896.33
投资支付的现金                    139,000,000.00        300,000,000.00          60,500,000.00      500,000,000.00
购置可供出售金融资产净减少额                     -                     -       961,978,074.62      986,055,457.13

购建固定资产、无形资产和其他长
期资产支付的现金                   26,325,989.53         19,794,980.19          30,394,345.09       29,604,299.95
投资活动现金流出小计              165,325,989.53        319,794,980.19       1,052,872,419.71    1,515,659,757.08
投资活动产生的现金流量净额       2,117,332,682.19      2,126,249,895.42       -929,541,523.38   -1,297,428,860.75
三、筹资活动产生的现金流量:
吸收投资收到的现金                               -                     -            48,417.00                    -
其中:子公司吸收少数股东投资收
到的现金                                         -                     -            48,417.00                    -
发行债券收到的现金               1,500,000,000.00      1,500,000,000.00      5,924,621,917.81    5,924,621,917.81



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                                                                  广发证券股份有限公司 2014 年第一季度报告全文


取得借款收到的现金                 279,662,112.71                    -                   -                   -
收到其他与筹资活动有关的现金                     -                   -     113,085,055.17                    -
筹资活动现金流入小计              1,779,662,112.71    1,500,000,000.00    6,037,755,389.98    5,924,621,917.81
偿还债务支付的现金                               -                   -      69,361,170.18                    -
分配股利、利润或偿付利息支付的
现金                               139,684,931.50      139,684,931.50                    -                   -
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        84,441,154.90                    -                   -                   -
筹资活动现金流出小计               224,126,086.40      139,684,931.50       69,361,170.18                    -
筹资活动产生的现金流量净额        1,555,536,026.31    1,360,315,068.50    5,968,394,219.80    5,924,621,917.81
四、汇率变动对现金及现金等价物
                                      3,234,695.96        1,188,317.81       -6,441,266.09         -334,934.72
的影响
五、现金及现金等价物净增加额      3,526,404,999.57    3,378,996,314.92     472,677,406.81      -509,546,845.48
加:期初现金及现金等价物余额     37,030,378,015.90   31,105,686,457.01   41,396,951,232.97   36,148,868,375.91
六、期末现金及现金等价物余额     40,556,783,015.47   34,484,682,771.93   41,869,628,639.78   35,639,321,530.43


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:王莹




二、审计报告

第一季度报告是否经过审计
□ 是 √ 否
公司第一季度报告未经审计。




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