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广发证券(000776)公告正文

广发证券:2016年第一季度报告全文

公告日期 2016-04-29
股票简称:广发证券 股票代码:000776
                             广发证券股份有限公司 2016 年第一季度报告全文




       广发证券股份有限公司

(A 股股票代码:000776   H 股股票代码:1776)



     二○一六年第一季度报告




              二○一六年四月

                                                                       1
                                                 广发证券股份有限公司 2016 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。

    本报告经公司第八届董事会第三十次会议审议通过。所有董事均已出席了

审议本次季报的董事会会议。除下列董事外,其他董事亲自出席了审议本次季

报的董事会会议:

 未亲自出席董事姓名   未亲自出席董事职务   未亲自出席会议原因            被委托人姓名

       尚书志             非执行董事           工作原因                     孙树明

         汤 欣          独立非执行董事         工作原因                     刘继伟




    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表的真实、准确、

完整。




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                                                                 广发证券股份有限公司 2016 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

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

营业收入(元)                               4,756,792,195.93          5,712,022,711.95                    -16.72%

归属于上市公司股东的净利润(元)             1,805,589,600.41          2,517,292,617.40                    -28.27%

归属于上市公司股东的扣除非经常性损
                                             1,786,171,770.54          2,515,753,734.51                    -29.00%
益的净利润(元)

经营活动产生的现金流量净额(元)              579,459,868.99           6,920,430,869.77                    -91.63%

基本每股收益(元/股)                                    0.24                      0.43                    -44.19%

稀释每股收益(元/股)                                    0.24                      0.43                    -44.19%

加权平均净资产收益率                                   2.33%                     6.09%         下降 3.76 个百分点

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

总资产(元)                               371,143,906,633.75      419,097,014,689.90                      -11.44%

归属于上市公司股东的净资产(元)            77,667,068,188.39       77,519,273,601.40                       0.19%

注 1:本报告之财务数据基于中国企业会计准则编制。
注 2:除特别说明外,本报告之财务数据的货币单位为人民币元。


截止披露前一交易日的公司总股本:
截止披露前一交易日的公司总股本(股)                                                               7,621,087,664
用最新股本计算的全面摊薄每股收益(元/股)                                                                    0.24


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
                                                                                             主要是固定资产处
非流动资产处置损益(包括已计提资产减值准备的冲销部分)                         455,768.97
                                                                                             置损益
计入当期损益的政府补助(与企业业务密切相关,按照国家                                         主要为财政奖励及
                                                                            18,312,962.41
统一标准定额或定量享受的政府补助除外)                                                       扶持资金
除上述各项之外的其他营业外收入和支出                                         2,798,525.00



                                                                                                                     3
                                                          广发证券股份有限公司 2016 年第一季度报告全文


减:所得税影响额                                                    2,741,869.39
     少数股东权益影响额(税后)                                       -592,442.88
合计                                                               19,417,829.87           --



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

本集团持有以公允价值计量且其变动计入当期损益的金融资产、以公允价值计量且其变动计入当期损益的

金融负债、衍生金融工具产生的公允价值变动损益,持有以公允价值计量且其变动计入当期损益的金融资

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,以及处置以公允价值计量且其变动计入当

期损益的金融资产、以公允价值计量且其变动计入当期损益的金融负债、衍生金融工具、可供出售金融资

产和应收款项类投资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

1、普通股股东和表决权恢复的优先股股东数量及前 10 名股东持股情况表

                                                                                                单位:股

报告期末普通股股东总数        股东总数为 162,254 户,其中,A 股股东 160,150 户,H 股登记股东 2,104
                              户
                                     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
                                               (%)                                       数量
                                                                        股份数量 状态

香港中央结算(代理人)有限公司 境外法人        22.31    1,700,153,380      0
吉林敖东药业集团股份有限公司 境内一般法人      16.42    1,251,597,867      0
辽宁成大股份有限公司          境内一般法人     16.40    1,250,154,088      0
中山公用事业集团股份有限公司 境内一般法人       9.01    686,754,216        0
嘉峪关宏晟电热有限责任公司    境内一般法人      2.97    226,242,941        0
中国证券金融股份有限公司      境内一般法人      2.69    205,145,389        0
普宁市信宏实业投资有限公司    境内一般法人      1.91    145,936,358        0        质押 144,000,000
香江集团有限公司              境内一般法人      1.57    119,286,246        0        质押 107,680,000


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                                                                      广发证券股份有限公司 2016 年第一季度报告全文


中央汇金资产管理有限责任公司 国有法人                       1.29     98,149,700        0
安徽华茂纺织股份有限公司              境内一般法人          0.55     42,200,000        0
                                       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
香港中央结算(代理人)有限公司               1,700,153,380            境外上市外资股            1,700,153,380
吉林敖东药业集团股份有限公司                 1,251,597,867             人民币普通股             1,251,597,867
辽宁成大股份有限公司                         1,250,154,088             人民币普通股             1,250,154,088
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
嘉峪关宏晟电热有限责任公司                    226,242,941              人民币普通股              226,242,941
中国证券金融股份有限公司                      205,145,389              人民币普通股              205,145,389
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
香江集团有限公司                              119,286,246              人民币普通股              119,286,246
中央汇金资产管理有限责任公司                  98,149,700               人民币普通股              98,149,700
安徽华茂纺织股份有限公司                      42,200,000               人民币普通股              42,200,000
注 1:公司 H 股股东中,非登记股东的股份由香港中央结算(代理人)有限公司代为持有;
注 2:上表中,香港中央结算(代理人)有限公司所持股份种类为境外上市外资股(H 股),其他股东所持股份种类均为人
民币普通股(A 股);
注 3:根据吉林敖东、辽宁成大、中山公用于 2016 年 4 月 12 日公开披露的信息,吉林敖东通过其全资子公司敖东国际(香
港)实业有限公司持有公司 H 股股份 20,237,400 股,占公司总股本的 0.27%;辽宁成大通过其全资子公司辽宁成大钢铁贸
易有限公司的全资子公司成大钢铁香港有限公司持有公司 H 股股份 1,473,600 股,占公司总股本的 0.019%;中山公用通过
其全资子公司公用国际(香港)投资有限公司持有公司 H 股股份 84,819,400 股,占公司总股本的 1.11%。上述股份由香港
中央结算(代理人)有限公司代为持有;
注 4:2016 年 4 月 7 日,BlackRock, Inc.(贝莱德集团) 向香港联交所进行了权益申报,披露持有公司 H 股共 87,386,741
股,占公司 H 股股本的 5.13%;2016 年 2 月 4 日,Credit Suisse Group AG(瑞士信贷集团)向香港联交所进行了权益申报,
披露持有公司 H 股共 82,372,990 股,占公司 H 股股本的 4.84%;2015 年 10 月 27 日,Morgan Stanley(摩根士丹利)向香
港联交所进行了权益申报,披露持有公司 H 股共 65,469,377 股,占公司 H 股股本的 3.84%;2015 年 7 月 14 日,Fubon Life
Insurance Co., Ltd.向香港联交所进行了权益申报,披露持有公司 H 股共 157,044,800 股,占公司 H 股股本的 9.22%;2015
年 4 月 10 日,L.R. Capital Principal Investment Limited (瓴睿资本策略投资控股) 向香港联交所进行了权益申报,披
露持有公司 H 股共 102,854,000 股,占公司行使超额配售权后已发行 H 股股本的 6.04%;2015 年 4 月 10 日,CM International
Capital Limited(中民国际资本有限公司) 向香港联交所进行了权益申报,披露持有公司 H 股共 82,283,200 股,占公司行
使超额配售权后已发行 H 股股本的 4.84%。上述股份均由香港中央结算(代理人)有限公司代为持有;
注 5:报告期末,以上 A 股股东不存在通过信用证券账户持有公司股份的情形;
注 6:报告期末,以上 A 股股东不存在进行约定购回交易的情形;
注 7:报告期末,以上 A 股股东不存在因参与转融通等业务所导致的股份增减变动情况。


2、公司优先股股东总数及前 10 名优先股股东持股情况表

□ 适用 √不适用


                                                                                                                   5
                                                                 广发证券股份有限公司 2016 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、财务指标发生变动的情况及原因

√适用 □ 不适用

项目               2016 年 3 月 31 日   2015 年 12 月 31 日   增减幅度                 主要变动原因
                                                                (%)
结算备付金         12,624,403,882.46     31,222,060,527.00       -59.57   期末客户结算备付金减少。

递延所得税资产        771,251,080.77        269,441,877.81      186.24    期末可抵扣暂时性差异增加。
                                                                          主要为融资租赁应收款和应收款项类投
其他资产            1,830,683,175.46      1,009,541,190.94       81.34    资增加。
短期借款            1,629,731,574.80        896,010,344.00       81.89    期末信用借款增加。
应付短期融资款     10,948,980,000.00     21,643,800,000.00       -49.41   本期短期债券和短期收益凭证到期偿还。
拆入资金            2,500,000,000.00      1,750,000,000.00       42.86    期末从商业银行拆入资金增加。
以公允价值计量且
其变动计入当期损                                                          期末债券借贷业务产生的交易性金融负
益的金融负债        1,070,987,823.71        624,185,446.82       71.58    债增加。
代理承销证券款        693,999,993.44        350,000,000.00       98.29    期末代理承销股票款增加。
递延所得税负债        181,315,449.78        278,361,869.29       -34.86   期末应纳税暂时性差异减少。
其他负债            1,018,031,284.86      1,686,683,474.55       -39.64   主要为本期支付 H 股发行费用。
                                                                          期末可供出售金融资产的公允价值变动
其他综合收益        1,113,833,461.85      2,771,649,998.07       -59.81   收益减少。
                                                              增减幅度
项目                   2016 年 1-3 月       2015 年 1-3 月      (%)     主要变动原因
利息净收入             48,615,002.94        632,721,887.65       -92.32   本期融资融券利息收入减少。

公允价值变动收益       -43,753,335.21      -202,933,821.29            -   主要为衍生工具公允价值变动损益增加。
汇兑收益               -38,713,417.25         -3,509,863.86           -   汇率变动影响。
其他业务收入           20,063,690.97          9,758,574.61      105.60    本期融资租赁收入增加。
资产减值损失            2,219,258.66          -4,467,078.71           -   本期计提坏账损失。
营业外收入             28,027,828.32          3,441,793.04      714.34    主要是本期财政补助增加。
营业外支出              6,460,571.94          1,503,498.29      329.70    赔偿损失增加。
所得税费用            509,450,425.78        809,204,621.50       -37.04   本期利润总额减少。
                                                                          可供出售金融资产的公允价值变动收益
其他综合收益        -1,765,685,741.34       971,919,445.67            -   减少。
经营活动产生的现                                                          主要为代理买卖证券款及回购业务流入
金流量净额            579,459,868.99      6,920,430,869.77       -91.63   现金减少。
投资活动产生的现                                                          主要为处置可供出售金融资产产生的现
金流量净额          9,623,504,391.58        781,185,987.93     1,131.91   金流入增加。
筹资活动产生的现
金流量净额         -26,499,462,086.60    20,089,791,571.25            -   主要为偿还债券支付的现金增加。



                                                                                                            6
                                                          广发证券股份有限公司 2016 年第一季度报告全文


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

     (1)公司营业部同城迁址

序号               迁址前证券营业部名称                          迁址后证券营业部名称

 1     广发证券股份有限公司蛇口兴华路证券营业部        广发证券股份有限公司蛇口后海证券营业部

 2     广发证券股份有限公司东莞厚街证券营业部          广发证券股份有限公司东莞厚街证券营业部

       广发证券股份有限公司石家庄友谊南大街证券营业
 3                                                     广发证券股份有限公司石家庄中山东路营业部
       部

     (2)新设营业部情况

     无

     (3)新设分公司情况

     无

     (4)截至 2016 年 3 月 31 日,公司没有已经申请但还未获批的分公司和营业部的情况。

     2、2016 年 1 月 14 日,公司收到吉林敖东药业集团股份有限公司(以下简称“吉林敖东”)的《关于

增持广发证券股份的通知》(以下简称“通知”)。根据该通知,吉林敖东基于对公司未来持续稳定发展

的信心及资本市场大幅下跌的现状,通过深交所和香港联交所买入公司股票。截至 2016 年 1 月 14 日,吉

林敖东及其一致行动人敖东国际(香港)实业有限公司合计持有公司股份 1,271,835,267 股,占公司现有

总股本的 16.69%,已成为公司第一大股东。

     详细请见公司于 2016 年 1 月 15 日在巨潮资讯网(http://www.cninfo.com.cn)和香港联交所披露易

网站(http://www.hkexnews.hk)披露的相关公告。

     3、关于向广发期货增资事项

     2014 年 9 月 25 日公司召开第八届董事会第五次会议审议通过了《关于向广发期货有限公司增资的议

案》,同意向广发期货增资 2 亿元人民币,该 2 亿元人民币将根据实际情况可一次性增资或分批增资完成。

2015 年 7 月,公司已根据上述决议,完成了向广发期货增资人民币 1 亿元事宜;2015 年 12 月,公司完成

了向广发期货再次增资人民币 1 亿元事宜。广发期货已获得了广东省工商行政管理局换发的新营业执照,

并换领了经营期货业务许可证,注册资本为 13 亿元人民币。

     详细请见公司于 2015 年 7 月 7 日和 2016 年 1 月 22 日在巨潮资讯网(http://www.cninfo.com.cn)

和香港联交所披露易网站(http://www.hkexnews.hk)披露的相关公告。



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                                                                        广发证券股份有限公司 2016 年第一季度报告全文


         4、公司于 2016 年 2 月 1 日收到徐信忠先生的书面辞职函,申请辞去公司第八届监事会监事职务。

         详细请见公司于 2016 年 2 月 3 日在巨潮资讯网(http://www.cninfo.com.cn)和香港联交所披露易

  网站(http://www.hkexnews.hk)披露的相关公告。

         5、2016 年 3 月,公司接到独立非执行董事汤欣先生的通知,汤欣先生自 2016 年 3 月起任中国人寿

  保险股份有限公司(一家分别于上海证券交易所和香港联交所上市的公司,上海证券交易所股份代号:

  601628,香港联交所股份代码:2628)独立董事。

         6、2016 年 4 月 1 日,经英国金融行为监管局审批,公司全资子公司广发期货有限公司的全资子公司

  GF Financial Market(UK)Limited 获得了金融及金融衍生品业务资格。

         7、2016 年 4 月 6 日,经广东省工商行政管理局核准,公司全资子公司广发乾和投资有限公司控股的

  广东广通租赁有限公司(广发投资(香港)有限公司持有剩余股权)更名为广发融资租赁(广东)有限公

  司,并换领营业执照。

         8、公司于 2016 年 3 月 11 日收到公司股东吉林敖东药业集团股份有限公司、辽宁成大股份有限公司

  和中山公用事业集团股份有限公司提交的《关于提名第八届监事会监事候选人的函》,联合提名谭跃先生

  和顾乃康先生为公司第八届监事会监事候选人。公司第八届监事会第十一次会议审议后同意谭跃先生和顾

  乃康先生为公司第八届监事会监事候选人并提交股东大会审议。

         2016 年 4 月 15 日,经中国证监会广东监管局《关于核准谭跃证券公司监事任职资格的批复》(广东

  证监许可[2016]6 号),核准谭跃先生证券公司监事任职资格。

         2016 年 4 月 21 日,经中国证监会广东监管局《关于核准顾乃康证券公司监事任职资格的批复》(广

  东证监许可[2016]8 号),核准顾乃康先生证券公司监事任职资格。


  三、公司、股东、实际控制人、收购人、董事、监事、高级管理人员或其他关联方在报告期
  内履行完毕及截至报告期末尚未履行完毕的承诺事项

 承诺事由      承诺方     承诺类型                         承诺内容                          承诺时间   承诺期限    履行情况

                                     1、广发证券及其董事、监事和高级管理人员承诺,本次交易
股改承诺/                            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
收购报告书                           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
             公司及公司
或权益变动                      司的信息披露要求外,将针对广发证券自身特点,在定期报                               各承诺方均
           股东、董事、
报告书中所             其他承诺 告中充分披露客户资产保护、风险控制、合规检查、创新业 2010.2.6             无       严格履行了
           监事和高级
作承诺/资                       务开展与风险管理等信息,强化对投资者的风险揭示。                                   承诺。
           管理人员
产重组时所                      2、广发证券及其董事、监事和高级管理人员承诺,将严格按
作承诺                               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,



                                                                                                                    8
                                                                       广发证券股份有限公司 2016 年第一季度报告全文


                                 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,辽宁成大和吉林敖东作出如下承诺:
                                 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
                                 大和吉林敖东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、吉林敖东已分别出具《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。

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

股权激励承
                  无       无                               无                                无          无                无


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

                                                                                                    承诺期限自董
                                 为支持广发资管业务做大做强,满足其业务持续发展要求,               事会决议公告
                                                                                                                     广发证券严
为广发资管                       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               日(2015 年 9
                                                                                                                     格履行了承
提供净资本 广发证券     其他承诺 10 亿元人民币(含 10 亿元人民币,下同)的净资本担保承诺。承 2015.9.29 月 29 日)起至
                                                                                                                     诺。
担保承诺                         诺期限自董事会决议公告日(2015 年 9 月 29 日)起至其净资           其净资本能够
                                 本能够持续满足监管部门要求止。                                     持续满足监管
                                                                                                    部门要求止。

承诺是否按
             是
时履行


     四、对 2016 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 2016 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

       接待时间                    接待地点             接待      接待对象                 接待对象                 谈论的主要内
                                                        方式        类型                                            容及提供的资
                                                                                                                        料
  2016 年 1 月 1 日                    无               电话      公众投资               公众投资者                 询问公司日常
      -3 月 31 日                                       沟通          者                                            经营情况等

 2016 年 1 月 12 日                公司总部             实地        机构         华泰证券、金鹰基金、锦             公司经营发展
                                                        调研                     洋投资、前海股权基金                   情况
 2016 年 3 月 21 日          香港 港岛香格里拉 业绩                 机构         广发证券 2015 年度分析             公司战略及业
                             酒店 5 楼宴会厅 路演                                师会议所邀请的分析师               务发展情况
 2016 年 3 月 21 日          香港 港岛香格里拉 业绩                 机构         广发证券 2015 年度投资             公司战略及业
                             酒店 5 楼宴会厅 路演                                者推介会所邀请的投资者             务发展情况
注 : 公 司 接 待 上 述 机 构 投 资 者 的 投 资 者 关 系 活 动 记 录 表 在 深 交 所 网 站 ( http://www.szse.cn ) 及 巨 潮 资 讯 网
(http://www.cninfo.com.cn)上披露。


八、违规对外担保情况

□ 适用 √不适用


九、控股股东及其关联方对上市公司的非经营性占用资金情况

□ 适用 √不适用




                                                                                                                                 10
                                        第四节 财务报表

一、财务报表

1、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               2016 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
                项目
                                       合并数                     公司数                 合并数                   公司数

资产:

 货币资金                           108,788,960,600.31       95,127,632,064.70       106,572,461,584.60        93,149,640,352.33

 其中:客户存款                      95,502,461,710.62       85,581,858,921.63        88,640,516,613.43        78,450,233,886.20

 结算备付金                          12,624,403,882.46       11,169,942,566.15        31,222,060,527.00        29,683,750,427.24

 其中:客户备付金                     9,262,376,244.47        8,142,180,985.16        28,449,877,571.75        27,207,058,558.42

 拆出资金                                            -                         -                       -                       -

 融出资金                            52,817,773,324.92       50,752,449,794.11        69,190,542,747.79        66,677,652,479.88

 以公允价值计量且其变动计入当期损
                                     83,062,054,191.03       67,281,179,319.51        83,912,239,939.55        68,679,031,638.47
益的金融资产

 衍生金融资产                          235,296,991.27             235,296,991.27         270,579,015.80          270,578,387.45

 买入返售金融资产                     9,869,201,746.77        8,937,401,096.27        13,745,916,985.33        12,264,366,862.33

 应收款项                             2,471,568,131.59            863,515,312.90       2,531,335,155.31          921,254,242.07

 应收利息                             3,270,563,857.55        2,823,390,149.27         3,131,238,192.71         2,741,002,943.53

 存出保证金                           4,280,547,467.32            810,399,797.52       5,277,796,430.89         1,177,032,680.83

 可供出售金融资产                    86,076,386,326.69       74,078,767,923.12        96,582,577,941.42        84,774,863,645.68

 持有至到期投资                                      -                         -                       -                       -

 长期股权投资                         3,031,258,154.30       15,980,183,999.30         3,347,504,002.76        15,957,754,934.14

 投资性房地产                            24,840,610.86             24,840,610.86          25,274,674.68            25,274,674.68

 固定资产                              908,657,515.55             649,961,365.96         938,313,805.44          675,807,233.54

 在建工程                              551,383,391.23             551,383,391.23         526,730,799.00          526,730,799.00

 无形资产                              526,913,756.97             484,938,488.03         541,285,712.59          498,940,340.82

 商誉                                     2,162,428.70                         -           2,174,106.28                        -

 递延所得税资产                        771,251,080.77             728,831,169.05         269,441,877.81          267,491,392.96

 其他资产                             1,830,683,175.46            201,511,904.59       1,009,541,190.94          207,679,616.00

资产合计                            371,143,906,633.75      330,701,625,943.84       419,097,014,689.90       378,498,852,650.95


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




                                                                                                                             11
1、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               2016 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
                项目
                                       合并数                     公司数                 合并数                  公司数

负债:

 短期借款                             1,629,731,574.80                         -         896,010,344.00                       -

 应付短期融资款                      10,948,980,000.00       10,948,980,000.00        21,643,800,000.00       21,643,800,000.00

 拆入资金                             2,500,000,000.00        2,500,000,000.00         1,750,000,000.00        1,750,000,000.00

 以公允价值计量且其变动计入当期损     1,070,987,823.71            435,894,090.00         624,185,446.82                       -
益的金融负债

 衍生金融负债                          262,326,239.92             260,700,076.76         309,453,798.13         309,442,608.01

 卖出回购金融资产款                  73,276,193,479.54       70,749,990,886.04        85,395,760,813.65       82,392,860,321.15

 代理买卖证券款                     108,839,749,184.27       93,866,328,531.15       118,137,085,071.05      102,210,587,112.94

 代理承销证券款                        693,999,993.44             693,999,993.44         350,000,000.00         350,000,000.00

 应付职工薪酬                         7,683,160,847.67        6,884,648,463.08         7,812,464,909.17        6,658,737,361.95

 应交税费                             1,228,279,829.98            823,296,110.07       1,435,667,279.91          985,211,630.64

 应付款项                            11,475,891,606.86            678,761,182.87      13,455,620,976.98        3,506,408,335.58

 应付利息                             2,838,394,116.02        2,836,548,634.53         2,724,476,574.90        2,721,803,086.48

 预计负债                                60,580,543.00             60,580,543.00          60,580,543.00           60,580,543.00

 长期借款                             3,466,648,000.00        3,000,000,000.00         3,469,168,000.00        3,000,000,000.00

 应付债券                            63,922,644,995.59       63,922,644,995.59        79,246,866,826.53       79,246,866,826.53

 递延所得税负债                        181,315,449.78                          -         278,361,869.29                       -

 其他负债                             1,018,031,284.86            678,701,105.81       1,686,683,474.55        1,325,246,735.03

负债合计                            291,096,914,969.44      258,341,074,612.34       339,276,185,927.98      306,161,544,561.31

股东权益:

 股本                                 7,621,087,664.00        7,621,087,664.00         7,621,087,664.00        7,621,087,664.00

 资本公积                            31,864,053,298.29       31,679,140,892.48        31,864,031,775.49       31,679,119,369.68

 其他综合收益                         1,113,833,461.85             25,913,713.25       2,771,649,998.07        1,299,212,731.95

 盈余公积                             4,136,216,158.85        4,120,885,788.90         4,136,216,158.85        4,120,885,788.90

 一般风险准备                         8,915,114,723.36        8,488,098,185.99         8,893,007,457.16        8,487,997,499.53

 未分配利润                          24,016,762,882.04       20,425,425,086.88        22,233,280,547.83       19,129,005,035.58

归属于母公司股东权益合计             77,667,068,188.39                                77,519,273,601.40

 少数股东权益                         2,379,923,475.92                                 2,301,555,160.52

股东权益合计                         80,046,991,664.31       72,360,551,331.50        79,820,828,761.92       72,337,308,089.64

负债和股东权益总计                  371,143,906,633.75      330,701,625,943.84       419,097,014,689.90      378,498,852,650.95



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
2、合并及母公司利润表
编制单位:广发证券股份有限公司                          2016 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                               4,756,792,195.93          3,332,874,954.88        5,712,022,711.95       4,478,180,601.41

  手续费及佣金净收入                       3,207,437,176.18          2,046,612,882.17        3,389,760,726.02       2,763,118,576.34

  其中:经纪业务手续费净收入                1,524,799,396.52          1,444,279,020.01        2,527,422,322.01       2,445,620,767.46

      投资银行业务手续费净收入               651,880,638.34           578,683,280.60          308,177,127.59          307,110,517.75

      资产管理及基金管理业务手续费净收入     995,956,905.94                          -        540,809,794.85                       -

  利息净收入                                  48,615,002.94              90,776,442.80        632,721,887.65          613,938,095.96

  投资收益(损失以"-"号填列)              1,563,143,078.30          1,236,254,132.15        1,886,225,208.82       1,230,596,820.36

  其中:对联营企业和合营企业的投资收益        87,617,604.95              86,558,186.78         62,970,083.43           62,970,083.43

  公允价值变动收益(损失以"-"号填列)        -43,753,335.21              -9,411,918.44        -202,933,821.29        -133,627,525.48

  汇兑收益(损失以"-"号填列)                -38,713,417.25            -35,500,400.77           -3,509,863.86            600,276.61

  其他业务收入                                20,063,690.97               4,143,816.97           9,758,574.61           3,554,357.62

二、营业支出                               2,384,609,462.07          1,716,500,780.18        2,275,055,012.91       1,795,845,036.04

  营业税金及附加                             276,443,254.65           212,930,484.20          341,772,245.74          303,519,632.84

  业务及管理费                             2,105,512,884.94          1,501,656,203.15        1,937,315,782.06       1,491,871,659.09

  资产减值损失                                 2,219,258.66               1,480,029.01          -4,467,078.71              19,680.29

  其他业务成本                                   434,063.82                434,063.82             434,063.82             434,063.82

三、营业利润(亏损以"-"号填列)            2,372,182,733.86          1,616,374,174.70        3,436,967,699.04       2,682,335,565.37

  加:营业外收入                              28,027,828.32               8,622,439.92           3,441,793.04           3,414,473.29

  减:营业外支出                               6,460,571.94               4,483,610.03           1,503,498.29           1,147,205.38

四、利润总额(亏损总额以"-"号填列)        2,393,749,990.24          1,620,513,004.59        3,438,905,993.79       2,684,602,833.28

  减:所得税费用                             509,450,425.78           323,992,266.83          809,204,621.50          654,037,526.18

五、净利润(净亏损以"-"号填列)            1,884,299,564.46          1,296,520,737.76        2,629,701,372.29       2,030,565,307.10

    归属于母公司股东的净利润               1,805,589,600.41                                  2,517,292,617.40

    少数股东损益                              78,709,964.05                                   112,408,754.89

六、每股收益:

(一)基本每股收益                                       0.24                                             0.43

(二)稀释每股收益                                       0.24                                             0.43

七、其他综合收益                           -1,765,685,741.34      -1,273,299,018.70           971,919,445.67          578,216,169.55

归属于母公司股东的其他综合收益的税后净额   -1,657,816,536.22                                  934,815,413.14

 (一) 以后将重分类进损益的其他综合收益

     1. 权益法下在被投资单位以后将重分类
进损益的其他综合收益中享有的份额             -64,129,121.62            -64,129,121.62          42,783,762.64           42,783,762.64

     2. 可供出售金融资产公允价值变动损益   -1,565,014,004.66      -1,209,169,897.08           886,585,402.43          535,432,406.91

     3. 外币财务报表折算差额                 -28,673,409.94                                      5,446,248.07

归属于少数股东的其他综合收益的税后净额      -107,869,205.12                                    37,104,032.53

八、综合收益总额                             118,613,823.12              23,221,719.06       3,601,620,817.96       2,608,781,476.65

    归属于母公司股东的综合收益总额           147,773,064.19                                  3,452,108,030.54

    归属于少数股东的综合收益总额             -29,159,241.07                                   149,512,787.42


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


                                                                                                                                 13
3、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                          2016 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                    母公司                合并数                   母公司

一、经营活动产生的现金流量:

融出资金净减少额                           16,360,444,195.21        15,925,202,685.77                       -                      -

处置交易性金融资产净增加额                  1,204,659,416.09         1,640,889,691.36                       -                      -

收取利息、手续费和佣金的现金                5,392,851,478.68         4,033,690,760.28       5,701,807,401.30        5,361,870,234.40

拆入资金净增加额                             750,000,000.00             750,000,000.00      2,237,000,000.00        2,237,000,000.00

代理买卖证券收到的现金净额                                 -                         -    32,974,709,293.23        27,709,038,755.24

代理承销证券收到的现金净额                   343,999,993.44             343,999,993.44        10,000,000.00            10,000,000.00

回购业务资金净增加额                                       -                         -    16,729,913,705.69        17,566,686,577.87

收到其他与经营活动有关的现金                2,059,656,535.16            683,887,858.75      1,605,742,410.62         588,991,793.53

经营活动现金流入小计                       26,111,611,618.58        23,377,670,989.60     59,259,172,810.84        53,473,587,361.04

融出资金净增加额                                           -                         -    38,072,239,408.08        33,206,491,869.84

购置交易性金融资产净减少额                                 -                         -      9,911,916,147.34        7,745,931,891.26

支付利息、手续费及佣金的现金                 894,348,266.01             819,665,246.08      1,331,085,293.15        1,300,276,656.93

代理买卖证券支付的现金净额                  9,345,495,357.51         8,433,577,411.87                       -                      -

回购业务资金净减少额                        8,242,818,738.01         8,315,903,669.05                       -                      -

支付给职工以及为职工支付的现金              1,682,968,118.02         1,014,911,013.42        980,244,160.33          663,599,586.21

支付的各项税费                               980,225,036.26             637,593,410.49      1,071,860,846.44         961,157,051.15

支付其他与经营活动有关的现金                4,386,296,233.78         3,422,323,667.35        971,396,085.73         1,339,418,018.60

经营活动现金流出小计                       25,532,151,749.59        22,643,974,418.26     52,338,741,941.07        45,216,875,073.99

经营活动产生的现金流量净额                   579,459,868.99             733,696,571.34      6,920,430,869.77        8,256,712,287.05

二、投资活动产生的现金流量:

收回投资收到的现金                           620,138,479.70                          -      1,173,683,066.33                       -

处置可供出售金融资产净增加额                8,841,390,582.76         9,473,825,171.34        598,096,893.15          510,909,085.67

取得投资收益收到的现金                       931,694,994.30             840,410,000.78       598,216,725.38          437,766,898.65

处置固定资产、无形资产和其他长期资产收回
的现金净额                                       498,929.65                373,449.65         17,488,185.42              334,030.98

收到其他与投资活动有关的现金                  53,334,792.95                          -        25,799,663.63                        -

投资活动现金流入小计                       10,447,057,779.36        10,314,608,621.77       2,413,284,533.91         949,010,015.30

投资支付的现金                               758,480,872.48                          -      1,574,445,488.28        1,200,000,000.00

购建固定资产、无形资产和其他长期资产支付
的现金                                        45,955,848.30              39,571,917.00        49,653,057.70            43,825,201.23

支付其他与投资活动有关的现金                  19,116,667.00                          -          8,000,000.00                       -

投资活动现金流出小计                         823,553,387.78              39,571,917.00      1,632,098,545.98        1,243,825,201.23

投资活动产生的现金流量净额                  9,623,504,391.58        10,275,036,704.77        781,185,987.93          -294,815,185.93

三、筹资活动产生的现金流量:

吸收投资收到的现金                           106,312,205.60                          -        43,787,794.47                        -

其中:子公司吸收少数股东投资收到的现金       106,312,205.60                          -        43,787,794.47                        -

发行债券收到的现金                          3,000,000,000.00         3,000,000,000.00     15,317,320,000.00        15,317,320,000.00

取得借款收到的现金                           731,201,230.80                          -      4,710,290,000.00                       -


                                                                                                                                 14
收到其他与筹资活动有关的现金                464,694,112.97       435,541,522.80       250,716,673.00                     -

筹资活动现金流入小计                       4,302,207,549.37     3,435,541,522.80    20,322,114,467.47    15,317,320,000.00

偿还债务支付的现金                        15,500,000,000.00    15,500,000,000.00                    -                    -

分配股利、利润或偿付利息支付的现金         1,065,952,522.26     1,055,286,344.93      232,322,896.22       202,997,515.95

其中:子公司支付给少数股东的股利、利润                    -                    -        22,108,998.81                    -

支付其他与筹资活动有关的现金              14,235,717,113.71    14,418,814,609.52                    -                    -

筹资活动现金流出小计                      30,801,669,635.97    30,974,100,954.45      232,322,896.22       202,997,515.95

筹资活动产生的现金流量净额               -26,499,462,086.60   -27,538,559,431.65    20,089,791,571.25    15,114,322,484.05

四、汇率变动对现金及现金等价物的影响        -104,170,210.39       -35,500,400.77          565,906.39           600,276.61

五、现金及现金等价物净增加额             -16,400,668,036.42   -16,565,326,556.31    27,791,974,335.34    23,076,819,861.78

加:期初现金及现金等价物余额             137,472,513,794.69   122,521,382,462.66    89,824,148,181.01    81,363,549,814.23

六、期末现金及现金等价物余额             121,071,845,758.27   105,956,055,906.35   117,616,122,516.35   104,440,369,676.01


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




                                                                                                                       15
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