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广发证券(000776)公告正文

广发证券:2017年第一季度报告全文

公告日期 2017-04-28
股票简称:广发证券 股票代码:000776
                               广发证券股份有限公司 2017 年第一季度报告




       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○一七年第一季度报告




              二○一七年四月




                                                                     1
                                                    广发证券股份有限公司 2017 年第一季度报告




                               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三十九次会议审议通过。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


    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。




                                                                                          2
                                                                    广发证券股份有限公司 2017 年第一季度报告




                                    第二节 公司基本情况

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
                                                                                      本报告期比上年同期增
                                             本报告期              上年同期
                                                                                                减
营业收入(元)                              4,900,234,657.75     4,756,792,195.93                    3.02%
归属于上市公司股东的净利润(元)            2,138,526,804.04     1,805,589,600.41                   18.44%
归属于上市公司股东的扣除非经常性
                                            2,109,030,336.57     1,786,171,770.54                   18.08%
损益的净利润(元)
经营活动产生的现金流量净额(元)          -13,157,844,878.73       579,459,868.99                         -
基本每股收益(元/股)                                    0.28                  0.24                 16.67%
稀释每股收益(元/股)                                    0.28                  0.24                 16.67%
加权平均净资产收益率                                    2.67%              2.33%         增加 0.34 个百分点
                                                                                      本报告期末比上年度末
                                            本报告期末             上年度末
                                                                                              增减
总资产(元)                              354,935,132,261.21 359,801,353,416.83                     -1.35%
归属于上市公司股东的净资产(元)           81,426,980,464.15    78,530,209,492.56                    3.69%
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)                                                              0.28
非经常性损益项目和金额
√ 适用 □ 不适用
                                                                                                   单位:元
                                                          年初至报告期期末
                          项目                                                             说明
                                                                金额
非流动资产处置损益(包括已计提资产减值准备的冲销
                                                                  189,838.18
部分)
计入当期损益的政府补助(与企业业务密切相关,按照
                                                                11,258,326.60 主要为财政补贴及奖励款
国家统一标准定额或定量享受的政府补助除外)



                                                                                                              3
                                                              广发证券股份有限公司 2017 年第一季度报告


除上述各项之外的其他营业外收入和支出                  25,496,625.86 代扣代缴手续费等收入增加
减:所得税影响额                                           7,445,354.50
    少数股东权益影响额(税后)                                2,968.67
合计                                                  29,496,467.47                  --


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

1、普通股股东总数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

                                        股东总数为 144,342 户,其中,A 股股东 142,321 户,H 股
报告期末普通股股东总数
                                        登记股东 2,021 户
                                    前 10 名股东持股情况
                                                                   持有有限   质押或冻结情况
                                         持股比
         股东名称            股东性质              持股数量        售条件的 股份状
                                           例                                         数量
                                                                   股份数量   态
香港中央结算(代理人)有
                         境外法人        22.31% 1,700,115,880             0
限公司
吉林敖东药业集团股份有限
                         境内一般法人    16.43% 1,252,297,867             0
公司
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
                         境内一般法人     9.01%   686,754,216             0
公司
华夏人寿保险股份有限公司 基金、理财产
                                          2.99%   228,131,005             0
-万能保险产品           品等
中国证券金融股份有限公司 境内一般法人     2.46%   187,502,896             0


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                                                                       广发证券股份有限公司 2017 年第一季度报告


普宁市信宏实业投资有限公
                         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
中央汇金资产管理有限责任
                         国有法人        1.29%   98,149,700                     0
公司
中国银行股份有限公司-招
                         基金、理财产
商中证全指证券公司指数分                 0.72%   54,808,138                     0
                         品等
级证券投资基金
                             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                         1,700,115,880         境外上市外资股 1,700,115,880
吉林敖东药业集团股份有限公司                           1,252,297,867          人民币普通股 1,252,297,867
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
华夏人寿保险股份有限公司-万能保险产
                                                        228,131,005           人民币普通股      228,131,005

中国证券金融股份有限公司                                187,502,896           人民币普通股      187,502,896
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
中国银行股份有限公司-招商中证全指证
                                                         54,808,138           人民币普通股       54,808,138
券公司指数分级证券投资基金
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、中山公用分别于 2017 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 24,834,000 股,占公司总股本的 0.33%;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 100,904,000 股,占公司总股本的 1.32%。上述股份由
香港中央结算(代理人)有限公司代为持有;
注 4:根据香港联交所披露易公开披露信息,持有公司 H 股类别股份比例在 5%及以上的股东(除注 3 中“公用国际(香港)
投资有限公司”外)情况如下:2015 年 7 月 14 日,Fubon Life Insurance Co., Ltd.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)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%。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 2017 年第一季度报告




                                            第三节 重要事项

一、报告期主要财务数据、财务指标发生变动的情况及原因

                                                                                                              单位:元

                                                                 增减幅度
       项目           2017 年 3 月 31 日   2016 年 12 月 31 日                                主要变动原因
                                                                 (%)

应收款项                6,531,917,513.71     2,218,161,383.85      194.47    期末主要是待交收清算款增加。

以公允价值计量且
其变动计入当期损        1,543,223,996.05     5,506,095,387.34       -71.97   期末债券借贷业务产生的交易性金融负债减少。
益的金融负债

应付利息                2,715,786,992.07     2,039,195,571.23       33.18    期末应付债券利息增加。

递延所得税负债            214,725,489.99       131,279,760.50       63.56    期末应纳税暂时性差异增加。

其他综合收益            2,607,572,036.25     1,849,327,868.70       41.00    期末可供出售金融资产的公允价值变动收益增加。

                                                                 增减幅度
       项目            2017 年 1-3 月        2016 年 1-3 月                                   主要变动原因
                                                                 (%)

利息净收入                334,268,807.63        48,615,002.94      587.58    主要由于本期回购利息支出减少。

                                                                             本期处置以公允价值计量且其变动计入当期损益
投资收益                2,088,740,172.54     1,563,143,078.30       33.62
                                                                             的金融工具收益增加。

公允价值变动收益                                                             本期以公允价值计量且其变动计入当期损益的金
                         -252,866,465.36        -43,753,335.21           -
(损失以"-"号填列)                                                          融资产的公允价值变动收益减少。

汇兑收益(损失以"-"
                           12,903,729.80        -38,713,417.25           -   汇率变动影响。
号填列)

其他业务收入                9,474,283.05        20,063,690.97       -52.78   本期租赁收入等减少。

税金及附加                 32,157,634.95       276,443,254.65       -88.37   主要为 2016 年 5 月 1 日起实施营业税改征增值税。

资产减值损失                3,834,014.64         2,219,258.66       72.76    本期计提坏账损失增加。

营业外收入                 44,699,380.04        28,027,828.32       59.48    主要为本期代扣代缴手续费等收入增加。

其他综合收益              874,004,315.40     -1,765,685,741.34           -   可供出售金融资产的公允价值变动收益增加。

经营活动产生的现                                                             主要为融出资金和交易性金融资产变动产生的现
                      -13,157,844,878.73       579,459,868.99            -
金流量净额                                                                   金净流入减少。
投资活动产生的现                                                             主要为处置可供出售金融资产净增加额产生的现
                        1,247,203,719.02     9,623,504,391.58       -87.04
金流量净额                                                                   金流入减少。
筹资活动产生的现
                       -2,986,889,887.04   -26,499,462,086.60            -   主要为偿还债券及收益凭证产生的现金流出减少。
金流量净额




                                                                                                                     6
                                                                        广发证券股份有限公司 2017 年第一季度报告


  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

         截至 2017 年 3 月 31 日,公司共有分公司 20 家、证券营业部 264 家,分布于全国 31 个省、直辖市、

  自治区。

         (1)公司营业网点同城迁址

  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宝鸡火炬路证券营业部             广发证券股份有限公司宝鸡公园路证券营业部

          广发证券股份有限公司湛江廉江市廉江大道证券           广发证券股份有限公司湛江廉江市罗州大道证
    2
          营业部                                               券营业部
    3     广发证券股份有限公司深圳彩田路证券营业部             广发证券股份有限公司深圳彩田路证券营业部

         2017 年 1 月,福建分公司迁址,迁址后分公司名称未发生变更。

         (2)截至 2017 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、公司董事陈爱学先生因个人年龄原因向公司提交书面辞职信,申请辞去公司第八届董事会董事以

  及第八届董事会战略委员会委员职务。根据《公司法》及公司《章程》规定,此次董事陈爱学先生的辞职

  不会导致公司董事会成员低于法定最低人数,并自 2017 年 3 月 28 日起生效。


  三、公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内超期未履行
  完毕的承诺事项

                        承诺类
  承诺事由     承诺方                               承诺内容                        承诺时间       承诺期限        履行情况
                          型
                              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、广发证券及其董事、监事和高级管理人员承诺,将严格
              公司及          按照《证券公司风险控制指标管理办法》的规定,完善风险
股改承诺/收购
              公司股          管理制度,健全风险监控机制,建立对风险的实时监控系统,
报告书或权益                                                                                                       各承诺方
              东、董          加强对风险的动态监控,增强识别、度量、控制风险的能力,
变动报告书中           其他承                                                                                      均严格履
              事、监事        提高风险管理水平。                                     2010.2.6         无
所作承诺/资产          诺                                                                                          行了承
              和高级          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
重组时所作承                                                                                                       诺。
              管理人          范可能发生的关联交易,辽宁成大和吉林敖东作出如下承

              员              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


                                                                                                              7
                                                                           广发证券股份有限公司 2017 年第一季度报告


                                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
或再融资时所        无     无                             无                               无               无                无
作承诺

股权激励承诺        无     无                             无                               无               无                无

其他对公司中
小股东所作承        无     无                             无                               无               无                无

                                                                                                    承诺期限自董事会
                                为支持广发资管业务做大做强,满足其业务持续发展要求,
                                                                                                    决议公告日(2015
为广发资管提                    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                                       广发证券
             广发证      其他承                                                                     年 9 月 29 日)起至
供净资本担保                    10 亿元人民币(含 10 亿元人民币,下同)的净资本担保承诺。2015.9.29                            严格履行
             券            诺                                                                       其净资本能够持续
承诺                            承诺期限自董事会决议公告日(2015 年 9 月 29 日)起至其                                     了承诺。
                                                                                                    满足监管部门要求
                                净资本能够持续满足监管部门要求止。
                                                                                                    止。
                                                                                                    25 亿元人民币的净
                                                                                                    资本担保承诺自董
                                为支持广发资管持续满足风险控制指标的监管要求,对广发
                                                                                                    事会审议通过之日
                                资管提供新增不超过 30 亿元人民币(含 30 亿元人民币)的净
为广发资管提                                                                                        起至 2016 年 9 月 30   广发证券
             广发证      其他承 资本担保承诺,其中:25 亿元人民币的净资本担保承诺自
供净资本担保                                                                            2016.7.18   日止; 亿元人民币      严格履行
             券            诺   本次董事会审议通过之日起至 2016 年 9 月 30 日止;5 亿元
承诺                                                                                                的净资本担保承诺       了承诺。
                                人民币的净资本担保承诺期直至其净资本能够持续满足监
                                                                                                    期直至其净资本能
                                管部门要求止。
                                                                                                    够持续满足监管部
                                                                                                    门要求止。
承诺是否按时
               是
履行


  四、对 2017 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

  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

                                            接待对象
         接待时间               接待方式                             接待对象                   调研的基本情况索引
                                              类型
   2017 年 1 月 1 日-2017
                                电话沟通       个人                     个人                    公司经营发展情况
        年 3 月 31 日
      2017 年 1 月 5 日         业绩路演       机构    星展唯高达「亚洲脉搏」交流会议 公司战略及业务发展


                                                                                                                       8
                                                                    广发证券股份有限公司 2017 年第一季度报告


                                                 所邀请的投资者                   情况
   2017 年 1 月 6 日      实地调研       机构    海通证券                         公司经营发展情况
  2017 年 1 月 18 日      电话沟通       机构    摩根大通                         公司经营发展情况
                                                 华泰证券、国信证券、平安证券、
                                                 安信证券、东北证券、招商证券、
                                                 东方证券、银河基金、广州金控、
  2017 年 1 月 18 日      实地调研       机构    中海基金、万家基金、生命资管、 公司经营发展情况
                                                 中信资管、中国再保险、前海人寿、
                                                 申万菱信、中科沃土、民生金服、
                                                 上海正享投资、展博投资
  2017 年 2 月 23 日      视频会议       机构    Wellington                       公司经营发展情况
                                                 广发证券 2016 年度业绩发布会所邀 公司战略及业务发展
  2017 年 3 月 27 日      业绩路演       机构
                                                 请的分析师和投资者               情况
                                                 瑞信 2017 年亚洲投资论坛所邀请的 公司战略及业务发展
  2017 年 3 月 30 日      业绩路演       机构
                                                 投资者                           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(www.szse.cn)及巨潮资讯网(www.cninfo.com.cn)
上披露。


八、违规对外担保情况

公司报告期无违规对外担保情况。

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




                                                                                                          9
                                                                               广发证券股份有限公司 2017 年第一季度报告




                                           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                 2017 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                            70,151,023,892.24      56,555,713,577.31       80,448,432,300.74         65,878,171,383.57

  其中:客户存款                      61,202,769,680.20      52,666,661,874.68       67,251,310,435.85         57,988,054,395.92

  结算备付金                          17,096,663,642.79      15,073,473,580.49       21,742,626,195.25         19,569,194,635.66

  其中:客户备付金                    13,324,436,633.19      11,427,984,529.31       17,871,298,436.09         15,956,355,191.37

  融出资金                            57,864,507,262.36      55,039,066,700.15       59,001,294,969.66         55,938,022,754.09
  以公允价值计量且其变动计入当期损
                                      69,429,441,872.37      47,404,297,400.55       61,766,808,847.96         42,069,244,383.32
益的金融资产

  衍生金融资产                           706,249,112.32        703,904,134.48           692,456,240.37           688,867,021.21

  买入返售金融资产                    23,353,872,511.88      22,791,781,474.04       21,961,202,342.55         21,134,085,280.70

  应收款项                             6,531,917,513.71       3,980,686,842.61        2,218,161,383.85           190,320,192.82

  应收利息                             2,954,988,449.66       2,361,256,621.66         2,511,656,611.53         1,978,145,690.87

  存出保证金                           5,164,989,940.11        996,562,548.09         5,132,685,472.06           974,208,747.73

  可供出售金融资产                    88,959,036,149.37      71,817,836,769.30       92,080,655,671.95         76,238,567,147.68

  长期股权投资                         3,999,902,721.96      17,101,661,097.22        3,735,931,713.08         17,014,087,317.60

  投资性房地产                            23,104,355.62             23,104,355.62        23,538,419.44            23,538,419.44

  固定资产                              881,662,305.75         633,493,412.93           916,392,554.31           661,810,705.84

  在建工程                              769,204,624.37         769,204,624.37           726,998,852.66           726,998,852.66

  无形资产                              557,282,019.66         514,796,650.83           575,991,066.32           530,411,365.50

  商誉                                     2,303,857.19                         -         2,321,243.82                          -

  递延所得税资产                        838,402,504.69         714,166,080.90           783,339,195.49           634,474,530.43

  其他资产                             5,650,579,525.16       2,169,508,424.39        5,480,860,335.79          2,143,120,604.02

资产合计                             354,935,132,261.21    298,650,514,294.94       359,801,353,416.83     306,393,269,033.14


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




                                                                                                                           10
                                                                                 广发证券股份有限公司 2017 年第一季度报告


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                 2017 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                               4,906,911,328.70                          -     4,863,873,848.17                            -

  应付短期融资款                      13,197,848,000.00      13,197,848,000.00        16,329,741,000.00           16,329,741,000.00

  拆入资金                            10,584,793,560.93       7,300,000,000.00        10,606,394,791.74            9,400,000,000.00
  以公允价值计量且其变动计入当期损
                                       1,543,223,996.05                          -     5,506,095,387.34            4,022,587,200.00
益的金融负债

  衍生金融负债                          715,041,478.74         711,512,366.65            692,012,018.00             691,750,399.34

  卖出回购金融资产款                  58,575,689,486.26      55,682,140,241.75        50,549,266,202.80           47,608,555,532.80

  代理买卖证券款                      77,882,312,793.54      62,965,459,934.01        85,726,525,276.71           70,194,416,040.45

  应付职工薪酬                         7,008,399,176.34       6,125,010,103.32         7,142,049,184.07            5,882,020,080.44

  应交税费                             1,249,824,795.29        933,782,797.89          1,001,301,981.99              673,493,110.92

  应付款项                            13,579,076,718.01       1,289,919,980.08        15,787,438,872.97            3,399,734,090.75

  应付利息                             2,715,786,992.07       2,702,169,148.01         2,039,195,571.23            2,029,286,434.18

  预计负债                                33,360,000.00             33,360,000.00         33,360,000.00               33,360,000.00

  长期借款                             3,141,120,000.00                          -     2,729,250,000.00                            -

  应付债券                            73,450,323,464.46      73,450,323,464.46        73,524,596,519.73           73,524,596,519.73

  递延所得税负债                        214,725,489.99                           -       131,279,760.50                            -

  其他负债                             1,688,452,107.06        866,085,208.68          1,785,637,051.37             924,863,758.49

负债合计                             270,486,889,387.44    225,257,611,244.85        278,448,017,466.62          234,714,404,167.10

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        31,864,053,298.29           31,679,140,892.48

  其他综合收益                         2,607,572,036.25        893,188,182.43          1,849,327,868.70             559,398,754.59

  盈余公积                             4,754,038,095.07       4,738,707,725.12         4,754,038,095.07            4,738,707,725.12

  一般风险准备                        10,472,623,271.47       9,724,059,050.63        10,453,777,447.86            9,723,994,644.82

  未分配利润                          24,107,606,099.07      18,736,719,535.43        21,987,925,118.64           17,356,535,185.03

归属于母公司股东权益合计              81,426,980,464.15                               78,530,209,492.56

  少数股东权益                         3,021,262,409.62                                2,823,126,457.65

股东权益合计                          84,448,242,873.77      73,392,903,050.09        81,353,335,950.21           71,678,864,866.04

负债和股东权益总计                   354,935,132,261.21    298,650,514,294.94        359,801,353,416.83          306,393,269,033.14


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
                                                                                 广发证券股份有限公司 2017 年第一季度报告


2、合并及母公司利润表
编制单位:广发证券股份有限公司                         2017 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                               4,900,234,657.75         3,215,232,144.38        4,756,792,195.93        3,332,874,954.88
  手续费及佣金净收入                       2,707,714,130.09         1,666,048,036.29        3,207,437,176.18        2,046,612,882.17
  其中:经纪业务手续费净收入                1,038,898,689.72          940,210,929.82         1,524,799,396.52        1,444,279,020.01
      投资银行业务手续费净收入              711,244,477.51           700,100,457.77          651,880,638.34          578,683,280.60
      资产管理及基金管理业务手续费净收入    914,479,510.27                          -        995,956,905.94                        -
  利息净收入                                334,268,807.63           340,219,672.89            48,615,002.94          90,776,442.80
  投资收益(损失以"-"号填列)              2,088,740,172.54         1,508,526,692.40        1,563,143,078.30        1,236,254,132.15
  其中:对联营企业和合营企业的投资收益       76,262,198.36              77,264,337.05          87,617,604.95          86,558,186.78
  公允价值变动收益(损失以"-"号填列)      -252,866,465.36          -302,866,402.35           -43,753,335.21           -9,411,918.44
  汇兑收益(损失以"-"号填列)                12,903,729.80              -1,331,713.75         -38,713,417.25          -35,500,400.77
  其他业务收入                                 9,474,283.05              4,635,858.90          20,063,690.97           4,143,816.97
二、营业支出                               2,087,541,020.57         1,445,854,820.06        2,384,609,462.07        1,716,500,780.18
  税金及附加                                 32,157,634.95              24,767,664.81        276,443,254.65          212,930,484.20
  业务及管理费                             2,051,115,307.16         1,420,649,393.42        2,105,512,884.94        1,501,656,203.15
  资产减值损失                                 3,834,014.64                  3,698.01           2,219,258.66           1,480,029.01
  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)            2,812,693,637.18         1,769,377,324.32        2,372,182,733.86        1,616,374,174.70
  加:营业外收入                             44,699,380.04              18,674,910.77          28,027,828.32           8,622,439.92
  减:营业外支出                               7,754,589.40              5,660,088.04           6,460,571.94           4,483,610.03
四、利润总额(亏损总额以"-"号填列)        2,849,638,427.82         1,782,392,147.05        2,393,749,990.24        1,620,513,004.59
  减:所得税费用                            628,735,819.66           402,143,390.84          509,450,425.78          323,992,266.83
五、净利润(净亏损以"-"号填列)            2,220,902,608.16         1,380,248,756.21        1,884,299,564.46        1,296,520,737.76
    归属于母公司股东的净利润               2,138,526,804.04                                 1,805,589,600.41
    少数股东损益                             82,375,804.12                                     78,709,964.05
六、每股收益:
(一)基本每股收益                                      0.28                                             0.24
(二)稀释每股收益                                      0.28                                             0.24
七、其他综合收益                            874,004,315.40           333,789,427.84        -1,765,685,741.34       -1,273,299,018.70
归属于母公司股东的其他综合收益的税后净额    758,244,167.55                                 -1,657,816,536.22
 (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
                                             10,312,239.54              10,309,442.57         -64,129,121.62          -64,129,121.62
进损益的其他综合收益中享有的份额

     2. 可供出售金融资产公允价值变动损益    788,114,276.07           323,479,985.27        -1,565,014,004.66       -1,209,169,897.08
     3. 外币财务报表折算差额                 -40,182,348.06                                   -28,673,409.94
归属于少数股东的其他综合收益的税后净额      115,760,147.85                                   -107,869,205.12
八、综合收益总额                           3,094,906,923.56         1,714,038,184.05          118,613,823.12          23,221,719.06
    归属于母公司股东的综合收益总额         2,896,770,971.59                                  147,773,064.19
    归属于少数股东的综合收益总额            198,135,951.97                                    -29,159,241.07


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 2017 年第一季度报告


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                              2017 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                               1,136,787,707.30           898,956,053.94      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、手续费及佣金的现金                   4,766,288,488.81         3,496,785,457.28        5,392,851,478.68       4,033,690,760.28
拆入资金净增加额                                               -                         -       750,000,000.00          750,000,000.00
代理承销证券收到的现金净额                                     -                         -       343,999,993.44          343,999,993.44
回购业务资金净增加额                           6,635,158,394.22         6,415,888,515.61                        -                       -
收到其他与经营活动有关的现金                    113,873,649.28              36,005,534.67       2,059,656,535.16         683,887,858.75
经营活动现金流入小计                          12,652,108,239.61      10,847,635,561.50        26,111,611,618.58       23,377,670,989.60
购置交易性金融资产净减少额                    11,038,632,094.48         8,986,119,016.81                        -                       -
支付利息、手续费及佣金的现金                    688,939,242.35            638,345,040.38         894,348,266.01          819,665,246.08
拆入资金净减少额                                  21,601,230.81         2,100,000,000.00                        -                       -
代理买卖证券支出的现金净额                     7,874,267,151.88         7,267,169,107.34        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
支付给职工及为职工支付的现金                   1,456,181,272.74           879,171,930.05        1,682,968,118.02       1,014,911,013.42
支付的各项税费                                  779,097,326.83            506,319,245.64         980,225,036.26          637,593,410.49
支付其他与经营活动有关的现金                   3,951,234,799.25         2,587,214,398.11        4,386,296,233.78       3,422,323,667.35
经营活动现金流出小计                          25,809,953,118.34      22,964,338,738.33        25,532,151,749.59       22,643,974,418.26
经营活动产生的现金流量净额                   -13,157,844,878.73     -12,116,703,176.83           579,459,868.99          733,696,571.34
二、投资活动产生的现金流量:
收回投资收到的现金                              132,830,595.66                           -       620,138,479.70                         -
处置可供出售金融资产净增加额                    802,187,761.08          1,204,898,434.56        8,841,390,582.76       9,473,825,171.34
取得投资收益收到的现金                          614,324,015.42            541,389,041.96         931,694,994.30          840,410,000.78
处置固定资产、无形资产和其他长期资产收回的          248,160.90                238,991.45             498,929.65               373,449.65
收到其他与投资活动有关的现金
现金净额                                           3,353,308.23                          -        53,334,792.95                         -
投资活动现金流入小计                           1,552,943,841.29         1,746,526,467.97      10,447,057,779.36       10,314,608,621.77
投资支付的现金                                  249,171,333.00                           -       758,480,872.48                         -
购建固定资产、无形资产和其他长期资产支付的        56,568,789.27             51,734,557.62         45,955,848.30            39,571,917.00
支付其他与投资活动有关的现金
现金                                                           -                         -        19,116,667.00                         -
投资活动现金流出小计                            305,740,122.27              51,734,557.62        823,553,387.78            39,571,917.00
投资活动产生的现金流量净额                     1,247,203,719.02         1,694,791,910.35        9,623,504,391.58      10,275,036,704.77
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                         -
其中:子公司吸收少数股东投资收到的现金                         -                         -       106,312,205.60                         -
取得借款收到的现金                              454,907,480.53                           -       731,201,230.80                         -
发行债券收到的现金                                             -                         -      3,000,000,000.00       3,000,000,000.00
收到其他与筹资活动有关的现金                   2,359,865,000.00         2,359,865,000.00         464,694,112.97          435,541,522.80
筹资活动现金流入小计                           2,814,772,480.53         2,359,865,000.00        4,302,207,549.37       3,435,541,522.80
偿还债务支付的现金                             5,000,000,000.00         5,000,000,000.00      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              192,204,367.57            136,531,232.69        1,065,952,522.26       1,055,286,344.93
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                    609,458,000.00            609,458,000.00      14,235,717,113.71       14,418,814,609.52
筹资活动现金流出小计                           5,801,662,367.57         5,745,989,232.69      30,801,669,635.97       30,974,100,954.45
筹资活动产生的现金流量净额                    -2,986,889,887.04         -3,386,124,232.69     -26,499,462,086.60      -27,538,559,431.65
四、汇率变动对现金及现金等价物的影响             -34,028,265.70             -1,331,713.75       -104,170,210.39            -35,500,400.77
五、现金及现金等价物净增加额                 -14,931,559,312.45     -13,809,367,212.92        -16,400,668,036.42      -16,565,326,556.31
加:期初现金及现金等价物余额                 102,040,110,495.99      85,299,418,019.23       137,472,513,794.69      122,521,382,462.66
六、期末现金及现金等价物余额                  87,108,551,183.54      71,490,050,806.31       121,071,845,758.27      105,956,055,906.35


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 2017 年第一季度报告


二、审计报告

第一季度报告是否经过审计
□ 是 √ 否




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