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华安证券(600909)公告正文

华安证券:2017年第三季度报告

公告日期 2017-10-31
股票简称:华安证券 股票代码:600909
                         2017 年第三季度报告



公司代码:600909                               公司简称:华安证券




                   华安证券股份有限公司
                   2017 年第三季度报告




                               1 / 18
                                                                2017 年第三季度报告




                                                                         目录

一、重要提示............................................................................................................................................. 3

二、公司基本情况..................................................................................................................................... 3

三、重要事项............................................................................................................................................. 6

四、附录..................................................................................................................................................... 9




                                                                          2 / 18
                                    2017 年第三季度报告




一、 重要提示


1.1 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。



1.2 公司全体董事出席董事会审议季度报告。



1.3 公司负责人李工、主管会计工作负责人龚胜昔及会计机构负责人(会计主管人员)龚胜昔保

    证季度报告中财务报表的真实、准确、完整。



1.4 本公司第三季度报告未经审计。




二、 公司基本情况


2.1 主要财务数据
                                                                      单位:元 币种:人民币
                                                                               本报告期末比上
                                   本报告期末                上年度末
                                                                               年度末增减(%)
总资产                             41,274,533,433.14       34,588,015,823.82            19.33%
归属于上市公司股东的净资产         12,220,959,972.99       11,843,037,414.89             3.19%
                                                          上年初至上年报告
                               年初至报告期末                                  比上年同期增减
                                                                 期末
                                 (1-9 月)                                          (%)
                                                              (1-9 月)
经营活动产生的现金流量净额           -797,582,231.05       -4,673,228,319.26            不适用
                                                          上年初至上年报告
                               年初至报告期末                                  比上年同期增减
                                                                 期末
                                 (1-9 月)                                        (%)
                                                              (1-9 月)
营业收入                            1,531,057,381.75        1,343,787,549.67            13.94%
归属于上市公司股东的净利润           602,795,438.88          513,934,087.96             17.29%
归属于上市公司股东的扣除非
                                     602,385,767.66          510,511,042.25             18.00%
经常性损益的净利润
加权平均净资产收益率(%)                       4.99                    7.71   减少 2.72 个百分
                                          3 / 18
                                      2017 年第三季度报告



                                                                                                      点
基本每股收益(元/股)                               0.17                    0.18                   -5.56%
稀释每股收益(元/股)                               0.17                    0.18                   -5.56%



非经常性损益项目和金额
√适用 □不适用
                                                                           单位:元 币种:人民币
                                        本期金额       年初至报告期末
               项目                                                                       说明
                                      (7-9 月)      金额(1-9 月)
                                                                            主要为固定资产处置损
非流动资产处置损益                       -29,182.83         -213,267.57
                                                                            失
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                                              主要为公司收到的政府
                                       1,000,521.38         1,686,987.55
家政策规定、按照一定标准定额或                                              补助
定量持续享受的政府补助除外
                                                                            主要为印花税代征手续
除上述各项之外的其他营业外收入
                                       1,547,119.99         -862,445.96     费和个税代扣代缴手续
和支出
                                                                            费返还
少数股东权益影响额(税后)               -17,568.75          -152,818.51
所得税影响额                            -627,582.56           -48,784.29
               合计                    1,873,307.23          409,671.22



2.2 截止报告期末的股东总数、前十名股东、前十名流通股东(或无限售条件股东)持股情况表
                                                                                                 单位:股
股东总数(户)                                                                                    187,716
                                      前十名股东持股情况
                                       比例     持有有限售条       质押或冻结情况
股东名称(全称)      期末持股数量                                                           股东性质
                                       (%)        件股份数量      股份状态         数量
安徽省国有资产运
                        887,020,879    24.50        887,020,879      无               -      国有法人
营有限公司
安徽出版集团有限
                        482,601,131    13.33        482,601,131      无               -      国有法人
责任公司
东方国际创业股份
                        238,825,020     6.60        238,825,020      无               -      国有法人
有限公司
安徽省皖能股份有                                                                             境内非国
                        200,000,000     5.52        200,000,000      无               -
限公司                                                                                         有法人
安徽省交通控股集
                        135,128,317     3.73        135,128,317      无               -      国有法人
团有限公司


                                              4 / 18
                                     2017 年第三季度报告



江苏舜天股份有限
                     100,000,000       2.76       100,000,000      无            -   国有法人
公司
安徽古井集团有限
                     100,000,000       2.76       100,000,000      无            -   国有法人
责任公司
黄山旅游发展股份                                                                     境内非国
                     100,000,000       2.76       100,000,000      无            -
有限公司                                                                               有法人
安徽省投资集团控
                       96,520,226      2.67         96,520,226     无            -   国有法人
股有限公司
安徽省能源集团有
                       96,520,226      2.67         96,520,226     无            -   国有法人
限公司
                             前十名无限售条件股东持股情况
                                          持有无限售条件                股份种类及数量
股东名称
                                          流通股的数量              种类              数量
中国银行股份有限公司-招商中证全指
                                                  11,883,022     人民币普通股        11,883,022
证券公司指数分级证券投资基金
天安财产保险股份有限公司-保赢 1 号                 4,999,928    人民币普通股         4,999,928
中国人寿保险股份有限公司-分红-个
                                                    3,425,176    人民币普通股         3,425,176
人分红-005L-FH002 沪
中国建设银行股份有限公司-富国中证
                                                    3,308,200    人民币普通股         3,308,200
全指证券公司指数分级证券投资基金
中国建设银行-上证 180 交易型开放式
                                                    2,919,200    人民币普通股         2,919,200
指数证券投资基金
浙江华成控股集团有限公司                            2,709,800    人民币普通股         2,709,800
张桂珍                                              2,552,800    人民币普通股         2,552,800
北方国际信托股份有限公司-北方信托
                                                    2,100,000    人民币普通股         2,100,000
赢联 1 号证券投资集合资金信托计划
中国银行股份有限公司-嘉实沪深 300
                                                    1,820,800    人民币普通股         1,820,800
交易型开放式指数证券投资基金
梁雨豪                                              1,797,600    人民币普通股         1,797,600
                                         安徽省能源集团有限公司是安徽省皖能股份有限公司
                                         控股股东。除此之外,未知上述其他股东之间存在关
上述股东关联关系或一致行动的说明
                                         联关系或存在《上市公司收购管理办法》规定的一致
                                         行动人情形
表决权恢复的优先股股东及持股数量的
                                         不适用
说明



2.3 截止报告期末的优先股股东总数、前十名优先股股东、前十名优先股无限售条件股东持股情

    况表
□适用 √不适用


                                           5 / 18
                                     2017 年第三季度报告




三、 重要事项


3.1 公司主要会计报表项目、财务指标重大变动的情况及原因
√适用 □不适用


                                            2016 年 12 月 31      增减幅度
      项目         2017 年 9 月 30 日                                             变动原因
                                                   日               (%)
以公允价值计量且
                                                                             增加对债券等金融资
其变动计入当期损    11,074,802,289.30       7,845,570,142.70        41.16%
                                                                             产投资
益的金融资产
                                                                             扩大股票质押回购业
买入返售金融资产     4,333,678,273.11       2,402,349,098.08        80.39%
                                                                             务规模
                                                                             增加债券、股权等金
可供出售金融资产     2,745,517,250.20       2,002,389,822.77        37.11%
                                                                             融资产投资
                                                                             出租房产到期转入固
投资性房地产            13,627,692.98          24,596,916.18       -44.60%
                                                                             定资产
                                                                             本期资产可抵扣暂时
递延所得税资产         163,935,264.59         120,760,949.66        35.75%
                                                                             性差异增加所致
                                                                             偿还到期债务并新增
应付短期融资款       1,315,660,000.00         800,000,000.00        64.46%
                                                                             发行收益凭证
拆入资金               500,000,000.00                         -     不适用 增加银行拆借规模
                                                                           根据资金需求和证券
卖出回购金融资产
                     7,153,421,058.58       2,584,435,280.00       176.79% 市场情况调整卖出回

                                                                           购业务规模
                                                                             计提绩效工资增加所
应付职工薪酬           433,188,726.33         330,374,781.78        31.12%
                                                                             致
                                                                             本期计提公司债、收
应付利息               126,533,014.29          62,969,786.80       100.94%
                                                                             益凭证利息增加
长期借款                                -       1,823,852.10      -100.00% 贷款到期偿还完毕
                                                                             主要为预收账款增加
其他负债                56,139,959.86          38,835,375.67        44.56%
                                                                             所致
                                                                           主要为子公司安华基
少数股东权益           323,346,487.33         226,147,382.88        42.98% 金吸收少数股东投资
                                                                           所致
                                                                  增减幅度
      项目          2017 年 1-9 月           2016 年 1-9 月                       变动原因
                                                                    (%)
                                                                             主要为股票质押回购
利息净收入             428,676,453.81         320,351,401.81        33.81%
                                                                             业务利息收入增加
                                                                           主要是以公允价值计
投资收益               513,385,465.60         383,545,803.86        33.85% 量且其变动计入当期
                                                                           损益的金融资产投资

                                             6 / 18
                                2017 年第三季度报告



                                                                     收益增加
                                                                     主要是金融工具公允
公允价值变动收益   -144,759,469.00    -243,433,869.10       不适用
                                                                     价值变动收益上升
                                                                     主要为汇率变动产生
汇兑收益             -1,066,154.70         600,662.06     -277.50%
                                                                     的汇兑损失
                                                                     主要为根据政府补助
其他收益              1,686,987.55                    -     不适用
                                                                     会计准则调整核算
                                                                     主要是房产出租收入
其他业务收入          4,140,994.95       7,068,753.04      -41.42%
                                                                     下降
                                                                     主要是营改增不再计
税金及附加          12,032,987.03       46,748,876.48      -74.26%
                                                                     提营业税所致
                                                                     主要为计提信用交易
资产减值损失          8,585,260.31       -3,056,332.97      不适用
                                                                     业务减值损失增加
                                                                     主要是出租房屋计提
其他业务成本           596,421.74        2,362,441.19      -74.75%
                                                                     折旧减少
                                                                     本期增加捐赠支出所
营业外支出            5,426,830.49         127,503.09     4156.23%
                                                                     致
                                                                   主要为安华定增 1 号
                                                                   私募基金本期实现净
少数股东损益        29,031,746.83          821,533.50     3433.85%
                                                                   利润使得少数股东享
                                                                   有收益增加
其他综合收益的税                                                     主要是金融资产公允
                     -5,973,055.24     -23,676,461.23       不适用
后净额                                                               价值变动增加
                                                                   主要是处置以公允价
                                                                   值计量且其变动计入
                                                                   当期损益的金融资产
经营活动产生的现                                                   净减少额增加,回购
                   -797,582,231.05   -4,673,228,319.26      不适用
金流量净额                                                         业务资金净增加额增
                                                                   加以及代理买卖证券
                                                                   业务的现金净减少额
                                                                   下降
                                                                   主要是投资支付的现
                                                                   金以及购置固定资
投资活动产生的现
                    -60,257,852.49    -205,173,493.97       不适用 产、无形资产和其他
金流量净额
                                                                   长期资产支付的现金
                                                                   减少
                                                                   主要是发行债券收到
筹资活动产生的现
                   928,040,361.32     -893,663,141.22       不适用 的现金减少以及偿还
金流量净额
                                                                   债务支付的现金减少




                                      7 / 18
                                     2017 年第三季度报告




3.2 重要事项进展情况及其影响和解决方案的分析说明
√适用 □不适用
    3.2.1 董事辞职情况

    2017 年 8 月 21 日,公司董事会收到周农杰先生递交的书面辞职报告。因个人年龄原因,周

农杰先生申请辞去第二届董事会董事、董事会薪酬与考核委员会委员职务。依据《公司章程》等

相关规定,周农杰先生的辞职自申请报告送达公司董事会时生效。

    详见公司《关于公司董事辞职的公告》(临 2017-030)。

    3.2.2 年度利润分配实施情况

    根据公司 2016 年年度股东大会决议,公司 2016 年度利润分配采用现金分红的方式,本次利

润分配以方案实施前的公司总股本 3,621,000,000 股为基数,每股派发现金红利 0.06 元(含税),

共计派发现金红利 217,260,000 元。报告期内,公司于 2017 年 7 月 17 日实施完毕 2016 年度利润

分配方案。

    3.2.3 关于“15 华安 01”债券票面利率调整及回售申报情况

    本公司于 2015 年 11 月发行“2015 年华安证券股份有限公司债券”(简称:15 华安 01)并

于 2015 年 11 月 26 日在上海证券交易所上市交易,发行规模人民币 13 亿元。报告期内,根据《华

安证券股份有限公司公开发行公司债券募集说明书》中设定的发行人上调票面利率选择权,公司

根据市场环境以及公司实际情况,决定上调本期债券存续期后 1 年的票面利率,即“15 华安 01”

的未被回售部分在债券存续期后 1 年的票面利率为 5.00%。

    公司于 2017 年 9 月 14 日披露了《华安证券股份有限公司关于“15 华安 01”公司债券回售的

公告》(公告编号:临 2017-033),并于 2017 年 9 月 15 日、2017 年 9 月 18 日、2017 年 9 月 19

日分别披露了投资者回售的第一次、第二次和第三次提示性公告(临 2017-035、临 2017-037 和临

2017-038),投资者可在回售申报期选择将持有的“15 华安 01”全部或部分回售给公司。根据中

国证券登记结算有限责任公司上海分公司提供的数据,“15 华安 01”的回售申报数量为 0 手,回

售申报金额为 0 万元(不含利息)。



3.3 报告期内超期未履行完毕的承诺事项
□适用 √不适用




                                           8 / 18
                                   2017 年第三季度报告




3.4 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重大变动的警

    示及原因说明
√适用 □不适用
    现阶段我国证券公司的经营状况与证券市场行情走势密切相关,存在公司经营业绩随证券市

场行情变化而发生大幅波动的可能,对未来某一特定期间的经营业绩难以准确预计,为避免对投

资者造成误导的风险,公司目前无法对 2017 年 1-12 月的经营业绩进行准确估计。

    公司将根据中国证监会《关于加强上市证券公司监管的规定》(2010 年修订)的要求,及时

披露公司月度主要财务信息,以便投资者及时掌握公司经营情况。




                                                     公司名称      华安证券股份有限公司
                                                   法定代表人      李工
                                                          日期     2017 年 10 月 27 日




四、 附录


4.1 财务报表
                                    合并资产负债表
                                   2017 年 9 月 30 日
编制单位:华安证券股份有限公司
                                            单位:元 币种:人民币 审计类型:未经审计
               项目                         期末余额                         年初余额
资产:
  货币资金                                   10,740,962,838.68                10,772,740,912.84
    其中:客户存款                             7,686,860,728.57                8,466,656,263.44
  结算备付金                                   2,780,575,242.82                2,679,663,045.58
    其中:客户备付金                           2,387,857,336.01                2,352,667,274.26
  融出资金                                     7,793,546,792.55                7,168,003,610.96
  以公允价值计量且其变动计入当期
                                             11,074,802,289.30                 7,845,570,142.70
损益的金融资产
  买入返售金融资产                             4,333,678,273.11                2,402,349,098.08
  应收款项                                        158,531,431.18                 126,646,415.03
  应收利息                                        431,752,731.01                 428,672,664.97
  存出保证金                                       17,023,761.89                  16,642,936.34
                                         9 / 18
                                   2017 年第三季度报告



  可供出售金融资产                             2,745,517,250.20      2,002,389,822.77
  长期股权投资                                     316,591,062.54     278,922,483.69
  投资性房地产                                      13,627,692.98      24,596,916.18
  固定资产                                         555,149,993.24     562,296,386.19
  在建工程                                          18,631,104.51      16,688,119.54
  无形资产                                          55,630,320.82      61,212,729.40
  商誉                                               3,829,390.10        3,829,390.10
  递延所得税资产                                   163,935,264.59     120,760,949.66
  其他资产                                          70,747,993.62      77,030,199.79
         资产总计                            41,274,533,433.14      34,588,015,823.82
负债:
  应付短期融资款                               1,315,660,000.00       800,000,000.00
  拆入资金                                         500,000,000.00                  -
  以公允价值计量且其变动计入当期
                                               5,310,981,777.09      4,747,979,462.22
损益的金融负债
  卖出回购金融资产款                           7,153,421,058.58      2,584,435,280.00
  代理买卖证券款                             10,073,579,175.51      10,819,306,523.44
  应付职工薪酬                                     433,188,726.33     330,374,781.78
  应交税费                                         156,824,884.08     160,959,692.23
  应付款项                                          24,765,675.21      86,147,147.39
  应付利息                                         126,533,014.29      62,969,786.80
  长期借款                                                     -         1,823,852.10
  应付债券                                     3,497,577,398.05      2,796,390,049.01
  递延所得税负债                                    81,555,303.82      89,609,075.41
  其他负债                                          56,139,959.86      38,835,375.67
   负债合计                                  28,730,226,972.82      22,518,831,026.05
所有者权益(或股东权益):
  实收资本(或股本)                           3,621,000,000.00      3,621,000,000.00
  资本公积                                     5,109,825,433.14      5,110,494,105.58
  其他综合收益                                      17,470,095.90      24,110,508.76
  盈余公积                                         352,133,345.43     352,133,345.43
  一般风险准备                                     505,000,137.72     505,000,137.72
  交易风险准备                                 480,570,287.04        480,570,287.04
  未分配利润                                   2,134,960,673.76      1,749,729,030.36
  归属于母公司所有者权益(或股东
                                             12,220,959,972.99      11,843,037,414.89
权益)合计

                                         10 / 18
                                     2017 年第三季度报告



  少数股东权益                                       323,346,487.33                226,147,382.88
    所有者权益(或股东权益)合计               12,544,306,460.32                 12,069,184,797.77
    负债和所有者权益(或股东权益)
                                               41,274,533,433.14                 34,588,015,823.82
总计


法定代表人:李工        主管会计工作负责人:龚胜昔                    会计机构负责人:龚胜昔



                                     母公司资产负债表
                                     2017 年 9 月 30 日
编制单位:华安证券股份有限公司
                                              单位:元 币种:人民币 审计类型:未经审计
               项目                           期末余额                          年初余额
资产:
  货币资金                                      8,314,217,628.55                  9,624,019,528.71
    其中:客户存款                              6,688,187,826.47                  7,664,389,869.14
  结算备付金                                    1,878,759,041.98                  2,018,507,422.48
    其中:客户备付金                            1,687,133,667.31                  1,842,514,538.87
  融出资金                                      7,793,546,792.55                  7,168,003,610.96
  以公允价值计量且其变动计入当
                                                6,905,716,150.70                  4,072,137,859.24
期损益的金融资产
  买入返售金融资产                              3,907,116,639.60                  1,771,858,031.20
  应收款项                                           172,954,502.82                143,138,286.68
  应收利息                                           342,723,395.20                366,151,811.18
  存出保证金                                          28,748,648.00                 16,993,700.00
  可供出售金融资产                              2,266,900,772.76                  1,917,474,225.04
  长期股权投资                                  2,032,649,844.49                   993,164,831.44
  投资性房地产                                        13,627,692.98                 24,596,916.18
  固定资产                                           549,772,617.51                557,774,289.05
  在建工程                                            15,197,339.56                 13,442,217.83
  无形资产                                            53,165,102.68                 58,021,759.61
  递延所得税资产                                     154,211,149.13                109,692,351.83
  其他资产                                            58,421,812.54                 48,466,221.55
    资产总计                                   34,487,729,131.05                 28,903,443,062.98
负债:
  应付短期融资款                                1,315,660,000.00                   800,000,000.00
  拆入资金                                           500,000,000.00                             -
  以公允价值计量且其变动计入当                       767,872,590.00                885,056,050.00
                                           11 / 18
                                     2017 年第三季度报告



期损益的金融负债
  卖出回购金融资产款                             7,143,746,913.78                  2,477,439,000.00
  代理买卖证券款                                 8,374,182,604.71                  9,506,887,393.75
  应付职工薪酬                                        426,501,543.07                325,799,787.45
  应交税费                                            152,064,764.33                152,163,759.06
  应付款项                                             47,374,184.22                 73,108,882.21
  应付利息                                            126,528,962.15                 62,946,846.59
  长期借款                                                        -                    1,823,852.10
  应付债券                                       3,497,577,398.05                  2,796,390,049.01
  递延所得税负债                                       84,791,084.21                 98,263,968.92
  其他负债                                             16,655,188.71                   6,558,648.30
   负债合计                                     22,452,955,233.23                 17,186,438,237.39
所有者权益(或股东权益):
  实收资本(或股本)                             3,621,000,000.00                  3,621,000,000.00
  资本公积                                       5,106,479,104.25                  5,106,479,104.25
  其他综合收益                                         36,839,502.71                 52,766,189.31
  盈余公积                                            352,133,345.43                352,133,345.43
  一般风险准备                                        505,000,137.72                505,000,137.72
  交易风险准备                                        480,570,287.04                480,570,287.04
  未分配利润                                     1,932,751,520.67                  1,599,055,761.84
    所有者权益(或股东权益)合计                12,034,773,897.82                 11,717,004,825.59
负债和所有者权益(或股东权益)总
                                                34,487,729,131.05                 28,903,443,062.98



法定代表人:李工        主管会计工作负责人:龚胜昔                     会计机构负责人:龚胜昔



                                          合并利润表
                                        2017 年 1—9 月
编制单位:华安证券股份有限公司
                                              单位:元 币种:人民币 审计类型:未经审计
                                                              年初至报告期期      上年年初至报告
                        本期金额            上期金额
       项目                                                       末金额          期期末金额(1-9
                        (7-9 月)          (7-9 月)
                                                                (1-9 月)              月)
一、营业收入           525,310,633.86      521,710,860.89     1,531,057,381.75    1,343,787,549.67
  手续费及佣金净收
                       255,910,151.37      271,825,992.98       728,993,103.54      875,654,798.00

  其中:经纪业务手
                       217,045,130.74      241,979,608.46       595,467,226.93      765,196,500.59
续费净收入
                                            12 / 18
                                   2017 年第三季度报告



        投资银行业
                        12,100,767.48     7,362,793.50        63,247,701.81     28,656,512.64
务手续费净收入
        资产管理业
                        16,834,428.73    10,506,402.81        46,843,316.75     43,044,169.80
务手续费净收入
  利息净收入           133,608,883.13   118,596,163.96       428,676,453.81    320,351,401.81
  投资收益(损失以
                       209,601,430.18   145,261,115.70       513,385,465.60    383,545,803.86
“-”号填列)
  其中:对联营企业
和合营企业的投资收       8,308,291.78     7,571,947.48        29,063,071.72     29,884,582.29

  公允价值变动收益
(损失以“-”号填      -75,344,639.02   -17,269,099.58       -144,759,469.00   -243,433,869.10
列)
  汇兑收益(损失以
                          -479,476.28       155,206.15         -1,066,154.70       600,662.06
“-”号填列)
  其他收益               1,000,521.38                    -      1,686,987.55                 -
  其他业务收入           1,013,763.10     3,141,481.68          4,140,994.95      7,068,753.04
二、营业支出           248,895,187.50   203,345,689.28       720,065,613.36    669,374,628.40
  税金及附加             3,900,531.59     3,459,934.14        12,032,987.03     46,748,876.48
  业务及管理费         238,196,434.17   197,341,920.57       698,850,944.28    623,319,643.70
  资产减值损失           6,616,605.28     1,674,820.30          8,585,260.31     -3,056,332.97
  其他业务成本            181,616.46        869,014.27           596,421.74       2,362,441.19
三、营业利润(亏损
                       276,415,446.36   318,365,171.61       810,991,768.39    674,412,921.27
以“-” 号填列)
  加:营业外收入         1,618,568.18     4,150,108.55          4,351,116.96      4,712,965.90
  减:营业外支出          100,631.02         66,091.72          5,426,830.49       127,503.09
四、利润总额(亏损
                       277,933,383.52   322,449,188.44       809,916,054.86    678,998,384.08
总额以“-”号填列)
  减:所得税费用        62,707,553.76    73,867,604.81       178,088,869.15    164,242,762.62
五、净利润(净亏损以
                       215,225,829.76   248,581,583.63       631,827,185.71    514,755,621.46
“-”号填列)
  其中: 归属于母公
司所有者(或股东)     196,324,172.78   247,762,595.58       602,795,438.88    513,934,087.96
的净利润
  少数股东损益          18,901,656.98       818,988.05        29,031,746.83        821,533.50
六、其他综合收益的
                        14,589,945.75         2,811.81         -5,973,055.24    -23,676,461.23
税后净额
  归属母公司所有者
的其他综合收益的税      14,260,795.13      -107,431.78         -6,640,412.86    -23,786,704.82
后净额
  (一)以后不能重                  -                    -                 -                 -
                                         13 / 18
                                     2017 年第三季度报告



分类进损益的其他综
合收益
  (二)以后将重分
类进损益的其他综合        14,260,795.13         -107,431.78      -6,640,412.86     -23,786,704.82
收益
    1.权益法下在被
投资单位以后将重分
                            235,824.07           824,858.14      -1,289,013.98      -1,667,326.91
类进损益的其他综合
收益中享有的份额
    2.可供出售金融
资产公允价值变动损        14,024,971.06         -932,289.92      -5,351,398.88     -22,119,377.91

  归属于少数股东的
其他综合收益的税后          329,150.62           110,243.59        667,357.62          110,243.59
净额
七、综合收益总额         229,815,775.51      248,584,395.44    625,854,130.47      491,079,160.23
  归属于母公司所有
                         210,584,967.91      247,655,163.80    596,155,026.02      490,147,383.14
者的综合收益总额
  归属于少数股东的
                          19,230,807.60          929,231.64      29,699,104.45         931,777.09
综合收益总额
八、每股收益:
  (一)基本每股收
                                   0.05                 0.09              0.17               0.18
益(元/股)
  (二)稀释每股收
                                   0.05                 0.09              0.17               0.18
益(元/股)


法定代表人:李工          主管会计工作负责人:龚胜昔               会计机构负责人:龚胜昔



                                           母公司利润表
                                          2017 年 1—9 月
编制单位:华安证券股份有限公司
                                                单位:元 币种:人民币 审计类型:未经审计
                                                           年初至报告期期   上年年初至报
                            本期金额            上期金额
         项目                                                  末金额       告期期末金额
                            (7-9 月)          (7-9 月)
                                                             (1-9 月)       (1-9 月)
一、营业收入               475,933,216.21     478,333,704.22   1,384,192,312.43   1,306,176,765.38
  手续费及佣金净收入       245,844,971.21     259,562,223.81    699,504,020.14     840,433,333.20
  其中:经纪业务手续费
                           205,051,345.50     229,096,717.17    555,381,671.29     727,407,409.74
净收入
        投资银行业务
                            12,100,767.48       7,362,793.50     63,247,701.81      28,656,512.64
手续费净收入

                                              14 / 18
                                     2017 年第三季度报告



        资产管理业务
                            23,317,303.19    15,044,634.38      63,907,763.80    56,203,244.39
手续费净收入
  利息净收入               105,129,125.37   105,933,850.61     344,976,202.46   282,711,558.28
  投资收益(损失以“-”
                         158,456,771.84      99,700,703.36     371,522,310.20   264,497,473.33
号填列)
  其中:对联营企业和合
                             5,873,038.08     4,125,377.70      22,154,027.03    21,977,215.28
营企业的投资收益
  公允价值变动收益(损
                           -35,069,128.01    10,459,486.37     -36,686,201.48   -88,477,594.21
失以“-”号填列)
  汇兑收益(损失以“-”
                              -479,476.28       155,206.15      -1,066,154.70      600,662.06
号填列)
  其他收益                   1,000,521.38                  -     1,686,987.55                -
  其他业务收入               1,050,430.70     2,522,233.92       4,255,148.26     6,411,332.72
二、营业支出               229,005,573.14   182,594,323.67     663,739,771.59   612,858,532.67
  税金及附加                 3,609,092.25     3,301,143.24      11,320,826.44    44,692,391.67
  业务及管理费             218,227,695.13   176,747,128.12     642,910,942.44   569,091,459.76
  资产减值损失               6,707,169.30     1,677,038.04       8,911,580.97    -3,287,759.95
  其他业务成本                461,616.46        869,014.27        596,421.74      2,362,441.19
三、营业利润(亏损以
                           246,927,643.07   295,739,380.55     720,452,540.84   693,318,232.71
“-” 号填列)
  加:营业外收入             1,251,052.34     4,031,241.27       3,439,330.66     4,412,353.67
  减:营业外支出              100,600.20         35,180.11       5,424,708.67        96,588.50
四、利润总额(亏损总额
                           248,078,095.21   299,735,441.71     718,467,162.83   697,633,997.88
以“-”号填列)
  减:所得税费用            58,235,128.52    71,834,717.12     167,511,404.00   158,612,429.28
五、净利润(净亏损以
                           189,842,966.69   227,900,724.59     550,955,758.83   539,021,568.60
“-” 号填列)
六、其他综合收益的税后
                            -4,700,800.31     8,153,620.18     -15,926,686.60   -51,583,902.45
净额
  (一)以后不能重分类
                                        -                  -                -                -
进损益的其他综合收益
  (二)以后将重分类进
                            -4,700,800.31     8,153,620.18     -15,926,686.60   -51,583,902.45
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
                              235,824.07        824,858.14      -1,289,013.98    -1,667,326.91
益的其他综合收益中享
有的份额
    2.可供出售金融资产
                            -4,936,624.38     7,328,762.04     -14,637,672.62   -49,916,575.54
公允价值变动损益
七、综合收益总额           185,142,166.38   236,054,344.77     535,029,072.23   487,437,666.15


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                                    2017 年第三季度报告



八、每股收益:
   (一)基本每股收益(元
                                    0.05                0.08              0.15               0.19
/股)
   (二)稀释每股收益(元
                                    0.05                0.08              0.15               0.19
/股)


法定代表人:李工           主管会计工作负责人:龚胜昔              会计机构负责人:龚胜昔



                                      合并现金流量表
                                      2017 年 1—9 月
编制单位:华安证券股份有限公司
                                              单位:元 币种:人民币 审计类型:未经审计
                                           年初至报告期期末金额          上年年初至报告期期末
                   项目
                                                 (1-9月)                   金额(1-9月)
一、经营活动产生的现金流量:
  处置以公允价值计量且变动计入当期损
                                                     -3,144,292,760.89             241,536,107.39
益的金融资产净增加额
  收取利息、手续费及佣金的现金                       1,853,760,965.38            1,759,932,043.18
  拆入资金净增加额                                     500,000,000.00                           -
  回购业务资金净增加额                               2,631,332,011.95            -2,630,034,226.02
  融出资金净减少额                                                  -            1,410,139,301.71
  收到其他与经营活动有关的现金                            7,732,065.64             220,083,687.76
    经营活动现金流入小计                             1,848,532,282.08            1,001,656,914.02
  融出资金净增加额                                     627,425,457.97                           -
  代理买卖证券支付的现金净额                           745,727,347.93            4,444,472,300.09
  支付利息、手续费及佣金的现金                         335,238,399.59              387,002,820.71
  支付给职工以及为职工支付的现金                       382,118,083.83              378,192,409.19
  支付的各项税费                                       324,443,686.18              288,307,095.66
  支付其他与经营活动有关的现金                         231,161,537.63              176,910,607.63
    经营活动现金流出小计                             2,646,114,513.13            5,674,885,233.28
      经营活动产生的现金流量净额                      -797,582,231.05            -4,673,228,319.26
二、投资活动产生的现金流量:
  取得投资收益收到的现金                                16,497,010.72               12,780,178.77
  收到其他与投资活动有关的现金                             284,130.76                  442,093.34
    投资活动现金流入小计                                16,781,141.48               13,222,272.11
  投资支付的现金                                        33,800,000.00              133,381,860.00
  购建固定资产、无形资产和其他长期资
                                                        43,238,993.97               85,013,906.08
产支付的现金
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                                     2017 年第三季度报告



    投资活动现金流出小计                                77,038,993.97             218,395,766.08
      投资活动产生的现金流量净额                        -60,257,852.49            -205,173,493.97
三、筹资活动产生的现金流量:
  吸收投资收到的现金                                    67,500,000.00              10,000,000.00
  其中:子公司吸收少数股东投资收到的
                                                        67,500,000.00              10,000,000.00
现金
  发行债券收到的现金                                  3,333,060,000.00           4,300,000,000.00
    筹资活动现金流入小计                              3,400,560,000.00           4,310,000,000.00
  偿还债务支付的现金                                  2,119,223,852.10           4,601,699,668.80
  分配股利、利润或偿付利息支付的现金                   353,295,786.58             601,963,472.42
    筹资活动现金流出小计                              2,472,519,638.68           5,203,663,141.22
      筹资活动产生的现金流量净额                       928,040,361.32             -893,663,141.22
四、汇率变动对现金及现金等价物的影响                     -1,066,154.70                600,662.06
五、现金及现金等价物净增加额                            69,134,123.08           -5,771,464,292.39
  加:期初现金及现金等价物余额                       13,452,403,958.42          18,812,858,895.91
六、期末现金及现金等价物余额                         13,521,538,081.50          13,041,394,603.52


法定代表人:李工            主管会计工作负责人:龚胜昔             会计机构负责人:龚胜昔



                                      母公司现金流量表
                                        2017 年 1—9 月
编制单位:华安证券股份有限公司
                                              单位:元 币种:人民币 审计类型:未经审计
                                                年初至报告期期末金额         上年年初至报告期期
                     项目
                                                      (1-9月)                末金额(1-9月)
一、经营活动产生的现金流量:
  处置以公允价值计量且变动计入当期损益的
                                                         -3,066,768,864.28        -553,153,438.70
金融资产净增加额
  收取利息、手续费及佣金的现金                           1,695,786,926.81        1,631,286,262.89
  拆入资金净增加额                                         500,000,000.00                      -
  回购业务资金净增加额                                   2,524,724,713.78       -2,389,929,508.30
  融出资金净减少额                                                       -       1,410,139,301.71
  收到其他与经营活动有关的现金                               9,120,615.72         210,599,033.60
   经营活动现金流入小计                                  1,662,863,392.03         308,941,651.20
  融出资金净增加额                                         627,425,457.97                      -
  代理买卖证券支付的现金净额                             1,132,704,789.04        4,557,446,812.08
  支付利息、手续费及佣金的现金                             295,376,870.41         338,793,370.30

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                                    2017 年第三季度报告



  支付给职工以及为职工支付的现金                          343,647,193.92      344,000,877.20
  支付的各项税费                                          313,506,630.73      275,063,140.43
  支付其他与经营活动有关的现金                            202,559,223.68      154,737,254.21
    经营活动现金流出小计                              2,915,220,165.75       5,670,041,454.22
      经营活动产生的现金流量净额                      -1,252,356,773.72     -5,361,099,803.02
二、投资活动产生的现金流量:
  取得投资收益收到的现金                                    5,880,000.00         2,450,000.00
  收到其他与投资活动有关的现金                                        -           427,759.34
    投资活动现金流入小计                                    5,880,000.00         2,877,759.34
  投资支付的现金                                      1,024,500,000.00         84,682,063.97
  购建固定资产、无形资产和其他长期资产支付
                                                           38,220,329.01                   -
的现金
  支付其他与投资活动有关的现金                               131,180.03                    -
    投资活动现金流出小计                              1,062,851,509.04         84,682,063.97
      投资活动产生的现金流量净额                      -1,056,971,509.04        -81,804,304.63
三、筹资活动产生的现金流量:
  发行债券收到的现金                                  3,333,060,000.00       4,300,000,000.00
    筹资活动现金流入小计                              3,333,060,000.00       4,300,000,000.00
  偿还债务支付的现金                                  2,119,223,852.10       4,601,699,668.80
  分配股利、利润或偿付利息支付的现金                      352,991,991.10      611,963,472.42
    筹资活动现金流出小计                              2,472,215,843.20       5,213,663,141.22
      筹资活动产生的现金流量净额                          860,844,156.80      -913,663,141.22
四、汇率变动对现金及现金等价物的影响                       -1,066,154.70          600,662.06
五、现金及现金等价物净增加额                          -1,449,550,280.66     -6,355,966,586.81
  加:期初现金及现金等价物余额                       11,642,526,951.19      17,290,936,785.88
六、期末现金及现金等价物余额                         10,192,976,670.53      10,934,970,199.07


法定代表人:李工           主管会计工作负责人:龚胜昔            会计机构负责人:龚胜昔




4.2 审计报告
□适用 √不适用




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