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华安证券(600909)公告正文

华安证券:2018年第一季度报告

公告日期 2018-04-27
股票简称:华安证券 股票代码:600909
                         2018 年第一季度报告



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




                   华安证券股份有限公司
                   2018 年第一季度报告




                               1 / 15
                            2018 年第一季度报告




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

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

三、   重要事项 ............................................................ 5

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




                                  2 / 15
                                     2018 年第一季度报告



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 公司负责人章宏韬、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 本公司第一季度报告未经审计。



二、 公司基本情况

2.1 主要财务数据

                                                                      单位:元 币种:人民币
                                                       上年度末                    本报告期末
                      本报告期末                                                   比上年度末
                                             调整后                调整前
                                                                                     增减(%)
总资产              46,867,314,952.25   39,908,058,594.15    39,908,058,594.15            17.44
归属于上市公司股
                    12,398,317,875.00   12,262,974,596.39    12,262,974,596.39              1.10
东的净资产
                                               上年初至上年报告期末                比上年同期
                    年初至报告期末
                                             调整后            调整前                增减(%)
经营活动产生的现
                     1,895,707,106.22    1,228,077,211.81     1,228,077,211.81            54.36
金流量净额
                                                上年初至上年报告期末               比上年同期
                    年初至报告期末
                                             调整后                调整前          增减(%)
营业收入              415,032,595.42       443,183,419.14         443,343,807.20           -6.35
归属于上市公司股
                      158,678,898.03       165,222,461.12         165,222,461.12           -3.96
东的净利润
归属于上市公司股
东的扣除非经常性      157,529,982.36       163,820,016.04         163,820,016.04           -3.84
损益的净利润
加权平均净资产收                                                                   下降 0.1 个百
                                 1.29                 1.39                  1.39
益率(%)                                                                                   分点
基本每股收益(元/
                                 0.04                 0.05                  0.05          -20.00
股)
稀释每股收益(元/
                                 0.04                 0.05                  0.05          -20.00
股)



                                           3 / 15
                                    2018 年第一季度报告



非经常性损益项目和金额
√适用 □不适用
                                                                         单位:元 币种:人民币
                     项目                           本期金额                     说明
非流动资产处置损益                                        9,331.78    主要为固定资产处置损失
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,符合国家政策规定、按照一定            1,063,777.51      主要为公司收到的政府补助
标准定额或定量持续享受的政府补助除外
除上述各项之外的其他营业外收入和支出                  499,075.26
少数股东权益影响额(税后)                           -393,046.14
所得税影响额                                           -30,222.74
                     合计                            1,148,915.67


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)                                                                               169,815
                                   前十名股东持股情况
                                                    持有有限售       质押或冻结情况
                              期末持股     比例
    股东名称(全称)                                条件股份数                             股东性质
                                数量       (%)                       股份状态     数量
                                                        量
安徽省国有资产运营有限公
                             887,020,879   24.50    887,020,879        无             -     国有法人

安徽出版集团有限责任公司     349,601,131    9.65               0       无             -     国有法人
东方国际创业股份有限公司     238,825,020    6.60               0       无             -     国有法人
                                                                                            境内非国
安徽省皖能股份有限公司       200,000,000    5.52               0       无             -
                                                                                              有法人
安徽省交通控股集团有限公
                             135,128,317    3.73               0       无             -     国有法人

安徽出版集团有限责任公司
-安徽出版集团有限责任公
                             115,000,000    3.18               0       无             -           其他
司非公开发行 2017 年可交换
公司债券质押专户
江苏舜天股份有限公司         100,000,000    2.76               0       无             -     国有法人
安徽古井集团有限责任公司     100,000,000    2.76               0       无             -     国有法人
安徽省能源集团有限公司        96,520,226    2.67               0       无             -     国有法人
                                                                                            境内非国
黄山旅游发展股份有限公司      82,000,000    2.26               0       无             -
                                                                                              有法人
                              前十名无限售条件股东持股情况
                                持有无限售条件流通股的                   股份种类及数量
股东名称
                                        数量                           种类                数量
安徽出版集团有限责任公司                       349,601,131         人民币普通股           349,601,131
东方国际创业股份有限公司                       238,825,020         人民币普通股           238,825,020

                                           4 / 15
                                     2018 年第一季度报告



安徽省皖能股份有限公司                         200,000,000     人民币普通股       200,000,000
安徽省交通控股集团有限公司                     135,128,317     人民币普通股       135,128,317
安徽出版集团有限责任公司-
安徽出版集团有限责任公司非
                                               115,000,000     人民币普通股       115,000,000
公开发行 2017 年可交换公司债
券质押专户
江苏舜天股份有限公司                           100,000,000     人民币普通股       100,000,000
安徽古井集团有限责任公司                       100,000,000     人民币普通股       100,000,000
安徽省能源集团有限公司                          96,520,226     人民币普通股        96,520,226
黄山旅游发展股份有限公司                        82,000,000     人民币普通股        82,000,000
浙江东方集团股份有限公司                        72,000,000     人民币普通股        72,000,000
上述股东关联关系或一致行动      1、安徽出版集团有限责任公司因非公开发行 2017 年可交换公
的说明                          司债券,将其所持本公司限售流通股 220,000,000 股过户至“安
                                徽出版集团有限责任公司-安徽出版集团有限责任公司非公开发
                                行 2017 年可交换公司债券质押专户”,后于 2017 年 12 月 27 日
                                办理了 105,000,000 股的解除质押登记手续;
                                2、安徽省能源集团有限公司是安徽省皖能股份有限公司第一大
                                股东;
                                3、公司未知其他上述股东之间是否存在关联关系,也未知是否
                                属于《上市公司收购管理办法》规定的一致行动人。
表决权恢复的优先股股东及持
                                不适用
股数量的说明


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


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


                                                             增减幅度
      项目         2018 年 3 月 31 日 2017 年 12 月 31 日                     变动原因
                                                               (%)
以公允价值计量且
                                                                        增加对债券等金融资产
其变动计入当期损    14,918,846,346.88    9,479,840,481.42       57.37
                                                                        投资
益的金融资产
                                                                        应收各类证券清算款下
应收款项                 41,999,135.94     339,430,434.68      -87.63
                                                                        降
                                                                      根据资金需求和证券市
卖出回购金融资产
                    11,473,043,869.43    6,657,587,134.24       72.33 场情况调整卖出回购业

                                                                      务规模

                                           5 / 15
                                    2018 年第一季度报告



                                                                       应付各类证券清算款增
应付款项              83,294,188.62        57,772,133.41       44.18
                                                                       加
                                                                       本期计提公司债、短期公
应付利息             168,316,681.24       112,780,817.16       49.24
                                                                       司债利息增加
                                                                     本期应收利息增加导致
递延所得税负债       100,731,734.42        67,124,815.73       50.07 应纳税暂时性差异增加
                                                                     所致
                                                                       可供出售金融资产公允
其他综合收益          -9,958,574.42        13,385,048.31     -174.40
                                                                       价值下降所致
                                                            增减幅度
      项目         2018 年 1-3 月       2017 年 1-3 月                       变动原因
                                                              (%)
                                                                       主要是金融工具公允价
公允价值变动收益     -40,003,361.70        -91,110,266.10     不适用
                                                                       值变动收益上升
                                                                       主要为汇率变动产生的
汇兑收益                -895,631.87           -136,831.29     不适用
                                                                       汇兑损失
                                                                       主要是融出资金规模下
资产减值损失          -1,992,154.12           -232,827.22     不适用
                                                                       降减少减值计提所致
                                                                       主要是投资性房地产计
其他业务成本             286,415.37           103,580.24      176.52
                                                                       提折旧增加
                                                                       主要是收到的个税代扣
营业外收入               872,034.48          2,062,095.02     -57.71
                                                                       代缴手续费返还减少
                                                                   主要为罚没支出增加,同
                                                                   时根据会计准则对“资产
营业外支出               372,959.22                811.28 45871.70 处置收益”项目的追溯调
                                                                   整减少营业外支出上年
                                                                   同期数
其他综合收益的税                                                       可供出售金融资产公允
                     -34,930,948.98        51,841,332.48     -167.38
后净额                                                                 价值下降所致
                                                                     主要是回购业务资金净
                                                                     增加额增加,融出资金业
                                                                     务净减少额增加以及处
经营活动产生的现
                   1,895,707,106.22     1,228,077,211.81       54.36 置以公允价值计量且其
金流量净额
                                                                     变动计入当期损益的金
                                                                     融资产净减少额增加所
                                                                     致
投资活动产生的现                                                       主要是投资支付的现金
                      -1,581,004.35        -10,068,596.49     不适用
金流量净额                                                             减少
筹资活动产生的现                                                       主要是偿还债务支付的
                     396,696,321.62      -436,976,611.72      不适用
金流量净额                                                             现金减少




                                          6 / 15
                                    2018 年第一季度报告



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、监事、高级管理人员变动情况
    2018 年 3 月 8 日,公司董事会收到公司首席风险官王军先生递交的书面辞职报告。因个人原

因,王军先生申请辞去公司首席风险官职务。王军先生辞职后,将不在公司担任任何职务。2018

年 3 月 16 日,公司召开第二届董事会第二十三次会议,审议通过了《关于聘任公司首席风险官的

议案》,同意聘任公司合规总监张建群先生兼任首席风险官,任期自本次会议审议通过之日起至

第二届董事会任期届满。详见公司分别于 2018 年 3 月 9 日、2018 年 3 月 17 日披露的《关于公司

首席风险官辞职的公告》(公告编号:临 2018-004)、《关于聘任公司首席风险官的公告》(公

告编号:临 2018-006)。

    2018 年 3 月 28 日,公司监事会收到监事魏李翔先生递交的书面辞职报告。因工作变动原因,

魏李翔先生申请辞去第二届监事会监事职务。魏李翔先生辞职后,将不在公司担任任何职务。详

见公司于 2018 年 3 月 29 日披露的《关于公司监事辞职的公告》(公告编号:临 2018-007)。

    3.2.2 重要诉讼事项

    (1)2018 年 1 月 19 日,公司根据《华安理财安兴 23 号定向资产管理合同》约定,按照“华

安理财安兴 23 号定向资产管理计划”(以下简称“安兴 23 号”)委托人指令,作为管理人代表

“安兴 23 号”,向安徽省高级人民法院提起诉讼,起诉被告蒋九明违反《华安证券股份有限公司

股票质押式回购交易业务协议》。安徽省高级人民法院于 2018 年 1 月 24 日出具(2018)皖民初

8 号《安徽省高级人民法院受理案件通知书》,决定受理该案件。详见公司 2018 年 1 月 26 日披

露的《关于公司(代资产管理计划)涉及诉讼的公告》(公告编号:临 2018-002)。

    (2)2018 年 3 月 26 日,公司作为“华安理财安兴 31 号定向资产管理计划” (以下简称“安

兴 31 号”)的管理人,根据委托人指令,因蒋九明违约,向安徽省高级人民法院提起诉讼,要求

判令解除公司与蒋九明签署的《华安证券股份有限公司股票质押式回购交易业务协议》;要求判

令 蒋九明提 前偿付 融资本 金人民币 275,000,000 元 、支付利 息 3,815,625.00 元 以及违 约金

9,479,731.25 元,并承担相应的诉讼费用和保全费用;请求判令对蒋九明质押给公司的 45,000,000

股顺威股份股票折价或以拍卖、变卖质押股票所得价款和 375,000 元现金分红在前述债权范围内

优先受偿。安徽省高级人民法院于 2018 年 3 月 28 日出具(2018)皖民初 21 号《安徽省高级人民

法院受理案件通知书》,决定受理该案件。公司同时根据委托人指令,向安徽省高级人民法院申

请对蒋九明的财产进行保全,以使判决能够得到执行,请求法院依法冻结或查封、扣押蒋九明银

行存款(或现金)290,000,000 元或相当于 290,000,000 元的其他等值财产。公司作为“安兴 31 号”

                                          7 / 15
                                  2018 年第一季度报告



管理人,按照《华安理财安兴 31 号定向资产管理合同》约定,仅严格遵照委托人的指令处理“安

兴 31 号”事务,该资产管理计划对债务人蒋九明的债权权益实际归属于委托人所有,故本案件的

最终诉讼结果由委托人实际承受。


3.3 报告期内超期未履行完毕的承诺事项

□适用 √不适用


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2018年1-6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      章宏韬
                                                           日期    2018 年 4 月 26 日




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                                 2018 年第一季度报告



四、 附录

4.1 财务报表

                                   合并资产负债表
                                  2018 年 3 月 31 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                                             10,480,792,394.86    8,480,764,657.31
    其中:客户存款                                      7,851,219,437.43    7,137,242,636.46
  结算备付金                                            2,990,228,541.95    2,700,329,487.88
    其中:客户备付金                                    2,625,591,717.54    2,348,379,465.25
  融出资金                                              7,954,707,510.40    8,890,689,939.58
  以公允价值计量且其变动计入当期损益的金融资产         14,918,846,346.88    9,479,840,481.42
  衍生金融资产                                               724,145.00
  买入返售金融资产                                      5,447,677,639.84    5,199,432,861.64
  应收款项                                                41,999,135.94      339,430,434.68
  应收利息                                               493,839,308.16      381,322,446.37
  存出保证金                                              17,033,211.19       16,840,704.85
  可供出售金融资产                                      3,091,908,351.29    3,009,218,685.35
  长期股权投资                                           501,175,585.42      501,626,679.29
  投资性房地产                                            23,202,972.49       23,481,761.28
  固定资产                                               532,511,445.03      540,253,708.70
  在建工程                                                21,321,473.13       20,035,041.94
  无形资产                                                53,418,346.08       57,836,672.65
  商誉                                                      3,829,390.10        3,829,390.10
  递延所得税资产                                         186,562,896.78      174,441,194.37
  其他资产                                               107,536,257.71       88,684,446.74
    资产总计                                           46,867,314,952.25   39,908,058,594.15
负债:
  应付短期融资款                                        3,170,735,000.00    2,929,163,000.00
  以公允价值计量且其变动计入当期损益的金融负债          4,407,890,089.34    3,885,297,004.76
  衍生金融负债                                                                    92,170.00
  卖出回购金融资产款                                   11,473,043,869.43    6,657,587,134.24
  代理买卖证券款                                       10,476,749,165.60    9,481,329,176.18
  应付职工薪酬                                           415,631,355.92      447,552,464.18
  应交税费                                               120,117,142.21      143,579,436.37
  应付款项                                                83,294,188.62       57,772,133.41
  应付利息                                               168,316,681.24      112,780,817.16
  应付债券                                              3,698,394,045.94    3,497,987,563.09
  递延所得税负债                                         100,731,734.42       67,124,815.73

                                       9 / 15
                                   2018 年第一季度报告



  其他负债                                                  54,147,725.23       54,243,014.27
   负债合计                                              34,169,050,997.95   27,334,508,729.39
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                                                5,110,494,105.58    5,110,494,105.58
  其他综合收益                                               -9,958,574.42      13,385,048.31
  盈余公积                                                 422,494,910.53      422,494,910.53
  一般风险准备                                             575,361,702.82      575,361,702.82
  交易风险准备                                             544,535,346.22      544,535,346.22
  未分配利润                                              2,134,390,384.27    1,975,703,482.93
  归属于母公司所有者权益(或股东权益)合计               12,398,317,875.00   12,262,974,596.39
  少数股东权益                                             299,946,079.30      310,575,268.37
   所有者权益(或股东权益)合计                          12,698,263,954.30   12,573,549,864.76
   负债和所有者权益(或股东权益)总计                    46,867,314,952.25   39,908,058,594.15


法定代表人:章宏韬            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
                                    2018 年 3 月 31 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                                                7,757,741,331.25    6,867,904,802.13
   其中:客户存款                                         6,692,238,660.63    6,034,724,521.52
  结算备付金                                              1,653,051,214.65    1,669,433,398.74
   其中:客户备付金                                       1,476,714,894.45    1,520,559,400.50
  融出资金                                                7,954,707,510.40    8,890,689,939.58
  以公允价值计量且其变动计入当期损益的金融资产           11,794,657,891.31    5,468,531,262.50
  衍生金融资产                                                 724,145.00
  买入返售金融资产                                        5,161,053,789.40    4,809,351,355.20
  应收款项                                                  19,255,588.74      332,052,252.29
  应收利息                                                 420,642,126.41      312,116,518.40
  存出保证金                                                19,126,890.27       37,292,684.00
  可供出售金融资产                                        2,394,445,602.74    2,251,485,168.38
  长期股权投资                                            2,045,059,571.29    2,040,198,892.33
  投资性房地产                                              23,202,972.49       23,481,761.28
  固定资产                                                 526,922,619.01      534,551,226.32
  在建工程                                                  18,505,874.84       17,285,037.67
  无形资产                                                  50,776,299.04       54,847,993.24
  递延所得税资产                                           176,993,126.75      166,319,533.43
  其他资产                                                  66,521,090.89       74,645,688.51

                                         10 / 15
                                      2018 年第一季度报告



   资产总计                                                 40,083,387,644.48    33,550,187,514.00
负债:
  应付短期融资款                                             3,170,735,000.00     2,929,163,000.00
  以公允价值计量且其变动计入当期损益的金融负债                523,156,600.00        99,525,300.00
  衍生金融负债                                                                          92,170.00
  卖出回购金融资产款                                        11,450,716,534.23     6,572,595,634.24
  代理买卖证券款                                             8,168,891,565.71     7,550,990,996.49
  应付职工薪酬                                                412,433,175.84       433,271,011.49
  应交税费                                                    113,462,281.51       136,992,026.32
  应付款项                                                     84,290,438.42        52,203,276.78
  应付利息                                                    168,309,935.95       112,769,970.22
  应付债券                                                   3,698,394,045.94     3,497,987,563.09
  递延所得税负债                                               97,161,017.51        65,507,557.08
  其他负债                                                     12,935,856.14        15,346,135.77
   负债合计                                                 27,900,486,451.25    21,466,444,641.48
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                                                 -18,653,668.24        -2,886,355.58
  盈余公积                                                    422,494,910.53       422,494,910.53
  一般风险准备                                                575,361,702.82       575,361,702.82
  交易风险准备                                                544,535,346.22       544,535,346.22
  未分配利润                                                 1,931,683,797.65     1,816,758,164.28
    所有者权益(或股东权益)合计                            12,182,901,193.23    12,083,742,872.52
      负债和所有者权益(或股东权益)总计                    40,083,387,644.48    33,550,187,514.00


法定代表人:章宏韬            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
                                        2018 年 1—3 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
                       项目                                   本期金额             上期金额
一、营业收入                                                  415,032,595.42       443,183,419.14
  手续费及佣金净收入                                          198,189,686.45       223,357,781.76
   其中:经纪业务手续费净收入                                 161,464,252.12       195,292,972.09
         投资银行业务手续费净收入                                7,572,364.06         6,697,948.04
         资产管理业务手续费净收入                              23,866,364.64        15,278,121.41
  利息净收入                                                  120,244,675.34       168,240,283.07
  投资收益(损失以“-”号填列)                               135,511,702.74       141,999,285.98
   其中:对联营企业和合营企业的投资收益                          8,073,257.34         8,901,229.52

                                            11 / 15
                                     2018 年第一季度报告



  资产处置收益(损失以“-”号填列)                             9,331.78        -160,388.06
  公允价值变动收益(损失以“-”号填列)                    -40,003,361.70     -91,110,266.10
  汇兑收益(损失以“-”号填列)                               -895,631.87        -136,831.29
  其他收益                                                   1,063,777.51
  其他业务收入                                                912,415.17          993,553.78
二、营业支出                                               216,335,445.64     226,762,749.36
  税金及附加                                                 3,308,970.96       2,758,298.58
  业务及管理费                                             214,732,213.43     224,133,697.76
  资产减值损失                                              -1,992,154.12        -232,827.22
  其他业务成本                                                286,415.37          103,580.24
三、营业利润(亏损以“-” 号填列)                         198,697,149.78     216,420,669.78
  加:营业外收入                                              872,034.48        2,062,095.02
  减:营业外支出                                              372,959.22             811.28
四、利润总额(亏损总额以“-”号填列)                      199,196,225.04     218,481,953.52
  减:所得税费用                                            39,559,189.83      52,509,174.87
五、净利润(净亏损以“-”号填列)                         159,637,035.21     165,972,778.65
  (一)按经营持续性分类
    1.持续经营净利润(净亏损以“-”号填列)               159,637,035.21     165,972,778.65
  (二)按所有权归属分类
    1.少数股东损益                                            958,137.18          750,317.53
    2.归属于母公司股东的净利润                             158,678,898.03     165,222,461.12
六、其他综合收益的税后净额                                 -34,930,948.98      51,841,332.48
  归属母公司所有者的其他综合收益的税后净额                 -23,343,622.73      51,599,127.48
  (二)以后将重分类进损益的其他综合收益                   -23,343,622.73      51,599,127.48
    1.权益法下在被投资单位以后将重分类进损益的
                                                              -110,985.15        -405,372.91
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                     -23,232,637.58      52,004,500.39
  归属于少数股东的其他综合收益的税后净额                   -11,587,326.25         242,205.00
七、综合收益总额                                           124,706,086.23     217,814,111.13
  归属于母公司所有者的综合收益总额                         135,335,275.30     216,821,588.60
  归属于少数股东的综合收益总额                             -10,629,189.07         992,522.53
八、每股收益:
  (一)基本每股收益(元/股)                                          0.04               0.05
  (二)稀释每股收益(元/股)                                          0.04               0.05


法定代表人:章宏韬          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
                                      2018 年 1—3 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
                     项目                              本期金额           上期金额

                                           12 / 15
                                     2018 年第一季度报告



一、营业收入                                                 345,143,982.68       410,451,077.97
  手续费及佣金净收入                                         187,767,188.41       212,521,804.15
    其中:经纪业务手续费净收入                               147,445,792.70       181,076,700.79
          投资银行业务手续费净收入                             7,572,364.06         6,697,948.04
          资产管理业务手续费净收入                            28,028,363.76        19,910,467.10
  利息净收入                                                  87,723,005.99       139,617,712.64
  投资收益(损失以“-”号填列)                              87,232,130.14       103,864,675.45
    其中:对联营企业和合营企业的投资收益                       4,971,664.11         6,789,440.49
  资产处置收益(损失以“-”号填列)                               9,331.78          -160,388.06
  公允价值变动收益(损失以“-”号填列)                     -18,246,763.59       -46,249,448.70
  汇兑收益(损失以“-”号填列)                                -895,631.87          -136,831.29
  其他收益                                                       432,777.51
  其他业务收入                                                 1,121,944.31           993,553.78
二、营业支出                                                 194,890,616.88       206,323,736.77
  税金及附加                                                   2,975,631.65         2,582,768.80
  业务及管理费                                               193,628,268.00       203,872,539.19
  资产减值损失                                                 -1,999,698.14         -235,151.46
  其他业务成本                                                   286,415.37           103,580.24
三、营业利润(亏损以“-” 号填列)                          150,253,365.80       204,127,341.20
  加:营业外收入                                                 862,603.45         1,673,038.42
  减:营业外支出                                                 372,959.22               811.28
四、利润总额(亏损总额以“-”号填列)                       150,743,010.03       205,799,568.34
  减:所得税费用                                              35,817,376.66        49,242,917.47
五、净利润(净亏损以“-”号填列)                           114,925,633.37       156,556,650.87
  (一)持续经营净利润(净亏损以“-”号填列)               114,925,633.37       156,556,650.87
六、其他综合收益的税后净额                                   -15,767,312.66         4,267,194.12
  (二)以后将重分类进损益的其他综合收益                     -15,767,312.66         4,267,194.12
    1.权益法下在被投资单位以后将重分类进损益的
                                                                -110,985.15          -405,372.91
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                       -15,656,327.51         4,672,567.03
七、综合收益总额                                              99,158,320.71       160,823,844.99

法定代表人:章宏韬            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
                                       2018 年 1—3 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
                       项目                                   本期金额            上期金额
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金融资             -4,680,195,116.75    -1,283,298,554.44

                                           13 / 15
                                     2018 年第一季度报告



产净增加额
  收取利息、手续费及佣金的现金                               609,183,371.64      541,141,028.54
  回购业务资金净增加额                                      4,565,917,791.19    2,386,457,548.66
  融出资金净减少额                                           938,798,825.66      153,966,764.68
  代理买卖证券收到的现金净额                                 995,419,989.42
  收到其他与经营活动有关的现金                                  3,378,872.21      86,962,474.30
    经营活动现金流入小计                                    2,432,503,733.37    1,885,229,261.74
  代理买卖证券支付的现金净额                                                     219,529,530.37
  支付利息、手续费及佣金的现金                               164,197,308.69      108,152,525.42
  支付给职工以及为职工支付的现金                             199,605,936.96      136,166,016.18
  支付的各项税费                                              78,657,606.46      145,645,783.08
  支付其他与经营活动有关的现金                                94,335,775.04       47,658,194.88
    经营活动现金流出小计                                     536,796,627.15      657,152,049.93
      经营活动产生的现金流量净额                            1,895,707,106.22    1,228,077,211.81
二、投资活动产生的现金流量:
  取得投资收益收到的现金                                        8,413,366.06        9,856,806.45
  收到其他与投资活动有关的现金                                    40,299.82          193,490.46
    投资活动现金流入小计                                        8,453,665.88      10,050,296.91
  投资支付的现金                                                                    7,500,000.00
  购建固定资产、无形资产和其他长期资产支付的现金              10,034,670.23       12,618,893.40
    投资活动现金流出小计                                      10,034,670.23       20,118,893.40
      投资活动产生的现金流量净额                               -1,581,004.35      -10,068,596.49
三、筹资活动产生的现金流量:
  发行债券收到的现金                                         857,752,000.00      700,000,000.00
    筹资活动现金流入小计                                     857,752,000.00      700,000,000.00
  偿还债务支付的现金                                         416,180,000.00     1,100,597,264.96
  分配股利、利润或偿付利息支付的现金                          44,875,678.38       24,847,046.76
  支付其他与筹资活动有关的现金                                                    11,532,300.00
    筹资活动现金流出小计                                     461,055,678.38     1,136,976,611.72
      筹资活动产生的现金流量净额                             396,696,321.62      -436,976,611.72
四、汇率变动对现金及现金等价物的影响                             -895,631.87         -136,831.29
五、现金及现金等价物净增加额                                2,289,926,791.62     780,895,172.31
  加:期初现金及现金等价物余额                             11,181,094,145.19   13,452,403,958.42
六、期末现金及现金等价物余额                               13,471,020,936.81   14,233,299,130.73

法定代表人:章宏韬            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
                                       2018 年 1—3 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
                       项目                                   本期金额           上期金额

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                                   2018 年第一季度报告



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金融资产         -5,713,299,356.96   -1,995,024,302.18
净增加额
  收取利息、手续费及佣金的现金                             530,332,602.38      499,130,599.29
  回购业务资金净增加额                                   4,525,124,299.99     1,747,583,340.28
  融出资金净减少额                                         938,798,825.66      153,966,764.68
  代理买卖证券收到的现金净额                               617,900,569.22
  收到其他与经营活动有关的现金                              20,722,024.06         4,753,286.91
   经营活动现金流入小计                                    919,578,964.35      410,409,688.98
  代理买卖证券支付的现金净额                                                   427,789,579.47
  支付利息、手续费及佣金的现金                             128,814,945.55       92,117,832.52
  支付给职工以及为职工支付的现金                           174,333,143.06      120,349,088.76
  支付的各项税费                                            72,943,752.05      141,742,839.96
  支付其他与经营活动有关的现金                              55,458,152.18       73,387,713.40
   经营活动现金流出小计                                    431,549,992.84      855,387,054.11
      经营活动产生的现金流量净额                           488,028,971.51      -444,977,365.13
二、投资活动产生的现金流量:
  收到其他与投资活动有关的现金                                  30,922.50          193,490.46
   投资活动现金流入小计                                         30,922.50          193,490.46
  购建固定资产、无形资产和其他长期资产支付的现金             9,636,845.52       12,250,219.16
   投资活动现金流出小计                                      9,636,845.52       12,250,219.16
      投资活动产生的现金流量净额                             -9,605,923.02      -12,056,728.70
三、筹资活动产生的现金流量:
  发行债券收到的现金                                       857,752,000.00      700,000,000.00
   筹资活动现金流入小计                                    857,752,000.00      700,000,000.00
  偿还债务支付的现金                                       416,180,000.00     1,100,597,264.96
  分配股利、利润或偿付利息支付的现金                        45,645,071.59       24,847,046.76
   筹资活动现金流出小计                                    461,825,071.59     1,125,444,311.72
      筹资活动产生的现金流量净额                           395,926,928.41      -425,444,311.72
四、汇率变动对现金及现金等价物的影响                          -895,631.87          -136,831.29
五、现金及现金等价物净增加额                               873,454,345.03      -882,615,236.84
  加:期初现金及现金等价物余额                           8,537,338,200.87    11,642,526,951.19
六、期末现金及现金等价物余额                             9,410,792,545.90    10,759,911,714.35

法定代表人:章宏韬         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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